Rotary shaft seals

D.E. Johnston

This paper reviews the state-of-the-art of rotary shaft seal technology and
shows that the apparent simple appearance of shaft seals belies the complex
phenomena controlling their performance. Heat transfer, fluid dynamics,
mechanical vibration and the chemistry of elastic materials all interact to
prevent the leakage of fluid. The components, when correctly chosen, are
able to function in a wide range of applications and continuing development
keeps them abreast of a mechanical power unit, and is severely criticized if
unsatisfactory, the best chance of success and reliability comes from giving it
due consideration from the beginning.
Keywords: shaft sea~s, lip sea~s, PTFE
Although the name 'rotary shaft seal' appears a rather
broad title for the class of product it encompasses, it is well
recognized by seal manufacturers and users. Other definitions, such as 'rotary lip seal' or simply 'oil seal' are also
used but these imply specific designs or applications. The
product is employed in a wide variety of situations where it
is necessary to seal a fluid in the presence of a rotating shaft;
but there are limits to the pressure, the type of fluid,
temperature and speed that can be accommodated and give
the desired service life. Quite often the seals are able to
cope with these adverse parameters in isolation, but it is in
combination they could prove very damaging. Because of
these limitations, other designs of seal have to be used in
certain applications; in doing so, however, there is a price
penalty. The relative simplicity - from a user's point of
view - and the low cost of a rotary shaft seal measured
against a substantial market of suitable applications,
indicates their continuing importance and the need for
development to improve their scope.

Shaft seal types

At the basic level, a seal is simply considered to fill the
space between the shaft and the surrounding circular hole.
The performance difficulties start to arise when the shaft
and the hole are not exactly in line and the shaft does not
run true. Under such circumstances, the sealing medium
must be capable of accepting radial deformation and ideally
behave in an elastic manner.
One of the earliest forms of seal was a braided fabric which
was wrapped around the shaft and clamped into place. This
had very little flexibility, but provided the shaft speed was
not too high or a certain amount of leakage could be
tolerated, it was adequate for the level of performance
expected at that time. An improvement to this packing
type seal came from using a construction incorporating a
leather sealing element. Here, a fiat leather washer was
clamped between metal pressings and then formed to grip
the shaft, the sealing force being enhanced by a garter
spring.
A radial change in seal design took place when an oil resistant elastomer was synthesized. The characteristic of this
material gave greater scope for development although it
meant a new approach to the practice of sealing. The resulting product is what is now commonly called the rotary lip
seal. A fundamental difference of the design was that sealing
George Angus & Co. Ltd., Wallsend, Tyne and Wear, UK.

170

was effected by a relatively narrow contact area. Since the

introduction of the lip seals, they have naturally undergone
changes but the principles have not substantially altered.
They are generally regarded as the primary product in
rotary sealing.
Whilst lip seals command a large proportion of the market
there are other types in current use which should not be
ignored. Of these, designs based on PTFE have found
favour in certain quarters. In some cases they have been
constructed to imitate the sealing action of the elastomer
seal whilst in others the principles of the threaded bush
have been used. These designs and others referred to in this
section are shown in Fig 1.

Elastomeric lip seals

Design parameters
Whilst individual manufacturers have their own ideas on
the importance of various aspects of the design, there is
universal agreement on a number of points. The sealing
contact edge, for example, should be free from defects to
the extent that, when viewed on a transparent shaft, there
should be no gaps. In addition, whether the edge is achieved
by a knifing (or grinding) operation, or formed in the
moulding process, it should be as sharp and even as possible.
If a spring is incorporated - which is necessary in the
majority of applications - it is essential that the retaining
groove is axially displaced towards the 'air' side when the
lip is on the shaft. The fact that the lip is hinged and the
spring position qualitatively defined shows that in concept
the seal is asymmetrical. This is borne out in practice when
leakage can be expected if they are fitted the wrong way
round, or an unreliable performance results if the spring is
wrongly positioned.
The contact edge is formed at the intersection of two
conical surfaces and the choice of the respective angles is at
the discretion of the designer. There are limits which are
dictated by manufacturing and performance criteria but
within these, variations will be found when examining seals
from various suppliers.
Early designs of seal generally had a small angle (called shaft
angle) between the shaft and the air side conical surface.
After some time in service these tended to exhibit rather
wide contact wear bands, which were not conducive to
good sealing. The contact can be estimated by a simple
geometric analysis which indicates that for a specific amount

0301-679)(/86/030170-05 $03.00 Butterworth & Co (Publishers) Ltd

August 86 Vol 19 No 4

Johnston - rotary shaft seals

2J
c

IilllTlnll

I I III I i i i i i i it i i i i-r~ I

Illllt\\ \\

\\~

Fig 1 Design o f typical lip seals: [a) rope seal; (b) leather seal; (c ) PTFE seal; (dJ elastomer/PTFE seal; (e) elastomeric lip sea[
of radial wear, the cotangent of the shaft angle defines the
axial wear. With a small angle the apparent wear is also
exacerbated by misalignment of the housing and any eccentricity of the shaft. As a consequence of these factors, most
modern designs have shaft angles of the order of 20 or
more in the fitted state, and some may be up to 40 .
The other angle, that facing the fluid, is governed by the
need to have enough elastomer at the contact to impart
rigidity whilst avoiding too small a value which will leave a
large overhanging bulk. Typically, the included angle
forming the elastomer contact is between 90 and 120 .
Since the diameter at the lip contact is smaller than the
shaft diameter, the deformation of the elastomer, which
includes both bending and tension, causes a sealing force;
this is complemented by the force from the spring. The
total value is known as the radial load. The contribution
from the elastomer depends on its modulus, the sectional
shape of the lip, and the interference, each being adjustable
within limits. Also, in the control of the designer is the
ratio between the spring force and that of the elastomer.
Springs are fitted not only to apply a load, but to compensate for the permanent deformation to which elastomers are
prone when subject to heat in a strained state.
Radial load does play an important part in the sealing
performance but it should not be given undue emphasis.
With the variables that inevitably occur in production there
can be a 2:1 spread in its initial value. Furthermore, in the
application, the temperature of the fluid causes a reduction
in the elastomer modulus and it is not unusual for the radial
load to reduce by up to 50%.
From the time of their introduction onto the market, lip
seals have undergone a continuous improvement in performance as a result of gradual changes in detail design and
elastomer compounds. A few decades ago, however, the
development of what are now called 'positive action features'
gave their performance a step improvement, especially in
the more difficult applications. These features take the
form of ridges moulded on to the air side conical face but

TRIBO LOGY international

inclined at an angle to the plane of the lip. When viewed on

a transparent shaft, they show up as short vanes which run
into the main contact band. Their purpose is to transfer
back any fluid that leaks from the main contact. That they
do this can be amply demonstrated by putting liquid on to
the air side and measuring the quantity transferred. The
rate of transfer depends upon the speed of the shaft, the
number and angle of the features.
The first designs of positive action seals were specifically for
unidirectional shaft rotations but there followed on from
this others which allowed either direction by having vanes
inclined in both directions to the main contacts. Contrary
to expectations, they are effective, as the backward-facing
vanes do not appear to promote outward transfer. This sort
of phenomenon is not unusual in fluid dynamics, where it
can be shown that under certain conditions a reversal of a
pressure difference does not automatically reverse the flow
pattern.

Sealing factors
It is not the intention in this section to go into great detail
about the various theories put forward to explain how a lip
seal works. The subject has been the focus of considerable
debate within the sealing industry and will continue to be
so until a theory is evolved which takes into account all of
the observed phenomena. Even if a theory is found there are
still severe experimental difficulties in obtaining conclusive
evidence because of the interaction of the various parameters and the extreme smallness of the sealing area. It may
be that specific measurement of the experimental variables
is impossible, and one will have to be content with circumstantial evidence. Whilst the search for this knowledge may
appear to be irrelevant to the user, it has provided solid
practical information on the performance and the necessary
conditions for sealing.
When a seal is manufactured, the contact edge is made as
sharp as possible. After mounting the component on the
shaft the sealing load causes the contact to flatten out to a
width of about O.1 ram. Rotation of the shaft then abrades

171

Johnston - rotary shaft seals

the elastomer away to form a wider contact which may vary

considerably dependent on the compound used. Typically,
however, it is between 0.2 and 0.5mm. After this initial
wear has taken place, there is virtually no more unless the
lubricant contains fine abrasive particles. The surface finish
of the shaft does have an influence on the amount of wear
and experience has led to the recommendation of values
between 0.25 and 0.63 prn Ra, preferably from plunge
grinding. If the shaft is slow running, a higher roughness
may be specified by the seal manufacturer. Other methods
of finishing the shaft, for example roller burnishing, are
acceptable but specific testing should be carried out to
ascertain their suitability with the elastomer in the working
environment.
The fact that in a clean lubricant the contact band stabilises
after a short period indicates that there is an intermediate
coherent lubricant film. Direct measurements and values
calculated from frictional results indicate that it is of the
order of 1 micro metre. Highly accurate direct measurement
is difficult because the surface structure of the elastomer
has a similar roughness. That different base elastomers and
the same elastomer with alternative filler systems give
different film thicknesses - and frictional measurements highlights the complexity. As a point of interest, the type
of fillers in the compound have a vital role to play and their
choice is a large part of the expertise. Omitting the fillers,
strangely, inhibits if not even eliminates any bedding-in,
and leakage generally occurs.
To maintain a coherent film implies that there is a pressure
generated within it which equals that imposed by the lip.
The system is, thus, similar to a journal bearing but with
one of the surfaces being elastic. Hydrodynamic lift may be
due to the millions of asperities on the elastomer which are
exposed or formed during bedding-in, a macroscopic waviness of the sealing surface or a combination of both.
The presence of a full lubricant film implies that the friction
force is viscous in form. Whilst the actual levels will vary
with the shaft diameter, lubricant type find the design -

including the material - all sealshave the friction characteristics in oil as shown in Fig 2. In simple terms, the friction
force is proportional to the product of of the viscosity and
the surface speed divided by the film thickness. As the
speed increases, however, the heat generated causes a rise in
the underlip temperatures and with hydrocarbon oils a
commensurate drop in viscosity. This is one of the prime
factors determining the shape of the curve. A second
influence is the variation in the film thickness. Without
going into detail, the thickness is also a function of viscosity
and speed, the governing principle being the need for the
hydrodynamic lift to balance the sealing force.
The very thin film gives rise to high shear rates and, hence,
the temperatures under the lip can be substantially greater
than that in the bulk fluid. It is quite possible to generate a
temperature difference of 50C. This causes a greater rate
of degradation of the elastomer in the sealing area and also
if the bulk temperature is itself high, hydrocarbon oils will
themselves degrade and form carbon deposits which upset
the sealing mechanism. Whilst there are disadvantages to the
hydrodynamic formation of the thin rdrns, they are also an
integral part of the sealing mechanism. For example, if
excessive film thickness occurs, it will usually be attended
by leakage. The sealing action is not a passive phenomenon
in that it just stops leakage. Tests have repeatedly shown
that putting liquid on both sides of the lip seal results in a
small transfer from the 'air' side to the 'liquid' side. Another
interesting observation is that, when a small quantity of
liquid is introduced to the air side edge of the contact of a
normally operating seal there is a drop in the frictional
torque. It then rises again when the liquid has been transferred.
This brief summary of the interaction of a seal with its
environments gives an indication of the problems. They are
compounded by the wide variation in the types of liquid
used in industry and geometrical accuracy of the surrounding parts. Nevertheless, an incomplete understanding of the
sealing mechanism has not inhibited the improvement of
the products under increasingly hostile conditions.

Elastomers
The major base elastomers used in lip seals are:

ot

0.9

0.8A
E
Z

Others are available but are only employed when the normal
alternatives are totally inadequate. The ideal choice primarily
depends on the type of fluid to be sealed and the working
temperature, but this can be influenced by the price the
customer is prepared to pay. Because of the high costs of
warranty repair, the automobile manufacturers in particular
evaluate the cost effectiveness of the more expensive
product rather than deciding just price. The increasing
demands for longer seal life also lead in the same direction.

0.7

0.6
u/

0.5
0.4

8o-c

x 70~C

0.3
0.2
0.1
0
0

I
500

I
1000

I
I
1500
2000
Speed ( rev/min )

I
2500

Fig 2 Typical frictional torque results (shaft diameter

76.2 mm, SAE 50 grade oil, material nitrile]: (n) 90C;
( ) 80C; (x) 70C
172

acrylonitrile
polyacrylic and ethylene acrylic
silicone
fluorocarbon

Within the categories quoted, there is available a far greater

choice than would first seem. For example, there are
variants for each base elastomer with different characteristics, and the filler system itself is used to make further
adjustments. Whilst a range of properties can be imparted
to the compound, there are certain ones which have to be
kept within specified limits to achieve the required sealing
performance. Experience has indicated that the hardness

August 86 Vol 19 No 4

Johnston - dynamic sealing

should be between 70 and 80 IRHD when moulded. In

service, this generally increases as degradation takes place
but silicone elastomers tend to soften. Tensile strength is
often quoted in users' specifications but, in practice, the
strain on the elastomer rarely exceeds 5% and it is difficult
to see its relevance unless it reflects another, more important, property.

intervals, the products of degradation will form abrasive

particles which will generally wear away the thread. Alternatively, carbonization of the oil under the contact, which
is highly probable because of the frictional heat combined
with the air entrainment, will gradually fill in the grooves
making them inoperative. This process can be controlled by
suitable selection of the thread form.

The critical test in the development of elastomer compounds

is whether it will seal or not. This has a relationship with
the characteristics of the wear rate and pattern when the
seal is run dry. The objective is to achieve a small amount
of wear during the first few minutes of dry running and
thereafter it should be very slow. In addition it is desirable
that the friction characteristics in the dry state do not cause
stick-slip as this may damage the lip. Controlling or preventing stick-slip is particularly relevant in those applications
where it takes a few minutes for the lubricant to reach the
seal.

The excellent fluid resistance of PTFE and its ability to

accommodate periods of dry running without serious effects
has shown it to be very suitable for use in seals. In many
situations, PTFE seals are a suitable alternative to elastomer
lip seals, but they have also widened the application base
for shaft seals.

When choosing a seal for a particular application, the user

should seek the advice of the manufacturer. The type of
lubricant and the realistic operating temperature should be
stated, together with the minimum life expected. Where
possible, the nonessential material properties should be
given a wide tolerance, or more closely specified later as a
control measure when the suitability of the product has
been proved by thorough testing.

PTFE seals
When polytetrafluoroethylene (PTFE) became commercially
available, its low friction characteristics were considered
suitable for seals. However, interest in the product was
initially very slight, either because the early designs were
inferior to the elastomer seal, or too expensive. In more
recent years they have become established because the
designs can give reliable sealing performance at a competitive price. The latter aspect has come about because the
severe operating conditions on modern vehicles has required
the lip seal be manufactured from the more expensive
elastomers.
As was stated earlier, PTFE is incorporated in designs which
seem to use either the sealing action of a lip seal or a bush
type seal. Whether in fact the former do truly behave in the
manner of a lip seal is difficult to establish. It is possible
that the structure of the PTFE which includes a small level
of fillers causes a hydrodynamic lift as found with elastomer,
but, alternatively, the PTFE could be in contact with the
shaft.
The bush seal is certainly easier to understand. Tests have,
however, shown that it is necessary to incorporate a thread
feature on the contact area to achieve reliable sealing against
liquids. Through the very nature of a thread it can be
appreciated that the seals are for unidirectional applications
only. A design which claims otherwise is not relying on the
threaded bush action. Contrary to expectations, the PTFE
element does not appear to remain in contact with the shaft
in the presence of a lubricant. This is judged on the basis of
a much lower wear rate when sealing a liquid compared
with that when it is run dry. The implication is that the
frictional torque is predominantly viscous, as with a lip seal.
That the sealing performance of the PTFE bush seal is
dependent on the thread feature means that failure is likely
to occur when it is destroyed. If the oil being sealed is run at
a high temperature, and is not changed at the recommended

TR I BO LOGY international

Application conditions
To design a sea] to function successfully in a specific application requires the working conditions to be specified as
accurately as possible. There is sometimes a tendency by
the user to quote the worst combination, which may rarely
occur in practice, and the supplier is forced into recommending a more expensive solution than would really be
necessary. Also, many users have their own rig test procedures for initial evaluation, but again these should reflect as
closely as practical the service conditions. For example, to
test in oil a seal that is to be used in grease may mean that
the most suitable elastomer compound is eliminated because
of its poorer liquid sealing characteristics, but superior wear
resistance.

Whilst there are many individual factors, and their numerous

combinations, which can determine the performance of a
seal, consideration of certain key ones will suffice for the
majority of applications.

Dirty environments
As the sealing mechanism is dependent on a very thin f'tim
of fluid it is essential that this is not enlarged by a piece of
grit lodging under the lip. The amount of dust in the
environment outside the seal determines whether it is
necessary to provide protection and to what standard.
In its simplest form, the dust protector is an extra, but
small, lip formed during the moulding process. It generally
points towards the dust and does not incorporate a spring,
a typical design being shown in Fig 3. If the shaft speed is
high, such as occurs on an engine, the dust lip should be
made slightly clear of the shaft. Failure to do this will cause
it to abrade away, the resultant debris possibly being as
harmful as dirt. Also if the main lip has a positive action
feature, the pumping action creates a small vacuum which
may cause slight distortion and extra wear on the main lip
with some elastomers. At lower speeds associated, say, with
vehicle hubs, it is possible to have interference on the dust
lip. It not only provides better protection against the
ingress of dirt but also by packing the space between the
lips with a high melting point grease, an extra barrier is
formed.
A more expensive solution is to make the dust lip from an
alternative material bonded or clamped to the main seal.
Using, for example, a felt or PTFE dust lip, interference
with the shaft is allowable, without any problems occurring
at high speed. This also offers the most cost effective way
of sealing against a wet and gritty environment, although it
remains one of the most difficult types of application to
meet.

173

Johnston - r o t a r y shaft seals

~[#'~
// ////
/
/
/
/
m

f.

Fig 3 Seal with PTFE dust lip

Fluid pressure

The normal standard shaft seal will accommodate fluid

pressures up to about 0.3 bar, the small ones, for shafts
less than 30mm, may even cope with double that value.
For higher pressures, it is advisable to provide a metal or
plastic supporting ring under the air side conical face to
restrain the distortion of the lip. Alternatively, specially
designed seals with more rigid lips can be employed and it
is possible, by choosing the correct material, to permit
pressure levels to go as high as 6 bar.
Fluid pressure increase the sealing load substantially and,
hence, the fluid trim to correspondingly reduce and possibly
collapse. The elastomer should, therefore, have good wear
resistance and heat resistance. To reduce the elastomer wear,
when sealing at high pressure, it is beneficial to have a
smoother surface finish on the shaft than normal. If it can
be polished to 0.10-0.15 tin1 Ra, positive benefits accrue.
Naturally, the speed of the shaft also has an important effect
on the friction levels and too high a value will accelerate the
degradation process unless fluorocarbon elastomers are
stipulated. Even these may suffer premature wear if the
pressure and speed are both high.
Separating the two I iqu ids

It has been pointed out earlier that even a seal without a

positive action feature will transfer liquid from the 'air' side
to the 'oil' side. Using one lip to separate two liquid-filled
compartments is thus not recommended. The ideal solution
is to use two seals back to back, preferably with a drain hole
between them. If there is insufficient axial space, seal
manufacturers will provide a design which incorporates
two lips in one moulding. It is, however, less satisfactory
in terms of performance than two separate seals.
If the 'two-liquid' application has a unidirectional shaft
rotation and no pressure, such as an engine with wet
clutch, a PTFE seal with two sealing elements facing in
opposite directions, and with the appropriate thread
features, is very satisfactory.
Housing offset and shaft movement

Misalignment of the housing has the effect of altering the

lip interference around the circumference. The local lip
force will, therefore, vary as will the air side angle. Seals
that have run with excessive housing offset show a circumferential variation in the contact wear. The amount of
offset that a seal can withstand depends on a number of
factors but a standard catalogue product will accommodate

174

about 0.25mm TIR, and this can go up to 0.5mm TIR on

other designs.
Radial displacement of the shaft has a similar geometrical
influence on the lip as housing misaligument, but the*
severity is compounded by dynamic considerations. Testing
for lip response is normally carried out with an eccentric
shaft which gives a forcing frequency equal to the rotational
speed. Actual service conditions, however, are just as likely
to include vibration of the shaft, that is, its centre of
rotation is being displaced; frequencies and amplitudes may
then be totally different from the simulated ones. Noncircularity of the shaft is another source of vibration but
only severe and, in engineering practice, unacceptable
lobing will have detrimental results.
That seals are used in a multitude of applications and very
rarely is leakage attributed to shaft vibration, shows that
the design can match the conditions. As a general guideline,
the eccentricity (or the equivalent vibration amplitude)
should be no more than 0.5mm TIR, and preferably
0.25mm TIR for the standard product.
In addition to the shaft moving radially, it can oscillate in
the axial direction. If the amplitude is less than 0.Smm,
there should be no problems, but for greater values, a seal
with a positive action feature is recommended.
Shaft speed

Since the primary function of the seals under consideration

is to operate on a rotating shaft, the influence of this
parameter warrants some final comment. Whether the
surface speed or the rotational speed is the more important
depends upon what is being evaluated. For example, the
'bedding in' process is more associated with the surface
speed, whilst the effect of eccentricity is mainly related to
rotational speed. At the fundamental level, however, there
is no simple rule which isolates the effect of shaft speed. It
is the initiator of the sealing characteristics but its influence
cannot be separated from the other parameters which
constitute the seal system.
Viewing the subject at a more superficial level, frictional
losses and the resulting heat generation at the lip are the
factors mostly associated with shaft speed. For any particular size of shaft, the power loss and the temperature under
the lip will increase with shaft speed. Thus, too high a value
will accelerate the degradation of the elastomer at the
contact and possibly promote oil carbonization in that area.
To take the subject of friction any further brings one back
to the interactive nature of the problem. The shaft diameter,
seal radial load, the fluid viscosity variation with temperature, and other parameters have to be known, even in order
to make estimates.
Stressing the inseparable nature of shaft speed from other
parameters has indicated the potential variety of questions
and answers between users and suppliers. The latter have
accumulated considerable amounts of data from operational
and rig testing, and will advise on any application problems.
In the majority of applications, speed does not present any
problems, and surface velocities of 25 m/s are not unusual.
If the value goes up to 40 m/s, the seals will cope with it
but the seal supplier should be given the opportunity to
comment. Similarly, rotational speeds of 7000 r/min are
quite normal, but considerably higher values can be tolerated
if other factors are controlled.

August 86 Vol 19 No 4