ADVANCED DIPLOMA IN MANUFACTURING TECHNOLOGY

PAPER-1 LUBRICATION ENGINEERING

UNIT-1
Fundamentals of Lubrication: Introduction to Lubrication Engineering-Friction and
Lubrication-Lubricant Properties-Viscosity and Viscosity Index-Lubricant
Additives

UNIT-2
Lubricants and their Applications: Mineral and Synthetic Lubricants-Greases and
their Applications-Solid and Dry Film Lubricants-Lubrication Systems and their
Design

UNIT-3
Lubricant Analysis and Maintenance: Oil Analysis Techniques-Wear Debris
Analysis-Condition Monitoring-Lubricant Management Practices

UNIT-4
Environmental and Economic Considerations: Environmental Impacts of
Lubricants-Sustainability and Energy Efficiency-Lubrication Cost Management-
Lubrication Strategies for Industry 4.0
UNIT-1
Fundamentals of Lubrication: Introduction to Lubrication Engineering
Lubrication is the process or technique of using a lubricant to
reduce friction and wear and tear in a contact between two surfaces. The study of
lubrication is a discipline in the field of tribology.
Lubrication mechanisms such as fluid-lubricated systems are designed so that
the applied load is partially or completely carried
by hydrodynamic or hydrostatic pressure, which reduces solid body interactions
(and consequently friction and wear). Depending on the degree of surface
separation, different lubrication regimes can be distinguished.
Adequate lubrication allows smooth, continuous operation of machine elements,
reduces the rate of wear, and prevents excessive stresses or seizures at bearings.
When lubrication breaks down, components can rub destructively against each
other, causing heat, local welding, destructive damage and failure.
Lubrication mechanisms
Fluid-lubricated systems
As the load increases on the contacting surfaces, distinct situations can be observed
with respect to the mode of lubrication, which are called lubrication regimes:[1]
 Fluid film lubrication is the lubrication regime in which, through viscous
forces, the load is fully supported by the lubricant within the space or gap
between the parts in motion relative to one another object (the lubricated
conjunction) and solid–solid contact is avoided.
o In hydrostatic lubrication, external pressure is applied to the lubricant
in the bearing to maintain the fluid lubricant film where it would
otherwise be squeezed out.
o In hydrodynamic lubrication, the motion of the contacting surfaces, as
 well as the design of the bearing, pump lubricant around the bearing
to maintain the lubricating film. This design of bearing may wear
when started, stopped or reversed, as the lubricant film breaks down.
The basis of the hydrodynamic theory of lubrication is the Reynolds
equation. The governing equations of the hydrodynamic theory of
lubrication and some analytical solutions can be found in the
reference.
 Elastohydrodynamic lubrication: Mostly for nonconforming surfaces or
higher load conditions, the bodies suffer elastic strains at the contact. Such
strain creates a load-bearing area, which provides an almost parallel gap for
the fluid to flow through. Much as in hydrodynamic lubrication, the motion
of the contacting bodies generates a flow induced pressure, which acts as the
bearing force over the contact area. In such high pressure regimes, the
viscosity of the fluid may rise considerably. At full film elastohydrodynamic
lubrication, the generated lubricant film completely separates the surfaces.
Due to the strong coupling between lubricant hydrodynamic action and the
elastic deformation in contacting solids, this regime of lubrication is an
example of Fluid-structure interaction.The classical elastohydrodynamic
theory considers Reynolds equation and the elastic deflection equation to
solve for the pressure and deformation in this lubrication regime.[5][6] Contact
between raised solid features, or asperities, can also occur, leading to a
mixed-lubrication or boundary lubrication regime.
 Boundary lubrication is defined as that regime in which the load is carried
by the surface asperities (high points) rather than by the lubricant.[7] This is
the effect that makes Ultra-high-molecular-weight polyethylene "self-
lubricating".
 Boundary film lubrication: The hydrodynamic effects are negligible. The
 bodies come into closer contact at their asperities (high points); the heat
developed by the local pressures causes a condition which is called stick-
slip, and some asperities break off. At the elevated temperature and pressure
conditions, chemically reactive constituents of the lubricant react with the
contact surface, forming a highly resistant tenacious layer or film on the
moving solid surfaces (boundary film) which is capable of supporting the
load and major wear or breakdown is avoided.
 Mixed lubrication: This regime is in between the full film
elastohydrodynamic and boundary lubrication regimes. The generated
lubricant film is not enough to separate the bodies completely, but
hydrodynamic effects are considerable.
Besides supporting the load the lubricant may have to perform other functions as
well, for instance it may cool the contact areas and remove wear products. While
carrying out these functions the lubricant is constantly replaced from the contact
areas either by the relative movement (hydrodynamics) or by externally induced
forces.
Lubrication is required for correct operation of mechanical systems such
as pistons, pumps, cams, bearings, turbines, gears, roller chains, cutting tools etc.
where without lubrication the pressure between the surfaces in close proximity
would generate enough heat for rapid surface damage which in a coarsened
condition may literally weld the surfaces together, causing seizure.
In some applications, such as piston engines, the film between the piston and the
cylinder wall also seals the combustion chamber, preventing combustion gases
from escaping into the crankcase.
If an engine required pressurised lubrication to, say, plain bearings, there would be
an oil pump and an oil filter. On early engines (such as a Sabb marine diesel),
where pressurised feed was not required splash lubrication would suffice.
Friction and Lubrication

Lubrication is the control of friction and wear by the introduction of a friction-

reducing film between moving surfaces in contact. The lubricant used can be a
fluid, solid, or plastic substance.

Although this is a valid definition, it fails to realize all that lubrication actually
achieves.

Many different substances can be used to lubricate a surface. Oil and grease are the
most common. Grease is composed of oil and a thickening agent to obtain its
consistency, while the oil is what actually lubricates. Oils can be synthetic,
vegetable or mineral-based as well as a combination of these.

The application determines which oil, commonly referred to as the base oil, should
be used. In extreme conditions, synthetic oils can be beneficial. Where the
environment is of concern, vegetable base oils may be utilized.

Lubricants containing oil have additives that enhance, add or suppress properties
within the base oil. The amount of additives depends on the type of oil and the
application for which it will be used. For instance, engine oil might have a
dispersant added.

A dispersant keeps insoluble matter conglomerated together to be removed by the

filter upon circulation. In environments that undergo extremes in temperature, from
cold to hot, a viscosity index (VI) improver may be added. These additives are
long organic molecules that stay bunched together in cold conditions and unravel
in hotter environments.
This process changes the oil’s viscosity and allows it to flow better in cold
conditions while still maintaining its high-temperature properties. The only
problem with additives is that they can be depleted, and in order to restore them
back to sufficient levels, generally the oil volume must be replaced.

The Role of a Lubricant

The primary functions of a lubricant are to:

 Reduce friction
 Prevent wear
 Protect the equipment from corrosion
 Control temperature (dissipate heat)
 Control contamination (carry contaminants to a filter or sump)
 Transmit power (hydraulics)
 Provide a fluid seal

Sometimes the functions of reducing friction and preventing wear are used
interchangeably. However, friction is the resistance to motion, and wear is the loss
of material as a result of friction, contact fatigue and corrosion. There is a
significant difference. In fact, not all that causes friction (e.g., fluid friction) causes
wear, and not all that causes wear (e.g., cavitational erosion) causes friction.

Reducing friction is a key objective of lubrication, but there are many other
benefits of this process. Lubricating films can help prevent corrosion by protecting
the surface from water and other corrosive substances. In addition, they play an
important role in controlling contamination within systems.
The lubricant works as a conduit in which it transports contaminants to filters to be
removed. These fluids also aid in temperature control by absorbing heat from
surfaces and transferring it to a point of lower temperature where it can be
dissipated.

Types of Lubrication

There are three different types of lubrication: boundary, mixed and full film. Each
type is different, but they all rely on a lubricant and the additives within the oils to
protect against wear.

Full-film lubrication can be broken down into two forms: hydrodynamic and
elastohydrodynamic. Hydrodynamic lubrication occurs when two surfaces in
sliding motion (relative to each other) are fully separated by a film of fluid.

Elastohydrodynamic lubrication is similar but occurs when the surfaces are in a

rolling motion (relative to each other). The film layer in elastohydrodynamic
conditions is much thinner than that of hydrodynamic lubrication, and the pressure
on the film is greater. It is called elastohydrodynamic because the film elastically
deforms the rolling surface to lubricate it.

Even on the most polished and smooth surfaces,

irregularities are present. They stick out of the surface
forming peaks and valleys at a microscopic level. These
peaks are called asperities. In order for full-film
conditions to be met, the lubricating film must be thicker
than the length of the asperities. This type of lubrication
protects surfaces the most effectively and is the most
desired.
Boundary lubrication is found where there are frequent starts and stops, and
where shock-loading conditions are present. Some oils have extreme-pressure (EP)
or anti-wear (AW) additives to help protect surfaces in the event that full films
cannot be achieved due to speed, load or other factors.

These additives cling to metal surfaces and form a sacrificial layer that protects the
metal from wear. Boundary lubrication occurs when the two surfaces are
contacting in such a way that only the EP or AW layer is all that is protecting
them. This is not ideal, as it causes high friction, heat and other undesirable effects.

Mixed lubrication is a cross between boundary and hydrodynamic lubrication.

While the bulk of the surfaces are separated by a lubricating layer, the asperities
still make contact with each other. This is where the additives again come into
play.

With a better understanding of this process, it should be easier to define what

lubrication actually is. It is a process of either separating surfaces or protecting
them in a manner to reduce friction, heat, wear and energy consumption. This can
be accomplished by using oils, greases, gases or other fluids. So the next time you
change the oil in your car or grease a bearing, realize there is more going on than
meets the eye.

Lubricant Properties
Lubricants have a wide range of properties that impact their physical and chemical
properties. Knowing about these properties is important in determining which
lubricant is best for which situation. While there are many properties, the most
important are:
1. Viscosity: A lubricant’s “internal resistance to flow.” Higher viscosity
lubricants are thick and don’t flow, while lower viscosity lubricants have a closer
consistency to water and do flow. The image below demonstrates the viscosity of
four different oils. The ball sinks faster in the thinner, low viscosity oil while it
sinks slower in the higher viscosity blends.

2. Viscosity Index: The rate of change in viscosity with changes in

temperature. In other words, how much viscosity changes as temperature changes.
3. Oxidation Stability: Oxidation is a reaction that occurs when oxygen is
combined with lubricating oil. Variables such as high temperatures, water and
acids will accelerate the rate of oxidation. The life of a lubricant is reduced as
temperatures increase, leading to varnish and sludge.
4. Pour Point: The lowest temperature at which a lubricant will flow or pour like a
liquid. This can differ depending on test conditions.
5. Demulsibility: The ability of a lubricant to separate from water.
6. Flash Point: The temperature at which a lubricant will ignite when heated and
mixed with air, but a flame is not sustained.
While there are other properties to consider when choosing a lubricant, these are
often considered the most important.
Viscosity and Viscosity Index
Viscosity and the viscosity index are terms that are applied not only to quenchants,
but also to many other areas in machining, lubrication, and tribology. Viscosity is a
measure of a fluid’s resistance to flow at a given temperature. If the temperature is
measured in English units, then the units for viscosity are Saybolt Universal
Seconds (SUS). If the viscosity is measured using the metric system, then viscosity
is reported in centistokes, or cSt. Typically, 100°F and 210°F are used for
kinematic viscosity measurements in English units, and 40°C and 100°C are used
for viscosity measurements using the metric system.

There are two types of viscosity — dynamic viscosity and kinematic viscosity.
Dynamic viscosity, or absolute viscosity, is a measure of the internal resistance of
the fluid to motion. The (metric) units are g/(cm-s) or centipoise. Kinematic
viscosity is the ratio of dynamic viscosity to density:

where μ is the dynamic viscosity, ρ is the density of the fluid, and ν is the
kinematic viscosity.

Viscosity is measured by ASTM D 445 [1]. In the viscosity test, the fluid is placed
in a specially designed glassware tube (Figure 1) and allowed to equilibrate at the
desired temperature. After the sample is at temperature, it is pulled by suction to
the measurement section. The time that it takes to drain through a specific volume
is the viscosity. This time is dependent on the tube used (capillary size) and the
temperature. Temperature during measurement must be controlled very accurately,
generally to less than ± 0.1°C. Even minor differences in temperature, such as the
difference between 100°F (37.8°C) and 40°C (104°F) results in typically a 10
percent difference in viscosity.

In oil quenchants, changes in the viscosity can indicate oxidation, or the presence
of contamination with a lighter or heavier fluid. Confirmation tests with flashpoint
or other tests can confirm oxidation or contamination. Viscosity is used to
determine concentration of polymer quenchants. Viscosity is also important in
sizing pumps or heat exchangers. For instance, the viscosity of the fluid is
important in sizing pumps, to know how hard the pump will have to work to move
the fluid. It is much easier to move a thin fluid (low viscosity) than a thick fluid
(high viscosity).

Viscosity Index

The viscosity of a fluid changes with temperature. As temperature increases, the

viscosity decreases, and the fluid becomes thinner. Viscosity determines film
thickness and film strength in machinery and infers the lubrication capability. It
also determines how well a quenchant will wet a part during quenching.

In the case of lubrication, too high a viscosity could result in inadequate oil flow.
In the case of a car engine, this could mean oil starvation and dry start-ups. Close
tolerance engines (aircraft and high-performance cars) require that the oil is
circulating before the engine is started to prevent excessive wear. If the viscosity is
too low, then an inadequate film thickness would be present, resulting in greater
mechanical wear and friction [2].

The change in viscosity as a function of temperature is determined by the viscosity

index (VI). The methodology is described by ASTM D2770 [3]. In this method,
the viscosity of a fluid is measured at 40°C and 100°C. This is compared to two
reference oils — Pennsylvania crude (paraffinic) was established as the reference
for low changes with temperature. It was assigned a viscosity index of 100. Texas
Gulf crudes, which are naphthenic and show a large influence of temperature on
viscosity, was assigned a viscosity index of 0.

The viscosity index is calculated from the equation [4]:

where L is the viscosity at 40°C of an oil with VI = 0; H is the viscosity at 40°C

with a VI = 100; and U is the viscosity of the tested oil at 40°C. The values of L
and H for a specific viscosity of oil is available in ASTM D2270 [3]. These values
of L and H are only valid for an oil with a viscosity of less than 70 cSt at 40°C. For
oils with a viscosity greater than 70 cSt, L and H are calculated from [3]:

where Y is the viscosity of the fluid at 100°C.

For example, using the viscosity of a typical quench oil (Figure 1) and the tables of
ASTM D2270, the viscosity index can be calculated.
Figure 1: Typical tubes used for kinematic viscosity testing (Courtesy: Cannon
Instruments, State College, Pennsylvania).
Once the viscosity index (VI) is obtained, the viscosity of the fluid can be
determined over a wide range of temperatures. This is accomplished using ASTM
D341 [5]. Using special charts, the viscosity of the fluid is plotted at 40°C and
100°C. A straight-line is drawn between the two points. The viscosity at the
desired temperature can then be directly read. While this is very simple, the charts
are somewhat difficult to read. However, there are many on-line calculators
available that can do the job much quicker and more accurately [6]. The results
showing the calculated viscosities at different temperatures for the oil in Table 1
are shown in Figure 2.

Figure 2: Viscosity of an accelerated oil as a function of temperature, determined

from ASTM D341.
This is very useful. For instance, if I have a thick martempering oil, and it is
delivered in the middle of winter, I want to make sure my pump can pump the
product. By calculating the viscosity at the desired temperature it will enable me to
determine if my pump can handle the increased viscosity.

Using the example of quench oil again, viscosity is used for determination of the
heat transfer coefficients used for sizing a heat exchanger. Using these charts, the
viscosity can be readily determined, and the proper sized heat exchanger can be
selected.

Lubricant Additives

Lubrication professionals often become very familiar with the base oil viscosity of
their lubricants. After all, viscosity is the most important property of a base oil.

Baselines for incoming oils are set and the health of the lubricant is monitored
based on viscosity alone. However, there is more to lubricants than just viscosity.
It’s crucial to understand the role of additives and their function(s) within the
lubricant.

Lubricant additives are organic or inorganic compounds dissolved or suspended as

solids in oil. They typically range between 0.1 to 30 percent of the oil volume,
depending on the machine.

Additives have three basic roles:

 Enhance existing base oil properties with antioxidants, corrosion

inhibitors, anti-foam agents and demulsifying agents.
  Suppress undesirable base oil properties with pour-point depressants and
viscosity index (VI) improvers.
 Impart new properties to base oils with extreme pressure (EP) additives,
detergents, metal deactivators and tackiness agents.

Polar Additives

Additive polarity is defined as the natural directional attraction of additive

molecules to other polar materials in contact with oil. In simple terms, it is
anything that water dissolves or dissolves into water.

A sponge, a metal surface, dirt, water and wood pulp are all polar. Things that are
not polar include wax, Teflon, mineral base stock, a duck’s back and water
repellents.

It’s important to note that additives are also sacrificial. Once they are gone, they’re
gone. Think about the environment you work in, the products you produce and the
types of contaminants

that are around you daily. If you are allowing into your system contaminants that
additives are attracted to, such as dirt, silica and water, the additives will cling to
the contaminants and settle to the bottom or will be filtered out and deplete your
additive package.
Polar Mechanisms

There are a few polar mechanisms such as particle enveloping, water emulsifying
and metal wetting that are worthy of discussion.

Particle enveloping means that the additive will cling to the particle surface and
envelop it. These additives are metal deactivators, detergents and dispersants. They
are used to peptize (disperse) soot particles for the purpose of preventing
agglomeration, settling and deposits, especially at low to moderate temperatures.

You generally will see this in an engine. It offers a good reason to repair and
eliminate any issues as soon as they are detected through an appropriate oil
analysis test slate.

Too Much of a Good Thing

When using oil additives, more is not always better. As more additive is blended
into the oil, sometimes there isn’t any more benefit gained, and at times the
performance actually deteriorates. In other cases, the performance of the additive
doesn’t improve, but the duration of service does improve.

In addition, increasing the percentage of a certain additive may improve one

property of an oil while at the same time degrade another. When the specified
concentrations of additives become unbalanced, overall oil quality can also be
affected.

Some additives compete with each other for the same space on a metal surface. If a
high concentration of an anti-wear agent is added to the oil, the corrosion inhibitor
may become less effective. The result may be an increase in corrosion-related
problems.
Water emulsifying occurs when the additive polar head clings to a micro-droplet
of moisture. These types of additives are emulsifying agents. Consider this the next
time you observe water in a reservoir.

While it is important to remove the water, determine where the water entered the
system and repair it using a root-cause maintenance approach, you must also keep
in mind that the additive package has been affected. In lubrication terms, this is
known as additive depletion. A proper oil analysis report can determine the health
of the additives remaining in the lubricant.

Metal wetting is when additives anchor to metal surfaces, which is what they are
supposed to do. They attach to the interior of the gear casing, gear teeth, bearings,
shafts, etc.

Additives that perform this function are rust inhibitors, anti-wear (AW) and EP
additives, oiliness agents and corrosion inhibitors.
AW additives work specifically to protect metal surfaces during boundary
conditions. They form a ductile, ash-like film at moderate to high contact
temperatures (150 to 230 degrees F).

Under boundary conditions, AW film shears instead of surface material.

One common anti-wear additive is zinc dialkyldithiophosphate (ZDDP). It reduces

the risk of metal-to-metal contact, which can lead to increased heat, result in
oxidation and negatively affect the film strength.

Whether they are enhancing, suppressing or imparting new properties to the base
oil, additives play an important role in the lubrication of machinery. Remember,
when the additives are gone, they’re gone, so don’t forget to check your additive
package.

of lubrication professionals
monitor additive health as part
63% of their oil analysis program,
according to a recent poll at
machinerylubrication.com

Types of Lubricant Additives

There are many types of chemical additives mixed into base oils to enhance the
properties of the base oil, to suppress some undesirable properties of the base oil
and possibly to impart some new properties.

Additives typically make up about 0.1 to 30 percent of the finished lubricating oil,
depending upon the target application of the lubricant.
Lubricant additives are expensive chemicals, and creating the proper mix or
formulation of additives is a very complicated science. It is the choice of additives
that differentiates a turbine (R&O) oil from a hydraulic oil, a gear oil and an
engine oil.

Many lubricant additives are available, and they are selected for use based upon
their ability to perform their intended function. They are also chosen for their
ability to mix easily with the selected base oils, to be compatible with other
additives in the formulation and to be cost effective.

Some additives perform their function within the body of the oil (e.g., anti-
oxidants), while others do their work on the surface of the metal (e.g., anti-wear
additives and rust inhibitors).

Conventional Lubricant Additives

These include the following general types of additives:

Anti-oxidants

Oxidation is the general attack of the weakest components of the base oil by
oxygen in the air. It occurs at all temperatures all of the time but is accelerated at
higher temperatures and by the presence of water, wear metals and other
contaminants.

It ultimately causes acids (which produce corrosion) and sludge (which results in
surface deposits and viscosity to increase) to form. Oxidation inhibitors, as they
are also called, are used to extend the operating life of the oil.
They are sacrificial additives that are consumed while performing their duty of
delaying the onset of oxidation, thus protecting the base oil. They are present in
almost every lubricating oil and grease.

Rust and Corrosion Inhibitors

These additives reduce or eliminate internal rust and corrosion by neutralizing

acids and forming a chemical protective barrier to repel moisture from metal
surfaces.

Some of these inhibitors are specific to protecting certain metals. Therefore, an oil
may contain several corrosion inhibitors. Again, they are common in almost every
oil and grease. Metal deactivators are another form of corrosion inhibitor.

Viscosity Index Improvers

Viscosity index improvers are very large polymer additives that partially prevent
the oil from thinning out (losing viscosity) as the temperature increases. These
additives are used extensively when blending multi-grade engine oils such as SAE
5W-30 or SAE 15W-40.

They are also responsible for better oil flow at low temperatures, resulting in
reduction in wear and improved fuel economy. In addition, VI improvers are used
to achieve high-VI hydraulic and gear oils for improved start-up and lubrication at
low temperatures.

To visualize how a VI-improver additive functions, think of the VI improver as an

octopus or coil spring that stays coiled up in a ball at low temperatures and has
very little effect on the oil viscosity.

Then, as the temperature rises, the additive (or octopus) expands or extends its
arms (making it larger) and prevents the oil from thinning out too much at high
temperatures.

VI improvers do have a couple of negative features. The additives are large (high
molecular weight) polymers, which makes them susceptible to being chopped or
cut up into small pieces by machine components (shearing forces). Gears are
notoriously hard on VI-improver additives.

Permanent shearing of the VI-improver additive can cause significant viscosity

losses, which can be detected with oil analysis. A second form of viscosity loss
occurs due to high shearing forces in the load zone of frictional surfaces (e.g., in
journal bearings).

It is thought that the VI-improver additive loses its shape or uniform orientation
and therefore loses some of its thickening ability.

The viscosity of the oil temporarily drops within the load zone and then rebounds
to its normal viscosity after it leaves the load zone. This characteristic actually
aids in the reduction of fuel consumption.
There are several different types of VI improvers (olefin copolymers are
common). High-quality VI improvers are less susceptible to permanent shear loss
than low-cost, low-quality VI improvers.

Anti-wear (AW) Agents

These additives are typically used to protect machine parts from wear and loss of
metal during boundary lubrication conditions. They are polar additives that attach
to frictional metal surfaces.

They react chemically with the metal surfaces when metal-to-metal contact occurs
in conditions of mixed and boundary lubrication.

They are activated by the heat of contact to form a film that minimizes wear. They
also help protect the base oil from oxidation and the metal from damage by
corrosive acids.

These additives become “used up” by performing their function, after which
adhesive wear damage will increase. They are typically phosphorus compounds,
with the most common being zinc dialkyldithiophosphate (ZDDP).

There are different versions of ZDDP — some intended for hydraulic applications
and others for the higher temperatures encountered in engine oils. ZDDP also has
some anti-oxidant and corrosion-inhibition properties. In addition, other types of
phosphorous-based chemicals are used for anti-wear protection (e.g., TCP).

Extreme Pressure (EP) Additives

These additives are more chemically aggressive than AW additives. They react
chemically with metal (iron) surfaces to form a sacrificial surface film that
prevents the welding and seizure of opposing asperities caused by metal-to-metal
contact (adhesive wear).

They are activated at high loads and by the high contact temperatures that are
created. They are typically used in gear oils and give those oils that unique, strong
sulphur smell. These additives usually contain sulphur and phosphorus compounds
(and occasionally boron compounds).

They can be corrosive toward yellow metals, especially at higher temperatures, and
therefore should not be used in worm gear and similar applications where copper-
based metals are used. Some chlorine-based EP additives exist but are rarely used
due to corrosion concerns.

Anti-wear additives and extreme pressure agents form a large group of chemical
additives that carry out their function of protecting metal surfaces during boundary
lubrication by forming a protective film or barrier on the wear surfaces.

As long as the hydrodynamic or elastohydrodynamic oil film is maintained

between the metal surfaces, boundary lubrication will not occur and these
boundary lubrication additives will not be required to perform their function. When
the oil film does break down and asperity contact is made under high loads or high
temperatures, these boundary lubrication additives protect the wearing surfaces.
Detergents

Detergents perform two functions. They help to keep hot metal components free
of deposits (clean) and neutralize acids that form in the oil. Detergents are
primarily used in engine oils and are alkaline or basic in nature.

They form the basis of the reserve alkalinity of engine oils, which is referred to as
the base number (BN). They are typically materials of calcium and magnesium
chemistry. Barium-based detergents were used in the past but are rarely used now.

Since these metal compounds leave an ash deposit when the oil is burned, they
may cause unwanted residue to form in high-temperature applications. Due to this
ash concern, many OEMs are specifying low-ash oils for equipment operating at
high temperatures. A detergent additive is normally used in conjunction with a
dispersant additive.

Dispersants

Dispersants are mainly found in engine oil with detergents to help keep engines
clean and free of deposits. The main function of dispersants is to keep particles of
diesel engine soot finely dispersed or suspended in the oil (less than 1 micron in
size). The objective is to keep the contaminant suspended and not allow it to
agglomerate in the oil so that it will minimize damage and can be carried out of the
engine during an oil change. Dispersants are generally organic and ashless. As
such, they are not easily detectable with conventional oil analysis.

The combination of detergent/dispersant additives allows more acid compounds to

be neutralized and more contaminant particles to stay suspended. As these
additives perform their functions of neutralizing acids and suspending
contaminants, they will eventually exceed their capacity, which will necessitate an
oil change.

Anti-foaming Agents

The chemicals in this additive group possess low interfacial tension, which
weakens the oil bubble wall and allows the foam bubbles to burst more
readily. They have an indirect effect on oxidation by reducing the amount of air-
oil contact.

Some of these additives are oil-insoluble silicone materials that are not dissolved
but rather dispersed finely in the lubricating oil. Very low concentrations are
usually required. If too much anti-foaming additive is added, it can have a reverse
effect and promote further foaming and air entrainment.
Friction Modifiers

Friction modifiers are typically used in engine oils and automatic transmission
fluids to alter the friction between engine and transmission components. In
engines, the emphasis is on lowering friction to improve fuel economy.

In transmissions, the focus is on improving the engagement of the clutch

materials. Friction modifiers can be thought of as anti-wear additives for lower
loads that are not activated by contact temperatures.

Pour Point Depressants

The pour point of an oil is approximately the lowest temperature at which an oil
will remain fluid. Wax crystals that form in paraffinic mineral oils crystallize
(become solid) at low temperatures. The solid crystals form a lattice network that
inhibits the remaining liquid oil from flowing.

The additives in this group reduce the size of the wax crystals in the oil and their
interaction with each other, allowing the oil to continue to flow at low
temperatures.

Demulsifiers

Demulsifier additives prevent the formation of a stable oil-water mixture or an

emulsion by changing the interfacial tension of the oil so that water will coalesce
and separate more readily from the oil. This is an important characteristic for
lubricants exposed to steam or water so that free water can settle out and be easily
drained off at a reservoir.
Emulsifiers

Emulsifiers are used in oil-water-based metal-working fluids and fire-resistant

fluids to help create a stable oil-water emulsion. The emulsifier additive can be
thought of as a glue binding the oil and water together, because normally they
would like to separate from each other due to interfacial tension and differences in
specific gravity.

Biocides

Biocides are often added to water-based lubricants to control the growth of

bacteria.

Tackifiers

Tackifiers are stringy materials used in some oils and greases to prevent the
lubricant from flinging off the metal surface during rotational movement.

To be acceptable to blenders and end users alike, the additives must be capable of
being handled in conventional blending equipment, stable in storage, free of
offensive odor and be non-toxic by normal industrial standards.

Since many are highly viscous materials, they are generally sold to the oil
formulator as concentrated solutions in a base oil carrier.

A couple of key points about additives:

More additive is not always better. The old saying, “If a little bit of something is
good, then more of the same is better,” is not necessarily true when using oil
additives.
As more additive is blended into the oil, sometimes there isn’t any more benefit
gained, and at times the performance actually deteriorates. In other cases, the
performance of the additive doesn’t improve, but the duration of service does
improve.

Increasing the percentage of a certain additive may improve one property of an oil
while at the same time degrade another. When the specified concentrations of
additives become unbalanced, overall oil quality can be affected.

Some additives compete with each other for the same space on a metal surface. If
a high concentration of an anti-wear agent is added to the oil, the corrosion
inhibitor may become less effective. The result may be an increase in corrosion-
related problems.

How Oil Additives Get Depleted

It is very important to understand that most of these additives get consumed and
depleted by:

1. “decomposition” or breakdown,
2. “adsorption” onto metal, particle and water surfaces, and
3. “separation” due to settling or filtration.

The adsorption and separation mechanisms involve mass transfer or physical

movement of the additive.

For many additives, the longer the oil remains in service, the less effective the
remaining additive package is in protecting the equipment.
When the additive package weakens, viscosity increases, sludge begins to form,
corrosive acids start to attack bearings and metal surfaces, and/or wear begins to
increase. If oils of low quality are used, the point at which these problems begin
will occur much sooner.

It is for these reasons that top-quality lubricants meeting the correct industry
specifications (e.g., API engine service classifications) should always be
selected. The following table can be used as a guide for a more thorough
understanding of additive types and their functions in engine oil formulations.
UNIT-2
Lubricants and their Applications: Mineral and Synthetic Lubricants
Mineral-based oil is simply a heavily refined version of oil sourced from the
ground, semi-synthetic oil is a similar substance but with artificial additives while
purely synthetic is essentially man-made and designed oil.
They are also known respectively as conventional (regular), synthetic blended and
synthetic respectively.

Synthetic oils were developed during World War II by German scientists for use
on the Russian Front, where they maintained their fluidity in sub-zero
temperatures, but were not widely used in cars until the 1970s.
Oil technology has evolved with engine development and in response to evolving
internal design stresses such as minimized internal engine clearances, increased
combustion pressures and increasing emissions requirements.
As such, modern vehicles generally require either type of synthetic oil, with the
added expense of fully-synthetic oil recommended for more complex and powerful
engines.
Mineral oils are still used by operators of classic and vintage cars, partly because
the decreased viscosity (how thick or thin the oil is at a certain temperature) of
synthetic oils increases the likelihood of leaks in older engines.
One thing mineral and synthetic oils have in common is shelf life: both can be sold
for up to five years after being correctly packaged.
This is not to be confused with the service life of oil, which is from when it is
added to an engine and is influenced by engine wear debris, water, mileage and
time.

Greases and their Applications

Greases or lubricants have traditionally been used to keep vehicles, vessels,
machines, and their components lubricated at all times. However, no two lubricants
are the same - different types of grease produce different results based on the
unique properties they possess.
Due to this versatility, lubricants have many different applications and are used
across a wide range of industries, including automotive, manufacturing, mining,
construction, steel, marine, farming industry, and so on.
If you are unsure of which type of grease you need, take a look at some of the most
common lubricants available on the market today.
TYPES OF GREASE AND THEIR USES
CALCIUM GREASE
Calcium grease is one of the first greases that was manufactured for general use.
Some of the key features of this multipurpose grease are great water resistance,
good corrosion protection, and great mechanical stability. However, this lubricant
is best used at lower temperatures, as high temperatures may cause changes in its
structure. Today, calcium grease and calcium complex grease are mainly used in
marine, industrial, automotive, and agricultural applications.
LITHIUM GREASE
Lithium grease is a multipurpose grease known for its durability, high viscosity,
and stability. It is designed to provide long-lasting protection against oxidation,
corrosion, extreme temperatures, and wear and tear. Lithium and lithium complex
greases are also characterised by their excellent lubrication, good water resistance,
and the ability to withstand high pressure and shock loads. They are suitable for a
variety of applications, including automotive, gardening, industrial, household, and
demanding metal-to-metal applications.
ALUMINIUM COMPLEX GREASE
Aluminium complex grease has many advantages - it can withstand extremely high
temperatures, has impressive water-resisting properties, prevents rust, corrosion,
and oxidation, and has good shear stability. Aluminium complex greases are best
used in the food industry, but are also known to offer excellent results when used
in the automotive, steel milling, construction, and farming industry.
BARIUM COMPLEX GREASE
Barium complex grease is a high-performance grease widely known for its
mechanical stability, high-temperature resistance, ability to withstand heavy loads
and high speeds, excellent water tolerance, great oxidation stability, as well as
resistance to various chemicals. Barium complex grease is mostly used in
demanding, heavy-load applications, such as industrial, aeronautical, marine, and
manufacturing applications.
BENTONE (CLAY) GREASE
Bentone grease is a clay-based lubricant developed with the help of bentonite clay.
This grease type is often called non-melt lubricant because it has no known
dropping point. Its main properties are temperature change resistance, great wear
and tear protection, exceptional water tolerance, good mechanical or shear
stability, and impressive adhesiveness. Bentone grease is ideal for highly-
demanding applications and it’s typically used in the steel, manufacturing,
construction, mining, and ceramic industry.
POLYUREA GREASE
Polyurea grease has become very popular due to its amazing characteristics, such
as outstanding water resistance, great oxidation stability, rust and corrosion
prevention, durability, versatility, good mechanical stability, as well as high-
temperature performance. Due to these features, polyurea grease is recommended
for long-life applications and used across various industries. It is considered vital
for the proper lubrication of steel plants and electric motors.
SODIUM GREASE
Sodium grease is formulated by mixing soda soap with additives and base oils.
Such mixture provides solid shear stability, high dropping point, excellent rust
protection, and good lubrication, but has poor water resistance and oxidation
stability. Due to its drawbacks, sodium grease is now mostly used for the
lubrication of rolling contact bearings. Moreover, it is commonly mixed with other
greases in an effort to produce grease of higher quality and value.
All these seven types of grease can be referred to as multipurpose (MP) greases,
extreme pressure (EP) greases, marine greases, heavy-duty greases, specialty
greases, automotive greases, industry greases, and so on, depending on the unique
properties of base oils, additives, and thickeners used in the process of
manufacture.
FACTORS TO CONSIDER WHEN CHOOSING THE RIGHT GREASE
FOR YOUR NEEDS
When it comes to purchasing the right type of grease for your individual
application requirements, it’s best to take several factors into consideration prior to
making a final decision.
BASE OIL
Base oil represents the foundation of every lubricant and it’s worth mentioning that
its type determines the overall performance of the grease in question. Three main
types of base oils are mineral, synthetic, and vegetable oils. Synthetic oils are
considered to offer the best results in terms of protection, performance,
temperature and weather resistance, followed by good shear stability.
ADDITIVES
Additives are used to enhance the features and qualities of each grease and boost
its performance. The most common additives are extreme pressure additives,
oxidation, rust, and corrosion inhibitors, polymers used to increase adhesiveness,
insoluble solids, and additives that provide increased wear and tear protection.
Also, certain dyes and pigments are added to each grease.
THICKENER
Thickeners are used to enable all grease components to bond better, which
increases the overall efficiency of every grease. Types of thickeners that are
commonly used are simple and complex soaps, which are based on lithium,
calcium, aluminium, sodium, and barium compounds. In addition, certain non-soap
thickeners, such as those based on clay and polyurea, can be used to give the
grease its consistency.
CONSISTENCY
Consistency is a property defined by the National Lubricating Grease Institute
(NLGI) used to determine the level of softness or hardness of every grease. Every
grease is assigned a specific NLGI number that goes from 000 to 6. These NLGI
grades are then used to express the level of consistency each grease has. So, for
instance, NLGI grade 000 grease is completely fluid, NLGI grade 0 grease is
described as very soft, NLGI 1 grease is soft, NLGI 2 grease is considered normal,
NLGI 3 grease is firm, while NLGI 6 grease is defined as very hard.
VISCOSITY
Grease viscosity determines its ability to remain stable and offer effective
protection against friction. Higher viscosity provides greater stability when grease
is exposed to heavy, slow loads, while lower viscosity is ideal for high-speed
applications.

Solid and Dry Film Lubricants

Dry lubricants or solid lubricants are materials that, despite being in the solid
phase, are able to reduce friction between two surfaces sliding against each other
without the need for a liquid oil medium.
The two main dry lubricants are graphite and molybdenum disulfide. They offer
lubrication at temperatures higher than liquid and oil-based lubricants operate. Dry
lubricants are often used in applications such as locks or dry lubricated bearings.
Such materials can operate up to 350 °C (662 °F) in oxidizing environments and
even higher in reducing / non-oxidizing environments (molybdenum disulfide up
to 1100 °C, 2012 °F). The low-friction characteristics of most dry lubricants are
attributed to a layered structure on the molecular level with weak bonding between
layers. Such layers are able to slide relative to each other with minimal applied
force, thus giving them their low friction properties.
However, a layered crystal structure alone is not necessarily sufficient for
lubrication. In fact, there are some solids with non-lamellar structures that function
well as dry lubricants in some applications. These include certain soft metals
(indium, lead, silver, tin), polytetrafluroethylene, some solid oxides, rare-
earth fluorides, and even diamond.
Limited interest has been shown in low friction properties of compacted oxide
glaze layers formed at several hundred degrees Celsius in metallic sliding systems.
However, practical use is still many years away due to their physically unstable
nature.
The four most commonly used solid lubricants are:
 1. Graphite. Used in air compressors, food industry, railway track joints, brass
instrument valves, piano actions, open gear, ball bearings, machine-shop
works, etc. It is also very common for lubricating locks, since a liquid
lubricant allows particles to get stuck in the lock worsening the problem. It
is often used to lubricate the internal moving parts of firearms in sandy
environments.
2. Molybdenum disulfide (MoS2). Used in CV joints and space vehicles.Does
lubricate in vacuum.
3. Hexagonal boron nitride. Used in space vehicles. Also called "white
graphite."
4. Tungsten disulfide. Similar usage as molybdenum disulfide, but due to the
high cost only found in some dry lubricated bearings.
Graphite and molybdenum disulfide are the predominant materials used as dry
lubricants.
Structure-function relationship
The lubricity of many solids is attributable to a lamellar structure. The lamellae
orient parallel to the surface in the direction of motion and slide easily over each
other resulting in low friction and preventing contact between sliding components
even under high loads. Large particles perform best on rough surfaces at low
speed, finer particles on smoother surfaces and at higher speeds. These materials
may be added in the form of dry powder to liquid lubricants to modify or enhance
their properties.
Other components that are useful solid lubricants include boron nitride,
polytetrafluorethylene (PTFE), talc, calcium fluoride, cerium fluoride, and
tungsten disulfide.
Applications
Solid lubricants are useful for conditions when conventional lubricants are
inadequate, such as:
 Reciprocating motion. A typical application is a sliding or reciprocating
motion that requires lubrication to minimize wear, as, for example, in gear
and chain lubrication. Liquid lubricants will squeeze out while solid
lubricants do not escape, preventing fretting, corrosion, and galling.
 Ceramics. Another application is for cases where chemically active lubricant
additives have not been found for a particular surface, such as polymers and
ceramics.
 High temperature. Graphite and MoS2 act as lubricants at high temperature
and in oxidizing atmosphere environments, where liquid lubricants typically
will not survive. A typical application involves fasteners that are easily
tightened and unscrewed after a long stay at high temperatures.
 Extreme contact pressures. The lamellar structure orients parallel to the
sliding surface, resulting in high bearing-load combined with a low shear
stress. Most applications in metal forming that involve plastic deformation
use solid lubricants.
Graphite
Graphite is structurally composed of planes of polycyclic carbon atoms that are
hexagonal in orientation. The distance of carbon atoms between planes is longer
and, therefore, the bonding is weaker.
Graphite is best suited for lubrication in air. Water vapor is a necessary component
for graphite lubrication. The adsorption of water reduces the bonding energy
between the hexagonal planes of the graphite to a lower level than the adhesion
energy between a substrate and the graphite. Because water vapor is a requirement
for lubrication, graphite is not effective in vacuum. Because it is electrically
conductive, graphite can promote galvanic corrosion. In an oxidative atmosphere,
graphite is effective at high temperatures up to 450 °C continuously and can
withstand much higher temperature peaks.
Graphite is characterized by two main groups: natural and synthetic.
 Synthetic graphite is a high temperature sintered product and is
characterized by its high purity of carbon (99.5−99.9%). Primary grade
synthetic graphite can approach the good lubricity of quality natural
graphite.
 Natural graphite is derived from mining. The quality of natural graphite
varies as a result of the ore quality and its post-mining processing. The end
product is graphite with a content of carbon (high grade graphite 96−98%
carbon), sulfur, SiO2, and ash. The higher the carbon content and the degree
of graphitization (high crystalline) the better the lubricity and resistance to
oxidation.
For applications where only a minor lubricity is needed and a more thermally
insulating coating is required, then amorphous graphite would be chosen (80%
carbon).
Molybdenum disulfide
MoS2 is mined from some sulfide-rich deposits and refined to achieve a purity
suitable for lubricants. Like graphite, MoS2 has a hexagonal crystal structure with
the intrinsic property of easy shear. MoS2 lubrication performance often exceeds
that of graphite and is effective in vacuum as well, whereas graphite is not. The
temperature limitation of MoS2 at 400 °C is restricted by oxidation. Particle size
and film thickness are important parameters that should be matched to the surface
roughness of the substrate. Large particles may result in excessive wear by
abrasion caused by impurities in the MoS2, and small particles may result in
accelerated oxidation.
Boron nitride
Hexagonal boron nitride is a ceramic powder lubricant. The most interesting
lubricant feature is its high temperature resistance of 1200 °C service temperature
in an oxidizing atmosphere. Furthermore, boron nitride has a high thermal
conductivity. (Cubic boron nitride is very hard and used as an abrasive and cutting
tool component.)
Polytetrafluorethylene
Polytetrafluorethylene (PTFE) is widely used as an additive in lubricating oils and
greases. Due to the low surface energy of PTFE, stable unflocculated dispersions
of PTFE in oil or water can be produced. Contrary to the other solid lubricants
discussed, PTFE does not have a layered structure. The macro molecules of PTFE
slip easily along each other, similar to lamellar structures. PTFE shows one of the
smallest coefficients of static and dynamic friction, down to 0.04. Operating
temperatures are limited to about 260 °C.
Application methods
Spraying/dipping/brushing
Dispersion of solid lubricant as an additive in oil, water, or grease is most
commonly used. For parts that are inaccessible for lubrication after assembly, a dry
film lubricant can be sprayed. After the solvent evaporates, the coating cures at
room temperature to form a solid lubricant. Pastes are grease-like lubricants
containing a high percentage of solid lubricants used for assembly and lubrication
of highly loaded, slow-moving parts. Black pastes generally contain MoS2. For
high temperatures above 500 °C, pastes are composed on the basis of metal
powders to protect metal parts from oxidation necessary to facilitate disassembly
of threaded connections and other assemblies.
Free powders
Dry-powder tumbling is an effective application method. The bonding can be
improved by prior phosphating of the substrate. Use of free powders has its
limitations, since adhesion of the solid particles to the substrate is usually
insufficient to provide any service life in continuous applications. However, to
improve running-in conditions or in metal-forming processes, a short duration of
the improved slide conditions may suffice.
Anti-friction coatings
Anti-friction (AF) coatings are "lubricating paints" consisting of fine particles of
lubricating pigments, such as molydisulfide, PTFE or graphite, blended with a
binder. After application and proper curing, these "slippery" or dry lubricants bond
to the metal surface and form a dark gray solid film. Many dry film lubricants
contain special rust inhibitors which offer exceptional corrosion protection. Most
long-wearing films are of the bonded type but are still restricted to applications
where sliding distances are not too long. AF coatings are applied where fretting
and galling is a problem (such as splines, universal joints and keyed bearings),
where operating pressures exceed the load-bearing capacities of ordinary oils and
greases, where smooth running in is desired (piston, camshaft), where clean
operation is desired (AF coatings will not collect dirt and debris like greases and
oils), and where parts may be stored for long periods.
Composites
Self-lubricating composites: Solid lubricants such as PTFE, graphite, MoS2 and
some other anti-friction and anti-wear additives are often compounded in polymers
and all kind of sintered materials. MoS2, for example, is compounded in materials
for sleeve bearings, elastomer O-rings, carbon brushes, etc. Solid lubricants are
compounded in plastics to form a "self-lubricating" or "internally lubricated"
thermoplastic composite. For example, PTFE particles compounded in the plastic
form a PTFE film over the mating surface, resulting in a reduction of friction and
wear. MoS2 compounded in nylon reduces wear, friction and stick-slip.
Furthermore, it acts as a nucleating agent effecting in a very fine crystalline
structure. The primary use of graphite lubricated thermoplastics is in applications
operating in aqueous environments

Lubrication Systems and their Design

Functions of Engine Lubricating System

Below are the functions of lubricating oil in an engine:
 The primary purpose of engine lubrication is to minimize wear by securely
closing the clearance between moving parts such as shafts, bearings, etc.
Lubrication also avoids the moving parts not to come in direct contact with
each other.
 Oil serves as a cleaning agent in an engine as it moves the dirt particle to the
oil pan. Smaller particles are filtered out by the oil filters while larger ones
are retained in the oil pan.
 Another purpose of engine lubrication is that it serves as a cooling system.
Lubricating oil cools the moving parts of the engine and transferred the hot
oil into the cooler oil in the oil pan.
 The oil creates a seal between the cylinder walls and the piston rings. It also
reduces the exhaust gas blowby.
 Clearance between the rotating journals and bearing is filled with oil. The oil
acts as a cushioning agent when the bearing suddenly experiences heavy
loads. Oils reduce the wear on bearings.
Major Parts of Engine Lubricating System
The following are lubrication system components:
Oil pan/sump:
An oil sump is a reservoir in the shape of a bowl that stores the engine oil. With the
sump, the oil circulates within the engine. The part is located below the crankcase
which is the beneath of the engine, making the oil to be easily removed through the
bottom.
Bad roads often cause damage to the oil pan. This is why the sump is made with
hard material and featured a stone guard at it underneath. This sump guard
withstands any hits from the uneven ground or bad road.
Oil Pump:
The oil pump is a component that helps to push the lubricating oil to all the moving
parts in the engine. It’s located at the bottom of the crankcase, close to the oil
sump. It supplies oil to the oil filter before sending it further.
Oil pumps can eventually stop working, which may lead damages to the engine. It
can be caused by small particles inside the lubricating oil, which choke the oil
pump and galleries.
To avoid this problem, changing engine oil and filter is very necessary within some
period of time.
Oil filter:
The oil filter helps to keep small particles, separating them from the oil so that
clean oil can flow to the engine parts. The oil pump allows the oil flow through the
oil filter to the galleries before reaching the engine parts.
Oil Galleries:
The function of oil galleries in the engine lubrication system is to circulate oil
quickly to reach all moving parts in automobiles. So, the performance of an oil
gallery determines how fast your engine parts received oil.
The oil galleries are a series of interconnected passages that transfers oil to parts
that requires it.
These passages are big and small holes drilled inside the cylinder block. The
bigger holes are connected to the smaller ones until it reaches the cylinder head
and overhead camshafts.
Oil cooler:
An oil cooler is a device that works as a radiator as it cools down the hot oil.
Coolers transfer the heat from the engine oil to the engine coolant using its fins.
Oil coolers stabilize the temperature of the engine oil, keeps its viscosity under
control, prevents the engine from overheating, minimize wear and tear as well as
retaining the lubricant quality
Some engine lubricating system circulates oil within the engine with the recycling
process. The following are the parts that oil is supplied during the process:
 Crankshaft main bearings
 Big end bearings
 Piston pins and small end bushes
 Piston rings
 Timing Gears
 Air-compressor piston and bearings (in commercial vehicles for air-brake)
 Camshaft and bearings
 Valves
 Cylinder walls
 Oil pump parts
 Water pump bearings
 Turbocharger bearings (if available)
 Vacuum pump bearings (if available)
 In-Line Fuel Injection Pump bearings
 Tappets and push-rods
Types of Engine Lubrication System
Below are the types of engine lubrication system:
Mist Lubrication System: is the type used in the two-stroke engines where oil and
fuel are mixed. The mixture is generated through the carburettor.
The fuel gets vaporized while the oil in the form of a mist enters the cylinder
through a crank base. In the crank base, the oil lubricates the connecting rod along
with the piston ring, piston, and cylinder.
Wet Sump Lubricating System: is generally located next to or near the
crankshaft. it’s the lower part of the engine and it has a single oil pump. This pump
moves the oil through the oil galleries. The construction is easier and it’s
unexpansive.

Dry Sump Lubricating System: a dry-sump system has an oil reservoir that is not
located at the bottom of the engine. It uses two oil pumps to keep the oil circulating
within the engine. The system is more complex and expensive to design. However,
there’s more flexibility to the design of the pan as it’s located in an unusual place.
It is often found in performance engines.
Lubricating System in Two-stroke and Four-stroke engines
The working of two-stroke and four-stroke engines are quite different the same as
their lubrication system. These internal combustion engines produce mechanical
power from chemical energy contained in hydrocarbon fuels. The working of these
engine’s components requires lubrication to minimize wear and tear so as for
engine effectiveness.
The major difference between the engines is that two-stroke engines have a power
stroke or expansion in each cylinder during each revolution of the crankshaft. The
exhaust and the intake process occur simultaneously as the piston moves through
its lowest. While
A four-stroke engine requires two complete turns of the crankshaft to make a
power stroke. burnt gases are firstly displaced by the piston during an upward
stroke. Fresh charge enters the cylinder during the next downward stroke.
Lubrication in Four-stroke Engine
In the lubrication of four-stroke engines, oil is stored in an oil sump or pan. The oil
circulates within the engine through splash lubrication or pressurize lubrication
pump system which is the most preferable choice by manufacturers. Although the
two can be featured together in an engine.
The splash lubrication happens when the crankshaft is partly immersed in an oil
sump. The momentum of the rotating crankshaft splashes oil to other components
in the engine such as the cam lobes, cylinder walls, wrist pin etc.
Pressurized lubrication is achieved using oil pump to push the film of lubricant
between moving parts such as the main bearings, rod bearings and cam bearings. It
also pumps oil to the engine’s valve guides and rocker arms.
Two-stroke Engine Lubrication
Generally, two-stroke engines tend to wear more quickly as there is no lubrication
source in them. but there is a high-quality oil that significantly reduces engine
wear.
Two-stroke engines receive oil beneath the crankshaft using a total-loss lubrication
system. This lubricating system combines both oil and fuel to provide both
energies for engine lubrication.
The two agents are combined in the cylinder’s intake tract and lubricate
components such as crankshaft, connecting rod and cylinder walls.
Two-stroke designed with oil injection injects oil directly into the engine where it
mixes with the fuel. In a premix two-stroke engine, oil-fuel is mixed before
pouring it into the fuel tank.
UNIT-3
Lubricant Analysis and Maintenance: Oil Analysis Techniques
An obvious reason to perform oil analysis is to understand the condition of the oil,
but it is also intended to help bring to light the condition of the machine from
which the oil sample was taken. There are three main categories of oil analysis:
fluid properties, contamination and wear debris.
Fluid Properties
This type of oil analysis focuses on identifying the oil’s current physical and
chemical state as well as on defining its remaining useful life (RUL). It answers
questions such as:
 Does the sample match the specified oil identification?
 Is it the correct oil to use?
 Are the right additives active?
 Have additives depleted?
 Has the viscosity shifted from the expected viscosity? If so, why?
 What is the oil’s RUL?
Contamination
By detecting the presence of destructive contaminants and narrowing down their
probable sources (internal or external), oil analysis can help answer questions such
as:
 Is the oil clean?
 What types of contaminants are in the oil?
 Where are contaminants originating?
 Are there signs of other types of lubricants?
 Is there any sign of internal leakage?
Wear Debris
This form of oil analysis is about determining the presence and identification of
particles produced as a result of mechanical wear, corrosion or other machine
surface degradation. It answers questions relating to wear, including:
 Is the machine degrading abnormally?
 Is wear debris produced?
 From which internal component is the wear likely originating?
 What is the wear mode and cause?
 How severe is the wear condition?
You need to know if any actions should be taken to keep the machine healthy and
to extend the life of the oil. Oil analysis for machines can be compared to blood
analysis for the human body. When a doctor pulls a blood sample, he puts it
through a lineup of analysis machines, studies the results and reports his
conclusions based on his education, research and detailed questions asked to the
patient.
Likewise, with oil analysis, careful oil samples are taken, and elaborate machines
yield the test results. Laboratory personnel interpret the data to the best of their
ability, but without crucial details about the machine, a diagnosis or prognosis can
be inaccurate. Some of these important details include:
 The machine’s environmental conditions (extreme temperatures, high
humidity, high vibration, etc.)
 The originating component (steam turbine, pump, etc.), make, model and oil
type currently in use
 The permanent component ID and exact sample port location
 Proper sampling procedures to confirm a consistently representative sample
 Occurrences of oil changes or makeup oil added, as well as the quantity of
makeup oil since the last oil change
 Whether filter carts have been in use between oil samples
  Total operating time on the sampled component since it was purchased or
overhauled
 Total runtime on the oil since the last change
 Any other unusual or noteworthy activity involving the machine that could
influence changes to the lubricant
Interpreting an oil analysis report can be overwhelming to the untrained eye. Oil
analysis isn’t cheap, and neither is the equipment on which it reveals information.
Every year, industrial plants pay millions of dollars for commercial laboratories to
perform analysis on used and new oil samples. Unfortunately, a majority of the
plant personnel who receive these lab reports do not understand the basics of how
to interpret them.
What to Look for When Reviewing an Oil Analysis Report
1. Read and check the data on the oil type and machine type for accuracy.
2. Verify that reference data is shown for new oil conditions and that trend data
is at an understood frequency (preferably consistent).
3. Check the measured viscosity.
4. Verify elemental wear data and compare to reference and trended data. Use a
wear debris atlas to match elements to their possible source.
5. Check the elemental additive data and compare to reference and trended
data. Use a wear debris atlas to match elements to their possible source.
6. Verify elemental contamination data along with particle counts and compare
with reference and trended data. Use a wear debris atlas to match elements
to their possible source.
7. Check moisture/water levels and compare to reference and trended data.
8. Verify the acid number and base number and compare to reference and
trended data.
9. Check other analyzed data such as FTIR oxidation levels, flash point,
 demulsibility, analytical ferrography, etc.
10.Compare any groups of data that are trending toward unacceptable levels
and make justifications based on these trends.
11.Compare written results and recommendations with known information on
the oil and machine, such as recent changes in environmental or operational
conditions or recent oil changes/filtration.
12.Review alarm limits and make adjustments based on the new information.
Typically, an oil analysis report comes with a written summary section that
attempts to put the results and recommendations in layman’s terms. But, since the
laboratory has never seen the machine or know its full history, these recommended
actions are generic and not tailored to your individual circumstances. Therefore, it
is the responsibility of the plant personnel who receive the lab report to take the
proper action based on all known facts about the machine, the environment and
recent lubrication tasks performed.
Oil Analysis Tests
For a standard piece of equipment undergoing the normal recommended oil
analysis, the test slate would consist of “routine” tests. If more testing is needed to
answer advanced questions, these would be considered “exception” tests.
Routine tests vary based on the originating component and environmental
conditions but should almost always include tests for viscosity, elemental
(spectrometric) analysis, moisture levels, particle counts, Fourier transform
infrared (FTIR) spectroscopy and acid number. Other tests that are based on the
originating equipment include analytical ferrography, ferrous density, demulsibility
and base number testing.
The table on the left shows how tests are used in each of the three main oil analysis
categories.
Viscosity
Several methods are used to measure viscosity, which is reported in terms of
kinematic or absolute viscosity. While most industrial lubricants classify viscosity
in terms of ISO standardized viscosity grades (ISO 3448), this does not imply that
all lubricants with an ISO VG 320, for example, are exactly 320 centistokes (cSt).
According to the ISO standard, each lubricant is considered to be a particular
viscosity grade as long as it falls within 10 percent of the viscosity midpoint
(typically that of the ISO VG number).

of lubrication professionals
would not understand how to
interpret an oil analysis report
32%
from a commercial laboratory,
based on a recent poll at
MachineryLubrication.com

Viscosity is a lubricant’s most important characteristic. Monitoring the oil’s

viscosity is critical because any changes can lead to a host of other problems, such
as oxidation, glycol ingression or thermal stressors.
Too high or too low viscosity readings may be due to the presence of an incorrect
lubricant, mechanical shearing of the oil and/or the viscosity index improver, oil
oxidation, antifreeze contamination, or an influence from fuel, refrigerant or
solvent contamination.
Limits for changes in the viscosity depend on the type of lubricant being analyzed
but most often have a marginal limit of approximately 10 percent and a critical
limit of approximately 20 percent higher or lower than the intended viscosity.
Acid Number/Base Number
Acid number and base number tests are similar but are used to interpret different
lubricant and contaminant-related questions. In an oil analysis test, the acid number
is the concentration of acid in the oil, while the base number is the reserve of
alkalinity in the oil. Results are expressed in terms of the volume of potassium
hydroxide in milligrams required to neutralize the acids in one gram of oil. Acid
number testing is performed on non-crankcase oils, while base number testing is
for over-based crankcase oils.
An acid number that is too high or too low may be the result of oil oxidation, the
presence of an incorrect lubricant or additive depletion. A base number that is too
low can indicate high engine blow-by conditions (fuel, soot, etc.), the presence of
an incorrect lubricant, internal leakage contamination (glycol) or oil oxidation from
extended oil drain intervals and/or extreme heat.
Extend Lubricant Life with Proven Lubricant Chemistry Management
In turbine applications, removing the dissolved molecules that accumulate and
cause mechanical problems in hydraulic systems and lube oil applications is
paramount to maintaining an application’s optimum operation and restoring
lubricants outside OEM specifications.
Patented ICB™ Ion-exchange Filters target fluid chemistry, removing varnish
molecules and restoring lubricant solvency. This engineered workhorse, like
anything else, exhausts with time. To maintain an application’s optimum operation
and restore lubricants outside of OEM specifications, time-based change intervals
for ICB filters are essential.

Wear Debris Analysis

Wear Debris Analysis is a useful tool that can be used as part of an Oil Condition
Monitoring programme to gain valuable insight into how machinery is operating,
helping to plan for maintenance, reduce downtime, and optimise the lifespan of
assets.
Physical contact between moving parts can cause wear, resulting in reduced
efficiency and potentially leading to mechanical failure. As the moving parts make
contact, they generate particles of wear debris, which then mix with the lubricant in
the machinery.
Wear Debris Analysis involves sampling the lubricant and analysing these particles
to provide important insight that can determine maintenance actions. Traditional
optical analytical techniques can be used to identify and measure different types of
wear, however these techniques can be time consuming and limited in scope.
Intertek uses Scanning Electron Microscope/Energy Dispersive Spectroscopy
(SEM/EDS) systems, as they enable both compositional and morphology (shape)
analysis of debris. This assists with identifying the origin and the degree of
severity of the wear. Clients can then make informed decisions about servicing
frequency and repair scheduling before further damage occurs.
SEM/EDS can be used to quantify and characterise a variety of debris samples,
such as:
 Oil, fuel, and hydraulic fluids
 Grease analysis
 Magnetic plug debris
 Patch test analysis
 Fuel and oil filter debris analysis
Intertek Caleb Brett has extensive experience of undertaking Wear Debris Analysis
for a wide range of clients for over 40 years, including:
 Defence sector
 Power stations
 Wind farms
 Offshore platforms
 Production plant operators
 Major airlines and transportation technologies
 Marine fleets, including major cruise operators and bulk carriers
 Transportation Technologies
Intertek Caleb Brett experts regularly process thousands of debris samples globally
each year. We combine multiple analysis techniques to offer a tailored solution that
meets the individual requirements of each client. Intertek is an ISO 17025
accredited company ensuring all testing and reporting is performed to the highest
standards.

Condition Monitoring
Condition monitoring (CM) is a maintenance approach that predicts machine
health and safety through the combination of machine sensor data that measures
vibration and other parameters (in real-time) with state-of-the-art machine
monitoring software. This approach enables plant maintenance technicians
to remotely monitor the health of each individual piece of machinery and also
offers a holistic, plant-wide view of mechanical operations. Condition monitoring
software sends an alert whenever a change is detected in machine health, enabling
your maintenance technicians to immediately assess the situation and determine if
corrective action is required.
Benefits of condition monitoring
The proactive nature of condition monitoring is an innovative step forward on
several levels for some manufacturers. First, plant personnel are safer and thus,
we are all collectively safer. Second, plant managers can prevent unplanned
downtime due to machine failure while simultaneously making the most of
planned maintenance downtime by servicing multiple machines and addressing
all known problems at the same time. Further, condition monitoring also
eliminates unnecessary—and wasted—costs associated with over maintaining
healthy machines based on the static metric of operating hours alone.
Although condition monitoring is a tried and true industrial maintenance tool, it is
only just beginning to be leveraged effectively in a wider array of manufacturing
industries. Today’s condition monitoring systems can do much more for us—
financially, operationally, and most importantly, from a safety perspective.
Today’s condition monitoring solutions are highly reliable and have been proven
extremely effective across multiple manufacturing industries. Thus, for
manufacturers who adopt condition based maintenance techniques, the risk is
low and the reward is high.

Building a predictive maintenance program

How to get started
If you are interested in learning more about condition monitoring and building a
proactive predictive maintenance plan for your plant, here is a quick “get started”
outline and next steps to guide your path forward.
Step one: Install the hardware
The first step is the installation of monitoring sensors on serviceable assets
including rotating machinery (turbines, compressors, pumps, motors, fans) and
stationary assets (boilers, heat exchangers). Plant managers work with the vendor
installation team to retrofit or modify machines as needed to ensure the appropriate
installation of monitoring instrumentation. Different assets require different
approaches. Not all assets are created equal, and as such, a variety of condition
monitoring products and approaches are required.
Step two: Measure your data
Once installed, sensors can immediately begin to measure the following machine
elements:
 Vibration and position – Indications of dynamic and static motion of the
rotor or machine case.
 Rotor speed – An important part of analyzing vibration data and
determining machine malfunctions. Machine vibration frequencies can show
up as direct multiples or sub-multiples of the rotative speed of the machine.
 Temperature – RTD’s and Thermocouples measure the temperature of the
machine’s radial and thrust bearings, lube oil, stator windings, and steam
temperatures.
 Operating process sensors – these are typically already installed at the
machine OEM level or as part of the process control system. Valuable data
from these sensors combines with the dedicated condition monitoring
sensors to provide machine operating context enabling a complete picture of
how the machine is performing its intended function.
Step three: Monitor your machines
Data is transmitted from installed condition monitoring and process sensors to a
centralized condition monitoring software system for evaluation and diagnostics.
Trained maintenance technicians are alerted anytime an abnormality is detected
and use data provided to determine if the machine requires immediate attention.

Advantages of proactive/predictive maintenance

What a condition-based maintenance program can do for your plant
The heart and soul of industrial businesses around the world are our manufacturing
facilities. Adopting proactive predictive maintenance techniques is much more
than just good plant management, it is good business. Today, only 3 to 5% of
available data is being used to make important operational
decisions. Digitalization is key to unlocking the vast amounts of untapped
information embedded in your operation. Connect data, insights, and self-learning
models across your entire operation to increase capital efficiency and profitability,
decrease costs, and better allocate valuable resources.
Anticipating machine failures before they occur, allows you to catalyze
improvements that create positive ripple effects for the entire enterprise, such as:
Minimize downtime, Maximize production 90% of failures are NOT time-
based. For many assets, failure can mean a substantial or total loss of production,
often worth tens of thousands to millions per day. Often industries tend to focus
on the larger, more expensive machines at the expense of ignoring the smaller
supporting machines. Focusing on the machines that “make the money” is
important but so too is focus on those machines without which the money making
machine can’t operate.
Increase safety - Relying exclusively on hand-held devices for monitoring
machine health can expose factory workers to unnecessary risks in our highly
automated factories. Further, occasional catastrophic breakdowns due to
maintenance gaps can increase employee exposure to hazardous conditions and
potential environmental disasters.
Reduce maintenance costs- When viewed on a per-asset basis, maintenance costs
for plant-wide assets can appear modest. However, when viewed collectively
across the dozens, hundreds, or even thousands of assets in a typical plant, these
costs can be appreciable. Reducing the maintenance costs on each asset through
effective condition monitoring—even by a mere 10%—has a large impact on plant
profitability. Condition Monitoring is a planning tool that allows more effective
insight in planning and asset management, allowing maintenance to be done in
advance of a functional failure.
Reduce hidden costs - Direct (traditional) maintenance costs are predictable and
manageable. Indirect (hidden) maintenance costs, both stealthy and steep,
can accrue to be up to 5X higher. For many plants, reducing these hidden costs is a
mandate that requires us to shift from the traditional reactive approach (“fix it
when it breaks”) to a proactive, reliability-based approach.
As with most transformations, the benefit is well worth the journey. Condition
monitoring solutions will directly help you to avoid catastrophic machine
breakdowns, which result in costly downtime, production loss, human safety
concerns, and environmental impacts. Clearly, the case to avoid these costly
vulnerabilities is worthy. Since the Industrial Revolution, the manufacturing
industry has seen three major technological advances: steam engine-powered
factories in the nineteenth century, mass production powered by electrification in
the twentieth century and automated machinery in the 1970’s. We are now
entering the fourth phase of technological advancement, known as Industry 4.0.
During this phase, we will see the rise of manufacturing processes that are digitally
connected along the entire value chain via smart machines, remote sensor
monitoring, and IT systems.

Why Bently Nevada condition monitoring?

Whether your facility has all the tools it needs or is just getting started, Bently
Nevada can add value through far more than just a collection of condition
monitoring products. The maintenance industry is flooded with hundreds of
monitoring solutions and technology partners. It can be difficult to know which
one to choose. When you begin to think about a plant-wide solution, the field
becomes a bit narrower as very few companies offer a true plant-wide unified
hardware, software, and services monitoring solution. Ultimately, you should
partner with a company that has proven its commitment to helping you
succeed – someone you can trust with your most valued assets.

For more than 60 years, we’ve been supplying condition monitoring solutions to
machinery-intensive industries. Customers turn to us for a simple reason: lasting
value. Our solutions demonstrate their worth, day in and day out. We combine
the highest quality products and responsive customer support with a service
team that takes the time to understand the uniqueness of your plant, your
personnel, and your goals. Our products can be found in many manufacturing, food
& beverage, municipalities, steel, mining, power, and oil & gas plants around the
world.
Lubricant Management Practices
Many people define a lubrication survey as a complete list of all oil and grease
lubricated equipment with an appropriate product recommendation listed next to
each component. While there can be no doubt that making sure the right product is
selected for the right application is critical, there is so much more to good
lubrication than product selection.
In the past few years, there has been a growing trend in establishing lubrication
management programs, and these organizations have been reaping the rewards.
 Assessing fluid storage
and handling is a vital
component of an effective
lubrication survey.

The lubrication management concept takes a holistic approach to lubrication. In

this approach, lubricants are considered not as consumables to be purchased at the
lowest price, but as an asset to be managed and nurtured. This nurturing process
starts the day the lubricant arrives onsite, and ends the day the oil is drained from
the component and disposed of appropriately. In doing so, the key areas to consider
include:
 Lube standards, consolidation and procurement,
 Lube storage and handling,
 Oil sampling techniques,
 Contamination control,
 Training, skill development and certification,
 Lubricant analysis,
 Lubrication/relubrication standards and best practices,
 Program management,
 Procedures and guidelines,
 Program goals and metrics,
 Safety and disposal guidelines and best practices, and
 Continuous improvement.
For a lubrication management program to be effective, all of these areas must be
assessed, and improvements made to bring current practices in line with industry
best practices if necessary.
The lubrication and oil analysis survey process is an incremental approach to
assessing the strengths and weaknesses of a plant lubrication program and charts a
course for ongoing, sustained improvement.
Step 1: Program Overview and the Spider Diagram
It is difficult to compile an overview of the relative strengths and weaknesses of a
lubrication program without a full understanding of all areas involved in a plant
lubrication program. However, such an overview is a vital first-step in mapping out
where short and long-term goals should be focused. What is required is a means of
quantifying each key area, while at the same time, providing an overview of the
lubrication program as a whole.
To achieve these objectives, a spider diagram is used to illustrate such strengths
and weaknesses. The spider diagram, named because of its resemblance to a
spider’s web, is a multidimensional analysis tool that offers a visual overview of
where strengths and weaknesses lie, with a more detailed analysis of each problem
area outlined in the survey report.

Figure 1. Spider Diagram

During the lubrication survey process, the plant is audited with each key area of
lubrication excellence rated on a scale of 1 to 10. The data is then plotted on a
spider diagram as shown in Figure 1. In this approach, scores ranging from 1 to 4
require immediate improvement, scores ranging from 4 to 7 represent average
conformance to industry best practices, while scores greater than 7 represent good
compliance with industry standards.
Overall, the more complete the spider web, the better adherence to best practices,
with blank areas indicating a need for improvement. The goal for continued
improvement should be for the web to expand each year, with annual audits
conducted to measure the effects of continued improvement. These improvements
should continue until all facets of lubrication management score in the 7-and-above
range.
Step 2: Reliability Cost Assessment
While the spider diagram offers a succinct way of evaluating the strengths and
weaknesses of a lubrication program in relation to industry best practices, it fails to
account for those factors that have the biggest impact on equipment maintenance
costs at the plant level.
For example, an assessment of a plant lubrication management program may
indicate a weakness in the area of lubricant analysis. However, if most failures are
a result of inadequate contamination control, it doesn’t make sense to revamp the
oil analysis program, without first improving fluid cleanliness through improved
breathers, seals and oil filtration.
While logic may suggest improving all areas of weakness, fiscal restraints
including budgets and manpower issues require a step-wise approach, which
focuses on the most common and costly problems first. This approach is often
referred to as the Pareto principle.
To achieve this kind of specificity, it is important to look beyond a simple snapshot
of the plant as a whole, and break the audit process into component and/or
production areas and assess historical failures using a Failure Modes Effects and
Criticality Approach (FMECA). The FMECA approach assesses each component
or group of components and provides a breakdown of which factors are the most
important areas to target in order to improve reliability and hence reduce overall
maintenance cost.
In conjunction with this FMECA approach, an analysis of the financial
implications of poor equipment reliability for each component type should be
made, including raw repair costs, as well as other factors including lost production
costs. An example of this type of analysis is shown in Table 1. Based on the data in
Table 1, initial resources should be focused on reducing moisture contamination in
the gearboxes in area 2. Even though these gearboxes have the lowest failure cost
per event, their relatively high failure rate means that the most effective cost
reduction strategy is to control moisture levels in these gearboxes.
Reliability cost assessment is a critical part of the whole survey process because it
allows recommended improvements to be prioritized based on their effect on
equipment maintenance costs.
Step 3: Oil Analysis Program Design
Oil analysis plays a vital role in lubrication management. While it is true that oil
analysis is important in providing early warning signs of impending failures, its
role in a comprehensive lubrication management program is far more broad
reaching and significant.
For example, the lubrication survey may indicate the need for improved
contamination control. But how are problems identified? How are corrective
measures to improve fluid cleanliness monitored? The answer is regular, routine
oil analysis, whether performed onsite, offsite or a combination of both.
Setting-up oil analysis Key Performance Indicators (KPIs) is an excellent place to
start. For example, assessing ISO fluid cleanliness, either as a plant-wide
composite score, or more frequently based on component type allows a measure of
current levels of fluid cleanliness and annual improvements to be gauged. The goal
is to reduce the KPI, in this case the composite ISO fluid cleanliness rating, on an
annual basis until no further improvements can be made. Other oil analysis KPIs
include:
 Composite moisture levels,
 The number of exception samples which show high wear rates, and
 The conformance of samples results to new oil specifications.
In addition to oil analysis KPIs, data from other condition-monitoring technologies
such as vibration analysis, thermography and ultrasonics can be used for a
multifaceted, multidimensional feedback mechanism. In this scenario, oil analysis
and other condition-monitoring tools are simply yardsticks by which lubrication
management success or failure is measured.

Sample point location is an

important consideration when
implementing an oil analysis
program.

If oil analysis is to be used as a metric for lubrication management, it is important

that the lubricant analysis program is designed with this goal in mind. As such, the
initial lubrication audit should review each critical component and provide
feedback on the key areas of concern. These include:
 Sample point location,
 Sampling hardware,
 Sampling procedures,
 Sampling frequency,
 Oil analysis test slate selection, and
 Setting appropriate alarms and limits.
Although this approach may appear a daunting proposition, it is a vital step to
ensuring improvements in other areas of lubrication management can be assessed
and evaluated on an ongoing basis.
Having taught courses on oil analysis and lubrication management best practices
for a number of years, it always amazes me the relative proportion of course
participants who leave the classroom with big plans to revitalize an ailing
lubrication program to those who, one to two years down the road, have actually
made significant changes.
While many realize that improvements in areas such as lube storage, contamination
control and oil analysis can significantly improve equipment reliability and help
overall maintenance costs, they lack focus simply because defining a starting point
is difficult. It is also slowed by the daunting tasks necessary for improvement,
which are perceived as impossible.

UNIT-4
Environmental and Economic Considerations: Environmental Impacts of
Lubricants
As technology advances and there is a greater need to increase the energy
efficiency of machines, there is also a need for improved lubricants. Typically,
lubricants have been made of oil and additives. in the case of grease, a
thickener would be added. However, traditionally used petroleum-based
lubricants are harmful to the environment. Lubricants with higher
biodegradability are sought after, as more organizations face increasing
pressure to be sustainable.
Why are Lubricants Needed?
Lubricants are vital for equipment functioning. They act as a microfilm layer
between moving parts, help to protect equipment, and reduce damage and
durability over time. Lubricating oil reduces friction, overheating, scuffing,
rubbing, and corrosion due to its special properties. It is made up of a blend of base
oil (over 85%) and additives which improve the overall quality of the substance.
Lubricating oils containing refined additives of petroleum origin have been used in
outdoor machinery such as saws usually operated outdoors in forestry, where the
equipment is in close contact with outdoor greenery. They are also used in
agriculture for harvesters, earth-moving equipment, and more.
Oil’s Environmental Problem
When operating, the oil is directly emitted into the surroundings, causing negative
impacts on the environment and human health. It has been reported that over 10
million tons of mineral lubricants and hydraulic fluids pollute the environment
each year. In Europe, various industries consume an average of 5 million tons of
lubricant, of which 40% directly pollutes the natural environment.
Demand for More Sustainable Oils
Biodegradable oils have increased in popularity in recent years, but even these oils
can have up to 50% of a petroleum oil base. Critics have called to reduce the
petroleum component further to lessen toxicity and harmful effects.
Health outlining the impact of petroleum oil lubricants on soils, groundwater,
vegetation, wildlife, and human health. Their review suggested that lubricating oils
should only contain biodegradable ingredients to avoid negative impacts on the
environment. Complete biodegradability should be confirmed through testing.
Therefore, widespread control procedures and studies are needed.
Sustainable Alternatives to Lubricants
In some ways, the lubricants industry has long been intertwined with the petroleum
business, tainted with a similarly environmentally damaging reputation. There are
now more alternatives to petroleum oil, with a range of natural or synthetic base
oils available.
Additives provide extra benefits such as friction reduction, corrosion, and
temperature control. Advanced production technologies offer more sustainable
solutions by using eco-friendly refining additives as an alternative to petroleum-
based products.
When formulated from advanced biobased materials, lubricants can become even
more environmentally friendly, being biodegradable, low toxicity, and less likely
to bioaccumulate (where substances gradually accumulate).
The sustainable options are also known as Environmentally Acceptable Lubricants
- a term popularized in the global marine market by the Vickers Oil company who
has offered these products since 2002. These substances are often made from low
molecular weight polyalphaolefin, polyalkylene glycol, synthetic esters, and
vegetable oils. Reportedly, ester-based oils are the most common environmentally
accepted lubricant in the market, due to their non-toxicity and effective
biodegradation.
The Economy of Sustainable Oils
Crude oil is a well-known non-renewable natural resource, sourced from petroleum
oil which took millions of years to form in the ground. By contrast, renewable
products are typically grown, harvested, and turned into products within a
relatively short time.
Most oils taken directly from animal and vegetable sources do not yield stable
lubricants. It is this instability that makes them highly biodegradable, an
environmental advantage, but has not been an economic advantage. Renewable oils
such as these have been made and improved since the 1980s through genetic
modifications and chemical processing. Some were made from vegetable oils but
oxidized quickly and were more expensive, making them less economically viable
for mass consumerism.
Lubricating oils with a base oil and vegetable-based additives appeared on the
market in Europe in the mid-80s. These products have high biodegradability
compared to other types of base oils, with biodegradability levels ranging from 70-
100%, which are now commonly used in European forestry.
The Future of Eco-Friendly Lubricants
There is still a growing need for more efficient, sustainable lubricants to be
brought to market, particularly as governments are putting more pressure on
companies to use these greener lubricants.
There are expectations for these high-performance substances to be efficient and
less environmentally damaging when emitted into the surrounding environment.
Many regulators are more concerned about lubricants being environmentally
friendly than optimal in performance as companies pursue greener goals. The
growing interest in the impact of lubricating oils on the environment and health
motivates research centers and industries to innovate for fully biodegradable,
lubricating oils made up of natural ingredients.
Sustainability and Energy Efficiency
Energy efficiency is defined as using less energy to provide the same product or
service, such as lighting, heating and transportation. Together with the move to
renewable energy sources, increasing energy efficiency is considered to be one of
the twin pillars of sustainable energy policy.
As energy efficiency is a cheap and abundant resource, possessed by all countries,
rich and poor alike, it is key to ensuring a safe and reliable reduction in energy
consumption and greenhouse gas emissions. In addition, energy efficiency
improvements are by far the quickest and least costly solution to the climate crisis.
Energy-efficiency experts worldwide have identified several areas where the
greatest savings in the use of energy can be made, including industry, transport,
homes and buildings, and recycling.
The International Energy Agency (IEA) has stated that improved energy efficiency
in industrial processes, transportation, and buildings could lead to a 30% reduction
in the world’s energy needs by 2050 and help control global emissions of
greenhouse gases.
Energy Efficiency in Industry
The global energy intensity of industry – measured as the amount of primary
energy demand needed to produce one unit of gross domestic product (GDP) – fell
by nearly 20% between 2000 and 2016, primarily as a result of energy efficiency
policies. The size of these reductions is similar both in the 29 member countries of
the IEA and in major emerging economies. Out of the hundreds of opportunities
for substantial savings specific to large industries that have been identified by
energy-efficiency experts, four are frequently mentioned as being among the most
valuable: more efficient motors, capturing and recycling wasted thermal energy,
steel production, and fluid handling.
Inefficient electric motors are found throughout the global industrial sector.
Enormous savings for industry can be made by replacing older inefficient electric
motors with far more efficient modern motors, producing savings that exceed the
purchase price after just a few weeks of usage, even when the cost of lost
production time while replacing the motors is taken into account. These newer
industrial motors are almost always easier to operate, quieter and more reliable.
The steel industry has saved huge amounts of energy and drastically reduced CO2
emissions through advances known as “thin-slab casting” and “direct casting”.
Traditionally, steel mills have heated steel twice; first, to melt the metals into thick
cast sheets, and then a second time in order to recast the steel into the particular
form desired. The new, more efficient process involves directly casting the steel
from its liquid state into the final form desired, with the added bonus of producing
both a lighter and stronger steel than with the older process, as well as being 20
percent cheaper to produce.
Further savings for industries such as paper milling have been achieved through
the use of more efficient fluid handling. By redesigning piping systems to optimize
fluid flow, and by replacing older, oversized and inefficient pumps with more
efficient, modern pumps, many companies have reduced maintenance and
production costs, made huge energy savings, increased productivity, and achieved
greater reliability and product quality.
Large amounts of heat are produced by most industrial facilities and this wasted
thermal energy can be profitably captured and reused, or sold for heating and
cooling nearby buildings. CHP (combined heat and power) systems, also known as
cogeneration systems, use the thermal energy produced during electricity
production to turn turbines to produce more electricity, effectively using fuel twice
and significantly and profitably increasing efficiency in a short period of time.
Studies carried out in the U.S. have shown that fossil fuel use and CO2 emissions
could be reduced by 20 percent if all wasted thermal energy from factories were to
be captured and recycled.
Many European cities use district heating and cooling systems, where hot water
generated at a single point of supply is piped under the streets and into heat
exchangers and absorption chillers for heating and cooling nearby buildings,
including large institutions such as universities and hospitals. Finland is one of the
world leaders in the use of CHP and district heating and cooling systems.
According to the International Energy Agency’s CHP/DHC Collaborative, CHP
produces 74% of Finland’s district heating. The system has generated so much
electricity that the surplus is sold to other countries in Scandinavia.
The U.S. Energy Information Administration (EIA) estimates that lighting
accounted for approximately 7% of total U.S. electricity consumption in 2017. The
potential savings from the use of new LED lightbulbs to replace older,
incandescent bulbs are truly astounding, not only for homeowners and businesses,
but also for towns and cities through the use of more efficient street lighting.
Switching to LED lighting can yield energy savings of over 75%. By 2022, 90% of
indoor lighting worldwide is expected to be provided by compact fluorescent
lamps (CFLs) and LEDs. In addition, intelligent use of motion sensors to detect
when people are present can also be used to achieve further savings and reductions
in emissions.
Efficient Homes and Buildings
“Every day,” says Bernie Sanders, “we are paying more for energy than we should
due to poor insulation, inefficient lights, appliances, and heating and cooling
equipment – money we could save by investing in energy efficiency.”
The use of LED lightbulbs in homes and buildings is only one of many ways for
reducing energy costs and CO2 emissions, and achieving substantial reductions in
electricity bills. Modern appliances such as washing machines, refrigerators and
water heaters are much more efficient and cheaper to run than older models, and by
replacing old windows, installing better insulation, and using solar water heaters,
savings are so great that initial investments for upgrades typically pay for
themselves through saved energy bills in just a few years. Wasted heat from water
heaters can be further reduced through the use of timers and insulation.
Efficient Transportation
Transport was responsible for 28% of global final energy consumption in 2016 and
is one of the biggest sources of greenhouse gas emissions, with road-based modes
of transport such as trucks, buses and cars emitting the most greenhouse gases. The
use of modern computer-aided design and computer-aided manufacturing
(CAD/CAM) methods, together with the employment of new lightweight
materials, mandated improvements in mileage efficiency, improved engine
technologies, hybrid cars, and plug-in electric vehicles have already produced
gains in savings and reductions in emissions. Global sales of electric vehicles grew
by 40% in 2016, mainly in China and Europe, and there are now more than 2
million electric vehicles worldwide, but this still represents less than 0.2% of the
1.2 billion light-duty vehicles (LDVs) on the road. Electric vehicles are much more
efficient than diesel or gasoline alternatives but are not yet at a scale to have a
significant influence on global LDV fuel economy. Moreover, sales of less
efficient large passenger vehicles such as trucks and SUVs have increased,
especially in the U.S., due to falling gasoline prices, leading to a reduction in the
global rate of improvement in fuel efficiency.
Mass transit systems such as bus and light rail networks in urban areas, along with
complementary walking and cycling infrastructures, can sharply reduce both CO2
emissions and energy used, and also improve air quality with subsequent health
benefits for local inhabitants.
According to the World Health Organization, “Safe, equitable, and energy-efficient
urban transport can help achieve multiple health and sustainability goals. Shifting
urban design and infrastructure investments into public transport networks that
prioritize rapid bus transit or light rail over private vehicles can reduce the long-
term trajectory of both air pollution and climate emissions generated by private
transport – and improve health equity by providing those lacking cars with better
mobility.”
A number of companies in the aviation industry have developed much lighter and
stronger materials which, together with more efficient fuel use and aircraft design,
have achieved gains in energy efficiency. Yet, despite these advances, the
environmental impact of aviation continues to be of great concern. Lower fares and
the consequent growth in the number of air passengers, along with the lack of taxes
on aviation fuel worldwide mean that CO2 emissions from air travel and air freight
are such that, unless market constraints are implemented, this growth will result in
aviation emissions amounting to almost all of the annual global CO2 emissions
budget by the year 2050.
Recycling
The recycling of commonly used materials such as paper, glass, plastics and
aluminum is another area which results in huge reductions in energy use and CO2
emissions. According to Stanford University, in the U.S. alone, “the amount of lost
energy from throwing away recyclable commodities such as aluminum cans and
newspapers is equivalent to the annual output of 15 power plants.”
Aluminum is the most efficient of recyclable materials. It never degrades and can
be reused indefinitely with no need to bring new materials into the production
cycle. Processing recycled aluminum would reduce the energy used in the
production of the metal from bauxite ore, currently one of the most energy-
intensive processes in the global economy, by an incredible 95 percent. In other
words, with the amount of energy it takes to make one new, unused aluminum can,
you could make 20 recycled cans.
However, according to the Container Recycling Institute, sales of canned and
bottled beverages in the U.S. have continued to grow over the last few decades but
recycling of the containers has stagnated, resulting in higher rates of landfilling,
incineration, littering and other negative environmental impacts.
Glass can be recycled indefinitely. The energy savings from recycling glass are
relatively small, as recycled glass still needs to be re-melted at very high
temperatures in order to make new glass products. However, according to a report
by the Environmental Protection Agency, creating glass from recycled materials
rather than raw materials generates 20 percent less air pollution and 50 percent less
water pollution, as well as helping to reduce the size of landfills, preserve natural
resources like sand, soda ash and limestone, and eliminate the costs involved with
transporting these heavy materials. Recycled glass can also be turned into
fiberglass, which in turn can be used in house insulation, and in the manufacture of
bricks. Less energy is therefore required to create the bricks and, as the product is
lighter, less energy is used in transport.
Paper is one of the most recycled materials in the world. Manufacturing recycled
paper saves thousands of trees each year in the U.S. alone and uses only 60 percent
of the energy required to produce paper from fresh pulp. Emerging research on
biodegradable inks and even erasable paper could soon solve the problems faced
by manufacturers of producing high quality, bright white paper due to ink residue.
 .
Every year, more than 100 million tons of plastics are manufactured across the
globe, yet only 14% of this amount is recycled. 8 million tons of plastic end up in
our seas and oceans each year and some plastic materials can take hundreds of
years to break down in a landfill. However, many plastics can be recycled and
turned into items such as clothes, containers, bags, carpets, bottles, lumber, garden
products, car components, furniture and insulation, to name just a few. Recycling a
single plastic bottle can conserve enough energy to light a 10W LED bulb for up to
36 hours! It’s easy to see why recycling plastic is so important.
Barriers to Success
One of our main concerns has been to identify the financial and psychological
barriers that have kept individuals, businesses, and governments from realizing
efficiency’s great potential.
The main reason for home and business owners seems to be the initial expense.
Myopic behavior and the need for instant gratification mean that, despite being
informed that an initial outlay will be recovered through savings on bills, most
home and business owners would still prefer to spend their money on something
other than making their homes and businesses more energy efficient. A variety of
financing options are being made available in some countries, including the U.S.,
to make it easier for homeowners and businesses to invest in energy efficiency.
These include on-bill financing, property tax financing (also known as Property
Assessed Clean Energy or PACE bond financing), energy service performance
contracting (ESPC), and energy efficiency mortgages (EEMs). However, according
to the ACEEE (American Council for an Energy Efficient Economy), “Financing
programs for homeowners have typically drawn low participation rates and tend to
attract educated and motivated homeowners who are the least in need of financing
opportunities. Financing for those who are most in need – people with low or fixed
incomes and poor credit – has had low success.”
Other barriers include a lack of education over environmental issues, climate
change denial, greed and corruption on the part of construction and utility
companies and politicians, and fears that a concern for the environment will lead to
massive job loss, despite the evidence to the contrary. As the author Jeff Goodell
states, “In reality, studies show that investments to spur renewable energy and
boost energy efficiency generate far more jobs than oil and coal”.

Lubrication Cost Management

1. Lack of Understanding
 2. "Firefighting"
3. No Management Buy-in
Lack of knowledge or expertise to do anything is very common. This is referred to
in psychological terms as unconscious incompetence and is the first of four stages
involved in the progression from incompetence to competence in a skill. Think of
the first stage the same way you may have thought about your first experience
driving a manual transmission vehicle. Learning how to effectively operate a
manual transmission requires a lot of practice to be able to apply the correct inputs
to clutch, break, accelerator, stick shift and steering wheel. At one point, you were
completely unaware of what a manual transmission was and how to operate one.
Over time, with a little awareness, you were consciously, albeit consciously
incompetent, in the use of manual transmissions. You still were challenged when
operating one and understood there was a gap between the way you currently
operate and the way the manual transmission should be operated. With more time
and effort, you know how to operate the manual transmission, although it takes a
significant amount of concentration in the stage referred to as consciously
competent. Over time, the operation of the manual transmission becomes second
nature. In this, the final stage of learning, you become unconsciously competent at
doing the task. It becomes business as usual.
Simply put, people don't know what they don't know. Within the maintenance
community, there are several catalysts that will highlight a lack of understanding in
lubrication and the subsequent need for change, one of them being catastrophic
equipment failure. This type of issue always brings lack of understanding to the
forefront. The solution is always some kind of education, formal or informal, and
partnering with some kind of outside support, be it a products company and
consultant, your oil analysis lab or your lubricant supplier.
We have all faced the challenge of being too busy "firefighting" to make any
headway on a lubrication program. We're often paralyzed by the mounting issues
in our current program to spend any time addressing the root causes and working
to eliminate them. Short of increased headcount in our maintenance department,
outside support is often the best solution. Again, that support can come from
numerous sources.

Perhaps the most challenging barrier is lack of management buy-in. Lack of

management buy-in can be overcome with a financial business case analysis. Once
we can see our way through these challenges, we need to sort it all out. We need to
decide where to start. We obviously want to capitalize on the low hanging fruit and
those items that are going to give us the quickest return on any investment we
make. But how do we do it?
What is Poor Lubrication?

The pathway to success in lubrication is not much different than any other
improvement program within the plant. You need to quantify your current
program. Whether your lubrication program is formal or informal, sophisticated or
simple, identifying where you are in contrast to where you want to be is the first
and most important step. This helps to identify the gaps. The biggest gaps, the gaps
that are going to give you the greatest return on investment, are the ones you need
to focus on.

Identifying the gaps allows you to design a program around the gaps you want to
focus on first. After designing the program, it's time to execute it and put it into
practice. You'll need to make sure everyone is educated to the point where they can
do their job effectively. Then, measuring successes and reevaluating gaps will help
to continuously improve.

When we look to identify gaps in our lubrication program, we focus on 10 key

areas:
1. Lubricant purchasing, selection and quality assurance
2. Lubricant storage, handling and dispensing
3. Lubricant application practices
4. Equipment maintainability and contamination control
5. Oil sampling practices
6. Oil analysis and basic inspections
7. Lubrication PM optimization
8. Training and education
9. Lubrication scheduling, tracking and reporting metrics
10.Leakage control, safe lubricant handling practices and environmental
compliance
Some of these categories may be more important than others depending on the type
of production facility and equipment within it. However, each area plays a role in
our holistic approach to improving our lubrication program. To know how to
identify gaps, it's important to know what poor lubrication actually is.
Many people hear "poor lubrication" and they immediate think this term refers to
the quality of the lubricant itself, and it can. However, poor lubrication is really
any aspect of a lubrication program not done with precision and includes:
1. Incorrect amount of lubricant; too much or too little lubricant.
2. Wrong lubricant type; incorrect viscosity, base oil type, thickener (if
applicable) or additives.
3. Poor storage and handling; outside, not under cover, not climate controlled.
4. Ineffective dispensing or application; using methods and tools not
 considered best practice.
5. Inefficient contamination control; inconsistent or non-existent approach.
6. Unskilled personnel; not trained or educated to what precision lubrication is
or why it's important.
Where Improvement Programs Fail
A typical lubrication assessment process follows the same path as most assessment
exercises. A benchmark is completed in an attempt to capture the current culture
surrounding lubrication. Then, a gap analysis may be done to identify the
difference between the current practice and what would commonly be considered
best practice in a specific area of lubrication. Unfortunately for many assessments,
this is where it ends. The client is left with a document that speaks to their issues,
but offers little in the way of a path forward or a way to communicate the need for
change to management. Most lubrication improvement initiatives fail because the
recommendations provided are too generic and do not look at lubrication
holistically. Without specific action items, a business case analysis, timelines and
follow-through, improvements rarely get executed fully.

As an example, consider how many home improvement programs have failed in

the past because specific action items didn't exist. I consider myself a fairly handy
person and decided that I could save some money by building a deck in my
backyard myself without contracting it out. I consulted with a big box lumber
retailer, designed my deck with their design software and they provided me with a
bill of material for all the necessary hardware. A few days later, the material
arrived on my driveway with no sign of an instruction guide or task list. Luckily I,
like many others, was able to build my deck to the satisfaction of my "upper
management," but not without some challenging moments. However, I could have
failed just as easily.
The Language of Management

Perhaps the most challenging roadblock to launching a successful lubrication

program, and perhaps the most important component, is illustrating the financial
benefits and gaining management buy-in. However, as the story goes, maintenance
people like us have had a difficult time quantifying the benefits of precision
lubrication and acquiring the funding we need to build our programs.

Engineers and maintenance professionals tend to talk in highly technical terms. We

tend to use terms like ISO particle count, turbulent sampling zone, NLGI grade and
filtration beta ratio. We often try to illustrate the benefits of lubrication program
improvements with what we know to be technically true with little regard for the
terms that are usually important to executive management. Executive management
speaks the language of dollars and cents, not ISO VG68, or NLGI 2. Our job as
maintenance professionals is to convert what we know about reliability and
lubrication into language executive managers can understand.

Many studies have concluded, as has the following one, that, "While the cost of
purchasing lubricants typically amounts to less than one percent of a plant's
maintenance budget, the downstream effect of poor lubrication can amount to as
much as 30 percent of a plant's total maintenance costs." I hear the beginning of
this statement a lot and it's probably true for many. Management often feels there's
little or no opportunity to improve their lubrication program because they spend
relatively little on lubricants. As this example states, that's really not the case. The
total cost of your lubrication program is the sum of not just the lubricant or the
upfront costs, but the ongoing and downstream costs as well. The sum of all these
costs can be significant.
What we really need to do is convert what we know into a cost benefit analysis
where we take a critical and conservative look at the upfront and ongoing costs and
attempt to quantify the potential financial impact.

In the time that I have been consulting on lubrication programs, I've found that
most companies are losing between five percent and 15 percent of their annual
maintenance budget to poor lubrication. I use a very comprehensive tool, along
with specific case studies, to evaluate the current practice and tie it into an analysis
like the one shown in Table 1. In this example, I was able to conclude that this
company is losing more than $2.5 million every year due to poor lubrication from
an annual maintenance budget of $15 million. Of that $2.5 million about 20
percent of that can be immediately addressed. We'll call this the low hanging fruit
or the biggest bang for your buck. This cost benefit analysis (CBA) is based on
discounted cash flow analysis to value the project using the concepts of the time
value of money. Because we know that the value of a dollar is worth more today
than at any point in the future and there is a cost of using this capital on this
improvement program, your accounting team and executive management will
require that all future cash flows are estimated and discounted to give their present
values. What we end up with is the value of the potential return in today's dollars.
(Table 1)
It's easy to see the return on investment is quite significant. After a $95 thousand
initial investment to tackle the immediately-addressable lubrication losses, and
after ongoing costs of about $37 thousand per year, the five-year net present value
(NPV) is close to $1.3 million. This is a great investment and, in this case, we
really are just scratching the surface.

There is so much more to lubrication programs than what is on the surface. If we

can navigate our way around typical roadblocks with education and awareness,
technical and project management support from subject matter experts, and the
support of our management team, we stand a much better chance of making
impactful and lasting changes that benefit the entire organization.
Lubrication Strategies for Industry 4.0
The term Industry 4.0 refers to the fourth industrial revolution. Widely hailed as a
new level of organization and control over the entire value chain of the lifecycle of
products, Industry 4.0 is geared toward progressively personalized customer
requirements.
This cycle initiates at the product idea, covers the order placement, spreads through
development and manufacturing, continues to product delivery for the end
customer, and concludes with recycling, encompassing all resulting services. The
basis for the fourth industrial revolution is the availability of all relevant
information in real time by linking all instances involved in the value chain. The
ability to derive the optimal value-added flow from the data at any time is also
vital. The connection of people, things and systems creates dynamic, self-
organizing, real-time, optimized, value-added connections within and across
companies. These can be optimized according to criteria such as costs, availability
and consumption of resources.
Transformational benefits
Industry 4.0, also known as the Industrial Internet, not only encompasses the
digitalization of horizontal and vertical value chains but will also transform
companies’ product and service portfolios with the decisive goal of better
satisfying customer needs. The potential uses of the Industrial Internet go far
beyond the optimization of production technologies. However, exploiting these
opportunities requires substantial investment. This topic inevitably occupies a
leading position on the agenda of directors and managers of industrial companies.
The industrial sector is required to produce ever larger quantities of product, using
fewer raw materials and less energy. The Industrial Internet permits higher
productivity and resource efficiency, creating conditions for sustainable and
efficient production, as detailed in TABLE 1.1
From a functioning perspective, Industry 4.0 facilitates process optimization even
before value creation is realized in practice. This is mainly due to virtual imitations
of production activities or even entire supply chains; vertical and horizontal
connections enable shorter lead times and accelerated time-to-market. This allows
manufacturing companies to respond more quickly and flexibly to volatile market
demands and last-minute changes in customer orders.
Smart components and products are conscious of their current state and monitor
critical process parameters, as well as disparities in quality, autonomously. This
results in reduced process mistakes, a lower scrap rate, more reliable production
systems and minimized downtime. Eventually, the overall quality level of
manufacturing increases.
Furthermore, connected goods enable the collection and analysis of information
about product use and features over the product’s lifecycle. This allows for
constant development and improvement of product quality. For example, the
capacities in terms of efficiency, time, quality and stock levels are directly and
positively related to significant cost reductions.
From an environmental and social viewpoint, Industry 4.0 promises several
opportunities. Industry 4.0 enables the lessening of greenhouse gas emissions by
data-centered and traceable carbon footprint analyses. In addition, it targets
reductions in waste, resource use and energy consumption. Examples include
closed value creation networks, reuse of resources and tools, and the retrofitting of
machines. Additionally, due to the opportunities of, for example, additive
manufacturing—which is considered one of the core technologies in the Industry
4.0 era—physical transport and logistics processes are reduced.
Factory of the future
The factory of the future is a vision for how manufacturers should enhance
production by making improvements in three dimensions:
 Plant structure
 Plant digitization
 Plant processes.
The factories of the future will deploy a multidirectional layout in which products
are placed on driverless transport systems and individually guided through
production by communication with production machinery. These factories will
have interchangeable line modules and production machinery that can be easily
reconfigured, and they will be designed for ecologically sustainable production,
including the efficient use of energy and materials.
Manufacturers are increasingly using digital technologies, such as installing smart
robots that can perform more complex tasks than human workers, as well as collect
information from each work piece being produced and automatically adjust their
actions to its characteristics. Other digital technologies being introduced in various
sectors are collaborative robots, additive manufacturing, augmented reality,
production simulations, decentralized production steering and big data and
analytics.
Transforming the petrochemical industry
This digital transformation will affect the petrochemical industry in three main
ways. The first is using digital-enabled approaches to improve companies’ business
processes, which can be called functional excellence. The second is the potential
for digital to affect demand patterns in end markets, with implications for the
chemical industry’s value chains. The third is when digital developments lead to
changes in the business models through which chemical companies capture and
create value for customers.
Other digital-enabled advances may create significant value in manufacturing
operations (e.g., the use of automated guided vehicles, such as self-driving
forklifts, and the use of robots to fill big bags). These advances should reduce costs
and improve process stability and safety performance. At the same time, deploying
an automated and centralized plant performance-management system will make it
possible to better steer operations and react faster when corrections are needed.
Throughout the value chain, manufacturing will be facilitated by the
comprehensive integration of information technology (IT) systems and the
availability of all required production data. Within a company, this integration will
strengthen connections across R&D, production, sales and other functions.
To realize the vision of the factory of the future, manufacturers must address topics
related to three enablers:
 Strategy and leadership
 Employee skills
 IT infrastructure.
Companies must make their factory-of-the-future strategy an integral part of their
corporate strategy and adapt their leadership styles to new ways of working.
Manufacturers must also focus on developing a workforce with the new skills
required to perform technology-centered production tasks. Companies must install
IT infrastructure that supports connectivity throughout the value chain while
ensuring the security of data.
Rapid acceleration of change
Many improvements will result from the digitization of processes and value chains,
including:
  Focusing on core areas in the individual value chain
 Reducing redundancies in processes
 Minimizing quality losses
 Making processes more flexible
and coherent.
In concrete terms, increased transparency improves the utilization of machines and
systems (e.g., by optimizing batch sizes). Digitalization and greater connectivity in
process organization may permit areas of work to be rationalized and may yield
gains in productivity. The intelligent analysis and integrated use of data for
controlling purposes also reduces the rejection rate in production.
Industry 4.0 goes far beyond digitalizing processes and value chains; it leads to a
higher level of digitalization in the product and service portfolio. A mechanically
perfect product will no longer be enough to successfully compete on a global scale.
The differentiation of products is moving increasingly in the direction of software,
as well as superior sensor technology, connectivity and the generation of data.
As the Industrial Internet evolves, existing business models will change
permanently, and new digital business models will be created. The focal point for
this development is the increase of customer benefits due to a growing range of
value-added solutions (rather than products). The expansion of digital service
elements will increase connectivity between products and manufacturing
equipment, as well as between customers and partners. The special quality of
digital change lies in the rapid acceleration of change. Disruptive innovations will
also prompt sectors like the information and communications industries to change
permanently within a short period of time.
The most important aspects to be analyzed and implemented by business for
Industry 4.0 are shown in FIG. 1.
FIG. 1. Physical-to-digital-to-physical loop and related technologies. Source:
Deloitte Center for Integrated Research.
Digital and new business models in chemicals
Will digitalization change the ways that chemicals are sold and distributed? How
will value flow? Will we see a shift from sales of products to sales of services and
solutions? Will attackers emerge that disintermediate established producers from
their customers, as we have seen with B2C platforms in other industries? Different
segments of the chemicals industry will have different answers to these
questions—generally, while crop-protection chemicals and some specialty
chemical segments are at risk of business model disruption, and some chemical
distributors see themselves as potential actors in future possible disruptions,
petrochemicals will probably be less affected.
First, business models that remain connected to the product in use might provide a
substantial opportunity in some areas of the chemical industry (e.g., through
systems that monitor chemical applications in industrial processes). One example
drawing significant interest is catalysts, where process catalyst manufacturers are
increasingly moving toward “performance pay” models rather than simply selling
the product.
Staying connected to the catalyst in use allows the catalyst manufacturer to
optimize its customers’ production process and presents the opportunity to build a
large and valuable knowledge base that can be used to improve catalyst use across
its customer base, and charge for the service. Several such models have been in
development for more than a decade in parts of the specialty chemical industry,
and the potential exists for an acceleration in their adoption linked to digital.
However, such approaches will not be applicable for the chemical industry as a
whole; the focus is where a specialty chemical does a specific job, such as a
catalyst or water treatment chemical.
Second, opportunities for intellectual-property-based business models that generate
licensing or consulting fees are emerging. Under this model, a company can charge
a fee for providing guidance on how to best use its product, or it can license
production of a proprietary molecule to another producer. Examples to date are
isolated and unproven.
The IIoT
Significant potential exists for the use of these solutions. One of the key factors to
keeping the downstream business profitable is the adequate handling of safety,
shutdowns, turnarounds and outages. This is the result of being proactive regarding
different decisions, and the Industrial Internet of Things (IIoT) is the basis for
achieving such success.
The IIoT is the key to gathering information and automating the physical
processes. In terms of the Industry 4.0 paradigm, the IIoT is the base for a fully
digitalized facility; this technology, combined with the cloud, analytics and
artificial intelligence (AI), can enable new operational models based on automation
and augmented human activities that rely on predictive analyses for operations and
maintenance, production and inventory monitoring, and improving security.
This technology can help prevent human and monetary losses, reduce costs and
improve performance. According to Accenture research, the IIoT could help
increase productivity by as much as 30% due to the introduction of automation,
saving up to 12% in scheduled repairs, reducing maintenance costs up to 30%, and
eliminating breakdowns by up to 70%. The US Department of Energy identified
that 92% of the maintenance-related shutdowns from 2009–2012 were unplanned,
and some researchers estimate a daily cost per refinery of $340,000–$1.7 MM. In
the safety arena, the 2015 explosion of a petrochemical plant in the Czech
Republic cost approximately $177 MM, while a similar event in Canada in 2005
cost $870 MM.
Creating an Industry 4.0 implementation roadmap
While Industry 4.0 improves operations through technology, it requires more than
just a simple technology implementation and mandates a corporate design strategy.
Companies and executives must understand that while Industry 4.0 can transform
their business, it is also important to evaluate how it aligns with future goals,
corporate culture and the organization’s core strength and corporate strategy.
Designing an Industry 4.0 roadmap requires a wholistic understanding of the entire
organization, including its capabilities, priorities, culture and digital maturity level.
Studies have shown that the integrated and connected assets of oil and gas
companies can generate as much as 1.5 terabytes (TB)/d of data. Despite this,
many companies still lack the capabilities to leverage this information for relevant
business insights. To overcome this digital bottleneck, companies must look at
adopting Industry 4.0 using an enterprise-wide and holistic approach.
The Industry 4.0 Maturity Index, developed by the acatech lead
consortium,2 provides a useful framework for organizations to evaluate their
current maturity and define a roadmap for Industry 4.0 implementation. The
Industry 4.0 Maturity Index (FIG. 2) assesses organizations from three
perspectives: cultural, organizational and technological.
Fig. 2. The Industry 4.0 Maturity Index. Source: Infosys.
The first step is to analyze the organization’s current situation and goals. Key
questions to be considered include:
 What are the strategic goals and objectives over the next few years?
 What technologies and systems
are being implemented?
 How do these technologies
and systems operate within
the company?
The answers to these and other questions will determine the organization’s
capabilities. Through this approach, organizations can define a digital roadmap to
implement Industry 4.0 across all relevant areas of business.
The Industry 4.0 Maturity Index contains four levels of maturity:
 Transparency
 Visibility
 Predictability
 Adaptability.
It is important to note that in this framework, every stage builds on the strong
foundation established in the previous stage. To ensure successful implementation
of Industry 4.0, all four stages should be followed in sequence for maximum
benefits.
The challenges of change
Many companies have not developed any specific plans for the implementation of
Industry 4.0 solutions, nor have they made any larger investments. Solutions are
new for many companies and require significant changes. The quantification of
potentials is also complex and diverse. There is an urgent need for increased
transparency and an exchange of experience across industry sectors.
Despite the opportunities discussed here, Industry 4.0 implementation presents
several challenges and takes place in a highly dynamic competitive environment. It
reshapes industry boundaries, creates entirely new industries and exposes
established manufacturing companies to new competitive challenges. For instance,
new competitors that offer smart and connected product solutions (or even entirely
new business models, such as platforms) can emerge quickly, threatening the
current market position of established players. Likewise, increasingly competitive
dynamics and the facilitated market entrance of new competitors are among the
most critical challenges in the Industry 4.0 era.
Moreover, digital connectivity implies sharing of data and opening to a
competitive market environment, resulting in transparent business ecosystems that
are largely facilitated by (online) platforms. In this regard, companies must deal
with two issues:
 A high level of transparency exposes manufacturers to the risks of cyber-
attacks and industrial spying, and the challenge of securing data rights and
access.
 Companies that set platform standards may hamper established companies’
unique selling propositions and eventually drive them out of the market. To
meet these challenges, manufacturing companies must systematically
upgrade their business models.
A varied perspective on different industry sectors shows that exclusively
mechanical and plant engineering companies are put off from implementing
Industry 4.0 due to challenges regarding competitiveness and future viability.
Mechanical and plant engineering companies are largely confronted with
insufficient IT and software know-how due to their strong focus on hardware,
machinery and products. Implementing Industry 4.0 can pose the threat of
exposure to experienced IT and software companies within platform ecosystems.
Rather than perceiving this as an opportunity to source external knowledge, they
might fear the threat of becoming dependent on companies that possess more
contemporary data, software, virtualization and IT competencies.
Developers and implementers of Industry 4.0 facilities face two major challenges:
security and standards. Security will always be a primary concern: as each new
technology evolves, malefactors attack, and developers must continually repel
these intrusions and adapt their systems for tighter control. Since Industry 4.0 is
highly dependent on information sharing and transfer, a lack of universally
accepted standards for data formats, protocols and the like continues to offer
challenges. Many organizations are working to develop the needed standards and
push for general acceptance. While this is still a work in progress, implementers
remain at risk of selecting systems that may not use the protocols that eventually
emerge as industry standards.
Digital transformation is not a simple task—it is a journey. Companies know that
their processes must become more automated and integrated. To make them more
efficient, companies require intelligent, interconnected systems to drive processes,
and they need visibility into operational performance. This is the essence of
Industry 4.0.
Industry 4.0 comprises three key technological components:
 The IoT—the ability to gather data from machinery and equipment
 The cloud—storing this data on a centralized system
  A data analytics engine—allowing the user to reveal trends in data and
predict future trends with a high level of certainty.
While these three technological components are requirements of Industry 4.0, the
true enabling factor of the next industrial revolution begins much closer to home,
with tools already available.
While companies connect their commercial configuration system to a design
system (PLM), new product configurations are made available in real time and in a
controlled manner. Factory systems can reach a level of product customization that
is extremely fine-tuned.
This concept enables companies to manufacture any product, quantity, variant,
sequence and assembly line, at any time. Of course, this means different things for
different industries.
In the industrial machinery sector, for example, it means the ability to switch from
a traditional sales model based on acquisition, to a sales model where the
performance that each machine can deliver is sold to clients. Income and revenue
will then be generated from an applied pricing model based on equipment usage
and maintenance fees.
The terms smart factory, digital manufacturing and even Industry 4.0 are
interchangeable, according to Paul Miller, senior analyst at Forrester. An
organization’s preferred term typically reflects its marketing strategy. In the end,
however, what matters is that the factory technology connects.
Obviously, the level of investment in a smart factory depends on budget. Digital
technology can be expensive, especially if a manufacturer has spent little or
nothing on upgrades over the years and needs to connect its infrastructure. Once a
manufacturer has streamlined existing data flows and gained insight into how to
improve current manufacturing processes, it can slowly make new technological
investments that will further digitize operations. Companies are advised not to
delay simply because they may have old manufacturing equipment that is
seemingly incompatible with the IoT, 3D platforms and other new technologies.
Takeaway
Digital technology, and the data it brings, hold tremendous promise for
the refining, petrochemicals and chemicals industries. These technologies can play
a role in driving business value:
 The IoT, leveraging sensors to capture data from manufacturing, storage and
distribution
 The cloud, a platform to support a common system of record for both
suppliers and customers
 Analytics to correlate supply data to product quality and customer
satisfaction
 Machine learning to assist in predictive maintenance of operational
equipment
 Blockchain to better track transactions for assets, materials and products.
Technology alone is not the answer. In the chemicals industry, it is the use of
technology against the right digital strategy that holds the real value. This requires
a focus on implementing a true digital core that enables a common system of
record through the business. It also requires a corporate mindset that embraces
agility, adaptability and innovation, and is driven by a customer-first, design-
focused perspective.