Applied Failure Analysis

Service Training Meeting Guide 009 SESV8009

September 2000

TECHNICAL PRESENTATION

APPLIED FAILURE ANALYSIS

HYDRAULIC PUMPS & MOTORS
(HPM)
HPM FAILURE ANALYSIS
MEETING GUIDE SLIDES AND SCRIPT
AUDIENCE
Service, service support and administrative staff personnel who understand the principles of engine and
machine operation, and who are or may be involved in determining root causes of failures of hydraulic
pumps and motors.

CONTENT
This presentation describes design, function, operation, loading, visual examination, normal appearance,
and some root causes of failures of hydraulic pumps and motors.

OBJECTIVES
After learning the information in this presentation, the student will be able to:

1. describe functions of hydraulic pumps and motors;

2. describe types of loading and wear that hydraulic pumps and motors experience during operation;
3. identify road signs of abrasive weare, aeration, cavitation, lack of lubrication, overheating and
overpressure and list possible root causes;
4. identify common parts problems with hydraulic pumps and motors.

REFERENCES
Hydraulic Pumps and Motors Applied Failure Analysis Reference Book SEBV0563
Hydaulic Pumps and Motors Applied Failure Analysis Self-Paced Instruction CD-ROM SERV8009

PREREQUISITES
AFA STMG 013 Failure Analysis Management SERV8013
AFA STMG 017 Basic Metallurgy SERV8017
AFA STMG 014 Principles of Fractures SERV8014
AFA STMG 015 Principles of Wear SERV8015

Estimated Time: 5 Hours

Visuals: 147 electronic images
Student Handout: 1 - Lab Worksheet
Form: SESV8009
Date: 9/2000
© 2000 Caterpillar Inc.
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TABLE OF CONTENTS

INTRODUCTION ..................................................................................................................6

DESIGN..................................................................................................................................8

COMPONENTS ...................................................................................................................12

FUNCTION ..........................................................................................................................31

OPERATION ........................................................................................................................37
Gear Pumps.....................................................................................................................38
Vane Pumps.....................................................................................................................41
Piston Pumps...................................................................................................................46

VISUAL EXAMINATION...................................................................................................48

NORMAL APPEARANCE ..................................................................................................57

Gear Pumps.....................................................................................................................58
Vane Pumps.....................................................................................................................63
Piston Pumps...................................................................................................................68

FAILURE ANLAYSIS .........................................................................................................75

Abrasive Wear.................................................................................................................78
Gear Pumps.....................................................................................................................82
Vane Pumps.....................................................................................................................87
Piston Pumps...................................................................................................................94
Foreign Material Damage .............................................................................................100
Aeration/Cavitation.......................................................................................................106
Lack of Lubrication.......................................................................................................112
Vane Pumps...................................................................................................................114
Piston Pumps.................................................................................................................120
Overheating...................................................................................................................127
Gear Pumps...................................................................................................................128
Vane Pumps...................................................................................................................131
Piston Pumps.................................................................................................................133
Overpressure .................................................................................................................135
Gear Pumps...................................................................................................................137
Vane Pumps...................................................................................................................138
Piston Pumps.................................................................................................................140
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TABLE OF CONTENTS

PARTS PROBLEMS...........................................................................................................141
Vane Pumps...................................................................................................................142
Piston Pumps/Motors ....................................................................................................144

CONCLUSION...................................................................................................................152

SLIDE LIST........................................................................................................................154

STUDENT HANDOUT......................................................................................................156
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INSTRUCTOR NOTES
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• Failure Analysis of INTRODUCTION

Hydraulic Pumps and
Motors The hydraulic pumps and motors failure analysis module explains how to
apply failure analysis principles when examining worn and fractured
hydraulic pumps and motors.
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• Hydraulic Pumps and Topics that will be covered in the hydraulic pumps and motors failure
Motors presentation analysis module include some facts about how these components are
designed and function, component materials, and manufacturing
- Design
processes used to produce them. This is followed by a review of
- Function hydraulic pump and motor operation and the normal appearance of used
hydraulic pump and motor parts. The final section in this module covers
- Operation hydraulic pump and motor failure analysis using the eight step method
along with the proper visual examination procedure to discover road signs
- Loading
that lead to the root cause of failure. Since the focus of the module is on
- Visual examination analysis of failed pumps and motors, it will not cover troubleshooting of
hydraulic systems or other system components.
- Normal appearance

- Failure analysis
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• Pump design DESIGN

- Main components Most Caterpillar products use three different types of hydraulic pumps:
- Materials
1) Gear pumps
- Manufacturing
processes 2) Vane pumps

- Component 3) Piston pumps

hardness
Before looking at how pumps and motors function, it would be useful to
become familiar with the various components found in each type of
pump, the materials and processes used to make them, and the typical
hardness of each. Since each manufacturer has unique specifications,
processes, and materials, the examples given are only intended to
illustrate basic principles.
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• Unidirectional gear First, consider the parts found in a single section unidirectional gear
pump design pump:

1 - retainer 6 - idler gear

2 - sealing strip 7 - housing

3 - back up ring 8 - flange

4 - isolation plate 9 - o-ring

5 - drive gear 10 - support ring

11 - pressure plate
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• Reversible gear pump Reversible pumps contain many of the same parts as unidirectional pumps
design but notice that they contain isolation plates on both sides and o-rings
instead of the sealing strip. This permits each side of the pump to act as a
- Extra isolation plates
low pressure or high pressure side.
- O-rings

- No sealing strips
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• Double section This double section unidirectional gear pump contains the same parts as a
unidirectional gear single section pump along with a center housing that separates the
pump
sections and a coupling to connect the front drive gear to the rear drive
- Add center housing gear.

- Coupling to connect
front and rear drive
gears
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• Gear pump COMPONENTS

- Shafts and gears The shafts and gears in most gear pumps are made from low carbon alloy
steel containing nickel, chrome and molybdenum. These parts are heat
- Low carbon alloy
steel treated by carburizing to produce a carbon rich layer over the outside
surface of the shaft or gear. Final surface hardness after the carburizing
- Carburized heat heat treatment is about Rockwell C60. The small radius between the gear
treated and shaft is work hardened by some manufacturers to provide additional
fatigue strength.
- Rockwell C60

- Housings Housings are machined from either cast iron or cast aluminum depending
on operating pressures.
- Cast iron
Pressure plates are made from a copper alloy bonded to a steel back.
- Aluminum
Isolation plates are usually produced as aluminum die castings.
- Pressure plates

- Copper alloy on
steel

- Isolation plates
- Aluminum die
castings
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6
5

1 7

• Vane pumps Vane pumps consist of a housing, shaft, and cartridge. The cartridge parts
as seen from left to right are:

1 - outlet support plate

2 - flex plate (steel side)

3 - cam ring and rotor

4 - vane and insert

5 - flex plate (copper side)

6 - seals

7 - inlet support plate

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• Cam ring Cam rings are made from high carbon alloy steel hardened to about
Rockwell C62 to provide a very wear resistant surface. The ring is
- High carbon alloy
ground to very exacting specifications and receives a finish honing
steel
operation that provides a smooth surface for the vane tips to contact.
- Hardened to
Rockwell C62

- Ground and honed

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• Flex plates Flex plates are similar to pressure plates being made from a copper alloy
bonded to a low carbon steel back.
- Copper alloy bonded
to steel
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• Rotor The rotor assembly is made from three materials. The rotor is made from
a carburized and hardened low carbon alloy steel. The vane slots and
- Low carbon alloy
holes are machined into rotors prior to heat treatment. After heat
steel
treatment, rotor hardness is about Rockwell C60.
- Carburized
Vanes are made from tool steel that is heated and air quenched to a
- Rockwell C60 hardness of about Rockwell C62.

• Vanes
Inserts are made from high carbon steel hardened to the same hardness
- Tool steel
range as the rotor and vanes.

- Hardened to
Rockwell C62

• Inserts

- High carbon steel

- Hardened to
Rockwell C60
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• Vane pump shafts Most vane pump shafts are machined from high carbon alloy steel. The
spline areas on the shaft are usually cut rather than rolled. Spline areas
- High carbon alloy
and any seal contact areas are induction hardened after machining. The
steel
heat treated areas of the shaft are easy to recognize by the temper colors
- Induction hardened produced during induction hardening.
splines
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• Axial piston pump Axial piston pumps consist of a drive shaft and barrel containing piston
assemblies. The barrel runs against a port plate while a retraction plate
- Drive shaft
holds the slippers against a wear plate. A swash plate supports the wear
- Barrel plate. In variable displacement pumps, the angle of the swash plate
changes to increase or decrease flow. The swash plate angle does not
- Piston assembly change in a fixed displacement pump.

- Port plate

- Retraction plate

- Slippers

- Wear plate

- Swash plate
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• Bent axis variable The bent axis variable displacement type motor contains a port plate,
displacement motor barrel assembly and drive plate. Pistons are short and are connected by a
link to the drive plate assembly. The drive plate assembly replaces the
- Port plate
wear plate, retraction plate, slippers, and shaft. A u-joint assembly
- Barrel assembly maintains the proper orientation or timing between the barrel and drive
plate. This assembly carries very light loads if operating properly. A
- Drive plate servo link and piston that tilts the barrel in relation to the drive plate
controls the angle between the barrel and drive plate assembly.
- Piston-link assembly

- U-joint

- Servo link and piston

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• Fixed displacement Fixed displacement link type motors contain the same parts as variable
link type motor displacement motors except for the servo link and piston. These parts are
not needed because the angle between the barrel and drive plate is fixed.
- Similar to variable
displacement motors

- Angle between
barrel and drive
plate is fixed

- No servo link and

piston
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• Fixed displacement Fixed displacement slipper type motors are nearly identical to pumps in
slipper type motor construction and parts. Instead of being turned by mechanical input, the
shaft turns as hydraulic fluid moves the barrel and pistons. This converts
- Nearly identical to
pumps hydraulic energy back into mechanical energy.

- Hydraulic fluid
moves pistons and
barrel to turn shaft
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• Piston pump barrel Many piston pumps and motors contain barrels that are precision
machined from high carbon alloy steel forgings. Barrels are through
- High carbon alloy
hardened to about Rockwell C32 for increased strength to carry high
steel
pressure. These barrels have bronze sleeves interference fitted in the
- Hardened to piston bores. The sleeves are cooled below -18°C (0 °F) to shrink them
Rockwell C32 enough to slip into the bores. When the sleeves warm to room
temperature they are held in place by the interference fit with the barrel.
- Bronze sleeves
The final sleeve diameter is obtained by diamond boring the sleeve to the
precise diameter required. Other barrels that are black in color have been
made differently and are plated with a lubricating coating capable of
running steel pistons directly against the plated bores.
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• Piston pump barrel The port face of the barrel is induction hardened to a minimum hardness
of Rockwell C55 and ground to an .2 µm (8 microinch) surface finish
- Induction hardened
with a .005 mm (.0002 inch) convex to flat requirement to minimize wear.
port face
The induction hardening often leaves temper colors around the outer
- Rockwell C55 circumference of the barrel's port end.

- .2 µm surface finish
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• Port plates Port plates are machined from alloy steel or copper alloys depending on
the pump style and design. This port plate is a copper alloy. The
- Alloy steel or copper
elliptical holes are the ports (1) and the raised flats on either side of the
alloy
ports are the seal bands (2). Since this copper alloy is softer than steel
- Ports (1) pump components, it is more easily damaged by abrasive particles or
foreign material.
- Seal bands (2)
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• Piston assembly Slipper type pumps use piston assemblies consisting of a low carbon alloy
steel body (1) that is carburized and case hardened to a hardness of about
- Body (1)
Rockwell C60 with a brass slipper (2) that is swaged (cold formed) on
- Low carbon alloy one end of the piston.
steel

- Carburized

- Rockwell C60

- Slipper (2)

- Brass
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• Wear plate (1) The slippers run against a wear plate (1) that is made from a medium
carbon alloy steel that is hardened to about Rockwell C55.
- Medium carbon alloy
steel
The retraction plate (2) holds the slippers flat against the wear plate.
- Hardened to Retraction plates are made from various materials ranging from sintered
Rockwell C55 powdered metal to hardened medium carbon alloy steel.

• Retraction plate (2)

- Various steel
materials
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• Piston link assembly Link type pumps and motors use a piston and link both made from the
same low carbon alloy steel carburized and case hardened to about
- Low carbon alloy
Rockwell C60. The other end of the link is attached to a high carbon
steel
alloy steel insert also hardened to Rockwell C60.
- Carburized

- Rockwell C60
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• Drive plate The insert end of the link is fastened to a drive plate that is made from a
medium carbon alloy steel forging that has been heat treated to Rockwell
- Medium carbon alloy
C30. The drive plate internal spline area is nitrided to a higher hardness
steel
level of about Rockwell C 40.
- Hardened to
Rockwell C30

- Splines nitride
hardened to
Rockwell C40
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• U-joint assembly Since link type motors use a drive plate that is not splined directly to the
barrel, it is necessary to maintain the orientation or timing between the
- Medium carbon alloy
drive plate and barrel. A u-joint assembly made from forged and case
steel
hardened medium carbon alloy steel accomplishes this. The u-joint
- Carbonitride surface assembly consists of two splined yokes with a link between them. One
hardened yoke is splined into the barrel assembly and the other into the drive plate.
The u-joint assembly maintains timing between the barrel and drive plate
- Rockwell C44
and is not intended to carry any significant loads. The yoke is case
hardened by carbonitriding heat treatment. Carbonitriding heat treatment
produces a much shallower case than carburizing. Carbonitriding
produces a surface hardness of about Rockwell C44.
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• Pump information More information on the construction, operation and maintenance of each
sources of these types of pumps is available in the Caterpillar failure analysis
guides FEG45137, SEBD0501, and SEBD0641.
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• Pump function FUNCTION

- Convert mechanical All three pump styles perform the same basic function of converting
energy to hydraulic
mechanical energy into hydraulic energy by producing a specified rate of
energy
fluid flow.
- Produce specified
rate of fluid flow The pump does not create pressure. Pressure results when flow from the
pump is restricted. Each pump style has a maximum operating pressure
- Not produce
that is usually determined by the design of the internal components.
pressure

• Motor function is to Hydraulic motors serve just the reverse function by converting hydraulic
convert hydraulic energy back into mechanical energy.
energy to mechanical
energy
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• Hydraulic fluid For pumps and motors to do their job correctly, the system must be filled
functions with the correct quantity and quality of properly formulated hydraulic
fluid. Properly formulated fluid blends can:

Transmit power

Lubricate parts

Seal pressure

Cool the system

Prevent rust

Resist fluid oxidation

Separate water

Depress foaming

Maintain viscosity

Provide compatibility with seals

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• Most hydraulic fluids Most hydraulic fluids of proper viscosity can perform the first five
of proper viscosity functions since they are not very dependent on fluid formulation. Most
can do first five
fluids can transmit power, lubricate components, seal pressure through
functions
controlled leakage, remove heat, and prevent rust.

• The last five functions However, the last five functions are dependent on formulation or blend.
depend on hydraulic Proper additives can preserve fluid quality at high temperatures by
fluid additive package preventing fluid oxidation while other additives can provide some
emulsibility of small amounts of water in the system. Still other additives
depress foaming, help maintain viscosity during temperature extremes,
and insure the fluid will not become harmful to the seals in the system.
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• Filters It is extremely important to keep the hydraulic fluid clean and free of
contamination. This is best accomplished by filtering the fluid.
- Keep fluid clean

Using the recommended Cat filters and filter change intervals will help
- Use recommended
filters and change prevent quality problems such as torn or clogged filter elements.
intervals
Sampling hydraulic fluids regularly for wear metals and foreign material
- Regular fluid is a good way to monitor fluid quality.
sampling beneficial
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• Reservoir design Reservoir design is critical to proper operation since adequate high quality
fluid must be continuously available to the pump. Most reservoirs are
- Steel construction
constructed of steel and are equipped with a sight glass for convenient
- Sight glass monitoring of fluid levels. Most tank bottoms are tapered to the drain
plug to improve draining of any foreign material. Covers are designed to
- Tapered bottom allow good accessibility for cleaning.

- Accessibility for
cleaning
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• Reservoir baffle plates Most reservoirs position inlet and return lines below the fluid level to
prevent aeration. Baffle plates are provided between the pump inlet and
- Prevent turbulence
return lines to prevent turbulence, allow foreign material to settle out, let
- Settle out foreign entrapped air escape and aid in removing heat. Some systems are also
materials closed and pressurized. These systems are generally cleaner than vented
systems.
- Free entrapped air

- Remove heat
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• Operation OPERATION

- Creates loads on When pumps and motors start operating, fluid flows and pressure builds
parts
creating loads on the various pump components. In order to perform
- Creates wear on failure analysis on pumps and motors, it is necessary to become familiar
parts with these loads and know the normal location and appearance of the
wear that each produces.
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• Gear pumps Gear Pumps

- Fluid is transported When gear pumps are put into operation, they pick up hydraulic fluid
between the teeth
between the gear teeth at the pump inlet. As rotation continues, fluid is
- Unbalanced carried to the pump outlet where it is forced out from between the teeth.
pressure Pressure develops as flow is restricted downstream by the load.
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• Gear pump housing High pressure fluid bends shafts toward the low pressure side of the pump
and may cause the gear teeth to machine away some housing material in
- Pressure bends
the vicinity of the inlet port. Some cast iron housings have a built in relief
shafts toward inlet
side in the inlet port area to prevent this. Pressure also puts stress in the
housing and flange, and creates torsional loads on the shafts.
- Material removed on
inlet side

- Pressure stresses
housing and flange
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• High pressure fluid As pressure builds, high pressure fluid flows behind the pressure plates,
seals parts against marked A and B in this illustration, and pushes them tightly against the
leakage
sides of the gears sealing the high pressure from the low pressure side of
• High pressure fluid the pump. Some of the high pressure fluid is directed to the bushings for
lubricates bushings lubrication. Some gear pumps can operate up to about 23,400 Kpa (3400
psi) before isolation of the inlet and outlet sides becomes a problem.
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2
2
1

35

• Vane pumps Vane Pumps

- Fluid moved in When vane pumps rotate, fluid flow is created as the rotor and vanes turn
space between
in the elliptical shaped cam ring. As the fully extended vanes pass the
vanes, cam ring and
rotor pump inlet (1), they trap fluid in the large volume between the cam ring
and rotor. The vanes carry the fluid into an area where the available
- High pressure fluid volume rapidly decreases forcing the fluid out (2). Centrifugal force seals
pushes vanes vanes against cam rings until the system pressurizes. Then high pressure
against cam ring
fluid is continuously directed through passages machined across the vane
- Pressure is slot to the top of the insert. This additional pressure helps seal vanes
equalized on the top against the cam ring. Angled holes are drilled from the rotor OD to the
and bottom of the bottom of each vane slot to equalize pressure on the top and bottom of the
vanes vane preventing hydraulic lock.
- Balanced design
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• Flex plates Flex plates are held against the sides of the rotor by high pressure fluid
and experience sliding wear conditions. Since the rotor tends to wobble
- Bending stress
slightly during start up conditions, the flex plate also sees some bending
- Sliding wear stresses.
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• Pump shaft Shafts become torsionally loaded by resistance to turning and also see
some bending stresses created by the drive gear.
- Bending stress

- Torsional stress
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• Cam ring Vanes are held tightly against cam rings creating sliding wear conditions
at the tip. Vanes also travel up and down in rotor slots producing sliding
- Sliding wear with
wear conditions on the faces. The vane experiences some bending stress
vanes
as it pushes fluid ahead of it.
• Vanes

- Sliding wear with

rotor

- Bending stresses
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• Cam ring stresses High outlet pressure tries to make the cam ring more elliptical creating
tensile stresses on the outside. At the inlet, the cam ring is being
- Make the part more
squeezed flatter putting tensile stresses on the inside. Cam rings are
elliptical
designed with high pressure outlets opposite each other to reduce bushing
- Stress varies with wear significantly.
location

- Balanced design
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• Piston pumps Piston Pumps

- Stroking pistons As piston pumps start operation, some pistons are exposed to inlet fluid.
move fluid
The retraction plate is pulling these pistons down and hydraulic fluid fills
the cylinder. As rotation continues, the cylinders pass under the outlet
port as pistons are pushed up in the bores forcing fluid out. While
operating pressure is being obtained, the barrel is held against the port
plate by one or more springs. During normal operation, a decrease in area
at the top of the cylinder provides a pressure drop that holds the barrel
against the port plate. High pressure fluid also flows through small holes
in the pistons to lubricate the slippers.

• Piston motors Motors operate much the same way except hydraulic pressure rotates the
barrel and drive shaft instead of having the drive shaft rotate the barrel.
- Hydraulic pressure
In link type motors, the link pushes against the drive plate rather than a
moves the barrel and
shaft wear plate making it turn.
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• Torsional stresses Resistance to rotation creates torsional stresses on drive shafts, drive
plates, and barrel splines. Most of the pump components see sliding wear
- Drive shaft
conditions as pistons move up and down or slippers rotate against wear
- Drive plate plates. Retraction plates experience bending loads between the inlet and
outlet side. Spline teeth on the drive shaft and barrel also experience
- Barrel splines bending stresses.

• Sliding wear

- Pistons

- Slippers

- Barrel

- Port plate

• Bending stresses

- Retraction plate

- Barrel splines

- Drive shaft splines

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• Visual analysis VISUAL EXAMINATON

procedure
In order to do a good job of failure analysis on pumps, the analyst must
know how to look at them, where to look, and what to look for. It is also
necessary to know what normally operating parts look like. Following
this visual examination procedure will help the analyst to remember to do
all of this correctly.
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• Background facts Good background facts can be very helpful in determining the root cause
of most failures. Obtain facts about operating conditions both prior to and
- Operating conditions
at the time of failure, and note the general hydraulic system condition.
- System condition Information such as machine and pump hours, hydraulic system repair
and maintenance records, hydraulic fluid test results, subtle changes in
- Repairs system operation, unusual noises, etc. should be obtained and recorded.
The analyst should also ask quality and quantity questions about the
- Maintenance
hydraulic system condition such as was the right oil being used, was there
- Indicators
enough oil, and when was it last checked.

- Fluid quality

- Fluid quantity
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• Obtain, identify and The failed parts and other parts suspected of being involved should be
protect parts obtained, identified, and protected from further damage and corrosion. It
is a good idea to obtain the filters and a fluid sample if a wear failure is
- Physical damage
involved.
- Corrosion

• Obtain filter

• Obtain fluid sample

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• Mark parts before Before disassembling pumps or motors, carefully mark the location of all
disassembly the components. Determine the direction of rotation and match vanes
with the slots they are in or pistons with their bores. Remember to
- Location
examine seals and plates for correct assembly, etc.
- Rotation

- Match similar parts

• Examine seals and

plates
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• Preserve wear Wear particles on pump parts can guide the analyst to the source of wear
particles in cases of and should not be disturbed. If pump parts are cleaned before doing a
abrasive wear
careful visual examination, there is a risk of washing away evidence that
would have led to the root cause of failure.
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47

• Look for road signs of Using good lighting, carefully examine all parts for evidence of wear, heat
(brittle or melted seals, discoloration, oxidized oil), assembly errors or
- Wear
parts problems.
- Heat

- Assembly problems

- Parts problems
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• Carefully examine The visual examination is one of the most critical facts gathering stages of
failure analysis. Parts are video recorders and can reveal many facts if the
- Seals
analyst is patient and takes the time and uses the right equipment to look
- Sealing surfaces for them. Careful and methodical examination of seals, sealing surfaces,
bores, and all wear or fracture surfaces, can provide facts that should lead
- Bores the analyst down the correct path to find the root cause of the failure.

- Wear surfaces
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• Closely examine Using a good magnifier and angled lighting to produce contrast, the
analyst should look at areas of special interest such as fracture initiation
- Fracture initiation
sites, pitted areas, fretted areas, etc. With magnification, it should be
sites
possible to identify the failure mode, such as cavitation erosion, abrasive
- Pitted areas wear, etc. Also look for wear particles that are often trapped in small
openings. Once the failure mode is identified, follow the road signs to the
- Fretted areas root cause. For example, fine pitting of a port plate indicates the failure
mode to be cavitation or aeration. Damage due to cavitation or aeration
- Wear particles
should lead the analyst to look for such root causes as aerated fluid, fluid
restrictions, low fluid levels to the pump, etc.
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• Carefully record During visual examination, the analyst should make a careful record of all
the facts discovered on the various parts. Also copy down any serial
- Facts
numbers, date codes, or other identification that might be useful in
- Serial numbers solving the problem. This can be done with a notebook, 35mm camera,
video camera, or tape recorder. These records will be referred to again
- Date codes and again when comparing the list of possible root causes to the observed
facts.
- Any other
identification
information
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• Normal appearance NORMAL APPEARANCE

- New parts The failure analyst must be familiar with the normal appearance of
components in order to recognize an abnormal appearance. New parts,
- Good used parts
good used parts, or pictures of parts from reusability guides can illustrate
- Reusability what good used parts should look like.
guidelines
AFA STMG 009 - 58 -
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• Gears Gear Pumps

- Polishing What are the road signs of normal operation in gear pumps? The drive
and idler gears usually show some polishing of the loaded side of the gear
- Superficial pitting
teeth and at higher hours some superficial pitting at the root of the teeth.
AFA STMG 009 - 59 -
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53

• Shafts Fine abrasive polishing (2) may also be present where bushings contact
the shaft and seals usually wear a shallow groove (1) in the shaft.
- Polishig (2)

- Grooving (1)
AFA STMG 009 - 60 -
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54

• Aluminum housings Gears may cut into aluminum housings at the inlet port as shafts deflect
may be cut by gear under pressure.
teeth

Some cast iron housings are manufactured with a relief in this area to
• Cast iron housings
are manufactured with prevent gear to housing contact.
relief for gear teeth
AFA STMG 009 - 61 -
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• Pressure plate cutting Pressure plates usually develop a little cutting of the copper alloy where
gear teeth mesh back together at the outlet.
AFA STMG 009 - 62 -
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• Seals Seals should not become flattened, deformed, or cracked and should
retain their flexibility.
- Not flattened

- Not deformed

- Not cracked

- Flexible
AFA STMG 009 - 63 -
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57

• Examine vane pumps Vane Pumps

for wear
Vane pump wear occurs between the flex plates and rotor assembly,
between the vanes and rotor slots, and between the cam ring and vane
tips. Careful inspection of these areas should reveal road signs of normal
or abnormal wear.
AFA STMG 009 - 64 -
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• Typically little or no Vanes experience little or no face wear if operating normally.

face wear
AFA STMG 009 - 65 -
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59

• Typically litle or no tip Vane tips experience very little wear if fluids are of the proper quality and
wear quantity.
AFA STMG 009 - 66 -
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• Typical cam ring Cam rings normally show no heat discoloration or wear. A wavy honing
pattern that is part of the finish polishing process may still be observable.
- No heat
discoloration

- No wear
AFA STMG 009 - 67 -
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61

• Seals and retainiers Rubber seals and plastic retainers should not show heat discoloration,
should not show melting, cracking or brittleness.
- Heat discoloration

- Melting

- Cracking

- Brittleness
AFA STMG 009 - 68 -
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• Copper alloy port Piston Pumps

plates darken with
time Piston pumps and motors develop their own unique appearances during
normal operation. Copper alloy port plates may darken some with time,
at normal operating temperatures.
AFA STMG 009 - 69 -
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63

• Barrel port surface The barrel port surface may show some slight scratching where the port
may be slightly plate seal bands contact the barrel surface. Fine abrasives normally
scratched
present in the hydraulic fluid cause this scratching.
AFA STMG 009 - 70 -
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64

• Wear plate Wear plates may also exhibit some fine scratching but adhesive wear,
cracking, or heat discoloration should not be present.
- Fine scratching

- No adhesive wear

- No cracks

- No heat
discoloration
AFA STMG 009 - 71 -
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65

• Retraction plates Retraction plates experience some fine polishing around the holes. This
polishing is a result of wear between the slippers and the retraction plate.
- Fine polishing
around holes
AFA STMG 009 - 72 -
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• Piston and slipper Piston and slipper assemblies will show some light polishing on the barrel
assemblies and at the contact area between the retraction plate and slipper. Slipper
wear faces usually show a bright polished surface with some fine
- Light polishing on
contact surfaces scratching.

- Bright, polished
slipper wear face
AFA STMG 009 - 73 -
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67

• Pump shafts The pump shaft may exhibit some spline wear that should be checked
against the reusability guidelines published in SEBF8032-1. Seals will
- Light spline wear
polish grooves on seal surfaces that should not exceed reusability
- Seal grooving recommendations. Keyways sometimes chip but should not be cracked.

- Keyway chipped

- Check reusability
guidelines
AFA STMG 009 - 74 -
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68

• Reusability guidelines Guidelines for Reusable Parts, such as this one on piston pumps and
contain good motors, contain good information on normal wear and its visual
information on normal
appearance.
wear
AFA STMG 009 - 75 -
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69

• Use Eight Step FAILURE ANALYSIS

method for failure
analysis The remainder of this module will apply the Eight Steps of Applied
Failure Analysis to the diagnosis of failed pumps and motors. Keep in
mind that the job is not finished when the root cause of failure has been
determined. Good failure analysis allows Caterpillar or the Caterpillar
dealer to "Get the Payoff" by using the facts to explain the root cause of
failure to the customer and take appropriate corrective action.
AFA STMG 009 - 76 -
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70

• Avoid preconceived The Eight Steps will help the analyst to avoid using preconceived ideas
ideas that may lead down the wrong path. Jumping to conclusions or relying on
unfounded preconceived ideas rather than letting the parts tell their story
- Unneeded repairs
can result in unneeded repairs, increased machine downtime, or
- Increased downtime overcharging. All of these increase the risk of losing sales and service
due to customer dissatisfaction.
- Over charging

- Lost sales

- Customer
dissatisfaction
AFA STMG 009 - 77 -
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71

• Hostile environments Hydraulic pumps and motors may experience hostile environments such
as abrasive contamination, aeration, cavitation, lack of lubrication,
- Abrasive wear
overheating, or over pressure. There may also be problems with design,
- Aearation-Cavitation materials, processing or assembly of the pump. When unusual conditions
exist that cause wear or fracture, it is necessary to be able to look at the
- Lack of lubrication parts and determine what the condition was that caused the problem.

- Overheating

- Overpressure

- Parts problems
AFA STMG 009 - 78 -
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• Abrasive wear Abrasive Wear

analysis
When abrasive wear occurs, the first thing to do is find and identify the
- Locate and identify
abrasive particles. Remember not to clean the parts before examining
particles
them because cleaning might remove the particles. Quite often the tiny
- Clean parts after particles are trapped in small openings or are embedded into the softer
examination pump materials where they can be seen with a magnifier. Analyzing a
fluid sample may also help to determine what kind of material is
- Check small
responsible for the damage.
openings

- Examine soft
materials

- Fluid analysis
AFA STMG 009 - 79 -
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73

• Magnification may be It is best to use a widefield stereomicroscope when looking for small
required to find small abrasive particles. The higher magnification these microscopes provide is
particles
often needed to make the particles visible.
AFA STMG 009 - 80 -
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74

• Abrasive wear Abrasive wear damage can be identified by understanding the abrasive
wear road signs that may appear on gear pump components, vane pump
- Gear pumps
components and piston pump components. This same sequence will also
- Vane pumps be followed for each of the other failure modes.

- Piston pumps
AFA STMG 009 - 81 -
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• Appearance of worn Abrasive wear removes material and produces a change in a part's
parts depends on appearance that is characteristic of the size of the abrasive particle that did
particle size
the damage. Very fine abrasive particles will polish metal surfaces
- Fine - polished making them bright and shiny. Larger particles leave a dull gray lightly
ground finish sometimes referred to as a matte finish. Even larger
- Larger - dull finish particles produce scratches that roughen the surface and expose fresh
metal such as shown on this flex plate.
- Larger - scratches
AFA STMG 009 - 82 -
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76

• Gear teeth show Gear Pumps

scratches (arrow) over
machining marks Abrasive contamination in gear pumps usually shows up on the gear teeth
and shaft, pressure plates, and pump housing. Notice the fine vertical
scratching on the drive side of the gear teeth. These scratches (arrow)
across the machining marks indicate that abrasive particles have been
present in the system.
AFA STMG 009 - 83 -
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77

• Seal grooving (arrow) Another road sign of abrasive particles is grooving (arrow) of the shaft by
can indicate the seals as can be seen here. These facts indicate that abrasive particles
contamination
have contaminated the hydraulic fluid. The analyst needs to determine
- Reservoir filler tube what the abrasive is and how it is entering the system. Abrasives may be
entering from the working environment at the reservoir filler tube or by
- Damaged seals entering past a damaged seal. Makeup fluid may be contaminated,
abrasives may be intentionally introduced, contamination from the
- Contaminated make
manufacturing operations may remain, or the system was not carefully
up fluid
flushed after a prior failure. Careful visual examination and analysis of
- Sabotage the fluid may be helpful in identifying the contaminant.

- Contamination from
manufacturing
operations

- Maintenance
AFA STMG 009 - 84 -
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78

• Particle shape The shape of the holes in this pressure plate indicates that hard round
important particles were present in the fluid. A piece of round steel shot can be seen
in this view. This was probably the responsible contaminant. The next
- Round particles (1)
task is to determine how steel shot got into the system. Did the
- Round dents (2) manufacturer leave it in? Was it introduced during a previous repair?
Was it intentionally introduced?
• Particle source

- Manufacturing?

- Repair?

- Sabotage?
AFA STMG 009 - 85 -
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79

• Aluminum housings Aluminum gear pump housings are soft enough for abrasive particles to
are soft enough to scratch them and become embedded. As abrasive particles wear the
embed particles
bushings, outlet pressure deflects the shafts to the inlet side of the
housing. Abrasive particles are trapped between the gear teeth tips and
housing creating scratches near the inlet port. Sometimes the abrasive
particles will become embedded in the soft aluminum at the end of the
scratch.
AFA STMG 009 - 86 -
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80

• Pump housing Closer examination of the aluminum housing with angled lighting and
scratches magnification reveals deep abrasive scratches that are typical of a hard
material such as sand. Fluid analysis should confirm the presence of
• Fluid analysis
excessive silicon. The next step is to locate the source of sand entry into
• Locate source of the system.
particles
AFA STMG 009 - 87 -
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81

• Vane pumps Vane Pumps

Fine (but abnormal) abrasive wear in vane pumps leaves road signs on
flex plates, vanes, and cam rings.
AFA STMG 009 - 88 -
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82

• Flex plates A bright, clean sandpapered finish such as seen on this flex plate is the
road sign that abrasive particles are present. Again, the analyst must do
- Note scratches
careful visual examination and a fluid analysis to determine what material
- Identify particles is responsible. A good place to look is on the copper alloy side of the flex
plate since particles become embedded in the soft material. Once the
- Locate source of abrasive particles have been located and identified, it is necessary to
particles determine how they got into the pump.
AFA STMG 009 - 89 -
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83

• Flex plate Larger abrasives in vane pumps create deep scratches and produce more
leakage between worn parts. This flex plate shows the results of sand
- Abrasive wear
being ingested into a vane pump.
- Sand particles
AFA STMG 009 - 90 -
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84

• Vane Vanes also show road signs of abrasive wear. Abrasives wear the vane
and rotor slot producing a gray frosted appearance on the vane.
- Frosted appearance

- Scratches

- Abrasive wear
AFA STMG 009 - 91 -
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85

• Vane More severe contamination produces scratches that may extend over the
entire vane surface. Most abrasive damage occurs on the side of the vane
- Advanced abrasive
facing away from the direction of rotation.
wear
AFA STMG 009 - 92 -
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86

• Vane tip wear Abrasive particles also remove material from the vane tip making it wider
and flatter. Compare the tip of the abrasively worn vane on the top to the
- Worn (top) (1)
normal vane on the bottom.
- Normal (bottom) (2)
AFA STMG 009 - 93 -
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87

• Cam ring Abrasive wear between slots and vanes increases clearance resulting in
excessive fluid leakage and loss of pressure on the vane insert. As a
- Cam ring ripple
result vane action becomes choppy resulting in cam ring ripple. This
- Choppy vane action appearance can be the result of cavitation or aeration and high
temperature fluids as well and is not conclusive evidence of abrasive
• Causes wear.

- Abrasive wear

- Aeration-Cavitation

- High temperature
fluid
AFA STMG 009 - 94 -
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88

• Piston pump abrasive Piston Pumps

wear
When abrasive particles enter piston pumps or motors, they will produce
- Port plate
abrasive wear road signs on port plates, barrels, pistons and slippers, and
- Barrel retraction plates.

- Pistons

- Slippers

- Retraction plates
AFA STMG 009 - 95 -
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89

• Wear particles on port Port plates and barrels wear most around the ports and seal bands when
plates the abrasive contaminant is coming from the inlet side. A good place to
look for the foreign material is on the thrust face of the port plate or in the
- Look around ports
and seal bands grooves and holes on the back side of the port plate. Remember to look
for foreign material before cleaning parts.
- Look on port plate
thrust face

- Check depressions
on back side of port
plate
AFA STMG 009 - 96 -
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90

• Port plate Sometimes abrasive particles embed in softer materials, or leave a hole
indicating their shape and size.
- Check indentation
shape and size
AFA STMG 009 - 97 -
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91

• Port plate The small round embedded particles in this port plate are glass beads from
a grit blaster.
- Look at shape and
size of scratches

- Glass beads
AFA STMG 009 - 98 -
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92

• Slippers Copper alloy slippers are worn easily by abrasive particles. Most of the
wear occurs between the slipper face and the wear plate with some
- Most wear on face
additional wear occurring between the slipper flange and the retraction
- Some wear between plate.
flange and retraction
plate
AFA STMG 009 - 99 -
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93

• Retraction plate Retraction plates may become worn by the slipper resulting in brighter
polished areas around the holes and slight rounding of the edges of the
- Worn by slippers
hole.
AFA STMG 009 - 100 -
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94

• Foreign material Foreign Material Damage

damage
Occasionally large pieces of foreign material find their way into a pump.
- Wear by large pieces
Damage is usually extensive and can result in the pump locking up or the
- Identify foreign shaft shearing off. When this happens, the analyst needs to look for traces
material of the foreign material and identify where it came from.
AFA STMG 009 - 101 -
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95

• Flex plate This flex plate was taken from a vane pump that was operating fine and
then suddenly locked up. The shaft would not turn and the cartridge had
- Pump locked up
to be removed. Careful inspection of the flex plate reveals deep gouging
- Note deep gouges at the edges of the top inlet port and left outlet port.
(arrows)
AFA STMG 009 - 102 -
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96

• Flex plate Inspection of the other flex plate shows similar gouging at the lower edge
of the right hand outlet port. Whatever the foreign material is, it traveled
- Note deep gouges
through the pump and damaged both flex plates.
(arrows)
AFA STMG 009 - 103 -
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97

• Cam ring / rotor Visual examination of the rotor assembly shows damage to two vanes and
a piece of foreign material still lodged between the rotor and cam ring.
- Damaged vanes

- Foreign material
(arrow)
AFA STMG 009 - 104 -
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98

• Cam ring/rotor Closer inspection of the foreign material shows it to be a large piece of
metal that became trapped in the narrow clearance between the rotor and
- Foreign material
cam ring. By examining the rest of the parts it may be possible to
(arrow)
determine the source of the foreign material.
• Examine rest of parts
AFA STMG 009 - 105 -
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99

• Foreign material Here are the remains of two locating dowels that were found in the pump
housing when the cartridge was removed. Obviously they are the source
- Locating dowels
of the foreign material that seized the pump. A check into the history of
• Source prior repairs revealed the pump had just had a new cartridge installed.
The old dowels were either left in the housing during a prior repair or the
- Recent repairs cartridge was not properly installed allowing the dowels to fall out.
Careful visual examination for facts about contact between cartridge and
housing should reveal which happened.
AFA STMG 009 - 106 -
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100

• Erosion wear Aeration/Cavitation

- Fluid bubbles Bubbles in the hydraulic fluid is another abnormal condition that can lead
to pump failures. Aeration or cavitation, both of which produce erosion
- Aeration
road signs, can produce bubbles.
- Cavitation
AFA STMG 009 - 107 -
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101

• Aeration Aeration is the term used to describe bubbles in the hydraulic fluid caused
by system air leaks, overheating or turbulence. System leaks at hose
- Air bubbles in oil
couplings or seals are typical sources of aeration while fluid returning
• Sources above the reservoir level is the usual source of turbulence.

- Air leaks

- Overheating

- Turbulence

- Couplings

- Seals
AFA STMG 009 - 108 -
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102

• Cavitation Cavitation is the term used to describe starvation at the pump inlet caused
by fluid starvation or a restriction in the pump inlet line. In this situation
- Vapor bubbles in oil
bubbles are formed by vaporizing the hydraulic fluid under the partial
• Sources vacuum that is created rather than by pulling air into the system.

- Fluid starvation at
inlet

- Pump line restriction

AFA STMG 009 - 109 -
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103

• Surface pitting Aeration or cavitation on vane pump flex plates shows up as localized
(arrows) patches of surface pitting (arrows). The pitting will be very sharp and
may sparkle like a brittle fracture. Light erosion sometimes occurs in
- Sharp
holes or slots and goes unnoticed. Heavier erosion is quite obvious since
- Sparkle material is removed from surfaces that are normally flat.
AFA STMG 009 - 110 -
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104

• Chopped cam ring Cam rings may become chopped if aeration or cavitation becomes severe
enough to make the hydraulic fluid spongy. Under these conditions,
- Spongy fluid
pressurized fluid between the vane and insert is compressible resulting in
- Lost control of vane loss of control of vane motion. Notice this cam ring is badly discolored
action from high temperature indicating that fluid overheating may have caused
aeration.
- Dark color

- Possible fluid
overheating
AFA STMG 009 - 111 -
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105

• Background When aeration or cavitation is positively identified as the failure mode,

information review the facts obtained from the parts, equipment, operators and
maintenance records. It will be necessary to obtain facts concerning oil
- Oil quality
quality and quantity at the time of failure, any unusual noises the pump
- Oil quantity was making, evidence of leakage, and general hydraulic system condition.
Be especially alert for any conditions that would restrict fluid flow to the
- Unusual noises pump inlet or allow bubbles to be introduced into the fluid.
- Leakage

- General system
condition

- Fluid flow
restrictions
AFA STMG 009 - 112 -
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106

• Road signs Lack of Lubrication

- Localized Lack of lubrication results in insufficient oil film separating moving parts
overheating
with subsequent surface contact and adhesive wear. Since oil is not there
- Localized smearing to keep the contacting parts cool, localized overheating, smearing and
discoloration often develop. Bushings and shafts, rotor assemblies and
- Discoloration flex plates, and pistons and barrels usually show the greatest damage.

- Damage on many
parts
AFA STMG 009 - 113 -
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107

• Adhesive wear The road sign of adhesive wear is smeared or torn metal. As two moving
process surfaces contact without adequate lubricant or under pressures or
temperatures that prevent an adequate lubricant film from forming,
- Surface contact
asperities (high points on each surface) make contact and frictional heat
- Heating produces a weld. As motion between the welded surfaces continues, the
lower strength material usually tears and smears. Since the welding and
- Welding tearing generates heat, localized heat discoloration may develop.
- Material transfer
AFA STMG 009 - 114 -
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108

• General Inspection Vane Pumps

- Heat discoloration Carefully inspect the parts of this vane pump for road signs that may lead
to the root cause of the failure. A general inspection shows heat
- Melted seals
discoloration and melted seals. It will be necessary to look closer at each
component to determine what condition produced these appearances.
AFA STMG 009 - 115 -
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109

• Flex plate Closer examination of the flex plate shows little evidence of ash residue,
but does show adhesive smearing, heat discoloration of the copper alloy
- Little ash residue
flex plate material, and cutting by the vanes. This suggests that the pump
- Adhesive smearing was not receiving adequate oil to keep it cool and lubricated. Insufficient
lubrication can cause vanes to stick in the rotor and cut the flex plate as is
- Heat discoloration shown here.

- Vane cutting

- May be insufficient
lubrication
AFA STMG 009 - 116 -
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110

• Rotor assembly The rotor sides show wiped and smeared metal with the vane top edges
severely worn. Most of the vanes are seized in the rotor slots and will
- Wiped, smeared
have to be driven out to inspect them. These facts also point to lack of
metal
lubrication.
- Severely worn vane
tips

- Vanes seized in slots

AFA STMG 009 - 117 -
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111

• Cam ring The cam ring wear surface is severely worn and heat checked. Smearing
between the vanes and the ring produced excessive surface heat that was
- ID worn and heat
not being removed by the fluid. The exposed areas on the sides of the
checked
cam ring are discolored indicating high temperatures were present where
- Heat discoloration lubrication normally cools the parts.
AFA STMG 009 - 118 -
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112

• Seals Examination of the seals reveals they are partially melted near the center
where hydraulic fluid usually cools and lubricates the bushing. If
- Melted near the
overheated oil had been present, the damage would not be concentrated at
center
the center. If over pressure caused the failure, the seals should have been
- Outlet ports heat properly cooled and not melted. The outlet ports also appear to be
discolored overheated as though no fluid was present to cool them. All of the road
signs point to lack of lubrication.
AFA STMG 009 - 119 -
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113

• Background facts Investigation of background facts revealed the pump failed after 37 hours
of operation on a 943. Further investigation revealed that the hydraulic
- 37 hours
system had been drained for repairs just prior to this failure. It is possible
- 943 machine that the pump or the system was not properly filled after repairs were
completed, proper break-in procedures were not followed, etc.
- Recently repaired

- Hydraulic system
drained

• Check for

- Proper refill after

repair

- Proper break in
procedure
AFA STMG 009 - 120 -
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114

• Lack of lubrication Piston Pumps

- Possible Lack of lubrication failures in piston pumps and motors can occur without
discoloration
developing discoloration, but some evidence of smeared metal can usually
- Metal smearing be found. Quite often when scuffing occurs between the piston and
barrel, the result is lower end damage to the slippers, retraction plate and
- Scuffing wear plate.

- Significant lower end

damage
AFA STMG 009 - 121 -
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115

• Piston seizure When a piston starts to scuff or drag in the barrel, several things occur.
The retraction plate experiences bending overloads as it pulls the piston
- Broken parts
down. So, the retraction plate may break. The slipper may become
- Worn swash plate distorted or be pulled off producing severe wear on the swash plate. If a
piston seizes, the retraction plate may be broken very quickly as though it
experienced a shock load.
AFA STMG 009 - 122 -
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116

• Piston seizure This piston pump shows typical damage to the slippers, pistons and
damage retraction plate due to seizure. One piston scuffed in the barrel
overloading the retraction plate.
AFA STMG 009 - 123 -
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117

• Retraction plate after The retraction plate fractured suddenly into four separate pieces. This is
sudden fracture can be confirmed by looking at the fractures.
AFA STMG 009 - 124 -
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118

• Retraction plate A magnified view of the fracture indicates it is a brittle fracture of a

showing brittle powdered metal part that occurred due to an overload. This is exactly the
fracture
kind of load and fracture we would expect when a piston seizes in the
bore.
AFA STMG 009 - 125 -
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119

• Pistons Close examination of the pistons and the barrel assembly, should allow
the analyst to locate an area of adhesive wear that will indicate which
- Note smearing
piston seized. Notice the piston on the right has longitudinal smearing
(arrow) on right
piston that is not present on the other piston removed from this pump.
AFA STMG 009 - 126 -
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120

• Enlarged view of Close inspection of the piston shows the smearing that occurred
smeared area on producing the damage observed on the pump lower end. The barrel
piston
revealed similar metal smearing in one bore indicating the seizure was
confined to one piston. Once it is clear what caused the pump damage it
is necessary to discover why lack of lubrication occurred in the first place.
Good background facts will usually be able to pinpoint the root cause of
the failure.
AFA STMG 009 - 127 -
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121

• Overheating Overheating

- Reduces fluid Overheating may reduce fluid viscosity enough that oil films cannot
viscosity
protect part surfaces and adhesive wear occurs. If the fluid gets too
- Bubbles may form in warm, bubbles may form producing cavitation erosion. More typically,
fluid overheating produces general discoloration of pump parts and burned on
oil deposits. High temperatures can harden seals resulting in poor pump
- Discoloration operation and eventual system failure. Overheating is usually caused by
improper operation, use of the wrong fluid, component malfunctions, or
- Burned oil deposits
incorrectly assembled pumps.
- Hardened seals
AFA STMG 009 - 128 -
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122

• Discolored gears Gear Pumps

These parts from a double section gear pump show discolored gears and
shafts. Light blues and straw browns indicate temperatures have been in
the range of 200 to 370 °C (400 to 700 °F). Compare the color of the
failed parts to the color of good parts to be sure the discoloration is due to
operating conditions and not to prior processing or heat treating.
AFA STMG 009 - 129 -
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123

• Discolored gears Gears and shafts from the second pump section show the same
discoloration indicating that the entire pump was overheated.
AFA STMG 009 - 130 -
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124

• Pressure plates Another road sign is the discoloration and darkening of the pressure
plates. High oil temperature darkens the copper alloy considerably and
- Discolored
produces temper colors on the steel side. The darker gray discoloration is
- Ash residue due to overheated oil leaving ash residue.
AFA STMG 009 - 131 -
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125

• Discoloration pattern Vane Pumps

Road signs of general overheating can sometimes be observed before the

pump cartridge is disassembled. Where the cartridge touches the housing,
heat is transferred and surfaces remain cooler. Surfaces in contact with
the fluid overheat and develop temper colors or varnish. Notice the
distinct contact pattern on this cartridge indicating the entire pump was
overheated.
AFA STMG 009 - 132 -
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126

• Cartridge parts Inside the cartridge, notice that the parts show heat discoloration but no
adhesive smearing. This indicates that hydraulic fluid was present but it
- Heat discoloration
was overheated. Notice that the vanes are not smeared and severely worn,
- No adhesive the seals are not melted, and there is a lot of ash residue on the flex plates.
smearing All these facts indicate that the pump was running at abnormally high
temperatures but was being lubricated by the overheated fluid.
- Vanes not smeared
or severely worn At this point, check relief valve pressure settings and trouble shoot the
system to see if hydraulic oil is somehow bypassing constantly back to the
- Seals not melted
reservoir. Improper operation or use of the wrong fluid can also produce
- Ash residue on flex this overheated condition.
plates

• Check for

- Relief valve setting

- Correct fluid

- Improper operation
AFA STMG 009 - 133 -
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127

• Port plate Piston Pumps

- Discolored Port plates that look like this should arouse immediate suspicion that hot
oil was present throughout the system. Lots of ash residue is present on
- Ash residue
all surfaces.
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128

• Port plate Closer examination of the port plate shows that no adhesive wear has
occurred. The next step in this investigation would be to try to identify
- No adhesive wear
system conditions that could lead to oil overheating.
• Check for

- System condtions
that would cause
overheating
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129

• Road signs Overpressure

- Fractured parts The most common over pressure road sign is fractured or broken parts
such as castings, cam rings, bolts, etc. Since over pressure can force
- Smearing
pressure plates, flex plates, and barrels tighter against adjoining parts,
- Discoloration some smearing and discoloration can also occur.
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130

• Fracture causes Occasionally a pump component such as a housing, cam ring, barrel or
head fractures. The task then is to try to determine why the component
- Overpressure
failed. If components are of good quality and have been properly
- Thermal fatigue assembled, cracking is usually the result of over pressure, thermal fatigue,
or seizure.
- Seizure
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131

• Gear pump flange Gear Pumps

- No unusual wear Examination of this gear pump flange shows no unusual signs of wear but
the flange is cracked on the high pressure outlet side of the pump. The
- Cracked on outlet
side crack occurred in the seal ring groove that is a geometrical stress raiser.
Since the flange is cracked on the high pressure side and no other road
- Cracked in seal ring signs of abnormal conditions are present, system over pressure is the
groove - a normal likely root cause of failure.
stress raiser

- Suspect
Check for proper operation of the pressure relief valve and also obtain
overpressure facts about operating conditions.

• Check for

- Relief valve setting

- Proper operation

- Operating conditions
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132

• Cam ring Vane Pumps

- Cracked at high This cam ring from a vane pump shows no evidence of overheating or
pressure port
wear, yet it is cracked at the high pressure port. High pressure puts tensile
- No discoloration stress on the outside of the cam ring at this location. The combination of
this stress and the drilled hole create a stress raiser that can crack the cam
- No unusual wear ring if severe over pressure conditions occur.

- Cracked at hole - a
Again, troubleshoot the system for sources of over pressure.
normal stress raiser

- Suspect
overpressure

• Check for

- Source of
overpressure
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133

• Cam ring This cam ring is also cracked but at several locations. The presence of
lots of small cracks where no stress raisers are present indicates thermal
- Severe cracking
fatigue. We need to investigate the wear occurring on the rest of the
- Not initiating at pump parts to try and identify the source of the heat. Overpressure was
stress raisers not a very likely source of these cracks since overpressure cracking is
usually localized to the high stress locations on a part.
- Suspect thermal
fatigue

• Identify source of heat

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134

• Barrel Piston Pumps

- Multiple cracks This piston pump barrel is cracked at several locations on the thrust
surface. This multiple cracking is also caused by thermal fatigue with the
- Not initiating at a
stress raiser heat being generated by contact between the barrel and port plate. An out
of balance pump or a warped port plate is the usual cause for this
- Suspect thermal condition.
fatigue

• Determine source of
heat

- Check for out of

balance pump

- Check for warped

port plate
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135

• Other problems PARTS PROBLEMS

- Parts problems Each style of pump is unique and can have various types of parts
problems. During the remainder of this module, some examples of parts
- Improper processing
problems, improper processing or incorrect assembly will be analyzed.
- Incorrect assembly
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136

• Shaft Vane Pumps

- 950C machine This broken shaft came from a vane pump in a 950C. Notice that it is
fractured through a snap ring groove that is not used in this particular
- Broke through a
snap ring groove pump application. After consulting with the designer, it was discovered
that the snap ring groove was present to allow the same shaft to be used in
another pump with a narrower bearing.
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137

• Shaft fracture Looking at the fracture faces under angled lighting reveals the road signs
of rotating bending fatigue. Beach marks are evident on the fracture
- Rotating bending
surface starting nearly opposite the area of rough final fracture at the top
fatigue
edge. As the crack grows, the beach marks become easier to identify until
- Overloaded from they are very distinct at the ductile final fracture. After several low hour
drive gear change failures occurred, it was determined that a change in the drive gear design
had produced cyclic bending overloads that were concentrated by the
- Corrected by shaft
unused snap ring groove.
design change

The problem was corrected by removing the groove and producing a

different shaft to service the other application.
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138

• U-joint assembly Piston Pumps/Motors

- 963, 973 machines This u-joint assembly that is used in the drive motors of 963's and 973's
has experienced a failure. At low hours, the u-joint assemblies were
- Low hours
cracking in the yoke.
- Yoke cracking
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139

• U-joint assembly This view shows that cracking was occurring in more than one place in
the yoke, indicating it was cyclically overloaded. Designers of the part
- Cracked at multiple
claimed that the yoke shouldn't experience high enough loads to fail in
locations
this manner since it was only maintaining the timing between the barrel
- Designed to have and drive plate.
low operating
stresses
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140

• U-joint assembly Close examination of the fracture surface shows a rough fatigue fracture
with beachmarks starting at the inside corner (1). Rough fatigue fractures
- Beach marks
indicate fast growing fatigue cracks and are called low cycle fatigue
- Rough, low cycle cracks. The fracture location and low cycle fatigue nature tells us the part
fatigue fracture was experiencing a severe cyclic overload. Fact gathering revealed that
the drive motors were receiving severe overloads when the machine was
- Severe cyclic operated in reverse. The track would compress the track tensioner
overloading
assembly, which would then recoil when taken out of reverse. The recoil
• Resulted from a
tried to stop the drive plate from moving while the barrel was forced to
design problem with a move by high pressure fluid. The u-joint assembly was caught in the
recoil spring middle as it attempted to maintain timing between the barrel and drive
plate. This cyclic overload caused the yoke to crack. The solution to the
problem was a stronger recoil spring in the 963 and 973.
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141

• Pump shaft This pump shaft has experienced a fatigue crack as evidenced by the
beach marks on the fracture surface.
- Beach marks

- Fatigue fracture
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142

• Pump shaft Close examination shows that the fatigue crack initiated at the bottom of
the keyway and grew under torsional loads until the end of the shaft
- Ratchet marks
fractured off. After several failures were diagnosed, it was determined
- Beach marks that the key, which was not supposed to carry load, was being overloaded
due to an improper fit up between the shaft and gear. This put a cyclic
- Fatigue initiated at load on the keyway and started the fatigue fracture. The shaft fracture
the bottom of the problem was fixed through redesign that removed the keyway, better
keyway
matched the shaft and gear tapers and specified a higher torque on the
• Design/manufacturing
gear retaining nut.
problem
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143

• Barrel assembly When pumps are disassembled after a complaint of improper operation,
appeared normal on all parts and surfaces should be carefully inspected. This pump appeared
disassembly
to be perfectly normal with no signs of wear, no broken retraction plate,
and no indication of any parts problems.
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144

• Cracked piston While checking each piston assembly for any signs of scuffing, one
cracked piston was discovered.
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145

• Piston Closer inspection revealed the piston to be cracked full length. A portion
of the side evidently cracked out under the high operating pressure. A
- Cracked full length
check of the piston hardness revealed it was too hard and brittle causing
- Portion of side the part to fracture under load. The pump manufacturer was notified of
missing the problem and made changes to the heat treat process to eliminate this
problem.
• Manufacturing
problem

- Heat treated
incorrectly
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146

• Double check CONCLUSION

question
Always consider all of the possibilities when a failure analysis is
completed. For instance, if the root cause of a failure was correctly
diagnosed to be an assembly error at the time of rebuild, make sure to ask
the double check question, "Is there any way the other party could have
caused this?" This will help to avoid making mistakes in assigning
responsibility for the failure.
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147

• Get the payoff Once the most probable root cause of failure has been identified it is time
to "Get the Payoff" by communicating the failure analysis results to the
- Communicate
customer. Work together with the customer to complete the repairs in as
- Repair cost effective and timely manner as possible. Complete the Eight Steps
by making a follow up contact within the next couple of weeks to insure
- Follow up that the customer is satisfied with the repair.

• Lecture end This concludes the module on failure analysis of hydraulic pumps and
motors. Most failed pumps and motors are not the root cause but are the
• Laboratory exercise
should follow result of system, maintenance, or operation problems. Remember to get
good background facts and use the road signs from the pumps to
determine where to look for the real root cause.

INSTRUCTOR NOTE: Students should next participate in a

practical exercise. The instructor should select six (6) to twelve (12)
failed parts representing the abnormal wear and fractures discussed
in this lesson. Using the worksheet (Handout No. 1) in this guide,
students should record road signs they observe, what the road signs
mean, and where the analyst should next seek additional facts for
each failed part.
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SLIDE LIST
1. Diagnosing failures of HPM 42. Visual analysis
2. HPM module overview 43. Background facts
3. HPM design 44. Obtain parts related to failure
4. Gear pump parts - 1 45. Mark parts on disassembly
5. Gear pump parts - 2 46. Do not disturb wear particles
6. Gear pump parts - 3 47. Look for evidence of wear, etc.
7. Gear pump parts matl & proc 48. Parts video record facts
8. Vane pump cartridge parts 49. Lighting and magnification required
9. VP cam ring matl & proc 50. Identify and record facts
10. VP flex plate matl & proc 51. Normal appearance
11. VP roter, vanes & inserts 52. GP gears normal appearance
12. VP shafts matl & proc 53. GP shaft normal appearance
13. Piston pump illustration 54. GP housing - normal appearance
14. Piston motor illustration 55. GP - pressure plate normal appearance
15. Link motor illustration 56. GP seals normal appearance
16. Slipper type motor 57. VP wear parts normal appearance
17. PP barrel matl & proc 58. VP vanes - normal appearance
18. PP barrel port face 59. VP vane tips normal appearance
19. PP port plate matl & proc 60. VP cam ring normal appearance
20. PP slipper as matl & proc 61. VP seals normal appearance
21. PP wear plate matl & proc 62. PP port plate normal appearance
22. Link pump link matl & proc 63. PP barrel normal appearance
23. Link pump drive plate matl & proc 64. PP wear plate normal appearance
24. Link motor U joint matl & proc 65. PP retraction plate normal appearance
25. Cat failure analysis guides 66. PP slipper normal appearance
26. Hyudraulic system illustration 67. PP shaft normal spline appearance
27. Hydraulic fluid functions 68. Ref reusability guidelines for parts
28. Hydraulic system filters 69. Eight steps slide
29. Reservoir tank design 70. Beware of preconceived ideas
30. Reservoir tank baffle functions 71. HPM hostile environments
31. Pump & motor operation loads 72. Abrasive wear
32. GP operation 73. Microscope helps
33. GP gear deflection into housing 74. Abrasive wear road signs
34. GP high pressure areas 75. Abrasive wear scratches on flex plate
35. VP operation 76. Abrasive wear scratches on gear pump teeth
36. VP flex plates 77. Abrasive wear on pump shaft
37. VP stresses 78. Embedded abrasive particle
38. VP sliding wear 79. Abrasive wear on aluminum GP housing
39. VP cam ring stresses 80. GP aluminum housing - close up
40. PP operation 81. Abrasive wear in VP
41. PP operation stresses 82. Abasive wear on flex plates
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SLIDE LIST
83. Flex plate - close up 124. Overheated flex plates
84. Abrasive wear VP vane 125. VP cartridge discoloration
85. Abrasive wear VP vane worse 126. VP localized discoloration
86. Abrasive wear vane tips 127. PP overheated port plate
87. Abrasive wear cam ring 128. Overheated port plate - close up
88. Abrasive wear in PP 129. Overpressure
89. Abrasive wear on port plate 130. Fractures
90. Particles embedded in port plate 131. Fractured GP flange
91. Embedded particles - close up 132. Fractured VP cam ring
92. Abrasive wear on slipper face 133. VP cam ring - thermal fatigue cracking
93. Abrasive wear on retraction plate 134. PP barrel - thermal fatigue cracking
94. Damage caused by foreign material 135. Other failures
95. Damaged flex plate 136. Fractured VP shaft
96. Damaged VP rotor assembly 137. VP shaft rotating bending fatigue fracture
97. Damaged rotor assembly - close up 1 138. PP U joint failure
98. Damaged rotor assembly - close up 2 139. U joint failure - close up 1
99. Dowel pins 140. U joint failure - close up 2
100. Aeration and cavitation damage 141. PP shaft failure
101. Aeration definition 142. PP shaft failure - close up
102. Cavitation definition 143. PP barrel assembly
103. Cavitation on flex plate 144. PP failed piston
104. Cam ring chopping 145. Failed piston - close up
105. Background information for cavitation 146. Double check question
106. Lack of lubrication 147. Get the payoff
107. Adhesive wear illustration
108. Damaged VP cartridge parts
109. Damaged VP flex plate
110. Damaged VP rotor and vanes
111. Damaged VP cam ring
112. Damaged VP seals
113. Background facts on VP
114. Piston pump adhesive wear
115. Results of piston seizure
116. Damage due to piston seizure
117. Damage retraction plate from seizure
118. Damaged retraction plate - close up
119. Damaged piston assemblies
120. Damaged piston - close up
121. Overheating
122. Overheated GP gears
123. Overheated GP gears
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Applied Failure Analysis Laboratory Worksheet

What do you see? What does it mean? Where do you go next?

10
SESV8009 Printed in U.S.A.
9/2000