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Failure Analysis for Gearing
Gear teeth contain evidence of failure mechanisms that include wear, surface fatigue,
plastic flow and breakage.
GEAR TOOTH PROFILE TERMINOLOGY.
Tooth mesh changes from sliding rolling action
at the pitch diameter and then back to sliding
during gear rotation.
As with any failure analysis, finding the root cause of damage to gearing often requires a
lot of detective work. You may need to review the service history and interview witnesses
or employ technical tools such as vibration analysis and oil analysis. However, the cause
of failure cannot be determined without a complete inspection of the condition of the gear
teeth themselves. An understanding of the failure modes indicated by the condition of the
teeth, when combined with knowledge of the operating conditions and maintenance
history, will permit developing methods to avoid similar failures in the future.
Getting into gear
n order to analy!e and interpret gear failures, it is helpful to consider some of the
terminology and practices commonly used in the gear industry. The accompanying
drawing shows a few of the common terms used to describe gear tooth profiles.
Gear quality ratings are established by the American Gear "anufacturers Association
#AG"A$. %uality levels are driven by the application requirements. n some basic
applications, AG"A & or ' quality gears may suffice, while other more demanding
applications may require an AG"A () or (* gear+ aircraft transmissions may require
AG"A (& or (' accuracy. The case hardened and ground gears used in many high,
capacity gear drives today are generally at least an AG"A (( quality level. The differences
between quality levels are progressive, somewhat like the -ichter earthquake scale,
where the difference between one level and the ne.t is substantial. This can cause
problems if an attempt is made to reverse,engineer a replacement gear without
knowledge of its quality level. -eplacing a gear with one of lesser quality may have
disastrous effects on gear life. /ervice factors play an important role in selecting the
proper gear drive for the application. "anufacturer catalogs list typical service factors for
various types of applications. n a speed reducer, the ratings are applied to each gear set.
A multi,stage reducer will be limited by the lowest rated gear set, which will usually be
the low,speed gear set of a typical industrial gear drive. This gear set also transmits the
most torque.
Things to be aware of when reviewing an application for possible causes of failure include
the possibility of design error in specifying the original gear set. As an e.ample, the speed
reducer on a mi.er might be si!ed adequately for operation but not for startup if the
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mi.er is full and therefore requires considerably more power to overcome the inertia of
the load. f this happens, the high speed pinion shaft could deflect, which may cause the
gear teeth to run misaligned and overload them. 0ot only does this accelerate wear, but it
can force the oil out of the gear mesh and cause several types of failure.
The primary way to check design and manufacturing errors is to review the inspection
charts, specifications, and other information from the manufacturer, then compare them
with the requirements determined by reviewing the actual application parameters. The
original design may have been satisfactory, but subsequent changes in the application
could cause it to be inadequate.
Why gears fail
1ne person2s failure may be another2s break,in. The difference between wear and failure
can be simply a matter of time. f a gear fails in )' years, it did its 3ob. f it fails in )'
minutes or )' hours, there2s a serious problem.
4hen gears mesh, they roll only at the pitch line, as noted in the drawing. Above and
below this line, the sliding action that occurs causes inherent wear that can lead to failure.
Gear teeth also fle. as they go in and out of mesh. Therefore, they have to be 5soft6
enough to deflect and give without breaking. Yet a hardened gear has higher capacity
ratings, so most gears are heat,treated to harden them to the degree necessary for the
application.
Gears may be either through,hardened or case,hardened. Through,hardened gears are
put through a heating and controlled cooling process as a unit, so the hardness is the
same throughout the gear. These gears are usually below *78 9rinell in hardness, above
which conventional machining becomes difficult or impossible. :ase, hardened gears are
hardened only on the surface of the gear teeth, to a predetermined depth, to about '; to
<) -ockwell :, or roughly as hard as a bearing race. The increased hardness improves the
gear2s durability rating by providing greater resistance to pitting and greater strength, or
resistance to breakage.
=rom one point of view, causes of gear failure may include a design error, an application
error, or a manufacturing error. >esign errors include such factors as improper gear
geometry as well as the wrong materials, quality levels, lubrication systems, or other
specifications. Application errors can be caused by a number of problems, including
mounting and installation, vibration, cooling, lubrication, and maintenance. "anufacturing
errors may show up in the field as errors in machining or heat treating.
AG"A recogni!es four main modes of gear failure, plus a fifth that covers everything else.
They are wear, surface fatigue, plastic flow, breakage, and associated gear failures.
4hen a gear is suspected of showing signs of failure, if possible it should be e.amined
periodically over time. -ecording contact patterns or taking photographs at intervals will
aid in comparison and help determine whether the condition is progressive. ?eep in mind
also that failure never occurs as an isolated event. Two or more failure modes may occur
simultaneously or in succession, and the eventual failure mode may be different from the
root cause.
WEAR FAIL!RE
4ear, the first failure mode category, occurs when metal is worn away from the contact
areas of the gear teeth in a more or less uniform manner. /ome wear is normal, but there
are several degrees of wear and many ways in which wear can occur.
Polishing is a slow process of wear in which metal,to,metal contact during operation
causes a very smooth surface to develop on the gear teeth. t is most common during
slow,speed operation, where the lubricant film is too thin, and the gears are operating
near the lubrication borderline. 0ormally, this condition does not cause a problem unless
continued wear prevents the gears from reaching the design life of the equipment. 1nce
the gears are polished, further action can be reduced or prevented by using a higher
viscosity lubricant or lowering the lubricant temperature. 1ther possible remedies include
reducing the transmitted load or increasing the operating speed to provide a better oil
film.
Figure " Mo#erate Wear
Mo#erate $ear #=ig. ($ shows up as a contact pattern in which metal removal occurs
from both the addendum and dedendum tooth surfaces, and the operating pitch line
remains as a continuous line. This may be caused by lubricant contamination but is often
unavoidable due to limitations of lubricant viscosity, gear speed, and temperature. t may
occur normally throughout the design life of a gear set, particularly when gears operate
near boundary lubrication conditions. ncreasing oil film thickness, either by cooling the
lubricant, using a higher viscosity lubricant or operating at higher speeds, can sometimes
reduce normal wear. -eplacing a splash,fed lubrication system with a filtered positive,
spray system may improve lubrication by removing particles and delivering a more
consistent supply of oil to the working surfaces.
=urther solutions include reducing the gear loading and changing the gear geometry,
materials, or hardness.
E%tre&e $ear may appear as the same kind of contact pattern and pitch line visibility
that occur with moderate wear, but the progression rate is much faster. Here, a
considerable amount of material may be removed uniformly from the gear tooth surfaces,
and the pitch line may show signs of pitting. @.treme wear will cause failure to occur
before the design life of the gear set is reached. t may cause enough damage to the
tooth profile that the resulting high dynamic loads will further accelerate the wear. :auses
of e.treme wear include a lubricating film too thin for the tooth load, fine abrasive
particles in the lubrication system, and severe vibratory loads. /haft seals and air,vent
filters, properly installed and maintained, may help reduce wear. 1ther solutions include
oil cooling, higher viscosity lubricants, higher speeds, reduced loads, and possibly reduced
vibratory loads if the application permits.
Figure '( A)rasi*e Wear
A)rasi*e $ear shows up as a lapped surface, with radial scratches or grooves on the
tooth contact surfaces. 4hen this occurs shortly after startup of a new installation or on
any open gearing, particles in the lubricating system are generally the cause. These may
include metal particles from the gears and bearings, weld spatter, scale, rust, and sand,
dirt, or other environmental contaminants. =ig. ) shows severe abrasion. :areful cleaning
of the gearbo. and lubrication system before use can minimi!e abrasive wear. 4ith a
circulating lubrication system, adding a filter or using a finer replacement filter will help
reduce this type of wear. -egular oil changes will help for splash,lubricated drives, and
higher viscosity oil also may help protect either type of system with a thicker oil film that
will keep the finer particles from scratching.
:areful cleaning of the gearbo. and lubrication system before use can minimi!e abrasive
wear.
Figure +( ,orrosi*e Wear
,orrosi*e $ear #=ig. *$ is visible as surface deterioration, caused by the chemical action
of active ingredients in the lubricant. These may include acid, moisture, foreign materials,
and e.treme,pressure additives. >uring operation, the oil breaks down and allows
corrosive elements present in the oil to attack the gear contact surfaces. This action may
affect the grain boundaries and cause fine, evenly distributed pitting. :hecking the oil for
breakdown and changing it at regular intervals can help minimi!e corrosive wear.
Aubricants with high antiscuff, antiwear additive content must be observed even more
carefully because they are chemically active. Gear units that are e.posed to salt water,
liquid chemicals, or other foreign materials should be sealed from their environment.
Figure -( ./oring
./oring may be moderate, locali!ed, or destructive. t can be caused by failure of the
lubricant film, usually from overheating in the mesh area, as well as by misalignment,
deflection, and uneven temperatures or loads. The resulting metal,to,metal contact
produces alternate welding and tearing that quickly removes metal from the gear
surfaces. "oderate scoring shows up as a characteristic wear pattern, often in patches on
the addendum, dedendum, or both. -adial tear marks usually appear more prominently in
softer areas. Bpon closer e.amination, the frosty appearance shows that the rotation has
caused the metal to weld and tear apart #=ig. &$. Aocali!ed scoring is similar to moderate
scoring but takes place in concentrated portions of the contact areas of the gear teeth,
rather than spreading across their full face width.
E0I1EN,E OF .!RFA,E FATIG!E FAIL!RE
>estructive scoring or scuffing shows definite radial scratch and tear marks, and material
may be displaced radially over the tips of the gear teeth. @.cessive material may be
missing from above and below the pitch line, causing the pitch line itself to stand out
prominently. At this stage, the gear is unfit for further service.
-educing the temperature in the mesh area can prevent moderate scoring. This can be
accomplished by reducing the load, gear speed, or inlet oil temperature. 1ther solutions
include use of a lubricant with e.treme,pressure additives, plating a solid lubricant on the
contact surfaces, or honing. Aocali!ed scoring is more likely to result from misalignment
factors than moderate scoring. A wear pattern that shows load concentration near one
end of the teeth indicates possible misalignment or heli. angle error. This results in one
portion of the teeth carrying more load than the lubrication film can support. @liminating
the causes of uneven loading can prevent locali!ed scoring. These may include
nonuniform gear case deflection, e.cessive shaft deflection, out,of,parallel bores in the
casing, or heli. angle errors. Bneven temperature gradients also may cause locali!ed
scoring and should be remedied by changing the amount of cooling oil applied to the
mesh or the way in which it is applied.
To eliminate destructive scoring #/cuffing$, it is necessary to attack the source of the
e.cessive heat that causes the lubricant to break down. @.treme,pressure additives are
one way to help the lubricant stand up to the load, speed, and temperature conditions.
/pecial high,viscositycompounded gear oil or synthetic fluids with anti,scuff additives also
will help prevent scoring. n e.treme cases, the gearing may have to be redesigned to
reduce surface stresses, pitch line velocity, and oil temperature of the gears.
Tip and root interference is another type of scoring, usually resulting from improper
design and manufacture. "etal removal will be seen near the root of the gear tooth profile
while other portions of the contacting face will appear undamaged. The tip of the gear or
pinion may look abraded, with tear marks in the direction of rotation. 4ith high speed
gears, scoring at start,up is considered failure, and the gears should be replaced after
correcting the cause of scoring.
/urface fatigue can be noticed by the removal of metal and the formation of cavities.
.urfa/e fatigue failure
/urface fatigue can be noticed by the removal of metal and the formation of cavities.
These may be small or large and may grow or remain small. t occurs when the gear
material fails after repeated stresses that are beyond the endurance limits of the metal.
Here are the main types of surface fatigue, their causes, and cures.
Figure 2( Pitting
Pitting failures depend on surface contact stress and the number of stress cycles. nitial
pitting #=ig. '$, with areas of small pits from 8.8(' in. to 8.8*8 in. in diameter, occurs in
locali!ed parts of the gear teeth that are over,stressed. t is sometimes called corrective
pitting because it tends to redistribute the load by progressively removing high contact
spots, and often stops once the load has been redistributed. :ontinued operation may
polish or burnish the pitted surface and improve its appearance. Citting can be monitored
by periodically putting some bluing on the affected area, then applying some cellophane
tape to lift the pattern and put it in a notebook. :omparing the impressions over time will
tell whether the pitting has stopped. 4hile accurate manufacturing control of involute
profiles is the best method of preventing pitting, a careful break,in at reduced loads and
speeds once the unit is installed also will help minimi!e pitting by improving gear tooth
contact.
Figure 3( 1estru/ti*e 4itting
1estru/ti*e 4itting #=ig. <$ appears as much larger pits than initial pitting, often in the
dedendum section of the gear teeth. These larger craters usually are caused by more
severe overload conditions that cannot be relieved by initial pitting. As stress cycles build
up, pitting will continue until the tooth profile is destroyed. To correct the cause of
destructive pitting, the load on the surface of the gear needs to be reduced below the
material2s endurance limit, or the material hardness needs to be increased to raise the
endurance limit to where pitting will not occur.
Figure 5( .4alling
.4alling #=ig. D$ resembles destructive pitting, e.cept that the pits may be larger, quite
shallow, and irregularly shaped. The edges of the pits break away rapidly, forming large,
irregular voids that may 3oin together. /palling is caused by e.cessively high contact
stress levels. -emedies include reducing contact stress on the gear surface or hardening
the material to increase its surface strength.
9oth spalling and destructive pitting are indications that the gears do not have sufficient
surface capacity and should probably be redesigned if possible.
"icropitting is a type of contact fatigue that appears as frosting or gray staining under
thin film conditions.
Figure 6( Mi/ro4itting
Figure 7( Mi/ro4itting Magnifie#
Mi/ro4itting is a type of contact fatigue that appears as frosting or gray staining under
thin film conditions #=ig. ;$. The surface acquires an etch,like finish, with a pattern that
sometimes follows the slightly higher ridges left by cutter marks or other surface
irregularities. t usually shows up first on the dedendum section of the driving gear,
although it may begin on the addendum section as well. 4hen viewed under magnification
#=ig. 7$, the surface is seen as a field of very fine micropits under 8.888( in. deep. :auses
include high surface loads and heat generation, which thins the lubrication film and leads
to marginal lubrication. mproving the surface finish is an effective remedy, through either
manufacturing techniques such as hard honing and grinding or a careful break,in cycle.
These techniques help lower heat generation by improving conformity of tooth contact
and equali!ing load distribution. -educing the lubricant temperature and surface loading
will also minimi!e frosting. /ometimes, frosted areas that appear initially will slowly be
polished away during subsequent operation if loads and temperatures are not e.cessive.
Figure "8( ,ase ,rushing
,ase /rushing occurs in heavily loaded case hardened gears, including those that are
carburi!ed, nitrided, or induction hardened. t is a subsurface fatigue failure that occurs
on material where the case is substantially harder than the core, when surface contact
stress at high cycle levels e.ceeds the material2s endurance limit. :ase crushing may
appear similar to pitting, if some damage occurs on contacting surfaces. However, it often
occurs as longitudinal cracks on the surface of only one or two teeth, and long pieces of
the tooth surface may break away #=ig. (8$. The case material may appear to have
chipped away from the core in large flakes. :ase crushing occurs when cracks form
because stresses in the subsurface area e.ceed the strength of the core material. High
residual stresses may contribute to this effect. The cracks move toward the case,to,core
boundary and then to the gear surface, where they may eventually cause large pieces of
material to fall off. To prevent case crushing, it may be necessary to in, crease the depth
of the case hardening and possibly the hardness of the core material. :hanges in the
material, heat treatment process, or the design itself may be necessary.
E0I1EN,E OF PLA.TI, FLOW
Plasti/ flo$ failure
Clastic flow is a surface deformation that occurs when high contact stresses combine with
the rolling and sliding action of the meshing gear teeth to cause cold working of the tooth
surfaces. Although usually associated with softer materials, it also can occur in heavily
loaded case hardened and through,hardened gears. Clastic flow generally takes one of
three distinct forms.
,ol# flo$9 rolling9 an# 4eening can be identified through evidence of metal flow in the
surface and subsurface material. The surface material may have been worked over the
tips and ends of the gear teeth, resulting in a finned appearance. Tips of the gear teeth
may be heavily rounded over, and a matching depression may appear on the tooth
surface. :old flow occurs under heavy loads and high contact stresses, as the rolling and
peening action of the meshing gear teeth cold,works the surface and subsurface material,
pushing or pulling it in the direction of sliding. :ontinued operation during this
deterioration increases dynamic loading and results in a dented, battered appearance on
the surface, much as if it had been hit with a ball peen hammer. To eliminate the problem
it is necessary to reduce contact stress and increase hardness of the contacting surface
and subsurface materials. ncreasing the accuracy of both tooth spacing and profiles will
help reduce dynamic loads, and any mounting deflections or heli. angle errors should also
be corrected.
Figure ""( Ri44ling
Ri44ling is a regular, wave,like formation that occurs at right angles to the direction of
motion and has a fish scale appearance #=ig. (($. t is most common on hardened gear
surfaces and is generally considered a surface failure only when it has progressed to an
advanced stage. t usually occurs in slow speed operation with an inadequate oil film
thickness. High contact stresses during repeated cycles may then roll and knead the
surface, causing it to ripple. -ippling can be prevented by case hardening the tooth
surface, reducing the contact stress, increasing oil viscosity, and using an e.treme,
pressure oil additive.
Figure "'( Ri#ging
Ri#ging is a definite series of peaks and valleys that occur across the tooth surface in the
direction of sliding #=ig. ()$. t occurs when high contact compressive stresses and low
sliding velocities cause plastic flow of the surface and subsurface material. t is frequently
found on heavily loaded worm gear drives, as well as on hypoid pinion and gear drives.
-emedies for ridging include reducing contact stress, increasing material hardness, and
using a more viscous lubricating oil with e.treme,pressure additives.
:rea;age failure
9reakage is the fracture of a whole tooth or substantial part of a tooth. :ommon causes
include overload and cyclic stressing of the gear tooth material beyond its endurance
limit.
:en#ing fatigue )rea;age starts with a crack in the root section and progresses until
the tooth or part of it breaks off. t can be recogni!ed by a fatigue 5eye6 or focal point of
the break. The break area itself usually shows signs of fretting corrosion and smooth
5beach marks6 that resemble patterns in the sand on a beach. A small area will probably
have a rough, 3agged look where the last portion of the tooth broke away. "ost such
failures result from e.cessive tooth loads, which cause repeated root stresses that
eventually e.ceed the endurance limits of the material. /tress risers, such as notches in
the root fillet, hob tears, inclusions, small heat treating cracks or grinding burns, may
aggravate this condition. To remedy this condition, root fillets can be polished and shot,
peened. "aterial should be properly heat,treated to minimi!e residual stresses. f
redesign is necessary, use a full,fillet radius tooth, which is less prone to breakage and
has greater capacity than a tooth with too small a fillet radius.
O*erloa# )rea;age appears as a stringy, fibrous break that has been rapidly pulled or
torn apart. n harder materials, the break will have a finer stringy appearance. The eye
and beach markings found in fatigue breakage will be missing. This type of breakage is
caused by an overload that e.ceeds the tensile strength of the gear material. Typical
overloads that lead to such breakage include a bearing sei!ure, failure of driven
equipment, foreign material passing through the gear mesh, or a sudden misalignment.
/ince the failure is usually the result of some unpredictable occurrence, it is difficult or
impossible to prevent. f possible overloads are anticipated, torque,limiting couplings may
provide some protection.
Ran#o& fra/ture can occur in areas such as the top or the end of a tooth, rather than
the usual root fillet section. These failures are typically caused by stress concentrations
from such things as minute grinding cracks, foreign materials in the gear mesh, or
improper heat treating. Aittle can be done to prevent random fracture, e.cept at the
design and manufacturing stages. However, maintaining cleanliness of the lubricant can
help prevent one cause.
Aittle can be done to prevent random fracture, e.cept at the design and manufacturing
stages.
Asso/iate# gear failures Associated gear failures usually are caused by improper
processing, environmental conditions, or possibly by accidents. To minimi!e many of
these failures, any gear that is repaired and heat treated should be checked by magnetic
particle inspection before being put back into service to be sure no cracks have
developed. 4henever repairs are made to any gearing, at the very least, a dye penetrant
inspection should be performed to check for cracks.
E0I1EN,E OF A..O,IATE1 GEAR FAIL!RE
Figure "+( <uen/hing /ra/;s
<uen/hing /ra/;s may appear across the top land of a tooth, in the fillet area, or
randomly at the tooth ends, although they may not become visible until after they have
been used for a short time #=ig. (*$. They are caused by improper quenching or uneven
cooling during heat treatment, which causes e.cessive internal stresses. Crevention of
quenching cracks calls for a thorough review of heat treating procedures, as well as an
inspection of the equipment used.
Figure "-( Grin#ing /ra/;s
Grin#ing /ra/;s #=ig. (&$ usually show up as a definite pattern, either as a series of
short cracks that are parallel to each other or with the appearance of chicken wire mesh.
Bsually, they are between 8.88* in. and 8.88' in. deep, with the parallel type being
deeper than the chicken wire pattern. :auses include improper heat treatment or a
metallurgical structure that is prone to cracking. To prevent this cracking, the grinding
procedure should be reviewed. =eeds and speeds may have to be reduced to lower the
heat developed during grinding. The metallurgy of the gear material also should be
e.amined to choose an alloy and heat treatment that will not tend to crack during
grinding.
Figure "2( Ri& an# We) failures
Ri& an# We) failures tend to start between two teeth and propagate through the rim
and into the web #=ig. ('$. These failures are common on highly loaded thin rim and web
sections. :auses include stress risers from holes in the web as well as from web
vibrations. -emedies include increasing rim or web thickness, depending on failure mode,
and eliminating stress risers such as grinding marks, tool marks, and sharp fillets. -im
and web failures also may be caused by vibrations, which can be minimi!ed by damping
or by redesign to change the natural frequencies of the gear.
Figure "3( Ele/tri/ /urrent #a&age
Ele/tri/ /urrent #a&age shows up as tiny pits occurring in a well,defined pattern that is
distributed uniformly along the gear surfaces #=ig. (<$. They can be further identified by
their smooth, molten appearance and lack of any fibrous appearance. This damage results
from electric current passing through two lightly contacting surfaces, either from arc
welding or from electric equipment such as motors or electrically actuated clutches. The
remedy is to insulate the electrical equipment or relocate the grounding wires properly.
4elders and maintenance workers should be made aware of proper grounding
procedures.
1eter&ining the real /ause
A complete and accurate assessment of the cause of any gear failure requires a
knowledge of the basic gear failure modes, their causes, and possible remedies. All
available information on operating conditions, performance history, and maintenance
details will help to point to the specific cause and to develop solutions to prevent future
failures. The purpose of this article is provide a basic knowledge of the terms used in gear
failure analysis and to promote accurate communication when determining the cause of
failure and how to prevent future problems. n the ma3ority of cases a single failure mode
is not evident. The initial failure damage may be obscured by subsequent damage. To
determine the specific mode and cause of the initial failure, the assistance of an
e.perienced gear failure analyst may be required.
All figures in this article e.tracted from A0/EAG"A (8(8,@7', Appearance of Gear Teeth,
Terminology of 4ear and =ailure (77', used with permission of the publisher, the
American Gear "anufacturers Association, ('88 ?ing /treet, /uite )8( Ale.andria, FA
))*(&.