Introduction of the new gearbox design standard:

a gap analysis between IEC 61400-4 and ISO 81400-4

PO.ID
036

Giovanni Nappi, M.Sc.

Niels Lerke, B.Sc.

DNV GL Renewables Certification

DNV GL Renewables Certification

Abstract
The IEC 61400-4 standard was published on December 2012, thereby becoming a mandatory precondition for Type Certification of Wind Turbine Generators (WTGs) according to the IEC 61400-22 scheme. This long-awaited standard
cancels and replaces the controversial ISO 81400-4, published in 2005 and applicable only to WTGs with rated power under 2 MW.
The present gap analysis outlines some of the most relevant aspects of IEC 61400-4 that were previously not part of ISO 81400-4.

Major findings and Conclusions

Range of applicability of the design standard
ISO 81400-4:2005
40 kW < Pn < 2000 kW

WTG size

Conclusions:

IEC 61400-1, ed.3

DROTOR > 16 m

Bearing calculations
IEC 61400-4, edition 1:2012
Pn > 500 kW

1. Use of IEC 61400-4 is enforced for IEC Type Certification of WTGs since December 2012.
2. It covers design, testing and manufacturing of most gearbox models installed on medium/large size WTGs.

Minimum rating Lifetime

Modified Reference rating as per
Static safety factor at extreme load
Static safety factor at max. LDD load
Max. stress at equivalent torque [MPa]

Gearbox loading specifications

ISO 81400-4:2005

IEC 61400-4, edition 1:2012

Clear reference to IEC 61400-1 and IEC 61400-3
standards for Design Load cases and loads calculations

Loads specification

General recommendations

Conclusions:

Uncertainty regarding loads specifications reduced

ISO 6336:1996 (all parts)

ANSI/AGMA 2101-D04

Pitting resistance

ISO 6336:1996 (all parts)

ANSI/AGMA 2101-D04

Bending strength

ISO/TR 13989-1
AGMA 925-A03
DNV Classification Note 41.2

Scuffing

IEC 61400-1, ed.3:2005

IEC 61400-4, edition 1:2012
ISO 6336-1, -2, -5.
Miner rule shall be applied ISO 6336 (all parts)
(no reference to ISO 6336-6)

ISO 6336-1, -3, -5

(Methods A or B allowed)

ISO/TR 13989-1
DIN 3990-4
ANSI/AGMA 925-A02 + ISO/TR
13989-2

(total contact temperature method

recommended)

Micropitting (recommended)
Subsurface initiated fatigue

N/A
N/A

(Worst case between total contact temperature and

integral temperature method)

N/A
N/A

ISO/TR 15144-1
DNV Classification Note 41.2

Design standard

ISO 81400-4:2005
DIN 743 or ANSI/AGMA 6001

IEC 61400-4, edition 1:2012

DIN 743 or ANSI/AGMA 6001
1,30 DIN 743

Minimum SFyielding

N/A (1,2 recommended by DIN 743)

(includes the SF of 1,2 recommended by DIN 743)

Minimum SFfatigue

Dynamic factor, KV
Mesh load factor Kg
Face load factor KHb

Gear accuracy
(ISO 1328-1)

YSg

Gear surface roughness

1,05 minimum

IEC 61400-4, edition 1:2012

1,05 minimum Method B, ISO 6336-1:2006

Results from accurate and proven Multi-Body Dynamic analysis allowed

Results from measurements allowed

1,15 minimum Method B, ISO 6336-1:2006

1,10 (3 planets, for reference)

1,25 (4 planets, for reference)
1,15 minimum Method B, ISO 6336-1:2006

Numerical analysis of the gear face in helix and profile directions

Worst case value to be used for the whole load spectrum

Numerical analysis of the gear face in helix and profile directions

Results of the calculation to be verified by testing

6 maximum (external gears, carburized)

7 maximum (internal gears, carburized)
7 maximum (internal gears, nitrided)
8 maximum (internal gears, through hardened)

6 maximum (external gears)

7 maximum (internal gears)

ISO 6336-3

Grinding notches to be analyzed with FEA or

alternatively ISO 6336-3

Ra 0,8 mm (with some exceptions depending on gearbox stage)

Rz 5,0 mm (with some exceptions depending on gearbox stage)

Ra 0,8 mm (external gears, flank)

Rz 4,8 mm (external gears, ground regions)
Ra 1,6 mm (internal gears flank)
Rz 9,6 mm (internal gears ground regions)

N/A

Flank shot peening not allowed

N/A (1,2 recommended by DIN 743)

Conclusions:

1. Minimum required safety factors for shafts are clarified.

Goals

Key phases

Conclusions:

Conclusions:

ISO 6336-5 (MQ quality level as a minimum, with some exceptions)

Goal is to verify and confirm the modeling of the gearbox in the WTG aero-elastic model (i.e. gearbox stiffness)
Verify the occurrence of gearbox-specific loads due to dynamic amplification
Set up a detailed model of the gearbox and its subcomponents in an appropriate simulation environment
Include the remaining components of the drivetrain whose dynamic properties are expected to contribute to the
gearbox dynamic response (e.g. low speed rotor including coupling, shaft, hub and eventually blades, high speed
rotor including coupling, shaft, generator)
3. Simulate the modal response of the gearbox and the gearbox behavior in the time and frequency domains
4. Verify the occurrence of dynamic amplification phenomena
5. Validate the analysis as soon as gearbox test results are available
1. Appropriate resources to be mobilized and employed in connection with this endeavor, e.g. Multi-Body dynamics
software, Finite Element software, etc. including manpower skills needed to manage these tools
2. Close cooperation between gearbox manufacturers and wind turbine manufacturers needed
3. Results should not be stand-alone exercise, but rather be read in connection with the gearbox testing

Housing and flange connections

ISO 81400-4:2005

Bolt ISO 898 quality grade

Minimum quality 8.8

Quality 12.9 not accepted with dynamic loading

Bolt calculations
Minimum SFyielding
Minimum SFfatigue

Capacity as per ANSI/AGMA 6001

Safety factors as per IEC 61400-1 ed.3
Safety factors as per IEC 61400-1 ed.3

IEC 61400-4, edition 1:2012

Minimum quality 8.8
If 10.9 or 12.9 is used , sourcing shall be controlled.
Measures shall be taken to avoid Hydrogen
embrittlement
Capacity as per ANSI/AGMA 6001
Safety factors as per IEC 61400-1 ed.3
Safety factors as per IEC 61400-1 ed.3

Housing material properties

N/A

Should be based on 50% survival probability

Friction resistance

Maximum torque load should be transmittable

through friction between housing parts

Maximum torque load shall be transmittable through

friction between housing parts

Conclusions:

1. More control of bolt quality

2. More detailed analysis specifications provided for design and analysis of structural parts
3. More bolts connecting ring gear and housing parts

ISO 6336-5

1. Introduction of mesh load factors Kg besides ISO 6336 calculation factors

2. Value of KHb shall be verified by testing

Gearbox testing requirements

Minimum safety factors for gearings

Test planning

(based on 99% survival probability material properties)

Pitting resistance, SH
Surface static resistance, SH
Bending fatigue strength, SF
Bending static strength, SF
Max scuffing risk allowable
(ANSI/AGMA 925-A02)
Scuffing SS

Conclusions:

ISO 81400-4:2005

IEC 61400-1, ed.3:2005

IEC 61400-4, ed.1:2012

1,25
N/A
1,56
N/A

1,20
1,20
1,45
1,45

1,25
1,00
1,56
1,40

5%

5%

1,25

1,30

1,30

1. End of inconsistencies with regards to safety factors for gearings

2. Limited changes in safety factors for gearings
3. No safety factors indicated for micropitting and case/core crushing: is this a possible source of conflicts?
Or should IEC 61400-1:2005 edition 3 safety factors be applied?

ISO 81400-4:2005
Scope to be agreed between Wind Turbine
manufacturer and the Gearbox manufacturer

NDT testing on gears

Conclusions:

IEC 61400-4, edition 1:2012

Mandatory measures at
initial Prototype Test

Gear contact pattern, Sound emission, Vibration

Duration of initial Prototype

test
Robustness test

N/A

Field test

Mandatory acc. IEC 61400-22 ed.1

Serial production test

N/A

Conclusions:

1. Additional tests required to reveal weak links of the gearbox

2. More test details for the other tests
3. Cost of additional gearbox tested at overload and additional test equipment

N/A

Surface temper inspection required after grinding on

100% of the gears

1. More inspections are needed increased quality cost

2. Risk for undesirable gear quality is further mitigated

References
1.
2.
3.
4.

IEC 61400-4, edition 1:2012

Scope to be agreed between the Wind Turbine
manufacturer and the Gearbox manufacturer.
This shall also include the bearing supplier(s)

Gear manufacturing requirements

ISO 81400-4:2005
Surface temper inspection required after grinding.
The sampling plan to be agreed between the
gearbox manufacturer and the purchaser

(previously not part of ISO 81400-4:2005)

1.
2.
1.
2.

Flank shot peening not allowed

Material strength

(includes the SF of 1,2 recommended by DIN 743)

1,75 ANSI/AGMA 6001

Gear rating calculations

ISO 81400-4:2005

1,30 ANSI/AGMA 6001

1,75 DIN 743

Drivetrain Dynamic Analysis

1. Use of ISO 6336-6 is enforced in a definite fashion

2. Integral temperature method calculations for scuffing according ISO/TR 13989-2 is allowed (worst
case between total contact temperature and integral temperature method is considered)
3. Micropitting calculations should be provided or designers should justify why this failure mode is
not likely to occur with the gearbox under certification
4. Subsurface initiated fatigue (case/core crushing) calculations should be provided or designers
should justify why this failure mode is not likely to occur with the gearbox under certification

Conclusions:

Design of shafts

ISO 6336 (all parts)

ISO/TR 13989-1

IEC 61400-4 ed.1

As specified by WTG manufacturer
ISO/TS 16281
2.0
3.0
1300 HSS
1650 HS IMS
1650 LS IMS
1500 Planet
Fulfillment of ISO 683 with respect to chemical
composition, steel cleanliness, steel making
process, heat treatment and micro-structure
- / 17 / 14
Advice on other bearing failure modes

Lubrication cleanliness at bearing rating - / 17 / 14

Others

Reference design gear rating standards

ISO 81400-4:2005

Steel quality

ISO 81400-4:2005
As specified by WTG manufacturer
ISO 281 Bbl.4
2.0
3.0
1300 HSS
1650 HS IMS
1650 LS IMS
1450 Planet
No specification

IEC 61400-4 ed.1, Wind Turbines - Part 4: Design Requirements of Wind Turbine gearboxes
ISO 81400:2005, Wind Turbines Part 4: Design and Specification of gearboxes
IEC 61400-1, Wind Turbines Part1: Design Requirements
IEC 61400-3, Wind Turbines Part 3: Design Requirements for offshore Wind Turbines

EWEA 2014, Barcelona, Spain: Europes Premier Wind Energy Event

Lubrication cleanliness measures, Gear contact

pattern at each load step, Temperatures at each load
step, Vibrations at each load step.
The gearbox shall be completely disassembled after
the test and inspected.
Duration until stabilized temperature and minimum 6h
A mandatory additional test at non-specified overload
to reveal weak links
Mandatory acc. IEC 61400-22 ed.1
The gearbox is specified to be instrumented for:
Loads validation
Torsional vibrations at selected events
Measured Campbell diagram
HSS torque and speed
Requires no-load test and torque applied in minimum
4 steps
Vibration tests mandatory