OIL AND

YOUR ENGINE
SEBD0640-04
©2011 Caterpillar Inc.
All Rights Reserved.
Printed in U.S.A.

CAT, CATERPILLAR, their respective logos, “Caterpillar Yellow”, the “Power Edge” trade dress as well as corporate
and product identity used herein, are trademarks of Caterpillar and may not be used without permission.
Contents
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Soot . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Oxidation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Understanding Oil . . . . . . . . . . . . . . . . . . . . . . . . 5 Nitration Products . . . . . . . . . . . . . . . . . . . . . . 26
Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Sulfur Products / Acids . . . . . . . . . . . . . . . . . . 26
Basestocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Optimizing Your Equipment with the S·O·SSM
Re-fined Basestock Oils. . . . . . . . . . . . . . . . . . . 5 Services Program . . . . . . . . . . . . . . . . . . . . . . 26
Mineral Oils . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Additional Tests: Glycol, Water, Fuel Detection,
Synthetic Oils . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Viscosity and TBN . . . . . . . . . . . . . . . . . . . . . . 27
Additives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Glycol (Coolant) . . . . . . . . . . . . . . . . . . . . . . . 27
Aftermarket Oil Additives . . . . . . . . . . . . . . . . . . 7 Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Total Base Number (TBN) . . . . . . . . . . . . . . . . . 7 Fuel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Ash or Sulfated Ash . . . . . . . . . . . . . . . . . . . . . 7 TBN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Viscosity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Viscosity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
SAE Viscosity Grades for Engine Oils - SAE J300
Dec 99 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Typical Examples of Oil Related Failures . . . 29
API Engine Oil Classifications . . . . . . . . . . . . . 9
Diesel Engine Oil Recommendations: Caterpillar The Lubrication System . . . . . . . . . . . . . . . . . 29
Diesel Engine Oil . . . . . . . . . . . . . . . . . . . . . . 11 Bearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Cat DEO (Diesel Engine Oil) . . . . . . . . . . . . . 11 Crankshafts . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Commercial Oils . . . . . . . . . . . . . . . . . . . . . . . 12 Pistons, Rings and Liners . . . . . . . . . . . . . . . . 33
Severe Applications Require the Use of Higher Turbochargers . . . . . . . . . . . . . . . . . . . . . . . . . 35
Performing Diesel Engine Oils . . . . . . . . . . . . . 13 Valves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Total Base Number (TBN) and Fuel Sulfur Levels Minimizing the Occurrence of Oil Related Engine
for Direct Injection (DI) Diesel Engines . . . . . . 13 Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Selecting the Viscosity . . . . . . . . . . . . . . . . . . . 15
The API Donut . . . . . . . . . . . . . . . . . . . . . . . . . 17 Fuel Sulfur . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Cold Weather Lubricants . . . . . . . . . . . . . . . . . 17 TBN and Fuel Sulfur Levels for Direct Injection
Cleanliness / Oil Filtering . . . . . . . . . . . . . . . . 19 (DI) Diesel Engines . . . . . . . . . . . . . . . . . . . . . 41
TBN and Fuel Sulfur Levels for Precombustion
Contamination & Degradation . . . . . . . . . . . . . 21 Chamber (PC) Diesel Engines . . . . . . . . . . . . 42
Oil Maintenance . . . . . . . . . . . . . . . . . . . . . . . . 22 Basic Maintenance of the Lubrication System . . 42
S·O·SSM Wear Rate Analysis . . . . . . . . . . . . . . 22
Understanding Wear Metals . . . . . . . . . . . . . . 22 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Trending Wear Metals in Your Engine . . . . . . 22
S·O·SSM Service Oil Analysis . . . . . . . . . . . . . . 23
Obtaining S·O·SSM Oil Samples . . . . . . . . . . . . 24
Oil Sampling Interval . . . . . . . . . . . . . . . . . . . . 24
More Frequent S·O·SSM Sampling Improves Life
Cycle Management . . . . . . . . . . . . . . . . . . . . . 24
Determining Optimum Oil Change Intervals . . . 24
Optimizing the Component Life Cycle . . . . . . . 24
The Technology Behind Wear Rate Analysis . .25
Pinpointing the Causes and Effects of
Component Wear . . . . . . . . . . . . . . . . . . . . . . 25
Monitoring Your Components . . . . . . . . . . . . . 25
Silicon / Aluminum Ratio in Dirt Varies by
Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
S·O·SSM Oil Condition Analysis . . . . . . . . . . . . 25
Maximize Performance by Knowing Your Oil
Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Understanding Oil Condition Analysis . . . . . . 26
Fourier Transform Infrared Analysis . . . . . . . . 26
Identifying Oil Condition Before It Causes
Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

-1- SEBD0640-04
Foreword
Bearing failure, piston ring sticking, and excessive oil
consumption are classic symptoms of oil-related
engine failure. How do you avoid them? There are
numerous ways, three of the most important being
Scheduled Oil Sampling (S·O·SSM), regular
maintenance of the lubrication system, and the use
of correct lubricants. Following these
recommendations can mean the difference between
experiencing repeated oil related engine failure and
benefiting from a productive and satisfactory engine
life. This booklet attempts to tell the story of oil: what
it is composed of and what its functions are, how to
identify its contamination and degradation, typical
consequences, and some preventive measures to
help you protect your engine against the devastating
effects of oil related engine failure.

-2-
Summary Foreward
In the long run you are directly responsible for your General Information hour meter reading. Recommended service should
engine's performance. You can lessen the chances always be performed at the interval that occurs first.
of oil-related failure by taking the initiative to protect NOTICE
Every attempt is made to provide accurate, up to Under extremely severe, dusty or wet operating
your engine.
date information. By use of this document you agree conditions, more frequent lubrication than is
• Select the correct performance category and that Caterpillar Inc. is not responsible for errors or specified in the Maintenance Interval Schedule might
viscosity of oil for the application. omissions. be necessary.
• Follow the recommended oil and filter change Extended Engine Oil Drains and Warranty
intervals. The information that is provided are the latest Failures that result from extended oil drain periods
recommendations for Caterpillar engines and for are not Caterpillar factory defects and therefore are
• Pay attention to S·O·S SM
oil analysis results. Caterpillar machine compartments. This information not covered by Caterpillar's warranty. In addition,
supersedes all previous recommendations which failures that result from not using the recommended
have been published for the Caterpillar machines or oil type are not Caterpillar factory defects and
engines that are covered by this publication. Special therefore are not covered by Caterpillar's warranty.
lubricants are required for some machine or engine
compartments and it will be necessary to continue to Refer to the applicable Operation and Maintenance
use these special products. Refer to the applicable Manual for standard oil drain periods and to the
Operation and Maintenance Manual. Maintenance Section, "Lubricant Specifications" of
this publication for engine oil type and viscosity
Note: Instructions for the installation of the filter are grade recommendations.
printed on the side of each Caterpillar spin-on filter.
For non-Caterpillar filters, refer to the installation To reduce the potential risk of failures associated
instructions that are provided by the supplier of the with extended oil drain periods; it is recommended
filter. that oil drain intervals only be extended based on oil
analysis, and subsequent engine inspections. Oil
NOTICE analysis alone does not provide an indication of the
Not following the recommendations found in this rate of formation of lacquer, varnish and/or carbon
Special Publication can lead to reduced performance on pistons and other engine surfaces. The only
and compartment failure. accurate way to evaluate specific oil performance in
a specific engine and application that utilizes
extended oil drain periods is to observe the effects
Whenever a question arises regarding the machine
on the engine components. This involves tear-down
or engine, this publication, or the Operation and
inspections of engines that have run to their normal
Maintenance Manual, please consult any Caterpillar
overhaul period with extended oil drain intervals.
dealer for the latest available information.
Following this recommendation will help ensure that
Safety excessive component wear does not take place in a
Refer to the Operation and Maintenance Manual for given application.
your machine for all safety information. Read and
understand the basic safety precautions listed in the NOTICE
Safety Section before operating or performing Light loads, low hour accumulation, and excessive
lubrication, maintenance and repair on the machine. idling time can contribute to excessive water in the
crankcase oil. Corrosive damage, piston deposits
Maintenance and increased oil consumption can also result. If oil
Refer to the Operation and Maintenance Manual for
analysis is not done or the results are ignored, the
your machine or engine to determine all
potential for corrosive damage and piston deposits
maintenance requirements.
increases. Refer to the appropriate Operation and
Maintenance Interval Schedule Maintenance Manual for guidance.
Use the Maintenance Interval Schedule in the
Operation and Maintenance Manual for your Note: Failures that result from extended oil drain
machine or engine to determine servicing intervals. periods are not warrantable failures, regardless of
Calendar intervals shown (daily, weekly, monthly, use of this recommended procedure. Failures that
etc.) can be used instead of service hour meter result from extended engine oil drain periods are
intervals if they provide more convenient servicing considered improper use under the warranty.
schedules and approximate the indicated service

- 42 - -3-
Understanding Oil Minimizing the Occurrence of Oil Related Engine Failure
Function The process that is used to make re-refined Total Base Number (TBN) and Fuel Sulfur Basic Maintenance of the Lubrication
Engine oil performs several basic functions in order basestock oil should adequately remove all wear Levels for Precombustion Chamber (PC) System
to provide adequate lubrication. It works to keep the metals that are in the used oil and all additives that Diesel Engines Probably the most important step in preventing oil-
engine clean and free from rust and corrosion. It are in the used oil. Vacuum distillation and the The TBN for a new oil depends on the fuel sulfur related failure is to be on the alert as a matter of
acts as a coolant and sealant; and it provides an oil hydrotreating of the used oil are acceptable level of the fuel used. The minimum TBN of the oil routine. Specifically, this means being sensitive to
film cushion that keeps metal-to-metal contact to a processes that are used for producing re-refined used in PC engines must be 20 times the fuel sulfur the early signs of trouble. One way to do this is with
minimum, thereby reducing friction and wear. But base oil. level. The TBN is defined in "ASTM D2896." a very basic check for obvious warning signals.
these are only the basic functions of oil. It is the Regardless of fuel sulfur level, the minimum TBN of Such a check would best be made often and include
Note: Filtering is inadequate for the production of
particular demands of a given application and the new oil is 5. See Illustration 2, below. these 3 key elements:
high quality re-refined basestock oils from used oil.
special conditions under which an oil is used that
largely determine the numerous additional functions 17 1. An external check of the engine for any obvious
Mineral Oils
oil must perform. These additional functions make signs of leakage from any compartment.
Mineral stocks are refined from petroleum crude oils. 15 (1)
choosing the correct oil for the job vital. The crude oil source and the refining process will 13 2. A check of the oil pressure gauge. A change

TBN by "ASTM D2896"

The selection of a suitable lubricating oil should be determine the base stock characteristics. The crude here could indicate anything from a defective oil
11
based on the engine performance requirements as oils used for diesel engine lubricants are primarily pump to a stuck pressure relief valve.
specified by the manufacturer, as well as the made up of paraffin, napthene, and aromatic 9
compounds. The crude oils with higher paraffin (2) 3. A check of the oil level gauge. A low oil level
application and the quality of the available fuel. 7
could reveal excessive consumption, leakage, or
Diesel engines, for instance, normally operate at content are most frequently used in blended engine
oils. 5 failure of oil lines.
lower speeds but higher temperatures than gasoline 3
engines, making conditions exceptionally conducive The refining process begins with vacuum distillation. Another important rule of thumb is to adhere to
to oil oxidation, deposit formation and corrosion of Vacuum distillation separates the oil into products 1 recommended oil and filter change intervals. This is
0 0.5 1 1.5 2 2.5 3
bearing metals. Under these conditions, the oil is with a similar boiling range and similar viscosities. paramount in the fight against oil contamination /
expected to function in an expanded capacity. This After vacuum distillation, the oils must be purified to Percent of Fuel Sulfur by Weight
degradation, especially with regard to high sulfur
is where additives are noticed. The final remove or modify undesirable compounds. Base oil fuels.
Illustration 2
performance characteristics of the oil depend on the purification is usually done by solvent extraction and (1) TBN of new oil
base oil and the additives used. The amount or hydrofinishing or by hydrocracking and (2) Change the oil when the TBN deteriorates to 50 percent of
types of additives used vary according to the hydrofinishing. Both of these processes are used to the original TBN.
properties of the base oil and the environment in limit or eliminate wax, sulfur, and aromatics.
which the oil will function. Variations in this refining process produce base oils Whenever the fuel sulfur exceeds 1.5 percent, do
with different characteristics. the following tasks:
Base Stocks
Lubricating oil begins with base oil or base stock. Mineral base stocks are most prevalent for diesel · Choose an oil with the highest TBN that meets one
Base stocks are mineral (petroleum) or synthetic engine oil formulation because they exhibit proven of these classifications: API CF, API CF-4, API
origin, although vegetable stocks may be used for characteristics and are readily available at a CG-4, and API CH-4.
specialized applications. The base stock provides reasonable cost.
the basic lubricating requirements of an engine. · Reduce the oil change interval, basing the interval
However, unless it is supported with additives, base Synthetic Oils on the oil analysis. Ensure that the oil analysis
oil will degrade and deteriorate very rapidly in some Synthetic base stocks are formed by processes that includes the condition of the oil and a wear metal
operating conditions. Depending on the type of chemically react materials of a specific chemical analysis.
base stock, petroleum, synthetic or others, different composition to produce a compound with planned
additive chemistries are used. and predictable properties. These base stocks have
NOTICE
viscosity indexes much higher than HVI mineral
Operating PC engines at fuel sulfur levels over 1.0
Re-refined Basestock Oils base stocks, while their pour points are considerably
percent may require shortened oil change intervals
Re-refined basestock oils are acceptable for use in lower. These characteristics make them valuable
to maintain adequate wear protection.
Caterpillar engines if these oils meet the blending components when compounding oils for
performance requirements that are specified by extreme service at both high and low temperatures.
Caterpillar. The main disadvantage of synthetics is the
significantly higher price and the somewhat limited
Re-refined basestock oils can be used exclusively in
supply. The group of synthetic oils known as esters
finished oil or in a combination with new basestock
causes greater seal swelling than mineral oils. The
oils. The US military specifications and the
possible use of ester synthetic oils requires that
specifications of other heavy equipment
component design be carefully considered for seal
manufacturers also allow the use of re-refined
and ester oil compatibility. The use of synthetic base
basestock oils that meet the same criteria.
stocks lubricants in Caterpillar engines and

-4- - 41 -
Minimizing the Occurrence of Oil Related Engine Failure Understanding Oil
Fuel Sulfur 40 machines is acceptable if the oil formulation meets Detergents help keep the engine clean by chemically
Oil contamination can take a number of forms, but the specified viscosity and Caterpillar performance reacting with oxidation products to stop the formation
35
none is more rapid in its harmful effect than the requirements for the compartment in which it will be and deposit of insoluble compounds. The
sulfuric acid that can be produced by high sulfur 30 (1) used. For very cold ambient conditions, the use of detergents in use today are metallic salts called:

TBN by "ASTM D2896"

fuels. 25 synthetic base stock oils is necessary. sulfonates, phenates, phosphonates or salicylates.
In October 1993, low sulfur fuel was mandated in 20 Synthetic base oils are acceptable for use in Alkalinity agents help neutralize acids. The
the United States for on-highway vehicles. In the Caterpillar engines and in Caterpillar machines if detergents are also strong acid neutralizers,
15 (2)
state of California "ALL" vehicles are required to use these oils meet the performance requirements changing combustion and oxidation acids into
low sulfur fuel. Low sulfur fuel was introduced as a 10 that are specified by Caterpillar for a particular harmless neutralized salts.
means to meet the engine manufacturers' (EMA's) 5 compartment. Each compartment has specific
Oxidation inhibitors help prevent increases in
need for emissions control in these applications. lubrication specifications in order to ensure proper
0 viscosity, the development of organic acids and the
There are few or no negative effects of low sulfur 0 0.5 1 1.5 2 2.5 3 lubrication and life of the system.
formation of carbonaceous matter. These anti-
fuels.
Synthetic base oils generally perform better than oxidants are the following chemicals: zinc
Percent of Fuel Sulfur by Weight
Coping with the effects of fuel sulfur is not a simple conventional oils in the following two areas: dithiophosphates, phenate sulfides, aromatic
.(1) TBN of new oil
task. Even though the use of proper lubricants and .(2) Change the oil when the TBN deteriorates to 50 percent of
amines, sulfurized esters, and hindered phenols.
• Synthetic base oils have improved flow at low
correct intervals reduces the degree of corrosive the original TBN.
temperatures especially in arctic conditions. Depressants help prevent sludge formation by
damage, engine wear will increase significantly
dispersing contaminants and keeping them in
when fuels with high sulfur content are used. Not Excessive piston deposits can be produced by an oil • Synthetic base oils have improved oxidation
suspension. Common dispersant types include
only do these fuels produce acids which chemically with a high TBN and/or high ash. These deposits stability especially at high operating temperatures.
polyisobutenyl succinimides and polyisobutenyl
attack the engine, causing corrosive wear, but the can lead to a loss of control of the oil consumption Some synthetic base oils have performance succinic esters.
oils used to negate the acid effects have a higher and to the polishing of the cylinder bore. characteristics that enhance the service life of the
ash content which increases chances of deposit Anti-wear agents reduce friction by forming a film on
Note: For the noncurrent on-highway PC oil. However, Caterpillar does not recommend
formation. metal surfaces and by protecting metal surfaces
(Precombustion Chamber) engines, the minimum automatically extending the oil drain interval for any
from corrosion. The principal types of agents are
Know the fuel sulfur content by periodically asking new oil TBN must be 20 times the fuel sulfur level. machine compartment for any type of oil, whether
alkaline detergents, zinc dithiophosphates and
your supplier or by having the fuel analyzed. Sulfur The TBN is determined by the ASTM D2896 synthetic or non-synthetic.
dithiocarbamates.
content can change with each bulk delivery. procedure. The minimum TBN of the new oil is 5, Oil drain intervals for Caterpillar diesel engines can
regardless of the fuel sulfur level. Pour-point depressants keep the oil fluid at low
Total Base Number (TBN) and Fuel Sulfur only be adjusted after an oil analysis program that
temperatures by preventing the growth and
Levels for Direct Injection (DI) Diesel contains the following data:
agglomeration of wax crystals. Pour point
NOTICE
Engines • Oil condition, oil contamination, and wear metal depressant types are polymethacrylates; styrene-
Operating Direct Injection (DI) diesel engines on fuel
The Total Base Number (TBN) for an oil depends on analysis (Caterpillar S·O·SSM Services Oil Analysis) based polyesters, crosslinked alkyl phenols and alkyl
with sulfur levels over 1.0 percent (10,000 ppm) may
the fuel sulfur level. For direct injection engines that naphthalenes.
require shortened oil change intervals in order to • Trend analysis
use distillate fuel, the minimum new oil TBN must be
help maintain adequate wear protection. Viscosity Index improvers help prevent the oil from
10 times the fuel sulfur level. The TBN is determined • Fuel consumption becoming too thin at high temperatures. Viscosity
by the "ASTM D2896" procedure.
• Oil consumption index improvers (VI improver) are chemicals which
Note: The minimum TBN of the new oil is 5 NOTICE "improve" (reduce) the rate of viscosity change with
regardless of the fuel sulfur level. Illustration 1 Cat 2007 and newer on-highway diesel engines are Refer to the "Extended Engine Oil Drains and temperature change. Chemicals used as VI
demonstrates the TBN. designed to operate only with fuel that has 0.0015 Warranty" article in the forward of this special improvers are polyisobutenes, polymethacrylates,
percent (15 ppm) or less sulfur. Refer to this Special publication. styrene-based polyesters, styrene-based copolymers
Note: TBN is also commonly referred to as Base Publication, "Distillate Diesel Fuel (Fuel Illustration 1
Additives and ethylene propylene copolymers.
Number (BN). Recommendations for On-highway Diesel Engines)"
article, and to this Special Publication, "Frequently Additives strengthen or modify certain characteristics
Use the following guidelines for fuel sulfur levels that of the base oil. Ultimately, they enable the oil to
exceed 1.0 percent: Asked Questions (Ultra Low Sulfur Diesel (ULSD)
Fuel" article. meet requirements beyond the abilities of the base
• Choose a multigrade oil with the highest TBN that oil.
meets one of these specifications/categories: Cat The most common additives are detergents,
ECF-2, Cat ECF-3, or API CJ-4 oxidation inhibitors, dispersants, alkalinity agents,
• Reduce the oil change interval. Base the oil anti-wear agents, pour-point depressants and
change interval on the oil analysis. Ensure that the viscosity index improvers.
oil analysis includes the condition of the oil and a Here is a brief description of what each additive
wear metal analysis. does and how.

- 40 - -5-
Understanding Oil Typical Examples of Oil Related Failures
Aftermarket Oil Additives the higher the TBN value, the more reserve alkalinity Valves
Caterpillar does not recommend the use of or acid-neutralizing capacity the oil contains. Most oil-related valve failures result from deposit
aftermarket additives in oil. It is not necessary to use formation or oil starvation.
aftermarket additives in order to achieve the Ash or Sulfated Ash
The ash content of an oil is the noncombustible The usual cause of valve stem seizure is deposit
maximum service life or rated performance of the
residue of a lubricating oil. Lubricating oil detergent collection between the valve stem and guide.
machine or engine. Fully formulated, finished oils
additives contain metallic derivatives, such as Seizure is indirectly caused by the accumulation of
consist of base oils and of commercial additive
barium, calcium, and magnesium compounds that deposits-contamination in the oil. More specifically,
packages. These additive packages are blended into
are common sources of ash. These metallo-organic deposits accumulate from the decomposition of
the base oils at precise percentages in order to help
compounds in the oils provide the TBN for oil lubricating products into oxidized residue and the
provide finished oils with performance characteristics
alkalinity. Excessive ash content will cause ash normal wastes generated from the combustion
that meet industry standards.
deposits which can impair engine efficiency and process. The progressive buildup of these deposits
There are no industry standard tests that evaluate power. acts to accelerate bell mouthing of the guide.
the performance or the compatibility of aftermarket
Viscosity Valve stem scuffing and/or seizure can also be
additives in finished oil. Aftermarket additives may
Viscosity is one of the more critical properties of oil. caused by lack of lubrication to the valve and valve
not be compatible with the finished oil's additive
It refers to its resistance to flow. Viscosity is directly guide.
package, which could lower the performance of the
finished oil. The aftermarket additive could fail to mix related to how well an oil will lubricate by forming a Valve seat carbon deposits can create problems if
with the finished oil. This could produce sludge. film to separate surfaces that would contact one the deposits are excessive. Some lubrication is
Caterpillar discourages the use of aftermarket another. Regardless of the ambient temperature or necessary to prevent extreme wear of the valve seat
additives in finished oils. engine temperature, an oil must flow sufficiently to and the insert in the head. But excessive deposit
ensure an adequate supply to all moving parts. formation can lead to thick carbon build-up on the
To achieve the best performance from Caterpillar
The more viscous (thicker) an oil is, the thicker the valve seat that will then break up and flake out,
machines or engines, conform to the following
oil film it will provide. The thicker the oil film, the allowing combustion gas leakage. This hot gas
guidelines:
more resistant it will be to being wiped or rubbed leakage (guttering) allows high temperature across
• Select the proper Caterpillar oil or select from lubricated surfaces. Conversely, oil that is too the valve face with cracking and/or melting of the
commercial oil that meets the specifications thick will have excessive resistance to flow at low valve.
designated by Caterpillar for the compartment. temperatures and so may not flow quickly enough to This type of valve failure can exist in liquid and gas
• See the appropriate "Lubricant Viscosities for those parts requiring lubrication. It is therefore vital fueled engines. The carbon formation tendency of
Ambient Temperatures" table in this publication in that the oil has the correct viscosity at both the the oil and the sulfated ash level of the oil affect the
order to find the correct oil viscosity grade. highest and the lowest temperatures at which the carbon formed on the valve seat.
engine is expected to operate.
• At the specified interval, service the engine or
service the other machine compartments. Use Oils change viscosity with temperature, becoming
appropriate new oil and install an appropriate new less viscous as their temperatures increase. Refining
oil filter. techniques and special additives increase the
Viscosity Index (VI) of oil. The higher the VI number
• Perform maintenance at the intervals that are of the oil, the lower its tendency to change viscosity
specified in the Operation and Maintenance with temperature.
Manual, "Maintenance Interval Schedule".
The Society of Automotive Engineers (SAE)
Total Base Number (TBN) standard oil classification system (SAE J300)
Understanding TBN requires some knowledge of categorizes oils according to their viscosity (via a
fuel sulfur content. Most diesel fuel contains some number system such as SAE 10W, SAE 30, SAE
amount of sulfur. How much depends on the 15W40, etc.).
amount of sulfur in the crude oil from which it was
Each of the viscosity grades or numbers has limits Valve stem scuffing or seizure.
produced and/or the refiner's ability to remove it.
on the viscosity of the oil at given temperatures. For
One of the functions of lubricating oil is to neutralize
viscosity grades specified with a "W" the oil viscosity
sulfur by-products, namely sulfurous and sulfuric
is defined by both viscosity at 100°C and at
acids and thus retard corrosive damage to the
maximum low temperature for cranking and
engine. Additives (primarily detergents) in the oil
pumping. In other words, the oil's viscosity has been Valve guttering effect caused by excessive deposit formation.
contain alkaline compounds which are formulated to
tested to verify the oil's flow under specified low
neutralize these acids. The measure of this reserve
temperatures. Therefore the "W" in an oil viscosity
alkalinity in an oil is known as its TBN. Generally,
grade is commonly understood to mean that the oil

-6- SEBD0640-04 - 39 -
Typical Examples of Oil Related Failures Understanding Oil
Bearing damage and excessive shaft motion caused is suitable for winter service. For grades without the
by lack of lubrication or abrasives in the oil may "W," the oil viscosity is defined at 100ºC only. The
eventually cause the shaft to bend or break. attached chart indicates the viscosities for the oil
Generally, parts worn by abrasives will look eroded. viscosity grades.
As a rule, the bearing surfaces will not look smeared
and parts will show no heat discoloration. Of the
illustrations, the first typifies wear from foreign
material in the lubricating oil; deep grooves are worn 6$(9LVFRVLW\*UDGHV)RU(QJLQH2LOVDBBB6$(-'HF
into the two steel thrust washers. The second
shows abrasive wear on the AiResearch /RZ7HPSHUDWXUH9LVFRVLWLHV +LJK7HPSHUDWXUH9LVFRVLWLHV
turbocharager; deep grooves are worn in the thrust /RZ6KHDU5DWH
washer. The damage in the third illustration is 6$(9LVFRVLW\ &UDQNLQJE F3 3XPSLQJFF3PD[ H
GF6WDW +LJK 6KHDU  5DWH
ZLWKQR\LHOGVWUHVV .LQHPDWLF
harder to identify. It is very fine abrasive wear, *UDGH 0D[ DW 7HPS & F3 DW
DWWHPS &  &
which makes the thrust bearing surface look  &PLQ
PLQ PD[
polished, and there is no heat discoloration.
: DW DW  BB BB

: DW DW  BB BB

BB BB
AiResearch. Wear grooves on surface of thrust washers. : DW DW 
BB BB
: DW DW 
BB BB
: DW DW 
BB BB
: DW DW   

     

     

   
::
    
:JUDGHV


Schwitzer. Wear grooves on mating surfaces of thrust washers.

   ::
Center washer is new thrust washer.   :JUDGHV

     

     

Note:
1 cP = 1mPa s: 1 cSt = 1mm2/s
Schwitzer. Thrust bearing surface polished by fine abrasives in a All values are critical specifications as defined by ASTM D 3244 (see J300 text)
the oil. b ASTM D 5293
c ASTM D 4684: The presence of any yield stress detectable by this method constitutes a failure regardless of viscosity.
d ASTM D 445
e ASTM D 4683, ASTM D 4741, CEC-L-36-A-90
The new standard carries a revision date of December 1999. Mandatory compliance with the new Cranking limits began June 2001.

- 38 - -7-
Understanding Oil Typical Examples of Oil Related Failures
API Engine Oil Classifications oxidative thickening, foaming, and viscosity loss due
The diesel and gasoline engine oil performance to shear. API CJ-4 oils exceed the performance
classifications are defined by the American criteria of API CI-4/CI-4 PLUS, CH-4, and CF service
Petroleum Institute (API) service classifications categories and in most applications can effectively
established jointly by API, SAE and ASTM (American lubricate engines calling for those API Service
Society of Testing Materials). Categories.
API gasoline engine oil classifications have two letter API CI-4 Introduced in 2002 for Heavy Duty Diesel
designations that start with the letter "S." The current Engine Service
active designations are API SJ, API SL and API SM.
API CI-4 oils were developed for high-speed, four-
API diesel engine oil classifications have two letter stroke cycle diesel engines designed to meet 2004
designations that start with the letter "C." The current exhaust emission standards. API CI-4PLUS was
active four-stroke cycle diesel engine oil developed for high-speed four-stroke cycle diesel
classification designations are API CJ-4, API CI-4/ engines, including engines using EGR (Exhaust Gas
CI-4PLUS, API CH-4 and API CF. API CF-4 has Recirculation). Hence this oil is designed to
been obsolete since June of 2008 and API CG-4 is disperse large percentage of soot that can be
in the process of becoming obsolete. It is expected generated by the EGR technology, while fully
that the last CG-4 license will expire by June of compatible with non-EGR engines. API CI-4/ Scratches on both bearing journals ...dirty oil.
2009. CI-4PLUS oils that also satisfy Cat ECF-2 are
strongly recommended for use in all applications that
API-CJ-4 – Introduced in 2006 for Heavy Duty do not utilize a diesel particular filter (DPF). These
Diesel Engine Service oils are also compatible with off-highway Heat discoloration on inboard side of thrust ring (AiResearch).

API CJ-4 was developed for high-speed, four-stroke applications. API CI-4/CI-4PLUS oils are
engines designed to meet 2007 model year compounded for use in all applications with diesel
on-highway exhaust emission standards. API CJ-4 fuels of sulfur content up to 500 ppm (0.05% by
oils that also satisfy Cat ECF-3 are strongly weight). For applications with fuel sulfur level
recommended for use in all applications and are greater than 500 ppm (0.05%), S.O.S oil analysis is
compatible with off-highway applications. Because strongly recommended to determine optimal oil drain
API CJ-4 oils were developed for use with Ultra Low interval.
Sulfur Diesel (ULSD) fuel of 15 ppm (0.0015% by API CI-4/CI-4PLUS oils that also satisfy Cat ECF-2
weight) sulfur or less, the use of fuels with higher specification provide optimum protection for control
sulfur level may impact the oil drain interval and of corrosive wear tendencies, low and high
S.O.S oil analysis is recommended. When API CJ-4 temperature stability, soot handling properties, piston
oils are used with diesel fuels of sulfur levels greater deposit control, valvetrain wear, oxidative thickening,
than 500 ppm (0.05%), S.O.S oil analysis is very foaming and viscosity loss due to shear. API CI-4/
strongly recommended. Note that the use of fuels CI-4PLUS oils exceed the performance criteria of
with greater than 15 ppm (0.0015%) sulfur fuel in API CH-4, and CF Service Categories.
aftertreatment equipped engines is can negatively
impact exhaust aftertreatment system durability and API CH-4 oils – Introduced in 998 for Heavy Duty
shorten the mandated cleaning service intervals. Diesel Engine Service.
Heat discoloration and rubbing marks confined to one area on
API CJ-4 oil is the first oil category developed with API CH-4 oils were developed in order to meet the face of both rings (Schwitzer).
chemical limits. API CJ-4 oils are formulated with a requirements of high –speed four-stroke diesel
maximum of 1%sulfated ash, a maximum of 0.4% engines with pre-2002 emissions requirements. API
sulfur and a maximum of 0.12% phosphorous. For CH-4 oils the also satisfy Caterpillar ECF-1-a
this reason, API CJ-4 oils are effective at sustaining specification are acceptable for use in Caterpillar
emission control system durability where particulate engines that do not utilize aftertreament devices.
filters and other advanced aftertreatment systems API CH-4 oils are acceptable for use in older diesel
are used. engines and in diesel engines that use high sulfur
diesel fuel. API CH-4 oils will generally exceed the
API CJ-4 oils provide optimum protection for control performance of prior API categories, most of which
of catalyst poisoning, particulate filter blocking, are now obsolete or in the process of becoming
engine wear, piston deposits, low and high obsolete, in the following criteria: deposits on
temperature stability, soot handling properties, pistons, control of oil consumption, wear of piston

-8- - 37 -
Typical Examples of Oil Related Failures Understanding Oil
Lack of lubricant and contaminated oil both cause rings, valve train wear, viscosity control, soot
wear on thrust bearings, making it difficult to pinpoint dispersion and corrosion.
the cause of failure. Checking journal bearing
It is important to note that the more advanced the
condition will help determine the exact cause of the
API category, the more performance engine and
failure. Heat discoloration of thrust rings also points
bench tests the category requires. API CJ-4 requires
to lack of lubrication. On AiResearch turbochargers,
15 engine and bench tests, including the demanding
distortion is most commonly seen on the inboard
multi-cylinder Cat C13 engine test and three new
side of the thrust rings. On the Schwitzer models,
full-scale engine tests. In comparison, API CI-4
discoloration tends to be confined to one area of the
requires 14 engine and bench tests and API CH-4
ring face. Often, rubbing marks are present.
require 12 engine and bench tests. Some of the
Damage appears on both rings.
engine tests common to multiple categories may
have more strict limits in the more advanced oils.
This process ensures that the newer engine oil
categories offer superior protection of the engines
compared to the preceding ones and are backwards
Heat discoloration on the shaft. compatible.
Customers need to know that Caterpillar engine oil
requirements are per Caterpillar ECF specifications,
which may have more additional requirements to API
categories. Cat ECF specifications are discussed in
detail later in this section.
API CG-4 oils are no longer accepted in Caterpillar
engines. This oil category is not robust and does not
meet the minimum requirements to protect Cat
engines.
NOTE: Do not use single grade API CF oils or
multigrade API CF oils in Caterpillar Direct Injection
(DI) Diesel Engines (except Caterpillar 3600 Series
Diesel engines).

NOTICE
API CF is not the same classification as API CF-4.
API CF oils are only recommended for Caterpillar
3600 Series Diesel Engines and Caterpillar engines
with precombustion chamber (PC) fuel systems.
Shaft broke when contact on turbine hub, due to thrust bearing
failure, weakened. Some commercial oils that meet the API
classifications may require reduced oil change
intervals. To determine the oil change interval,
closely monitor the condition of the oil and perform a
wear metal analysis. Caterpillar's S•O•SSM Oil
Analysis Program is the preferred method.

NOTICE
Failure to follow these oil recommendations can
cause shortened engine service life due to deposits
and/or excessive wear.

- 36 - -9-
Understanding Oil Typical Examples of Oil Related Failures
Engine Oil - Engine Crankcase Fluid Injection (DI) diesel engines.
Recommendations for all Caterpillar 3500
Series, C175 Series, and Smaller Direct NOTICE
Injection (DI) Engines Oils that have more than 1% total sulfated ash
Exceptions to these recommendations are 3116 and should not be used in aftertreatment device
3126 Marine Engines with Mechanical Unit Injection equipped engines.
(MUI). In order to achieve expected ash service intervals,
Cat Diesel Engine Oils performance, and life, aftertreatment device
Cat oils have been developed and tested in order to equipped diesel engines require the use of Cat
provide the full performance and service life that has DEO-ULS or oils meeting the Cat ECF-3
been designed and built into Cat engines. Cat oils specification and the API CJ-4 oil category. Oils that
are formulated with high quality basestocks and with meet the Cat ECF-2 specification and that have a
optimal amounts and composition additives. Cat oils maximum sulfated ash level of 1% are also
are currently used to fill diesel engines at the factory. acceptable for use in most aftertreatment-equipped
These oils are offered by Cat dealers for continued engines. Use of oils with more than 1% total
use when the engine oil is changed and for sulfated ash in aftertreatment device equipped
aftermarket service of the engines. Consult your Cat engines will cause the need for more frequent ash
dealer for more information on these oils. service intervals, and/or cause loss of performance.
Refer to your engine specific Operation and
Due to the additional full-scale proprietary engine Maintenance Manual, and refer to your
Lack of lubricant caused this journal bearing to be deformed.
testing required of Cat DEO-ULS and Cat DEO,, and aftertreatment device documentation for additional
due to significant variations in the quality and in the guidance.
performance of commercially available oils,
Caterpillar makes the following recommendations: Cat DEO-ULS multigrade and Cat DEO multigrade
• Cat DEO-ULS (Diesel Engine Oil - Ultra Low oils can be used in other manufacturer's diesel
Sulfur) (15W-40, 10W-30 and 5W-40) engines and in gasoline engines. See the engine
manufacturer's literature for the recommended
• Cat DEO (Diesel Engine Oil) (15W-40, 10W-30, categories/specifications. Compare the categories/
5W-40 and 0W-30) specifications to the specifications of Cat DEO-ULS
multigrade and Cat DEO multigrade oils. The
Note: Cat DEO-ULS and Cat DEO multigrade oils
current industry standards for Cat DEO-ULS
are the preferred oils for use in ALL Cat diesel
multigrade and Cat DEO multigrade oils are listed on
engines. More information can be obtained from
the product labels and on the datasheets for the
SEBU documents and from Cat dealers.
product.
Commercial alternative diesel engine oils are, as a
group, second choice oils. Consult your Cat dealer for part numbers and for
available sizes of containers.
Cat DEO-ULS multigrade and Cat DEO multigrade
oils are formulated with the correct amounts and Cat DEO-ULS and Cat DEO pass additional
composition of additives including detergents, proprietary accelerated multi-cylinder engine tests
dispersants, and alkalinity in order to provide and bench tests that are above and beyond the Rubbing on face and back of compressor wheel. This is
caused by shaft motion due to imbalance or shaft bent at
superior performance in Cat diesel engines where testing by the various API categories they meet and assembly.
recommended for use. the various Cat ECF specifications. The additional
tests include the following: sticking of the piston ring,
Cat DEO-ULS and Cat DEO multigrade oils are
oil control tests, wear tests and soot tests. Oil holes damaged on the O.D. and reduced in size on the I.D.
available in various viscosity grades that include of journal bearing due to lack of lubricant.
Proprietary tests help ensure that Cat multigrade oil
SAE 10W-30 and SAE 15W-40. Multigrade oils
provides superior performance in Cat diesel engines.
provide the correct viscosity for a broad range of
In addition, Cat multigrade oils exceed many of the
operating temperatures.
performance requirements of other manufacturers of
Multigrade oils are effective in maintaining low oil diesel engines. Therefore, these oil are excellent
consumption and low levels of piston deposits. choices for many mixed fleets. True high
performance oil is produced by using a combination
Note: Do not use single grade oils in Caterpillar
of the following factors: industry standard tests,
3500 Series, C175 Series and smaller Direct

- 10 - - 35 -
Typical Examples of Oil Related Failures Understanding Oil
Turbochargers proprietary tests, field tests and prior experience with categories are inferior to the current API oils and are
Oil-related turbocharger damage is caused by oil similar formulations. The design and the not acceptable in Cat engines.
contamination or lack of oil that can be related to development of Caterpillar lubricants that are both
Note: The availability of Cat DEO multigrade and
operating practices. The oil supplied to the high performance and high quality are based on
DEO-ULS multigrade exceeding the noted
turbocharger is required to provide bearing (both these factors.
requirements will vary by region.
journal and thrust) lubrication and also for cooling
the bearing, particularly on the turbine end. Commercial Oils Note: Cat DEO-ULS and DEO are required to pass
Caterpillar developed the Engine Crankcase Fluid additional proprietary full-scale diesel engine and
In operating the engine, startup and shutdown (ECF) specifications to ensure the availability of high bench testing that is above and beyond the testing
practices can aggravate turbocharger bearing performance commercial diesel engine oils in order required by the various Cat ECF specifications and
failures. When starting the engine, particularly at to provide satisfactory life and performance in Cat by the various API oil categories that they also meet.
colder ambient temperatures when the oil is more diesel engines where recommended for use. This additional proprietary testing helps ensure that
viscous, allow a short idling time. This idle time will
There are three current Cat ECF specifications: Cat multigrade diesel engine oils, when used as
allow the oil to warm up for proper filtration and flow
recommended, provide superior performance in Cat
before high engine and turbocharger speeds are • Cat ECF-3 diesel engines. If Cat DEO multigrade or DEO-ULS
attained. On engine shutdown, a short time at idle
• Cat ECF-2 multigrade oils are not used, as a second choice,
speed will allow the flowing oil to cool the Deep scratches and damage to oil holes on bearings.
use only commercial oils that meet the following
turbocharger bearing housing. Without the cooling • Cat ECF-1-a specifications:
period, the oil will oxidize or coke, creating deposits
on bearing surfaces and in oil passages which can Each higher specification provides increased • When the recommended and preferred Cat diesel
restrict oil flow on the next operating period. performance over lower Cat specification. For engine oils are not used, commercial oils that meet
example, Cat ECF-3 provides higher performance the requirements of the Cat ECF-1-a, Cat ECF-2,
Oil contamination can erode oil holes and can than Cat ECF-2 and much higher performance than and/or the Cat ECF-3 specification are acceptable
scratch and wear bearing surfaces as well as Cat ECF-1-a. for use in Cat diesel engines per the requirements
damage shaft and housing surfaces. The lack of oil
Cat ECF-1-a and Cat ECF-2 replaced Cat ECF-1, as of the Operating and Maintenance Manual of the
for proper lubrication will cause bearing surface
of 1 March 2007. Cat ECF-1 is obsolete. Cat engine. API category oils that have not met the
damage and also cause metal discoloration due to
ECF-3 was developed Dec of 2006. requirements of at least one Cat ECF specification
increased temperature.
may cause reduced engine life. Note that in order
Damage to the turbocharger bearings from Note: Non-Caterpillar commercial oils are, as a to achieve the maximum expected engine
contamination or lack of lubrication allows motion of group, second choice oils. Within this grouping of performance and life, some engines/engine
the shaft that permits the compressor wheel to second choice oils there are tiered levels of applications will require the use of higher
contact its housing. Typical contact damage caused performance. performance oils such as those meeting Cat
by shaft motion will be indicated by face rubbing on ECF-3 versus meeting Cat ECF-2 or Cat ECF-1-a.
a few blades near their inducer section. On the back NOTICE • When the recommended and preferred Cat diesel
of the wheel, 180° from where the face rubbing Caterpillar does not warrant the quality or
Damage from large abrasive particles in oil. Large, wide engine oils are not used, commercial oils that meet
appears, there will be some evidence of contact with grooves around the journal bearings indicate that big particles, performance of non-Caterpillar fluids.
such as steel chips, have gone through the turbocharger lubri-
the requirements of the Cat ECF-3 specification
the center housing.
cating oil. are acceptable for use in Cat diesel engines per
Cat DEO-ULS multigrade exceeds the requirements the requirements of the Operating and
of the Cat ECF-1-a, Cat ECF-2, and Cat ECF-3 Maintenance Manual of the engine.. After Cat
specifications. Cat DEO-ULS multigrade exceeds DEO-ULS and Cat DEO, commercial oils that
the performance requirements for the following API meet the Cat ECF-3 specification are preferred
oil categories: API CJ-4, API CI-4/CI-4 PLUS, API oils, when compared to commercial diesel engine
CH-4, and API CF. oils that do not meet the Cat ECF-3 specification
Cat DEO multigrade exceeds the requirements of for use in Cat diesel engines per the requirements
the following Cat Engine Crankcase Fluid (ECF) of the Operating and Maintenance Manual of the
specifications: Cat ECF-1-a and Cat ECF-2.Cat DEO engine. Note that in order to achieve the maximum
multigrade exceeds the performance requirements expected engine performance and life, some
for the following American Petroleum Institute (API) engines/engine applications will require the use of
oil categories: API CI-4/CI-4 PLUS, API CH-4, and higher performance oils such as those meeting
API CF. Cat ECF-3 versus meeting Cat ECF-2 or Cat ECF-
1-a.
Note: API CF-4 is obsolete and API CG-4 will be
obsolete in June of 2009. Oils claiming the Oils that meet the API CJ-4 oil category
performance requirements of these two oil requirements are Cat ECF-3 specification compliant.

- 34 - - 11 -
Understanding Oil Typical Examples of Oil Related Failures
Severe Applications Require the Use of Note: The following information concerning oil life
Higher Performing Diesel Engine Oils relative to used oil TBN level is provided for general
In order to help ensure the maximum expected information only, and is not the recommended
compartment performance and life, severe duty method for determining oil life. If the one half of
applications such as those operating at greater than new oil TBN guideline that is stated below is
75% load factor, operating in high humidity, used for determining oil life it must only be used
operating with fuel sulfur levels that are above 0.1% in conjunction with a complete S•O•SSM Services
(1000 ppm), etc., require the use of higher oil analysis program.
performing fluids as described in this Special Note: TBN is also commonly referred to as Base
Publication, versus using fluids that meet the Number (BN).
minimum performance levels that may be allowed
for typical applications.(ex: Where fluids meeting The minimum required Total Base Number (TBN) for
either Cat ECF-1-a, Cat ECF-2 or Cat ECF-3 are oil depends on the fuel sulfur level. For direct
offered as an option in typical applications, in order injection engines that use distillate fuel, the minimum
to help ensure the maximum expected engine new oil TBN must be 10 times the fuel sulfur level.
compartment performance and life, oil meeting the The TBN for new oil is typically determined by the
Cat ECF-3 specification must be used.) "ASTM D2896"procedure.
Shiny areas on the inside liner surface caused by heavy depos-
Note: There are additional oil considerations that are Note: The minimum TBN of the new oil is 5 its on the piston lands.
related to fuel sulfur levels. Refer to the various regardless of the fuel sulfur level. Reaching one half
"Total Base Number (TBN) and Fuel Sulfur Levels..." of new oil TBN is one of the condemning factors for
Wear caused by no lubrication for a short period of time.
topics in this Special Publication. Also refer to the diesel engine oil, but, in order to help provide the
"Diesel Fuel Sulfur" topic in this Special Publication. best protection for your engine, Cat S•O•SSM
Services oil analysis is the preferred method of
determining oil life. For best results when
NOTICE
determining oil life using the one half new oil TBN
In selecting oil for any engine application, both the
method, determine the new and used oil TBN using
oil viscosity and oil performance category/
both the "ASTM D2896" and the "ASTM D4739" test
specification as specified by the engine
methods. Change the oil when reaching one half of
manufacturer must be defined and satisfied. Using
new oil TBN with either respective TBN test method
only one of these parameters will not sufficiently
using the results from which ever respective test
define oil for an engine application.
method shows reaching one half of new oil TBN first.
In order to make the proper diesel engine oil For example, new oil with a TBN of 10 by "ASTM
viscosity grade choice, refer to the "Lubricant D2896" should be changed when, during use, the
Viscosities for Ambient Temperatures for DI Diesel TBN deteriorates to 5 as determined by the "ASTM
Engines" table in this Special Publication. D2896" test method, and new oil with a TBN of 10
by "ASTM D4739" should be changed when, during
NOTICE use, the TBN deteriorates to 5 as determined by the
Oils that have not met the requirements of at least "ASTM D4739" test method. Use the results from
one Cat ECF specification may cause reduced which ever respective test method reaches one half
engine life. of new oil TBN first.
Excessive piston deposits can be produced by oil
with a high TBN and/or high ash. These deposits
NOTICE The heavy first and second land deposits indicate the oil can
can lead to a loss of control of the oil consumption no longer keep the piston clean. The extreme degradation and
Failure to follow these oil recommendations can
and to the polishing of the cylinder bore. deterioration of the oil may be due to extended oil change
cause shortened engine service life due to deposits intervals or improper oil performance classification selection.
and/or excessive wear. There are many factors that contribute to rapid TBN
depletion, a not all inclusive list follows:
Total Base Number (TBN) and Fuel Sulfur • High sulfur fuel (The more fuel sulfur, the more
Levels for Direct Injection (DI) Diesel rapid the TBN depletion.)
Engines
The use of Cat S•O•SSM Services oil analysis is • Faulty engine coolant regulators
strongly recommended for determining oil life. • Light loads

- 12 - - 33 -
Typical Examples of Oil Related Failures Understanding Oil
Pistons, Rings and Liners • Short operation cycles Note: The use of Cat S·O·SSM Services oil analysis
Oil-related piston failure is most commonly caused helps environmental sustainability as it is the best
• Excessive idling
by the abrasive action of contaminated oil which way to optimize oil life, and will help engines reach
results in wear of the piston skirt. Indications • Operating in applications were normal operating their expected life. Consult with your Caterpillar
include a very dull gray piston skirt, chrome facings temperature is seldom reached dealer regarding the testing required to establish a
worn off on all rings, oil ring rails worn away, badly safe, optimized oil drain interval.
• High humidity (allowing excessive condensation)
worn grooves and some liner wear.
Standard oil drain intervals as published in engine
Note that bullets 2 through 7 directly above all can specific Operation and Maintenance Manuals are for
Piston scuffing, which appears in streaks on the
contribute to excessive water in the crankcase oil. typical applications:
skirt, particularly in the pin bore area, and little or no
The water combines with available sulfur to form
scuffing on the first land, may be caused by
sulfuric acid, neutralizing this and other acids that • Using recommended oils
inadequate liner lubrication. Breakdown of oil film
are formed contribute to rapid TBN depletion.
can produce seizure marks. • Using good fuel
Piston rings can show wear in the spring groove. NOTICE • Using industry standard good maintenance
Some spring groove wear is normal, but neglected Depending on application severity and localized practices
oil changes will cause severe ring "lock-up" that environmental conditions, and also depending on • Following maintenance intervals as published in
occurs when the spring catches in a worn groove maintenance practices, operating Direct Injection engine specific Operation and Maintenance
and prevents full expansion. (DI) diesel engines and operating PC Manuals
Liner damage can be caused by lack of lubrication (Precombustion Chamber) diesel engines on fuel
with sulfur levels over 0.1 percent (1000 ppm) may More severe applications may require shortened oil
or by abrasives which can polish the bore (remove
require significantly shortened oil change intervals in drain intervals, while less severe applications may
the crosshatch pattern) and leave a shiny surface.
Piston skirt damaged by abrasive wear. order to help maintain adequate wear protection. allow for longer than standard oil drain intervals.
Refer to this Special Publication, "Fuel High load factors (above 75%), particularly in
Specifications" section, "Diesel Fuel Sulfur" topic for conjunction with high sulfur fuels, can contribute
additional information. significantly to reducing oil drain intervals below
standard oil drain intervals.
Note: For PC (Precombustion Chamber) diesel Consult with your Caterpillar dealer regarding the
engines, which are mainly 1990 and older engines, testing that is required in establishing oil drain
the minimum new oil TBN must be 20 times the fuel intervals that are optimized for your application.
sulfur level. The diesel engine oil types,
specifications, and viscosity grades In order to help protect your engine, and in order to
recommendations provided for DI diesel engines in help optimize oil drain intervals for engine specific
this Special Publication are also applicable to PC applications and duty cycles, Cat S·O·SSM Services
diesel engines. For additional fluids information oil analysis is:
related to PC diesel engines, refer to this Special • Recommended as a matter of course
Publication, "Engine Oil for Precombustion Chamber
(PC) Diesel Engines (Engine Crankcase Fluid • Very strongly recommended in order to determine
Recommendations for All Series 3500 Series and oil drain intervals when operating on fuel with
Smaller PC Diesel Engines)" article. sulfur levels between 0.05% (500 ppm) and 0.5%
(5000 ppm)
Note: DO NOT USE ONLY THIS SPECIAL
PUBLICATION AS A BASIS FOR DETERMINING • Required in order to determine oil drain intervals
OIL DRAIN INTERVALS. when operating on fuel with sulfur levels that are
above 0.5% (5000 ppm)
This Special Publication does not address
Seizure marks from top to bottom can indicate a cooling or recommended oil drain intervals, but rather provides Note: Engine operating conditions play a key role in
lubrication system failure. guidance that should be used in conjunction with determining the effect that fuel sulfur will have on
your specific engine/machine Operation and engine deposits and on engine wear. Consult your
Maintenance Manuals in determining acceptable oil Caterpillar dealer for guidance when fuel sulfur
drain intervals. Consult your engine/machine levels are above 0.1% (1000 ppm).
Operation and Maintenance Manuals, and consult
Caterpillar dealers for additional guidance, including
but not limited to guidance on establishing optimized
and/or acceptable oil drain intervals.

- 32 - - 13 -
Understanding Oil Typical Examples of Oil Related Failures
Selecting the Viscosity reduced performance and engine failure. Crankshafts
Ambient temperature is the temperature of the air in The oil that flows to the bearings forms an oil film
the immediate vicinity of the engine. This may differ between the crankshaft journal and bearing.
due to the engine application from the generic NOTICE Rotation of the crankshaft journal tends to force oil
ambient temperature for a geographic region. When The footnotes are an integral part of the "Lubricant between the journal and the bearing and, during
selecting the proper oil viscosity for use, review both Viscosities for Ambient Temperatures" tables - read normal operation, prevents metal-to-metal contact
the regional ambient temperature and the potential all footnotes! as the pressurized oil develops.
ambient temperature for a given engine application.
Lack of lubrication, or oil "starvation," causes metal-
Generally, use the higher temperature as the
NOTICE to-metal contact, increased friction, and higher
criterion for the selection of the oil viscosity.
In colder ambient conditions an engine warm-up temperatures that lead to the bearing seizing to the
Generally, use the highest oil viscosity that is
procedure and/or supplemental engine fluid shaft. In extreme cases the bearing surface will
allowed for the ambient temperature when you start
compartment heat may be required. Engine specific adhere so tightly that the crankshaft surface will be
the engine. In arctic applications, the preferred
warm-up procedures can typically be found in the completely destroyed.
methods are to use a heated enclosure, or properly
Operation and Maintenance Manual for the engine.
sized engine heaters and a higher viscosity grade Contaminated oil also causes excessive wear of the
oil. Thermostatically controlled heaters that circulate crankshaft. This is almost always a result of
the oil are preferred. NOTICE abrasives/contamination embedded in the bearing.
The proper oil viscosity grade is determined by the Not following the recommendations found in the
minimum ambient air temperature (the air in the "Lubricant Viscosities for Ambient Temperatures"
immediate vicinity of the engine). This is the Tables and associated footnotes can lead to reduced
temperature when the engine is started and while performance and engine failure. Crankshaft Rotation
the engine is operated. In order to determine the Result of oil starvation.
proper oil viscosity grade, refer to the "Min" column Oil Molecules Picked
NOTICE Up By Moving
in the table. This information reflects the coldest Crankshaft Journal
Do NOT use only the oil viscosities when
ambient temperature condition for starting a cold
determining the recommended oil for an engine
engine and for operating a cold engine. Refer to the
compartment. The oil type (category/specification)
"Max" column in the table in order to select the oil
MUST also be used.
viscosity grade for operating the engine at the
highest temperature that is anticipated. Use the
highest oil viscosity that is allowed for the ambient Note: Different brand oils may use different additive
temperature when you start the engine. packages to meet the various engine performance Bearing
category/specification requirements. For the best
Engines that are operated continuously and/or are results, do not mix oil brands. Oil Molecules
heavily loaded should use oils that have the higher Forced Between
oil viscosity. The oils that have the higher oil Note: The availability of the various Caterpillar oils Oil Film Crankshaft and
Bearing
viscosity will maintain the highest possible oil film will vary by region.
thickness. Consult your dealer if additional
Oil film between crankshaft journal and bearings.
information is needed.
Note: SAE 0W and SAE 5W oils are generally not
recommended for use in engines that are operated
continuously and/or are heavily loaded. The oils that
have the higher oil viscosity will maintain the highest
possible oil film thickness. Consult your Caterpillar
dealer if additional information is needed.

NOTICE
Deep circumferentail scratches shows effects of abrasives
Proper oil viscosity AND oil type (category/ embedded in the bearing surface.
specification) are required to maximize engine
performance and life. Do NOT use only oil viscosity,
or only oil type to determine the engine oil selection.
Using only the oil viscosity or only the oil type to
determine the engine oil selection can lead to

- 14 - - 31 -
Typical Examples of Oil Related Failures Understanding Oil
• C7
• C-9
• C9
• 3116
• 3126

Table 1
Lubricant Viscosities for Ambient Temperature
for DI Diesel Engines(1)(2)
Caterpillar DEO Ambient Temperature
Multigrade
API CH-4, API CG-4
and API CF-4 Minimum Maximum
Viscosity Grade
SAE 0W30 -40 °C (-40 °F) 30 °C (86 °F)
SAE 0W40 -40 °C (-40 °F) 40 °C (104 °F)
SAE 5W30 -30 °C (-22 °F) 30 °C (86 °F)
Very heavy scratches and wear caused by lack of oil. Some of SAE 5W40 -30 °C (-22 °F) 50 °C (122 °F)
the lead-tin overlay has been lost. SAE 10W30(3) -18 °C (0 °F) 40 °C (104 °F)
SAE 10W40 -18 °C (0 °F) 50 °C (122 °F)
SAE 15W40 -9.5 °C (15 °F) 50 °C (122 °F)

(1) Refer to this Special Publication, "Engine Oil" article for rcom-
Select an oil with a suitable viscosity and a proper performance mendations of diesel engine oil type.
Scratched bearing surface. Notice embedded particles of (2) Supplemental heat is recommended for cold-soaked starts below
debris. classification.
the minimum ambient temperature. Supplemental heat may be
required for cold-soaked starts that are above the minimum temper-
The proper SAE viscosity grade of oil is determined ature that is stated, depending on the parasitic load and other fac-
tors. Cold-soaked starts occur when the engine has not been oper-
by the minimum ambient temperature during cold ated for a period of time, allowing the oil to become more viscous
engine start-up, and the maximum ambient due to cooler ambient temperatures.
temperature during engine operation. (3) SAE10W-30 is the preferred viscosity grade for the 3116, 3126,
C7, C-9 and C9 diesel engines when the ambient temperature is
Refer to Table 1 (minimum temperature) in order to between -18 °C (0 °F) and 40 °C (104 °F).
determine the required oil viscosity for starting a cold
engine.
Refer to table 1 and associated footnotes for
Refer to Table 1 (maximum temperature) in order to guidance on selecting the proper oil viscosity grade
select the oil viscosity for engine operation at the for various ambient temperatures.
highest ambient temperature that is anticipated.
Note: C175 Series diesel engines require the use of
Note: Generally, use the highest oil viscosity that is multigrade SAE 40 oil. IE: SAE 0W-40, SAE 5W-40,
available to meet the requirement for the SAE 10W-40, or SAE 15W-40. In ambient
temperature at start-up. temperatures of -9.5 °C (15 °F) or above, SAE
If ambient temperature conditions at engine start-up 15W-40 is the preferred oil viscosity grade. Refer to
require the use of multigrade SAE 0W oil, SAE table 1 and associated footnotes for guidance on
0W-40 viscosity grade is generally preferred over selecting the proper oil viscosity grade for various
SAE 0W-30. ambient temperatures.
Set of main bearings that were damaged by debris. The Scratches and wear on journal surface. Note: SAE 10W-30 is the preferred viscosity grade
bearings have all stages of damage.
for the following diesel engines when the ambient
temperature is above -18 °C (0 °F), and below 40 °C
(104 °F).

- 30 - - 15 -
Understanding Oil Typical Examples of Oil Related Failures
The API Donut piston and combustion chamber deposits, corrosive A major source of debris-laden oil is a plugged filter.
To aid customers in selecting the appropriate oil, the damage, and increased oil consumption. Plugged filters allow unfiltered oil containing wear
American Petroleum Institute has developed the API particles, dirt and debris to flow to the bearings,
For proper selection of oil type, refer to the
"donut" symbol. The symbol (see drawing below) scratching and damaging their surfaces.
applicable "Engine Oil" article in this Special
indicates the API service classification (upper half of
Publication. Excessively dirty oil can cause damage even after
the circle), SAE viscosity grade (center of the
changing oil. Some old abrasives may remain
symbol) and, if applicable, energy conserving feature For the proper selection of oil viscosity grade, refer
embedded in the bearings and cause the bearings
of an oil (bottom half of the circle). Energy to the "Lubricant Viscosities for Ambient
to act like a grinder on the crankshaft. See the next
conservation is not applicable to heavy-duty diesel Temperatures" tables in this Special Publication.
section, "Minimizing the Occurrence of Oil-Related
engine oils. Also, refer to this Special Publication, "Lubricant
Engine Failure," for examples of crankshaft damage.
Viscosities" article.
While any oil supplier may use the API service
classifications to indicate the performance level of Before attempting to start the engine, make sure that
any one of their commercial oils, only licensed the oil in the engine is fluid enough to flow. Check
companies may use the API donut symbol on their the oil by removing the dipstick. If the oil will drip
labels. Licensees who use this donut have certified from the dipstick, then the oil should be fluid enough
that each licensed oil meets all prescribed technical to allow the engine to start. Do not use oil that has
performance standards. Some monitoring is done been diluted with kerosene. Kerosene will evaporate
through the SAE Oil Labeling Assessment Program in the engine. This will cause the oil to thicken.
(OLAP), cosponsored by API and the U.S. Army, Kerosene will cause swelling and softening of the
which analyzes a representative sample of oils in the silicone seals. Kerosene will dilute the oil's additives. Scuffed rod bearing with more severe damage as a result of
lack of lubrication.
marketplace. Therefore, for best assurance that an Dilution of the oil's additives will reduce the oil's
oil does meet the advertised performance performance, and reduce the engine protection that
classification, select an oil that has the API donut the additives provide.
display.
If the viscosity of the oil is changed for colder
weather, also change the filter element. If the filter is
not changed, the filter element and the filter housing
can become a solid mass. After the oil is changed,
operate the engine to circulate the thinner oil.
When you start a cold-soaked engine or when you
operate an engine in ambient temperatures that are
below−18°C (0°F) use base oils that can flow in low
temperatures. These multigrade oils have lubricant
viscosity grade of SAE 0W or of SAE 5W. An
example of viscosity grade is SAE 5W-40.
When you start a cold-soaked engine or when you
operate an engine in ambient temperatures that are
Bearing shows smearing, which is the initial stage of damage
below −30°C (−22°F), use a synthetic base stock caused by lack of lubrication
Cold Weather Lubricants multigrade oil. The oil should have a lubricant
viscosity grade of SAE 0W or SAE 5W. Use an oil
NOTICE
with a pour point that is lower than −40°C (−40°F). Seized bearing, which is the final stage of lack of lubrication
Recommended engine warm-up procedure must be damage.
followed. Refer to the engine Operation and Note: Use the highest oil viscosity grade that is
Maintenance Manual. Also refer to the relevant allowed for the ambient temperature when you start
"Lubricant Viscosities for Ambient Temperatures" the engine. If a different oil viscosity grade is
table footnote in this Special Publication. specified in the table for "Lubricant Viscosities for
Ambient Temperatures", use the viscosity grade that
is specified in the table. In arctic applications, the
NOTICE preferred method of lubrication is to use an engine
Excessive engine idling time can contribute to compartment heater that is properly sized and to use
excessive water in the crankcase oil, causing oil that is a higher viscosity grade. Refer to the
corrosion, sludge, and other problems. Excessive "Lubricant Viscosities" article in this Special
engine idling time can also lead to injector fouling, Publication for further details.

- 16 - - 29 -
Typical Examples of Oil Related Failures Understanding Oil
The Lubrication System To Fuel Injection Note: Cold-soaked starts occur when the engine has
Pump Housing Rocker Arm Shaft
A basic understanding of the engine lubrication not been operated for a period of time, allowing the
Turbocharger
system is not only helpful in understanding how oil oil to become more viscous due to cooler ambient
To Rocker Arm temperatures. Supplemental heat is recommended
contamination/degradation can damage engine Shaft
To Valve Lifters
components but also in understanding how a lack of for cold-soaked starts that are below the minimum
Bore for Camshaft
oil can have an equally debilitating effect. Bore for Piston Cooling ambient temperatures listed in the "Lubricant
Balancer Shaft Tubes Viscosities for Ambient Temperatures" tables.
Most oil-related failures are caused either by Supplemental heat may be required for cold-soaked
contaminated or degraded oil flowing through the To Timing Gear starts that are above the minimum temperature that
engine or by oil failing to flow to a given component. Housing
is stated, depending on the parasitic load and other
Knowing how the lubrication system "feeds" the Oil Manifold factors.
engine can simplify failure analysis. An example of
this would be a bearing failure due to lack of Bypass Valve For

lubrication. If the failure is discovered early, the

Oil Cooler NOTICE
bearings farthest from the oil supply may show the Oil Filters
Engines that use fluid or pan heaters, or heated
greatest damage. enclosures, or are kept running under load, etc. can,
Oil Pan Oil Pump and generally should use higher viscosity oil. The
The lubrication system for each engine may differ The lubrication system of a 3408 Engine. "Lubricant Viscosities for Ambient Temperatures"
slightly; however, most principles are the same. The tables (Maintenance Section) "Minimum" viscosity
lubrication system for the 3408 Engine is similar to Bearings for ambient temperature recommendations are for
other engine lubrication systems. As shown in the Oil-related bearing failure is usually attributed to one cold-soaked conditions. Use the highest viscosity oil
schematic, the oil pump sends oil through the oil of two sources: lack of lubrication or dirt in the oil. that is allowed for the ambient temperature when
cooler and then through the oil filters. The bypass Lack of lubrication or oil starvation refers to an you start the engine - BUT, under Continuous Usage
valves for the oil cooler or oil filters protect the insufficient oil film between the crankshaft journal (Multiple Shifts/Day), and/or when using fluid or pan
system if there is a reduction in the oil flow. When and bearing. Prolonged operation of an engine with heaters, etc., use a higher viscosity oil, NOT the oil
the engine is started with cold oil, or if the cooler or an insufficient oil film will cause damage to progress with the minimum recommended viscosity for cold-
filter becomes plugged, the bypass valves assure a quickly to a smeared bearing, then to a scuffed soaked starting conditions. The higher viscosity oil
constant flow of oil to the engine oil passage. bearing, and finally to a seized bearing. The first will maintain the highest possible oil film thickness.
Oil from the filter flows into the block oil manifold. stage of this type of damage is smearing. This stage Refer to the "Lubricant Viscosities for Ambient
This oil then flows into the various block oil will show displacement of the lead-tin overlay, Temperatures" tables and the table footnotes for
passages to lubricate and cool the various engine normally in the center of the bearing. exceptions.
components; then it returns to the oil pan. In the second stage of damage, scuffing, the Example: The oil viscosity recommended for use in
aluminum in the center of the bearing is displaced. Caterpillar diesel engines for cold-soaked starts at
The final stages of failure result in total seizure. −40 °C (−40 °F) is multigrade oil of the SAE 0W
viscosity grade (SAE 0W-30, etc.). If the diesel
In all three stages the rotating journal displaces engine is run continuously, SAE 15W-40 viscosity
some of the bearing material from the crown toward grade diesel engine oil can be used - and is
the mating face of each bearing half. The amount of generally the preferred oil viscosity in this situation.
displaced material will depend on how severe the
lack of lubrication is.
NOTICE
Contamination in the oil causes abrasion and results
If ambient conditions warrant, a higher viscosity oil
in scratching the bearing surface by wiping away
of the recommended specification/category for a
some of the oil film. Particles of iron, steel,
given compartment may need to be installed in order
aluminum, plastic wood, cloth, etc. can also attack
to provide adequate film thickness.
the journal surface. As the bearing and journal
surfaces wear, clearances increase and oil film
thickness changes, resulting in uneven support of NOTICE
the surfaces. Recommended engine warm-up procedure must be
followed. Refer to the Operation and Maintenance
Manual.

- 28 - - 17 -
Understanding Oil Contamination & Degradation
Cleanliness / Oil Filtering Filter plugging can also cause distortion of the Viscosity
Normal engine operation generates a variety of element. This happens when there is an increase in Viscosity is defined as a measure of a fluid's
contaminants - ranging from microscopic metal the pressure difference between the outside and resistance to flow. The standard measure of this
particles to corrosive chemicals. If the engine oil is inside of the filter element. Distortion can progress property for crankcase oils is termed "kinematic
not kept clean through filtration, this contamination to cracks or tears in the paper. This again allows viscosity." Kinematic viscosity is based on the ability
would be carried through the engine via the oil. debris to flow into the engine where it can damage of an oil to flow under the influence of gravity
components. through a capillary tube. The test for kinematic
Oil filters are designed to remove these harmful
viscosity is defined by ASTM D445.
debris particles from the lubrication system. Use of New filter element(s) should be installed any time
a filter beyond its intended life can result in a the engine sump oil is drained and the engine sump Crankcase oil may begin to lose its lubricating
plugged filter. A plugged filter will cause the bypass is filled with new oil. properties after experiencing a 3 cSt. Change. An oil
valve to open, releasing unfiltered oil. Any debris which has experienced a viscosity change of this
particles in the oil will flow directly to the engine. magnitude should not be continued in use because
When a bypass valve remains open, the particles damage to the engine may occur.
that were previously trapped by the filter may also
There are 2 most frequent causes for an increase in
be flushed from it and then through the open bypass
crankcase oil viscosity. The first is an accumulation
valve.
of combustion by-products (mainly soot) which can
thicken the oil. The second is heat, which can cause
oxidation. Also, oxidation, with resultant oil
thickening, can occur if engine coolant (glycol)
enters the crankcase. Water from condensation or
contamination can also contribute to oxidation.
There are two primary reasons an oil might
experience a decrease in viscosity. The first is fuel
dilution, which is not a failure of the oil but a
contamination problem that must be resolved
promptly. Another possible reason for a viscosity
decrease is shearing of the long-chain polymer
molecules that comprise the viscosity improver
additives. In such an instance, the oil can no longer
maintain performance at higher temperatures and
migrates toward the lower viscosity of the base stock
mineral oil. In either case, fuel dilution or shearing,
the oil can "thin down" to the point it can no longer
maintain an adequate oil film at operating
temperatures.

Spiral Roving and Acrylic Beads maintain pleat stability and spac- When investigating a change in oil viscosity be alert
ing, prevent bunching, and maximize efficiency and capacity. to the possibility that the wrong oil was used during
an oil change or as make-up oil. Careful analysis of
FT-IR test results can help determine this possibility.
An oil that has experienced a 3 centistoke change
has been used beyond its useful life. An increase in
wear metal debris will probably be detected in
samples of oil which have experienced this amount
of viscosity change.

- 18 - - 27 -
Contamination & Degradation Understanding Oil
Oil Condition Analysis is just one part of the S·O·SSM injection nozzles and other sources of leakage. Fuel
Services program that provides information to dilution is generally the result of extended idling,
reduce downtime and save you money by preventing incorrect timing, or a problem with the fuel injectors,
major engine problems. pumps or lines.
Additional Tests: Glycol, Water, Fuel TBN
Detection, Viscosity, and TBN All diesel fuels contain some sulfur. How much
Additional oil analysis tests may be required to better depends on the amount of sulfur in the crude oil and/
define the condition of used engine oil. If the FT-IR or the refiner's ability or desire to remove it. One of
results show the presence of glycol, water, or diesel the functions of lubricating oil is to neutralize sulfur
fuel, additional testing will be needed to measure the by-products (sulfurous and sulfuric acids), as well as
quantity of these contaminants in the oil. Also in organic acids formed by oxidation. In this way, the
some cases, severe conditions may warranty the oil helps prevent corrosive damage. Additives in the
need for additional oil tests. These additional tests oil contain alkaline compounds formulated to
enhance the information already gathered in the neutralize these acids. The measure of reserve
Wear Rate Analysis and Oil Condition Analysis. alkalinity in the oil is known as the Total Base
Number (TBN). Generally, the higher the TBN value, Proprietary Media designed to maximize engine life. Non-Metallic Center Tube prevents metal contamination and is
Glycol (Coolant) the more reserve alkalinity capacity the oil contains. stronger than metal to prevent collapsing.
Glycol causes rapid oxidation of the oil and usually
indicates a cooling system leak. Severely oxidized Sulfuric and other acids signal danger to metal
oil becomes sticky and forms sludge that plugs the engine parts, causing corrosive wear to the surfaces
filter. Any amount of glycol contamination in the oil of valve guides, piston rings and liners. The type of
is unacceptable. Engines using water-to-oil coolers corrosive wear attributed to high sulfur content fuel
may become contaminated with coolant if a leak can also accelerate oil consumption. Because the
develops in a cooler tube or seal. level of sulfur oxides in a used oil increases with a
longer oil change interval, checking the TBN of oil is
Water important. The TBN of the oil should be checked for
If infrared analysis indicates the presence of water, each oil sample.
the approximate amount is determined by placing a
drop of oil on a plate heated to between 230°-250° Engine jacket water outlet temperature influences
F. If water is present, the oil will bubble and sputter. the formation of corrosive acids. Even when using a
By comparing the amount of bubbling to laboratory fuel with less than 0.5% sulfur coolant temperatures
control samples, experienced laboratory technicians below 82.2° C (180° F) can cause acid vapors to
can determine the quantity of water in the sample. condense in the engine oil system and corrosive
Any amount over 0.5% is considered excessive. attack occurs. Low temperatures also increase the
amount of water condensation which otherwise
Water can contaminate a system by leaking in from might have evaporated out of the oil at normal
the outside or condensing in the engine's crankcase operating temperature. This residual water depletes
or compartment. When water combines with oil, it certain oil additives and reduces the oil's ability to
reduces the oil's ability to lubricate and forms a protect engine parts. This causes deposits, sludge One-Piece Urethane End Caps bond tightly with filter media for
sludge that plugs filters. Water passing between very formation, lacquering, varnish and carboning. In greater strength.
close components can create "hot spots." If the applications where humidity is high, acids are more
water gets hot enough, it causes tiny steam likely to form because of the additional water in the
explosions that can fracture metal. air. So, both low coolant temperature and high
humidity can result in increased corrosive attack.
Fuel
Fuel contamination is confirmed using a flash test in
which the used oil is heated to a prescribed
temperature in a closed cup, then subjected to a
flame. Fuel vapors driven off by the heat will flash.
Fuel in the engine oil reduces its lubricating
properties. Small amounts of fuel are common as a
result of the combustion process. But if fuel levels
exceed 4% we will suggest a check for defective fuel

- 26 - - 19 -
Contamination & Degradation Contamination & Degradation
Understanding Oil Condition Analysis It is held in suspension by the oil additive package
Oil Condition Analysis is similar to Wear Rate and causes engine oil to turn black. When soot
Analysis with one important exception: it evaluates drops out of suspension in the oil, it contributes to
chemical compounds in the oil rather than wear additive depletion and eventually increases oil
element particles. viscosity. Heavy concentrations of soot can cause
bearing damage by starving contact surfaces of
It works like this: lubrication.
1. You submit a sample of new oil, called
"reference oil," when you enroll in the S·O·SSM
Oxidation
Oxidation occurs when oxygen molecules chemically
Services program and when you get new
join with oil molecules. This chemical reaction is
shipments of bulk oil. Reference oil samples are
accelerated by high oil temperatures, glycol
processed at no cost to you. If you are using Cat
contamination from engine coolant, the presence of
oil, new oil samples may not be necessary.
copper and from extended oil change intervals.
Advise your S·O·SSM analyst of the viscosity of
Oxidation causes the oil to thicken, form acids, and
the Cat oil you use in each system; it has its own
lose lubrication qualities, which threatens the life of
Cat oil reference samples.
your components. Oxidized oil will cause deposits
2. The new oil is scanned by a special instrument on engine pistons and valves, stuck rings, and bore
using infrared light. Information is stored in the polishing.
instrument's memory.
Nitration Products
Taking an oil sample. 3. At each scheduled interval, you submit a sample Nitration occurs in all engine oils but is generally
of used oil. only a problem in natural gas engines. Nitrogen
compounds from the combustion process thicken the
4. The Oil Condition Analysis instrument focuses a oil and reduce its lubricating ability. If nitration
beam of light through a film of used oil and continues unchecked, it can result in filter plugging,
records the data. heavy piston deposits, lacquering of valves and
5. The instrument uses a mathematical formula to pistons, and eventual failure.
The presence of water in the oil is verified and measured by the
sputter test. compare the used and new oils and quantify any
Sulfur Products/Acids
differences.
Sulfur is present in all fuels and affects all engines.
Fourier Transform Infrared Analysis During combustion, fuel sulfur oxidizes then
S·O·SSM Oil Condition Analysis includes an infrared combines with water to form acid. Acid corrodes all
instrument that uses a mathematical method to engine parts but is most dangerous to valves and
convert raw instrument data into meaningful terms. valve guides piston rings and liners.
This test, often called FT-IR (Fourier Transform Optimizing Your Equipment with the
Infrared Analysis), identifies and quantifies organic
compound groups by measuring their infrared S·O·SSM Services Program
absorption at the specific wavelength of each group. Oil degradation may be the result of a number of
Besides identifying oxidation, soot, sulfur products factors and conditions, including extended oil change
and nitration, the test is also used to scan for oil intervals, abnormal temperatures, or contamination
contamination by fuel, water or glycol (engine by fuel, water or coolant. Lower quality oils will
coolant). degrade more rapidly than a premium quality
lubricant.
Identifying Oil Condition Before It Causes With Oil Condition Analysis, you can determine the
Problems extent to which oil has deteriorated during use and
Analyzing an oil sample using an inductively coupled plasma Oil Condition Analysis detects soot, oxidation and verify whether it is performing up to specification
spectrophotometer. nitration products and sulfur products/acids. This during the entire oil change period.
test can also detect contamination by water, fuel and
glycol from coolant. If detected, specific contaminant
tests are used to confirm findings. Oil Condition
The presence of fuel in the oil is verified and measured with a Analysis focuses on:
Setaflash Tester.
Soot
Soot is the insoluble residue of partially burned fuel.

- 20 - - 25 -
Contamination & Degradation Contamination & Degradation
The Technology Behind Wear Rate Analysis Oil Maintenance up to about 10 microns in size. Wear metal
We use an emission spectrometer to perform Wear Rate Analysis. The spectrometer determines wear Proper oil maintenance is imperative to keep diesel concentrations are expressed in parts-per-million
elements and silicon in a sample by subjecting the oil to very high temperatures. At these temperatures, the engines operating at peak performance. Oil (ppm). The S·O·SSM Services program tests for at
elements in the sample are "atomized," with each emitting a different wavelength of light energy. An optical maintenance includes scheduled oil changes and oil least 9 different substances: copper, iron, chromium,
system measures and records the light energy and calculates the results in parts-per-million for each analysis. Oil analysis is important because the lead, tin, aluminum, molybdenum, silicon and
element. performance of engine oil slowly degrades with time. sodium. All are wear metals found in Caterpillar
This degradation takes place as the amounts of engines except silicon (which generally indicates
wear metals and contaminants increase. Under dirt) and sodium (which indicates water or coolant).
&RPELQDWLRQVRI&ODVVLF:HDU(OHPHQWV severe operating conditions, the degradation Certain elements in a sample may be from the oil
3ULPDU\ 6HFRQGDU\ 3UREDEOH3UREOHP$UHD&DXVHV process can be accelerated. For diesel engines, additive package rather than from wear within the
(OHPHQW 3RWHQWLDO:HDU
(OHPHQW severe conditions are defined as one or more of the system. Skilled dealer interpreters can tell the
6LOLFRQ'LUW ,URQ&KURPH /LQHUV5LQJV3LVWRQV $LU,QGXFWLRQ6\VWHP)LOWHU'LUW difference between normal elements and those that
following: high load factor, excessive cycling,
$OXPLQXP &RQWDPLQDWLRQ
extended oil drains, high altitude, dusty air, indicate abnormal wear.
(QJLQHV $EQRUPDO2SHUDWLQJ7HPSV2LO prolonged idle, high sulfur fuel, and low jacket water
&KURPH
7RS(QG ,URQ $OXPLQXP /LQHUV5LQJV3LVWRQV 'HJUDGDWLRQ)XHODQGRU&RRODQW temperatures. In either normal or severe conditions, Trending Wear Metals In Your Engine
&RQWDPLQDWLRQ6WXFN%URNHQ5LQJV Two identical engines under identical conditions may
crankcase oils eventually lose the ability to
0RO\EGHQXP %ORZE\2LO&RQVXPSWLRQ2LO adequately lubricate and protect engine parts from generate wear particles at different rates. Our
&KURPH 5LQJV3LVWRQV
$OXPLQXP 'HJUDGDWLRQ accelerated wear and damage. S·O·SSM interpreters have access to a large database
$EQRUPDO2SHUDWLQJ7HPSV/DFNRI of samples for comparison with samples from your
BBB /LQHUV*HDUV9DOYH /XEULFDWLRQ&RQWDPLQDWLRQ6WRUDJH It is therefore important to analyze the oil at regular engine. However, your own engines may provide
,URQ
7UDLQ&UDQNVKDIW 5XVW intervals. Caterpillar has developed a maintenance the best guidelines for appropriate levels of wear
/HDG$OXPLQXP %HDULQJV 'LUW&RQWDPLQDWLRQ
management tool that evaluates oil degradation and metals in each compartment. That's why trending is
(QJLQHV 6LOLFRQ'LUW detects the early signs of internal component wear. an essential part of Wear Rate Analysis. After three
%RWWRP(QG /DFNRI/XEULFDWLRQ&RRODQW The Caterpillar tool for oil analysis is called samples have been taken from a particular
/HDG $OXPLQXP %HDULQJV &RQWDPLQDWLRQ)XHO&RQWDPLQDWLRQ S·O·SSMOil Analysis and it is part of the S·O·SSM compartment, a trend for each wear metal is
Services program. S·O·SSM Oil Analysis divides established. Our interpreters then compare
Pinpointing the Causes and Effects of Silicon/Aluminum Ratio in Dirt Varies by engine oil analysis into three basic categories: wear subsequent samples to this trend line to quickly spot
Location rate, oil condition, and additional tests. Together, deviations as well as monitor gradual changes in
Component Wear
The primary constituents of dirt are minerals these 3 types of analysis are used to evaluate oil concentration levels. This attention to trends also
By comparing infrared (Oil Condition) test results
containing silicon and aluminum. The ratio of these degradation and detect potential engine problems. A assists with life cycle analysis, helping you optimize
with wear metal buildup, we can pinpoint probable
2 elements varies widely from place to place. Clay properly administered S·O·SSM Oil Analysis program productivity.
causes of elevated wear metals. The chart above
soils contain nearly as much aluminum as silicon. will reduce repair costs and lessen the impact of
illustrates some of the most common wear metals,
This is one reason why local interpretation of your downtime.
their source(s), and the potential problems they
indicate. sample results is important. We are familiar with the S·O·SSM Wear Rate Analysis
soils in your area, giving us the best understanding Prevent problems and reduce costs by knowing
Spectrometry detects dirt contamination as well as of the combinations of elements in your samples.
wear metals. Silicon is the most common element wear rates
indicating dirt entry, although some clay soils also S·O·SSM Oil Condition Analysis Wear Rate Analysis is an integral part of our S·O·SSM
produce increased aluminum readings. Services program that helps you maintain engine
Maximize Performance by Knowing Your performance and maximize availability. Through
Monitoring Your Components Oil Condition regularly scheduled testing of oil samples from your
When S·O·SSM analysis identifies an increase in the Oxygen exposure, heat and contaminants cause all engine, Wear Rate Analysis detects tiny metal
concentration of one or more metals, it can point to oils to degrade. Engine oil is particularly susceptible particles caused by component wear. By monitoring
the wearing component most likely causing the to degradation by sulfur, nitration, by-products of trends in the type and quantity of particles, you can
increase and, often, the probable cause. For combustion, high temperatures, and water from the get early warning of problems before major damage
example, a sudden increase in silicon and iron in an combustion process or condensation. Oil Condition occurs.
oil sample would probably indicate a problem Analysis, part of the comprehensive S·O·SSM
caused by either air system leaks or crankcase seal Understanding Wear Metals
Services program, helps prevent component Every engine produces wear metals in everyday
leaks (see chart above). damage by monitoring your oil and keeping track of operation. If wear accelerates, the concentration of
its degradation. Oil Condition Analysis also allows wear metal particles increases, signaling a problem.
you to correct problems that affect oil performance. Wear Rate Analysis allows you to find problems
The bottom-line benefit: maximum oil performance, before they result in major repairs or engine failure.
optimum oil change intervals and reduced repair
costs. Wear Rate Analysis can detect particles that range

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Contamination & Degradation Contamination and Degradation
S·O·SSM Services Oil Analysis The S·O·SSM oil analysis program uses a wide range Obtaining S·O·SSM Oil Samples More Frequent S·O·SSM Sampling Improves
of tests to determine the condition of the oil and the Before you obtain an S·O·SSM oil sample, operate the Life Cycle Management
NOTICE condition of the lubricated compartment. engine until the oil is warm and the oil is well Traditionally, the suggested S·O·SSM sampling
These recommendations are subject to change circulated. Then obtain the S·O·SSM oil sample. intervals for diesel engines have been at 250 hours.
without prior notice. Consult your local Caterpillar Guidelines that are based on experience and a
correlation to failures have been established for In order to obtain a good oil sample, do not take the However in severe applications, more frequent oil
dealer for the most up to date recommendations. sampling is recommended. Severe service for
these tests. See the following chart for the oil sample from the drain stream. The drain stream
guidelines. Exceeding one or more of these method can allow a stream of dirty oil from the lubricated compartments occurs at high loads, in
Caterpillar has developed a maintenance high temperatures, and in dusty conditions. If any of
management tool that evaluates oil degradation and guidelines could indicate serious fluid degradation or bottom of the compartment to contaminate the
a pending component failure. A trained person at sample. Likewise, never dip an oil sample from an these conditions or other severe service indicators
detects the early signs of wear on internal exist, sample the engine oil at 125 hour intervals.
components. The Caterpillar tool for oil analysis is your Caterpillar dealership should make the final oil container or pour a sample from a used filter.
analysis. These additional samples will increase the chance of
called S·O·SSM oil analysis and the tool is part of the There are two acceptable ways to obtain S·O·SSM oil detecting a potential failure.
S·O·SSM Services program. S·O·SSM oil analysis Note: Cooling system problems will also reduce the samples. The following methods are listed in the
divides oil analysis into four categories: life of engines. S·O·SSM coolant analysis together order that is preferred: Determining Optimum Oil Change
• Component wear rate with S·O·SSM oil analysis provide a complete and Intervals
accurate method for monitoring the health of all • Use an in-line sampling valve on the pressurized Sampling the engine oil at every 125 hours provides
• Oil condition engine systems. Refer to the S·O·SSM Services oil manifold. information for oil condition and for oil performance.
• Oil contamination coolant analysis information in this Special • Use a sampling gun (vacuum pump) that is This information is used to determine the optimum
Publication. A properly administered S·O·SSM inserted into the sump. usable life of a particular oil. Also, more points of
• Oil identification Services program will reduce repair costs and lessen data will allow closer monitoring of component wear
the impact of downtime. Use of the in-line sampling valve is the preferred rates. Close monitoring also allows you to obtain the
Component Wear Rate analysis evaluates the wear method. This method provides samples that are less maximum use of the oil. For detailed information on
that is taking place inside the lubricated Consult your Caterpillar dealer for complete likely to be contaminated. optimizing oil change intervals, please consult your
compartment. The S·O·SSM Services analyst uses the information and assistance about the S·O·SSM oil
In order to obtain an oil sample from the engine, it Caterpillar dealer.
results of elemental analysis and particle count tests analysis program.
to evaluate the wear. Trend analysis and proprietary may be necessary to increase the engine's speed. Optimizing the Component Life Cycle
wear tables are then used to determine if wear rates Normally, the oil sample is taken at low idle. If the An increase in the number of oil samples provides a
are normal or abnormal. flow rate is too low, increase engine speed to high better definition of the trends in data between oil
idle in order to obtain the oil sample. change intervals. More oil samples will allow you to
Oil Condition analysis is used to determine if the oil
has degraded. Tests are done to look at the closely monitor wear patterns of components. This
NOTICE action will ensure that the full life of the components
oxidation, sulfation, and viscosity of the oil. The
Always use a separate vacuum pump for oil are achieved.
S·O·SSM Services analyst uses established guidelines
sampling, and use a separate pump for coolant
or trend analysis to determine if the oil has reached
sampling. Using the same pump for both types of
the end of its useful life.
samples may contaminate the samples that are
Oil Contamination tests are performed to determine being drawn. This contaminate may cause a false
if anything harmful has entered the oil. This analysis analysis and an incorrect interpretation that could
relies on the results from the following tests: lead to concerns by both dealers and customers.
elemental analysis, soot, particle count, fuel dilution,
water, and glycol. The S·O·SSM Services program has Oil Sampling Interval
guidelines for the level of contamination that are Take the oil samples as close as possible to the
allowed in Cat engines. standard intervals. In order to receive the full value
Oil Identification is another very important part of the from S·O·SSM oil analysis, you must establish a
S·O·SSM oil analysis program. The wrong oil in an consistent trend of data. In order to establish a
engine can severely damage major components. pertinent history of data, perform consistent oil
The S·O·SSM Services analyst uses elemental samplings that are evenly spaced.
analysis and viscosity results to identify key Note: Refer to the Operation and Maintenance
characteristics of the oils. Manual for your specific engine for recommended oil
These four types of analysis are used to monitor the drain intervals.
condition of equipment and help identify potential Consult your Caterpillar dealer for complete
problems. A properly administered S·O·SSM Services information and assistance in order to establish an
oil analysis program will reduce repair costs and the S·O·SSM Services program for your engine.
program will lessen the impact of downtime.

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