An investigation on the lubrication mechanisms

of the mechanical radial face seals – II:

hydraulic balance of the ring
Erdem Koç and Emel Ceyhun Sabir
Textile Engineering Department, Faculty of Engineering and Architecture, Çukurova University, Adana, Turkey

Abstract
Purpose – The main purpose of the research work carried out is to investigate the hydraulic balance conditions of the sealing ring of a mechanical
radial face seal in terms of the residual load acting on the ring by employing the theoretical model developed mentioned in the first part of the
investigation.
Design/methodology/approach – The end load balance conditions for the movable seal ring have been examined by considering the residual load
acting on the ring under all running conditions. The main lubrication and sealing mechanism is assumed to be due to the existence of the relative tilt
between the mating surfaces, which is formed by the bearing misalignment. The aim of the theoretical model developed is to predict the necessary
minimum film thickness between the relatively moving surfaces by considering the non-dimensional running (operating) conditions and the geometrical
parameters defined. The theoretical model is based on the main differential equation (Reynolds’ equation) which is achieved by adopting the standard
finite difference form.
Findings – Under the combination of the hydrostatic clamping forces and hydrodynamic restoring forces, an equilibrium position is reached with the
seal ring displaced from its central position. At a particular non-dimensional pressure, the seal ring comes into contact with the stationary plate and this
limits the upper value of pressure that can be resisted by the mechanical seal type examined without metal-metal contact. With the theoretical model
developed, it was found that the minimum film thickness between the realtively moving surfaces could be predicted.
Originality/value – This paper provides a considerable scientific contribution to the field of lubrication and sealing aspect of the mechanical radial
face seals. The results presented in the first part of the investigation and the remarks outlined in this paper would be considered as a design tool for the
seal designers with special reference to ring behaviour under hydrodynamic and hydrostatic conditions.

Keywords Mechanics, Sealing processes, Hydrodynamics, Theoretical physics

Paper type Research paper

Nomenclature D ¼ mean coil diameter for the spring

G ¼ shear modulus
d ¼ diameter of compression spring wire
Fs ¼ spring load
h ¼ clearance (film thickness)
Fs ¼ Fs/(Gdh0), non-dimensional spring load
ho ¼ central clearance between the sealing rings
P ¼ pressure
hd ¼ design clearance between the rings with the
Pd ¼ delivery pressure
movable ring central in its end float Pd ¼ Ph2d =ðhvr 20 Þ, non-dimensional delivery pressure
he ¼ ring (plate) misalignment W ¼ axial load acting on the sealing ring
h ¼ h/ho, non-dimensional film thickness W ¼ W h20 =ðhvr 40 Þ, non-dimensional hydrodynamic load
h e ¼ he/hd, non-dimensional ring misalignment Wr ¼ residual load
hmin ¼ minimum film thickness Wr ¼ W r =ðP d r 20 Þ, non-dimensional residual load acting
hmax ¼ maximum film thickness on ring
k ¼ spring rate (stiffness) Wst ¼ hydrostatic load acting at the rear of the ring
r ¼ radius W st ¼ W st =ðP d r 20 Þ, non-dimensional hydrostatic load
ri ¼ inner radius of the sealing ring (pressure area)
ro ¼ outer radius of the sealing ring b ¼ angular misalignment of the ring shaft bearings
r ¼ r/ro, non-dimensional radius d ¼ displacement of ring from the central position
t ¼ (ho 2 hmin)/ho, non-dimensional ring tilt d ¼ d/hd, non-dimensional ring displacement
Ap ¼ W/Pd, pressure area u ¼ angle around ring, measured in the direction of
A ¼ Ap/r20, non-dimensional pressure area rotation from the line x of the ring centre
umax ¼ angle of maximum clearance
The current issue and full text archive of this journal is available at h ¼ dynamic viscosity of the fluid
www.emeraldinsight.com/0036-8792.htm v ¼ angular velocity

Industrial Lubrication and Tribology

59/4 (2007) 166– 171 The preceding part of this paper (“An investigation on the lubrication
q Emerald Group Publishing Limited [ISSN 0036-8792] mechanisms of the mechanical radial face seals – 1. General theory”)
[DOI 10.1108/00368790710753554] was published in Industrial Lubrication and Tribology, Volume 59 No 2,
pp. 85-91.

166
Investigation on lubrication mechanisms of mechanical radial face seals
Erdem Koç and Emel Ceyhun Sabir
Introduction
In general, a mechanical radial face seal consists of two
surfaces which in operation slide over each other and support
the forces that tend to bring the surfaces into contact. Figure 1
shows a general view of a mechanical seal schematically as a
model for the theoretical approach. In this type of seal the
ring hydraulic balance is achieved by feeding high pressure to
the back of the rotating seal ring. The designing procedure
here is to load the seal ring lightly from the rear towards the
stationary seal face under all running conditions. The major
problem in this type of seal is that of maintaining an adequate
film tihckness under all running conditions and of ensuring
that the seal ring balance is not upset, resulting in an
unstable operation, i.e tilting, lifting off or seizure. Therefore,
the hydrostatic and hydrodynamic load and moment balance
should be achieved. The main mechanisms put forward to
explain the generation of pressure between the paralel
surfaces have been reviewed in the first part of this study
and they are not repeated here (Sabir and Koç 2007; Dowson
and Hudson, 1963; Etsion, 1979; Ludwing, 1976; Nau,
1964; Etsion et al., 1991; Koç 1989, 1994). The theoretical
model to be used in estimating the seal ring performance with
special reference to hydrodynamic and hydrostatic load
carrying capacity of the seal ring and hydraulic moment
acting on the ring as well as the pressure centre positioned has
also been outlined in the first part of the investigation.
In the theoretical model it is assumed that two adjacent
surfaces are seperated by a lubricating film and the relative
movement of the surfaces generate a hydrodynamic pressure
which maintains the seperation or sealing function. The main
lubrication mechanism is the converging – diverging wedge
which is formed by the relative tilt of two sealing surfaces.
Figure 1 again shows, schematically, the stationary and
moving plate/or ring of a typical mechanical radial face
seal as well as the two sides denoted as ends 1 and 2. The
misalignment or the tilt of the surface is expressed as he at
the tip of the ring. This misalignment would be produced by
any hydrostatic moment imbalance between the front and rear
surfaces of moving element or by any bearing misalignment
that existed in the system.
As the sealing ring has two surfaces on which the hydrostatic
and hydrodynamic pressure generation takes place, it adopts the
Figure 1 A theoretical model for a mechanical face seal
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Industrial Lubrication and Tribology
Volume 59 · Number 4 · 2007 · 166 –171
position in which the axial net end load will be zero. Hence, the
actual position can be determined by the force equilibrium in
the axial direction. The net axial load (force) is expressed as
residual load (Wr). This residual load is calculated by
substracting the sum of the hydrostatic load acting at the rear
of the ring and the spring compression load from the end load
acting at the front of the ring (between the stationary and
moving surfaces), since at the front surface of the ring only the
hydrodynamic and hydrostatic pressure are effective whereas, at
the rear, the combination of the hydrostatic clamping load and
mechanical spring load is to be considered. In this theoretical
analysis, end 1 corresponds to stationary ring side whereas, end
2 corresponds to the spring side of the moveable ring. By
repeating the calculations for the whole range of different
combinations of physical misalignment, position of
misalignment (umax) and non-dimensional delivery pressure,
the effect of these parameters on the ring behaviour may be
investigated. The general theory developed has been outlined in
the first part of the study and here, in this part of the
investigation, the end load balance conditions for the movable
seal ring have been examined by considering the residual load
acting on the ring under all running conditions. The minimum
film thickness that could be necessary for the full hydrodynamic
lubrication and sealing between the two relatively moving
surfaces of a mechanical face seal has also been predicted by
applying the model developed.
Theoretical results and discussion
End load balance of the sealing ring
The residual load is a primarily important parameter on the
hydrodynamic and hydrostatic lubrication and sealing
machanism of the mechanical radial face seals. Once a seal
ring position is known, it is then possible to determine the
running clearance for any balancing end load or residual load.
The variation of end load (residual load) with seal ring
movement in both directions is given in Figure 2 under
delivery pressure of 0.5 for a range of misalignment. In the
central position (d ¼ 0) there is a net load acting on the ring
so as to tend to move the ring towards end 1 for the
misalignments up to 0.7. The hydrodynamic load generated
on the sealing face with relatively low values of bearing
misalignment is lower than hydrostatic load acting at the rear
Investigation on lubrication mechanisms of mechanical radial face seals Industrial Lubrication and Tribology
Erdem Koç and Emel Ceyhun Sabir Volume 59 · Number 4 · 2007 · 166 –171

Figure 2 Variation of residual load (end load) with ring movement the effect of hydrostatic pressure and spring load are
(tilt effect) dominant on the residual load acting on the ring.
When the sealing elements are subjected to a high delivery
pressure, the central position of the ring in its clearance will
diappear. Figure 3 shows the relationship between the residual
load and ring movement for a range of misalignment at a
normalized pressure of unity. In the central position, there is a
net load acting on the ring clamping the ring towards end 1. The
ring runs unbalanced in its clearance. As the ring moves towards
end 1, the restoring force occurs and at a certain movement the
balance is achieved. Further movement in the same direction
creates a separating load for all values of bearing misalignment.
The effect of delivery pressure on the sealing behaviour can
be seen from Figure 4. In the figure, each curve corresponds
to a single value of non-dimensional delivery pressure P d and
shows the variation of end load with ring movement. Because
of the value of non-dimensional misalignement chosen,
h e ¼ 0:8, the non-dimensional displacement d is limited to a
maximum of 0.2 in each direction.
These curves all display the same hydrostatic unbalance
shown earlier. For the delivery pressure of 0.3 and down there
side of the ring combined with spring loads. The resultant
hydrostatic axial end load tends to act towards end 1 and the Figure 3 Variation of residual load (end load) with ring movement
sealing ring runs unbalanced at its clearance. As the ring (tilt effect)
moves towards end 1 (a positive ring movement),
hydrodynamically generated forces will come into action
which tends to restore the balance. It may be seen that for low
values of misalignment the load generation is very small until
the ring moves a long distance. For higher values of
misalignment substantial loads are generated for small
movements of the ring. The hydrodynamically generated
pressures exceed the magnitude of hydrostatic pressures and
as a result a positive net separating lift is produced.
It may be seen that when h e is 0.9, in the central position
(d ¼ 0), the load on the ring tends to act towards end 2.
The residual load is always positive and as a result the load
acting on the ring tends to separate the relative surfaces. The
ring runs unbalanced in its clearance. As the ring moves
towards end 2 the restoring force occurs and at a certain
movement (in this case very small d) the balance is achieved.
Further, movement in the same direction creates a clamping
load for all values of bearing misalignment. Another word,
for negative movement (towards end 2) increasing ring
movement (over 0.1) always increases the hydrostatic
Figure 4 Variation of residual load (end load) with ring movement
clamping load (negative residual load). When there is a tilt
(pressure effect)
of h e ¼ 0:9 on the movable ring face relative to the stationary
one, in the central position (d ¼ 0), the ring has a positive
residual load of W r ¼ 0:07 which corresponds to 1,148.4 N
separating load, whereas with the non-dimensional tilt of 0.7
and 0.5 creates the negative residual loads clamping the ring
towards end 1 taking the values of 2 1804.7 and 2 1968.8 N,
respectively. In calculating these loads the geometrical and
operational parameters were taken as r0 ¼ 5 cm, h0 ¼ 20 mm,
n ¼ 1,000 rpm and h ¼ 0.02 Pa s. Decreasing the central
clearance down to 10 mm increases load up to 4,593.8 N for
the relative tilt of the mating surfaces of 0.9 whereas, it takes
the value of 7,875 N for h e ¼ 0.5. When the ring movement is
0.2 and over there is always clamping load (negative residual
load) acting on the ring irrespective of the non-dimensional
ring misalignment. Another word increasing the ring
movement in negative direction ð2dÞ from 2 0.2 and over
the curves corresponding to all h e values become a single line.
This means that after the ring movement of 2 0.2 and over,

168
Investigation on lubrication mechanisms of mechanical radial face seals
Erdem Koç and Emel Ceyhun Sabir
are positive residual loads acting on the ring separating the
surfaces. With the pressure 0.4 and over, at the central position
there is clamping load. As the ring moves towards end 1, the
hydrostatic end load decreases and a point is reached at which
hydrodynamically generated loads balance the hydrostatic
forces. The amount of movement neeeded to produce this
balance increases as the delivery pressure is increased.
The pressure effect can more clearly be detected in
examining the dimensional residual load variation with ring
movement. When the seal is subjected to approximately
20 bar ðP d ¼ 0:15Þ delivery pressure, in the central position,
the ring will carry a positive residual load of 2,461 N
ðW r ¼ 0:5Þ. When the delivery pressure is increased to 0.6
(78.75 bar) the ring will be subjected to 2 2,165.6 N
(W r ¼ 20:11) residual load clamping the ring under the
same geometrical and running conditions mentioned above.
The seal ring behaviour under delivery pressure may more
clearly be seen from the Figure 5 for the non-dimensional ring
misalignment of h e ¼ 0.3. In this case for all pressures at the
central position (d ¼ 0:0) there are negative residual loads
clamping the ring towards the stationary counterpart. This
unbalanced condition is deteriorated with the negative ring
movement. The movement in the positive direction reduces
the residual load reaching zero at different d values depending
on the different delivery pressures. For P d ¼ 1, the ring
movement of approximately 0.4 towards end 1 produces a
zero residual load, which means that the ring load balance is
achieved at this point. Since, the misalignment on the relative
surfaces is very small (h e ¼ 0:3Þ, the seal ring movement
towards end 1 ðþdÞ up to approximately 0.15 demonstrates
the same linear variation on the clamping load for all
pressure curves meaning that at these running conditions
the hydrostatic pressure (at the rear of the ring) is still more
effective than the hydrodynamic pressure (on the front surface
of the ring). After this point, depending on the non-
dimensional pressure, increasing ring movement towards
end 1 increases the hydrodynamic seperating load, which in
turn decreases the residual load giving positive residual loads
after certain ring movement. i.e for P d ¼ 0:05, the ring
movement of approximately 0.2 balances the ring, whereas for
P d ¼ 0:2, the ring movement of 0.35 creates a ring balance
after which the positive residual load occurs on the system.
Figure 5 Variation of residual load (end load) with ring movement
(pressure effect)
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Industrial Lubrication and Tribology
Volume 59 · Number 4 · 2007 · 166 –171
Zero residual load results
The previous section gave the variation of net residual load
(end load) acting on the seal ring with misalignment and
delivery pressure. However, under most running conditions
the net end load acting on the ring is small, depending on the
spring stiffness of course, and the minumum film thickness
under these conditions is of a particular importance. Under
all conditions the seal ring was running with no external load
supplied. It is relevant, therefore, to extrapolate the curves
given corresponding the behaviour of the ring for the position
where the net end load is zero. On doing so, it is possible to
determine the minimum film thickness between the two
relatively moving surfaces. Once this is established, the effect
of pressure, umax and tilt on the minimum film thickness can
be assessed.
Figure 6 shows the minimum film thickness (hmin/hd)
variation with non-dimensional delivery pressure P d for
different non-dimensional misalignment h e . Generally
increasing misalignment decreases the minimum film
thickness. It may be noted that for the misalignment of 0.6
and above, there is a maximum delivery pressure for which
the seal ring will run without metal to metal contact. This
pressure is 8 for a non-dimensional misalignment of 0.6 and
1.85 for a non-dimensional misalignment of 0.9. For low
values of P d the minimum film thickness firstly increases with
increasing pressure. The reason for this appears to be that a
very small amount of pressure produces a small end load
which in turn requires a large movement of the ring to
generate a corresponding force to balance it. As P d is
increased slightly (in all curves) the minimum clearance
increases reaching a maximum for P d between 0.1 and 0.5.
Thereafter, further increase in pressure reduces the clearance.
The combination of spring load and hydrostatic clamping
load tends to be higher than the hydrodynamically generated
load on the front surface of the seal ring.
The limiting vaue of P d for which the ring will run without
metal to metal contact is reduced as misalignment is
increased. Examining the 0.7 curve, it can be seen that the
minimum film thickness is zero when the non-dimensional
pressure is around 4.3 (Pd ¼ 564.4 bar) and beyond that
metal to metal contact will occur. For the misalignment of
0.9 metal to metal contact will occur for all values of pressures
larger than 1.85 corresponding to 242.8 bar whereas, for
Figure 6 Variation of Minimum film thickness with delivery pressure
Investigation on lubrication mechanisms of mechanical radial face seals
Erdem Koç and Emel Ceyhun Sabir
the misalignment of 0.6 metal to metal contact will be
inevitable under the non-dimensional pressure of P d ¼ 8
(Pd ¼ 1,050 bar). For all calculations the geometrical and
running parameters have been taken as r 0 ¼ 5 cm,
h0 ¼ 20 mm, h ¼ 0.02 Pa s and n ¼ 1,000 rpm. When the
central clearance is decreased to 10 mm, the non-dimensional
pressure value of 1.85 corresponding to 971.2 bar for h e ¼ 0.9
and the non-dimensional pressure value of 8 corresponding to
4,200 bar for h e ¼ 0.6.
Figure 7 shows the variation of film thickness hmin/hd with
the misalignment, h e , for different non-dimensional pressure
P d ranging from 0 to 10 at the value of umax of zero. The
complex shape of the curves is due to the interaction of the
hydrodynamically and hydrostatically generated pressures via
cavitation in the oil film. It may be seen that increasing the
misalignment or the pressure reduces the clearance. For the
pressures of 1 and above, there is a maximum misalignment
for which the seal ring will run without metal to metal
contact. This misalignment is 0.98 for non-dimensional
delivery pressure of 1 and is 0.57 for non-dimensional
delivery pressure of 10. It may be seen that with no delivery
pressure the variation in clearances is linear varying from 1 at
h e ¼ 0 to 0 at h e ¼ 1. At zero values of misalignment the
clearance is indeterminate and the values shown here are
limiting values for infinitesmally small values of h e . However,
very small chamfer machined on the outer edge of the ring
would produce a value of hmin/hd ¼ 1 at zero misalignment
and in practice, at low he values, the curves will diverge from
those shown here and tend towards unity, as shown
schematically for the 0.1 case by the broken line.
It may be seen that for considerably low values of he (very
close to zero) the value of hmin/hd does not approach 1 as
might be expected. It would appear that for very low values of
tilt at the delivery pressures of 0.5 and over, the curves
approach point of approximately 0.58. The reason for this
appears to be that a very small amount of tilt produces a small
end load and so hydrodynamically generated pressures, which
in turn require a large movement of the ring to generate a
corresponding force to balance the hydrostatic load acting at
the back and the spring opening load. The critical value of
minimum film thickness depends on the preload on the
springs used and the geometrical parameters of the ring. The
spring rate (stiffness), mean coil diameter, shear modules of
Figure 7 Variation of minimum film thickness with misalignment
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Industrial Lubrication and Tribology
Volume 59 · Number 4 · 2007 · 166 –171
the spring materials and the diameter of wire are all effective
on the clamping load acting at the rear of the seal ring.
Conclusions
With the theoretical study carried out for investigating the
performance of mechanical radial face seals, the conclusions
drawn are outlined below.
.
The load balance of the ring examined is found to be of a
primary importance. Most seal rings can float axially in the
total end clearance but are minimally prevented from tilting
in any direction. The position of maximum clearance (umax)
seemed to be effective on the seal ring lubrication and load
balance, particulary with the cavitated region.
.
The seal ring does not run at the centre of clearance;
because of the misalignment, it runs to one side. The
actual movement varies with delivery pressure Pd and the
ratio he/hd (tilt). The hydrostatic pressure area at the rear
of the ring and the compression spring characteristics are
all effective on the ring balance.
.
As a result of the relative tilt between the stationary and
movable seal ring faces, the seal ring is subjected to a net
hydrostatic end load (combined with spring clamping load),
which tends to displace it. This displacement (clamping)
generates a hydrodynamic restoring force. Under the
combination of the hydrostatic clamping (displacement)
forces and hydrodynamic restoring forces an equilibrium
position is reached with the seal ring displaced from its
central position. As the delivery pressure is increased, the
displacemet also increases and at a particular value of the
non-dimensional pressure, the seal ring comes into contact
with the stationary plate. This limits the upper value of
pressure that can be resisted or overcome by this type of
mechanical seal without boundary lubrication.
.
With the theoretical model developed, it was found that the
minimum film thickness between the relatively moving
surfaces could be predicted depending on the relative tilt
occuring between two mating surfaces. It has been shown
that for a certain bearing misalignment or ring tilt there is a
maximum delivery pressure for which the seal ring will run
without metal to metal contact. For the non-dimensional
pressure of 1 and above, there is a maximum misalignment
for which the metal to metal contact occurs. This
misalignment is 0.98 for non-dimensional pressure of
1 and 0.57 or non-dimensional delivery pressure of 10.
.
It has been noted that for the misalignment of 0.6 and
above, there is an maximum delivery pressure with which
the seal ring will run without metal-metal contact. The
limiting value P d for which the ring will run without
metal-metal contact is reduced as misalignment is
increased. For misalignment of 0.9 metal to metal
contact will occur for all values of pressures larger than
1.85 corresponding to 242.8 bar whereas, for the
misalignment of 0.6 metal to metal contact will be
inevitable under the non-dimensional pressure of P d ¼ 8
(Pd ¼ 1,050 bar). So, the theory developed predicts that
there will be an upper limit to the delivery pressure for
which succesfull operation can be guaranteed.
. The remarks outlined in this paper and the results
presented in the first part of the investigation would be
considered as a design tool for the seal designers with
special reference to ring behaviour under hydrodynamic
and hydrostatic conditions.
Investigation on lubrication mechanisms of mechanical radial face seals Industrial Lubrication and Tribology
Erdem Koç and Emel Ceyhun Sabir Volume 59 · Number 4 · 2007 · 166 –171

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Corresponding author
hydrostatic and hydrodynamic behaviour of gears in fixed
clearance end plates”, Wear, Vol. 173, pp. 199-206. Erdem Koç can be contacted at: erdemkoc@cu.edu.tr

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