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Automotive lubricants reference book
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Automotive Lubricants
Reference Book
Second Edition
First Edition by
Arthur J. Caines
and
Roger F. Haycock
Revised and Updated by
Roger F. Haycock
and
John E. Hillier
-=International" EAlC
Warrendale, Pa.
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying,
recording, or otherwise, without the prior written permission of SAE.
For permission and licensing requests, contact:
SAE Permissions
400 Commonwealth Drive
Warrendale, PA 15096-000 1 USA
E-mail: [email protected]
Tel: 724-772-4028
Fax: 724-772-4891
Library of Congress Cataloging-in-Publication Data
Caines, A. J. (Arthur J.), 1932-
Automotive lubricants reference book / Arthur J. Caines,
Roger F. Haycock-2nd ed. I revised and updated by Roger F.
Haycock and John E. Hillier.
p. cm.
Includes bibliographical references and index.
1. Lubricating oils. 2. Automobiles-Lubrication. I.
Haycock, R. F. (Roger F.) 11. Hillier, John E. 111. Title.
ISBN 0-7680-1251-1
TL153.5.C35 2004
629.25’5-dc22 2004048248
SAE
400 Commonwealth Drive
Warrendale, PA 15096-0001 USA
E-mail: [email protected]
Tel:
Fax: 724-776- 16 15
877-606-7323 (inside USA and Canada)
724-776-4970 (outside USA)
Copyright 0 1996,2004 SAE International
SAE Order No. R-354
ISBN 0-7680-125 1-1
Printed in the United States of America.
About the Authors
Arthur Caines, Roger Haycock, and John Hillier together have about 100 years of
combined experience in the automotive lubricants field.
Arthur Caines spent 30 years with Esso (Exxon) in Europe, mainly in formulating
crankcase oils. He worked as EuropeanlAfrican business coordinator for Esso's
Paramins Additive Division, coordinated technical services for the Middle East and
central Europe, and was responsible for quality control specification and customer
information for Paramins products.
Roger Haycock spent more than 35 years working for the Exxon group of companies, 30 of which were with Paramins in a variety of management positions. For the
past five years, he has been an independent consultant on fuel and lubricant topics.
Haycock has served as chairman of the British Technical Council of the Motor and
Petroleum Industries and represented British interests on the Coordinating European
Council (CEC). He was also an active representative of the European petroleum
additives industry.
John Hillier spent more than 30 years working for British Petroleum at the BP Research
Center. He was responsible for crankcase oil development and associated research
programs, with an active role on several key CEC Technical Committees. In addition
to lecturing, Hillier was the external consultant to Ricardo Consulting Engineers for
10 years, providing advice on specialist fuel and lubricant evaluations for oil industry
clients and resolving lubricant-related issues in support of new engine technologies.
Preface to the
First Edition
When asked by SAE to write a companion volume on lubricants to its Automotive
Fuels Handbook, we asked ourselves a series of questions:
Who are the expected readers?
What depth of coverage is needed for each topic?
Do we have the experience and knowledge to author such a book?
Discussion with the SAE Publishing Division enabled satisfactory answers to be made
to these and other questions, and we hope the resulting volume will be a useful contribution to the rather limited literature on the topic.
Firstly, the book is not intended for those who are already experts in the field of
automotive lubrication. Prospective readers will be automotive engineers who may
want to understand more about the properties and composition of lubricants used in
the machinery with which they are concerned, or possibly scientists or engineers in
the petroleum industry, who have worked in another field and need a primer on lubricants for the specialized area of automotive applications.
The depth of coverage is limited by the number of topics we felt needed to be included
in the one volume and is broadly in line with that of Automotive Fuels Handbook.
Our treatment of the subject matter is essentially qualitative, and the use of mathematics is minimal. As we have found in the initial reviews of the text, those who are
expert in any of the topics we cover will feel our coverage is too simplistic for their
own areas, but may well feel other areas are dealt with adequately. Our advice to
them is not to linger over the areas they already know.
There may be surprise at the authorship by two Englishmen with similar career paths
within one corporation, albeit a major international one. We hope that we can highlight complexities that may be difficult to appreciate from a North American viewpoint. Also, through our U.S. connections, we have had very strong links with North
American lubricant activities, while being able to relate directly to European attitudes and developments. Colleagues in the Asia-Pacific region have helped with
Japanese and other developments from that area.
vii
Automotive Lubricants Reference Book
Both of us have worked in both the petroleum and chemical sectors of Exxon
Corporation, mainly in areas where lubricant testing was an important factor. However, the views expressed are our own and not necessarily those of our past or present
employer. A.J.C. had close contacts with the U.S. military, particularly in the 1970s
when they were key actors in the improvements of oil quality, and later worked closely
with the national petroleum companies ofAfrica, the Middle East, and Eastern (now
called Central) Europe. R.F.H. has had close contacts with European approval organizations, spent ten years in liaison with the motor industry, acquiring a good understanding of lubricant problems as seen by that industry, and is currently the chairman
of the British Technical Council of the Motor and Petroleum Industries. Both of us
have seen motor oils develop from uncompounded monograde oils to the sophisticated part or wholly synthetic wide energy-conserving multigrades of today.
Readers will notice that we have frequently taken a historical approach in our presentation of the various topics. This is deliberate, because oil qualities have evolved
steadily over the last half century, with no major discontinuities, and we believe an
understanding of how this evolution took place is necessary to understand oil quality
today.
We give considerable attention to specifications and oil approval systems. The desire
for products to have the widest coverage of equipment and geographical areas usually conflicts with the ever more complex needs of specific markets. Specifications
often have short lives, but the organizations that develop them last much longer and
are key actors in the lubricants business.
Few existing books give much discussion of the relationship between test methods
and formulation technology, and we have tried to cover this adequately. While the
fundamentals of formulation are presented, detailed formulations to meet specific
quality levels precisely cannot be given. Such formulations are proprietary to formulating companies, whether oil company or additive supplier, and each formulator has
different components and expertise to utilize in producing an oil to meet a given
quality. Furthermore, the optimum means of meeting a given quality level can change
quite rapidly, requiring running changes within the life of a specification, and so a
precise formulation often has a short life.
Much of the book is given over to engine oils, but other automotive lubricants such as
transmission oils and greases are considered. We have also included a brief section
on the key features of the industrial oils that may be used in the production of automotive equipment, in the belief that this will be of interest and useful to those working in the automotive industry. Our coverage of the blending, handling, and use of
... Vlll
Preface to the First Edition
lubricants is probably unique in a book of this type, and our attention to health and
environmental aspects of lubricants reflects the growing concerns in these areas.
We have collected in the appendices some of the less readily digestible material that
we felt should be included to make the book a work of reference, and we hope we
have succeeded in keeping the main sections both interesting and easily readable.
We have also included a glossary, a list of relevant acronyms, and, for those who
studied chemistry a long time ago, a primer in organic chemistry.
A.J. Caines
R.F. Haycock
May 1996
ix
Preface to the
Second Edition
Having reviewed the style and structure of the first edition, we felt that although both
could no doubt be improved, there was no obvious pressing need for major changes.
Our objective, therefore, when writing the second edition, was to make changes only
where necessary because technology or markets had changed. But both have indeed
changed considerably and continue to change rapidly in many areas.
Two forces have had major impacts on the automotive lubricants industry since the
first edition of this book was published in 1996. The first has been the continuing
drive for improvements in the environment, particularly air quality. This has forced
reduction in vehicle exhaust emissions, which in turn has driven changes in engine
design and exhaust aftertreatment. This in turn has led to changes in lubricant specifications and quality.
Existing pressures to reduce chlorine have been complemented by pressures to reduce
phosphorus, sulfur, and all ash-forming metals in automotive crankcase lubricants.
The impact of the reduction or elimination of zinc dialkyl dithiophosphate (ZDDP)
from most crankcase oils cannot be overestimated. Most engines over the last 50 years
have been designed and run on ZDDP-containing oils, and there must be a real concern that some of them will suffer problems with “new technology” lubricants.
Again, driven primarily by emissions concerns, the move away from “conventional”
to “unconventional” base stocks for mainstream crankcase lubricants is growing rapidly. Already significant for several years in Europe, the trend is probably now
unstoppable in the United States.
The question whether crankcase oil technologies in the major world markets will
converge or diverge continues to be unanswerable. In principle, one should expect
worldwide environmental pressures to force convergence. But fine details in legislation may have great significance, leading toward or against, for example, the use of
exhaust gas recirculation (EGR), which has a huge impact on lubricant formulation.
Oil-change periods around the world continue to differ with little technical justification. Why should passenger-car oil-change intervals be little more than 5000 km
(3000 mi) in the United States, when in Europe the leading OEM is encouraging an
oil-change period of 30,000 km (1 8,000 mi) with recommended lubricants?
V
Automotive Lubricants Reference Book
Air quality requirements have almost eliminated the two-stroke motorcycle market
and driven it to four-stroke. Environmentally driven fuel changes have also in turn
impacted on the lubricant. Concerns for water quality have had an impact on outboard motor lubricants. Concerns for fuel economy (driven partly by global warming
concerns) have influenced lubricant viscosities downward and have encouraged the
move to unconventional base stocks. Fuel economy is also the driving force for
alternative transmission technologies such as continuously variable transmissions
(CVT), traction systems, and dual-clutch transmission (DCT) technology-all requiring modified transmission fluids for optimum performance.
Environmental issues feature directly as well as indirectly-tighter controls on the
manufacturing and marketing of new chemicals and formulations, tighter controls on
product labeling, and tighter controls on the disposal of used lubricants. These issues
are addressed in Chapter 10.
The second major influence has been the consolidation within the oil and petroleum
additive industries. There are now far fewer companies in these industries than there
were six years ago. There are fewer people to develop new test methods or attend
technical society meetings. The full impact of this change is yet to be felt, but it has
already forced some change in technical society structure, and more will surely follow. The motor industry’s need for rapid changes in specifications may be opposed
more strongly by an oil industry needing a better return on its investment in new
lubricant technology.
All of these influences have seen changes throughout this second edition of the book,
but particularly in Chapters 4,6,7,8, and 11. We have also taken the opportunity to
make significant changes to the sections on greases, industrial lubricants, and railroad oils.
R.F. Haycock
J.E. Hillier
August 2003
vi
CHAPTER 1
Introduction and
Fundamentals
1.1 Lubricants in History
A lubricant can be defined as a substance introduced between two surfaces in relative
motion in order to reduce the fiction between them. It is not known precisely when
lubricants were first deliberately and consciously used, but various forms of primitive bearing were known in the Middle East several thousands of years B.C. It is
reasonable to assume that if the concept of a bearing had been developed, then the
use of a lubricant with that bearing was highly likely, even if only water. A
Mesopotamian potter's wheel dating from 4000 B.C. contained a primitive bearing
with traces of a bituminous substance adhering to it. This suggests the use of a lubricant originating from surface petroleum deposits in the area. By 3000 B.C., wheeled
chariots were in extensive use in the Middle East, although few traces of lubricant
materials have been found associated with remnants of such vehicles. A notable
exception of a somewhat later period is a well-preserved Egyptian chariot of 1400 B.C.
with definite traces of both chalk and animal fat in the wheel hub, suggesting that a
primitive grease had been in use.
Egyptian murals dating to about 2000 B.C. show statues being dragged along the
ground, with liquids being poured ahead of a transporting sledge, presumably as a
lubricant. There has been much speculation as to whether these liquids were water,
natural oils, a type of liquid grease, or even blood. Dowson in his excellent book
History ofTribology' suggests these statues were, in fact, pulled along balks of timber lubricated by water, and he actually reconciles the expected hctional resistance
for such a system against the magnitude of the slave power depicted in the hieroglyphs.
The Greek and Roman civilizations produced many devices based on the wheel,
including lathes, pulleys, gears, and crane mechanisms. From the remains of a Roman
ship that was recovered in the 1930s,* we know that the principle of ball and roller
bearings was understood at this time. Pliny in the first century A.D. listed the known
lubricants that could be used in machinery of the era, these being principally animal
Automotive Lubricants Reference Book
fats and vegetable oils. This remained the situation until the industrial revolution,
with olive oil being common in southern Europe, and oil derived from various seeds
such as rape (colza) and linseed being more commonly applied in the north and west
of Europe. Petroleum would have been used in those places where it was available as
surface seepages, notably in Russia and the Middle East.
The industrial revolution started in Britain around 1760 and lasted for about 80 years.
During that time, the development of large-scale machinery based on iron and steel
was achieved, the steam engine was invented, and the concept of the railway developed with self-propelled steam locomotives. To lubricate all this machinery, animal
oils such as sperm oil (from the sperm whale) and neatsfoot oil (from animal hooves)
were added to the existing lubricants, while palm oil and groundnut oil were imported
to supplement the locally available vegetable oils. During the period, mineral oils
obtained from the distillation of coal or shales also became available as the residue
when a light-illuminating grade of petroleum had been distilled off. Graphite (black
lead) and talc also came into use as solid lubricants for sliding surfaces.
Greases were developed originally by combining soda and animal oils. Later, lime
was also used, and solid lubricants added to the greases provided further anti-friction
properties.
Early use of mineral oils involved distilled coal or shale residues, as previously
described. However, in the 185Os, small quantities of petroleum oil began to be
produced in the United States, Canada, Russia, and Romania. From the 1 88Os, petroleum was produced in quantity from wells in the United States, and the modem petroleum industry was born. Liquid petroleum must be distilled and “fractionated” into a
range of products in order to be fully exploited, and the heavier of these can find use
as lubricating oils. It was soon discovered that by distilling under reduced pressure-so-called vacuum distillation-fractions could be separated without the heavier
products oxidizing and deteriorating. This is because the boiling point of the fractions is reduced as the pressure is lowered, and lower temperatures are sufficient to
separate the mixture. By the 1920s, superior lubricants were being produced by
vacuum distillation, and some of these fractions were being combined with soaps to
form greases.
Additives to improve performance of petroleum-based oils were developed and saw
increasing use in the 1930s. Initially seen as ways to improve the physical properties
of the lubricants, the ability to control the deterioration of the oil itself became more
and more important as the use of the internal combustion engine grew. This led to the
development of the so-called “detergent” lubricant additives, which both reduced
the oil oxidation and reduced the formation of deposits in engines. These were
2
lnfroducfion and Fundamentals
increasingly used in diesel engines from the 1940s, but began to be used significantly
in gasoline engines only a decade later. Sludge-reducing additives were developed
around this time and saw increasing use in gasoline engines from the 1960s and in
diesel engines from 1970. Modern lubricants are now highly specialized and complex products. Later in this book, we will discuss their technical requirements and
how these are met by combinations of base stocks and additives. Additives of various types now form a considerable proportion of the more sophisticated oils, of which
crankcase lubricants are the largest and best-known example. A discussion of the
principal additive types and their modes of operation will be included in Chapter 2.
In Chapters 4,7, and 8, we will discuss how base stocks and additives are combined
to meet the technical requirements of modern lubricants.
Conventional petroleum base stocks have become less able to satisfy the most severe
modem demands, particularly for high-temperature performance, and significant additions of synthetic or specially refined petroleum stocks are now common in passengercar oils. In the fiture, for the most demanding applications, conventionally fractionated
and refined base stocks may have to be replaced almost entirely by synthetic stocks
or base stocks produced from petroleum in new ways. The arrangement of base
stocks into “groups” is discussed in Section 2.1.2 of Chapter 2.
1.2 Functions of a Lubricant
The basic functions of a lubricant are, of course, to reduce friction and prevent wear.
In practice, lubricants are called upon to fulfill other functions, some of which are
equally vital to the operation of the equipment in which they are employed. The
automobile and engine manufacturer Mercedes-Benz (now DaimlerChrysler) has listed
more than 40 properties required from engine Specialized lubricants such as
hydraulic or transmission oils will add other properties for our consideration, whereas
solid and semi-solid products such as greases have more restricted functions and
properties measured in special ways.
The desired properties can have positive aspects (e.g., the oil shall prevent wear) or
negative aspects (e.g., the oil shall not corrode the engine parts). The ability of an oil
to meet any particular requirement is usually a matter of degree, rather than an absolute fact. Therefore, questions of testing and test limits and the acceptance of limitations of both lubricants and machine must be taken into account.
A simplified list of the positive properties particularly applicable to a motor oil can
be given as follows:
3
Automotive Lubricants Reference Book
1.
2.
3.
4.
5.
6.
Friction reduction. This reduces the energy requirements to operate the mechanism and reduces local heat generation.
Wear reduction. An obvious need for keeping the equipment operating for a
longer period and in an efficient manner.
Cooling. In an engine, the lubricant is an initial heat transfer agent between
some parts heated by combustion (e.g., pistons) and the heat dissipating systems
(e.g., sump, cooling jacket). In addition, and in other systems, the lubricant
dissipates heat generated by friction or the mechanical work performed.
Anti-corrosion. Either from its own degradation or by combustion contamination (see Section 1.7.2 of this chapter), the oil could become acidic and corrode
metals. Moist environments and lack of use can also cause rusting of ferrous
components. The lubricant should counter all of these effects.
Cleaning action. The oil should prevent fouling of mechanical parts from its
own degradation products or from combustion contamination. Deposits, usually
classified by descriptive terms such as “solid carbon,” “varnish,” or “sludge,”
can interfere with the correct and efficient operation of the equipment. In extreme
cases, piston rings may become stuck and oil passages blocked, if the oil does
not prevent these effects. Deposit prevention and the dispersion of contaminants
are included under this heading.
Sealing. The oil should assist in forming the seals between pistons and cylinders
(pistons to rings, and rings to cylinder walls).
In addition to providing these functions on a continuing and economical basis, a
lubricant must have certain properties that are dictated by the equipment in which it is
used. There are necessary compromises between antagonistic requirements, some
listed as negative limitations, as summarized next.
An oil should not:
1. Have too low a viscosity. This will allow metal-to-metal contact and subsequent wear, and can increase oil leakage.
2. Have too high a viscosity. This will waste power and, in the case of engines,
cause starting difficulties.
3. Have too low a viscosity index. This means that it must not thin down too much
when hot (or thicken too much when cold).
4
Introduction and Fundamentals
4.
5.
6.
7.
8.
9.
10.
Be too volatile. High volatility will appear as a loss of oil (i.e., high oil consumption) from the boiling away of the lighter constituents, and it has been said
to also cause deposits.
Foam unduly in service. If an oil foams, this can result in loss of the lubricating
properties of the oil, andor loss of the oil itself from the engine.
Be unstable to oxidation or chemical attack. Engine oils in particular are
subject to high temperatures and contamination by acids and other chemicals.
The oils must be resistant to these to preserve their beneficial properties.
Attack emission systems components, coatings, or seals. Some equipment
contains paints or coatings, and most have elastomeric sealing components. None
of these should be seriously degraded by the oil.
Produce deposits from residues. If an oil decomposes on hot metal components (e.g., in the ring zone), it produces oxidation products that polymerize to
form a yellow or brown layer known either as “varnish” or “lacquer.” This can
build up and further carbonize to “solid carbon.” Either type of deposit can
prevent movement of parts that should be free to move (e.g., the piston rings).
Apart from not producing deposits on moving parts in an engine, the lubricant
should also not cause significant deposits in the combustion chamber, which
would lead to pre-ignition.
Be unduly toxic or of unpleasant odor. This requirement is for the comfort
and health of the user.
Be unduly costly. This is often a real restraint, not because expensive oils are
not worthwhile in terms of engine operating economics, but because competition
among suppliers limits the price that can be charged to the user, and hence the
acceptable ingredient cost.
These requirements are studied in greater depth in subsequent chapters.
1.3 Approval of Lubricants for Use
Having discussed in broad terms the properties required in a lubricant, and before we
consider in detail the tests that can be performed to measure such properties, we
would like to consider how a lubricant user can determine if a given lubricant is
suitable for that user’s intended purpose. Of course, in the simplest case, the user can
take the word of the supplier, who might state, “This oil is suitable for all modem
5
Automotive Lubricants Reference Book
automobiles.” Such a bold statement is, in fact, unlikely to be found, and the supplier
will more likely refer to different oil specifications that he claims the oil will meet.
Reference to the vehicle handbook or operator’s manual will indicate the specification requirements of suitable oil, and the user can see ifthey match. If so, the user can
proceed on the basis that the supplier’s claims are valid. In effect, he approves of his
own use of the oil.
An easier approach is if the vehicle manufacturer has approved certain oils or types
of oil and lists these in his manual. Practices differ in different countries, and in some
cases, only one brand and grade of oil will be officially approved. In others, several
competing brands of similar qualities will be listed, and in others, lubricants approved
by some official body and carrying a certification mark will be specified. In the
United States and possibly in other countries in the future, the American Petroleum
Institute (API) “doughnut” and the API (formerly the International Lubricant Standardization and Approval Committee, or ILSAC) “starburst” certification mark represent such “seals of quality.”
Approvals can therefore be given by the lubricant user, the vehicle (or engine) manufacturer, or some independent body. In Chapter 6, we will examine in detail the
organizations and procedures employed, but some historical background at this point
will provide a useful perspective for the next sections.
The approving of lubricants for use initially was done on a very simple empirical or
trial-and-error basis, simply seeing if the equipment would operate for a satisfactory
length of time on the oil being evaluated. However, in the 1930s, there was an
upsurge of studies into friction and lubrication and the development of tests that
could distinguish one lubricant from another in several different ways. The importance of viscosity was soon realized, as well as the need to be aware of properties
such as solidification or pour point, and acidity or corrosiveness. Gradually, a pattern
of product development arose, which consisted of control of fundamental properties
such as viscosity, pour point, and acidity, together with other properties measured in
laboratory gadgets that tried to simulate operating conditions-in other words, in
“rig tests.” Final approval for use of a lubricant was usually based on practical
experience obtained by testing the lubricant in the equipment and service for which
it was designed. This field service experience would also be used to set oil-change
intervals.
A significant change took place at the end of the 1930s, which introduced the concept
of testing oils in real engines but in the laboratory. In the mid-l930s, the Caterpillar
Tractor Company had produced a range of heavy-duty tractor and earth-moving equipment with sophisticated high-power diesel engines. Under the typical severe service
6
Introduction and Fundamentals
conditions for which they were designed, it was found that the pistons rapidly became
carbonized and the rings stuck, so that efficient operation lasted for only a short
period. It was found that metal soaps dissolved in the oil were effective in alleviating
this carbonization; thus, the first “detergent” additive was developed. This was aluminium dinaphthenate. The problems of screening new and differing lubricants for
detergency quality by field testing soon became apparent, and Caterpillar embarked
on the development of a laboratory engine test that would permit rapid screening of
the new oils. It was joined by the U.S. military and U.S. Navy laboratories. The first
engine test was ready for use in 1940 and immediately became part of a lubricant
specification employed for screening oils for both Caterpillar and other severe diesel
engines.
Development of products and means of testing and approving them in the laboratory
proceeded rapidly from this time but was given even greater acceleration during World
War 11. The wartime needs of military and aviation equipment, and the difficulties of
providing adequate servicing routines, rendered it imperative to set at least minimum
standards for the quality of lubricants being purchased for the armed forces. The
U.S. Army introduced its specifications 2- 104 for heavy-duty detergent oils in 194 1,
to be elaborated in 2-104B in 1943. In 1943 also, the U.S. Navy (whose great interest
was in operating diesel-engined submarines without breakdown problems) issued its
14-0-13 specification. The U.S. armed forces and other military bodies around the
world continued to develop specifications and to be leaders in setting standards of
performance until the 1980s. In Europe, for cost reasons, parallel engine tests were
developed in smaller locally available engines, initially to provide approximately equivalent tests to those used in the United States, but later to develop different European
specifications. The large size of today’s lubricant-testing industry, particularly the
part that relates to testing in engines run on laboratory test beds, arose initially from
the boost given in wartime by the need to screen lubricants.
The military approval of lubricants represents a case where the user of the equipment
is setting requirements and standards for quality, rather than that being done by the
manufacturer ofthe equipment. For a long time, military authorities around the world,
and particularly the U.S. military, set the standard by which lubricants were judged.
The underlying philosophies behind these standards were not always uniform. For
example, the U.S. military, using the expertise of equipment manufacturers on its
committees, developed a specification and approval system that was available to oil
companies in most non-Comecon countries and that provided standards and lubricant
approvals to rationalize quality levels around the world. In Europe, the British and
other military authorities worked with the oil companies and developed their own
tests and quality philosophies, and had smaller-scale approval systems in their areas
of influence. During the 1980s, the role of military bodies declined. Today, the
7