618 Mechanical Engineering Design

The object of lubrication is to reduce friction, wear, and heating of machine parts that
move relative to each other. A lubricant is any substance that, when inserted between
the moving surfaces, accomplishes these purposes. In a sleeve bearing, a shaft, or jour-
nal, rotates or oscillates within a sleeve, or bushing, and the relative motion is sliding.
In an antifriction bearing, the main relative motion is rolling. A follower may either roll
or slide on the cam. Gear teeth mate with each other by a combination of rolling and
sliding. Pistons slide within their cylinders. All these applications require lubrication to
reduce friction, wear, and heating.
The field of application for journal bearings is immense. The crankshaft and
connecting-rod bearings of an automotive engine must operate for thousands of miles at
high temperatures and under varying load conditions. The journal bearings used in the
steam turbines of power-generating stations are said to have reliabilities approaching
100 percent. At the other extreme there are thousands of applications in which the
loads are light and the service relatively unimportant; a simple, easily installed bearing
is required, using little or no lubrication. In such cases an antifriction bearing might be a
poor answer because of the cost, the elaborate enclosures, the close tolerances, the radial
space required, the high speeds, or the increased inertial effects. Instead, a nylon bearing
requiring no lubrication, a powder-metallurgy bearing with the lubrication “built in,” or
a bronze bearing with ring oiling, wick feeding, or solid-lubricant film or grease lubri-
cation might be a very satisfactory solution. Recent metallurgy developments in bearing
materials, combined with increased knowledge of the lubrication process, now make it
possible to design journal bearings with satisfactory lives and very good reliabilities.
Much of the material we have studied thus far in this book has been based on fun-
damental engineering studies, such as statics, dynamics, the mechanics of solids, metal
processing, mathematics, and metallurgy. In the study of lubrication and journal bear-
ings, additional fundamental studies, such as chemistry, fluid mechanics, thermody-
namics, and heat transfer, must be utilized in developing the material. While we shall
not utilize all of them in the material to be included here, you can now begin to appre-
ciate better how the study of mechanical engineering design is really an integration
of most of your previous studies and a directing of this total background toward the
resolution of a single objective.

12–1 Types of Lubrication

Five distinct forms of lubrication may be identified:
1 Hydrodynamic
2 Hydrostatic
3 Elastohydrodynamic
4 Boundary
5 Solid film
Hydrodynamic lubrication means that the load-carrying surfaces of the bearing are
separated by a relatively thick film of lubricant, so as to prevent metal-to-metal contact,
and that the stability thus obtained can be explained by the laws of fluid mechanics.
Hydrodynamic lubrication does not depend upon the introduction of the lubricant under
pressure, though that may occur; but it does require the existence of an adequate sup-
ply at all times. The film pressure is created by the moving surface itself pulling the
lubricant into a wedge-shaped zone at a velocity sufficiently high to create the pressure
necessary to separate the surfaces against the load on the bearing. Hydrodynamic lubri-
cation is also called full-film, or fluid, lubrication.
 Lubrication and Journal Bearings 619

Hydrostatic lubrication is obtained by introducing the lubricant, which is some-

times air or water, into the load-bearing area at a pressure high enough to separate the
surfaces with a relatively thick film of lubricant. So, unlike hydrodynamic lubrication,
this kind of lubrication does not require motion of one surface relative to another. We
shall not deal with hydrostatic lubrication in this book, but the subject should be con-
sidered in designing bearings where the velocities are small or zero and where the
frictional resistance is to be an absolute minimum.
Elastohydrodynamic lubrication is the phenomenon that occurs when a lubricant is
introduced between surfaces that are in rolling contact, such as mating gears or rolling
bearings. The mathematical explanation requires the Hertzian theory of contact stress
and fluid mechanics.
Insufficient surface area, a drop in the velocity of the moving surface, a lessening
in the quantity of lubricant delivered to a bearing, an increase in the bearing load, or an
increase in lubricant temperature resulting in a decrease in viscosity—any one of
these—may prevent the buildup of a film thick enough for full-film lubrication. When
this happens, the highest asperities may be separated by lubricant films only several
molecular dimensions in thickness. This is called boundary lubrication. The change
from hydrodynamic to boundary lubrication is not at all a sudden or abrupt one. It is
probable that a mixed hydrodynamic- and boundary-type lubrication occurs first, and as
the surfaces move closer together, the boundary-type lubrication becomes predominant.
The viscosity of the lubricant is not of as much importance with boundary lubrication
as is the chemical composition.
When bearings must be operated at extreme temperatures, a solid-film lubricant
such as graphite or molybdenum disulfide must be used because the ordinary mineral
oils are not satisfactory. Much research is currently being carried out in an effort, too,
to find composite bearing materials with low wear rates as well as small frictional
coefficients.

12–2 Viscosity
In Fig. 12–1 let plate A be moving with a velocity U on a film of lubricant of thickness h.
We imagine the film as composed of a series of horizontal layers and the force F causing
these layers to deform or slide on one another just like a deck of cards. The layers in con-
tact with the moving plate are assumed to have a velocity U; those in contact with the
stationary surface are assumed to have a zero velocity. Intermediate layers have velocities
that depend upon their distances y from the stationary surface. Newton’s viscous effect
states that the shear stress in the fluid is proportional to the rate of change of velocity with
respect to y. Thus
F du
τ= =μ (12–1)
A dy

Figure 12–1 U

F A

u
h
y
620 Mechanical Engineering Design

where μ is the constant of proportionality and defines absolute viscosity, also called
dynamic viscosity. The derivative du/dy is the rate of change of velocity with distance
and may be called the rate of shear, or the velocity gradient. The viscosity μ is thus a
measure of the internal frictional resistance of the fluid. For most lubricating fluids, the
rate of shear is constant, and du/dy = U/ h. Thus, from Eq. (12–1),
F U
τ= =μ (12–2)
A h
Fluids exhibiting this characteristic are said to be Newtonian fluids. The unit of vis-
cosity in the ips system is seen to be the pound-force-second per square inch; this is the
same as stress or pressure multiplied by time. The ips unit is called the reyn, in honor
of Sir Osborne Reynolds.
The absolute viscosity is measured by the pascal-second (Pa · s) in SI; this is the
same as a Newton-second per square meter. The conversion from ips units to SI is the
same as for stress. For example, multiply the absolute viscosity in reyns by 6890 to
convert to units of Pa · s.
The American Society of Mechanical Engineers (ASME) has published a list of
cgs units that are not to be used in ASME documents.1 This list results from a recom-
mendation by the International Committee of Weights and Measures (CIPM) that the
use of cgs units with special names be discouraged. Included in this list is a unit of force
called the dyne (dyn), a unit of dynamic viscosity called the poise (P), and a unit of
kinematic viscosity called the stoke (St). All of these units have been, and still are, used
extensively in lubrication studies.
The poise is the cgs unit of dynamic or absolute viscosity, and its unit is the dyne-
second per square centimeter (dyn · s/cm2 ). It has been customary to use the centipoise
(cP) in analysis, because its value is more convenient. When the viscosity is expressed in
centipoises, it is designated by Z. The conversion from cgs units to SI and ips units is as
follows:
μ(Pa · s) = (10)−3 Z (cP)
Z (cP)
μ(reyn) =
6.89(10)6
μ(mPa · s) = 6.89 μ (μreyn)
In using ips units, the microreyn (μreyn) is often more convenient. The symbol μ will
be used to designate viscosity in μreyn such that μ = μ /(106 ).
The ASTM standard method for determining viscosity uses an instrument called the
Saybolt Universal Viscosimeter. The method consists of measuring the time in seconds
for 60 mL of lubricant at a specified temperature to run through a tube 17.6 mm in
diameter and 12.25 mm long. The result is called the kinematic viscosity, and in the past
the unit of the square centimeter per second has been used. One square centimeter per sec-
ond is defined as a stoke. By the use of the Hagen-Poiseuille law, the kinematic viscosity
based upon seconds Saybolt, also called Saybolt Universal viscosity (SUV) in seconds, is
 
180
Z k = 0.22t − (12–3)
t
where Z k is in centistokes (cSt) and t is the number of seconds Saybolt.

1
ASME Orientation and Guide for Use of Metric Units, 2nd ed., American Society of Mechanical Engineers,
1972, p. 13.
 Lubrication and Journal Bearings 621

Figure 12–2 10 −3

A comparison of the viscosities

of various fluids.
10 − 4

Ca
sto
ro
SA il
E3
10 −5 0o
il

Absolute viscosity, reyn 10 − 6

10 −7 Water

G a s o li n e

10 −8

A ir

10 −9
0 50 100 150 200
Temperature, °F

In SI, the kinematic viscosity ν has the unit of the square meter per second (m2 /s),
and the conversion is
ν(m2 /s) = 10−6 Z k (cSt)
Thus, Eq. (12–3) becomes
 
180
ν = 0.22t − (10−6 ) (12–4)
t
To convert to dynamic viscosity, we multiply ν by the density in SI units. Designating
the density as ρ with the unit of the kilogram per cubic meter, we have
 
180
μ = ρ 0.22t − (10−6 ) (12–5)
t
where μ is in pascal-seconds.
Figure 12–2 shows the absolute viscosity in the ips system of a number of fluids
often used for lubrication purposes and their variation with temperature.

12–3 Petroff’s Equation

The phenomenon of bearing friction was first explained by Petroff on the assumption
that the shaft is concentric. Though we shall seldom make use of Petroff’s method of
analysis in the material to follow, it is important because it defines groups of dimen-
sionless parameters and because the coefficient of friction predicted by this law turns
out to be quite good even when the shaft is not concentric.
Let us now consider a vertical shaft rotating in a guide bearing. It is assumed that
the bearing carries a very small load, that the clearance space is completely filled with
oil, and that leakage is negligible (Fig. 12–3). We denote the radius of the shaft by r,
622 Mechanical Engineering Design

Figure 12–3 “Keyway”

sump
Petroff’s lightly loaded journal Oilfill
bearing consisting of a shaft hole
journal and a bushing with an A
Bushing (bearing)
axial-groove internal lubricant
reservoir. The linear velocity
gradient is shown in the end Journal (shaft)
W N W
view. The clearance c is several
thousandths of an inch and is
r
grossly exaggerated for U
presentation purposes.
c Side leakage negligible
W W
l
A
Section A-A

the radial clearance by c, and the length of the bearing by l, all dimensions being in
inches. If the shaft rotates at N rev/s, then its surface velocity is U = 2πr N in/s. Since
the shearing stress in the lubricant is equal to the velocity gradient times the viscosity,
from Eq. (12–2) we have
U 2πrμN
τ =μ = (a)
h c
where the radial clearance c has been substituted for the distance h. The force required
to shear the film is the stress times the area. The torque is the force times the lever arm r.
Thus
 
2πrμN 4π 2r 3lμN
T = (τ A)(r) = (2πrl)(r) = (b)
c c
If we now designate a small force on the bearing by W, in pounds-force, then the pres-
sure P, in pounds-force per square inch of projected area, is P = W/2rl. The frictional
force is f W , where f is the coefficient of friction, and so the frictional torque is
T = f W r = ( f )(2rl P)(r) = 2r 2 f l P (c)
Substituting the value of the torque from Eq. (c) in Eq. (b) and solving for the coeffi-
cient of friction, we find
μN r
f = 2π 2 (12–6)
P c
Equation (12–6) is called Petroff’s equation and was first published in 1883. The
two quantities μN/P and r/c are very important parameters in lubrication. Substitution
of the appropriate dimensions in each parameter will show that they are dimensionless.
The bearing characteristic number, or the Sommerfeld number, is defined by the
equation
 2
r μN
S= (12–7)
c P
The Sommerfeld number is very important in lubrication analysis because it contains
many of the parameters that are specified by the designer. Note that it is also dimen-
sionless. The quantity r/c is called the radial clearance ratio. If we multiply both sides
 Lubrication and Journal Bearings 623

of Eq. (12–6) by this ratio, we obtain the interesting relation

 2
r μN r
f = 2π 2 = 2π 2 S (12–8)
c P c

12–4 Stable Lubrication

The difference between boundary and hydrodynamic lubrication can be explained by
reference to Fig. 12–4. This plot of the change in the coefficient of friction versus the
bearing characteristic μN/P was obtained by the McKee brothers in an actual test of
friction.2 The plot is important because it defines stability of lubrication and helps us to
understand hydrodynamic and boundary, or thin-film, lubrication.
Recall Petroff’s bearing model in the form of Eq. (12–6) predicts that f is pro-
portional to μN/P, that is, a straight line from the origin in the first quadrant. On the
coordinates of Fig. 12–4 the locus to the right of point C is an example. Petroff’s model
presumes thick-film lubrication, that is, no metal-to-metal contact, the surfaces being
completely separated by a lubricant film.
The McKee abscissa was Z N/P (centipoise × rev/min/psi) and the value of
abscissa B in Fig. 12–4 was 30. The corresponding μN/P (reyn × rev/s/psi) is
0.33(10−6 ). Designers keep μN/P ≥ 1.7(10−6 ), which corresponds to Z N/P ≥ 150.
A design constraint to keep thick-film lubrication is to be sure that
μN
≥ 1.7(10−6 ) (a)
P
Suppose we are operating to the right of line B A and something happens, say, an
increase in lubricant temperature. This results in a lower viscosity and hence a smaller
value of μN/P. The coefficient of friction decreases, not as much heat is generated in
shearing the lubricant, and consequently the lubricant temperature drops. Thus the region
to the right of line B A defines stable lubrication because variations are self-correcting.
To the left of line B A, a decrease in viscosity would increase the friction. A
temperature rise would ensue, and the viscosity would be reduced still more. The
result would be compounded. Thus the region to the left of line B A represents unstable
lubrication.
It is also helpful to see that a small viscosity, and hence a small μN/P, means
that the lubricant film is very thin and that there will be a greater possibility of some

Figure 12–4 A

The variation of the coefficient

Coefficient of friction f

of friction f with μN兾P. Thick film

Thin film
(unstable) (stable)

B
Bearing characteristic, ␮N ⁄ P

2
S. A. McKee and T. R. McKee, “Journal Bearing Friction in the Region of Thin Film Lubrication,”
SAE J., vol. 31, 1932, pp. (T)371–377.