Mechanical Vacuum Pumps
Mechanical Vacuum Pumps
Mechanical Vacuum Pumps
A.D. Chew
BOC Edwards, Crawley, United Kingdom
Abstract
This presentation gives an overview of the technology of contemporary
primary and secondary mechanical vacuum pumps. For reference a brief
history of vacuum and a summary of important and basic vacuum concepts
are first presented.
Introduction
Vacuum? It is just like turning on a tap. We have come to take for granted vacuum and its application,
in all its degrees from vacuum forming, metallurgy, integrated circuitry fabrication to space
simulation. The current provision, the engineering innovations, and global availability bear testament
to the technical and commercial pioneers of the 19th and 20th centuries. The full history itself can be
traced back to the ancient philosophers, however, here we touch briefly on the revolutionary work of
the Natural Philosophers of the period of the Scientific Enlightenment.
There is some debate as to who achieved the first deliberate experimental vacuum (Berti or
Torricelli), however, it is pretty certain that it was in Italy in the 1640s. The concept of a vacuum or
void was a huge discussion amongst philosophical heavyweights across Europe in the 17th century.
Indeed in reasoning against a vacuum (the Aristotolean horror vacuii), the Torricellian void in an
inverted mercury column was said to have been filled with elements from the liquid mercury itself. As
well as creating a vacuum, they also recognised the concept of outgasssinga concept familiar to
many practitioners today.
Galileo and Descartes were party to the debate be it via the concept of the weight of air
(measured as 2.2 g/l compared to a modern value of 1.3 g/l). The work spread from Italy (Baliani) to
Mersenne and Pascal in France. It is worth noting that these intellectual endeavours were patronized
by the great realms of the time both for application to live issues (for example, suction of water in
mines) and also for the reflected glory on the patrons themselves. Science as Natural Philosophy was
truly revered in the 17th century.
Von Guericke raised significant issues with the Torricellian void and combined the glass tube
with his own suction pumps (reported by the Roman engineer Vitruvius) to produced the famous
Magdeburg hemispheres. His problems with the correction of the (degassing) effects of the mercury
column also paved the way for the real gas correction to the ideal gas laws. Along the way his
correction to the mercury column also led to its use for weather prediction (barometry) and in 1660 he
predicted the onset of a heavy thunderstorm.
Pascal had by then joined the debate (as a fully fledged vacuist) as to what exactly could
constitute a void. He led against the Aristotelean view, a victory which was to lead to the development
of the gas laws.
Disclaimer. The author and his employer, BOC Edwards, disclaim any and all liability and any warranty whatsoever relating
to the practice, safety and results of the information, procedures or their applications described herein.
43
A.D. C HEW
1.1
If I have seen further it is by standing on the shoulders of giants a famous quotation from a letter
written by Isaac Newton in 1676. This may have been a way of giving credit to his correspondent,
rival, and contemporary Robert Hooke, but I would like to think that the giants Newton had in mind
would include Robert Boyle who was, amongst many other things, a great vacuum pioneer.
Boyle had a young Hooke as his assistant and circa 1660 they jointly developed an air pump,
arguably the first vacuum-producing apparatus suitable for experiments. These included the
investigation and extinguishing of the ringing of a bell. This is a common vacuum demonstration now
in classrooms but was used by Boyle as evidence for his attack on the plenists (and for theological
applications). This vacuum pump allowed the accurate investigation of the (inverse) relationship
between pressure and volume: P1V1 = P2V2Boyles (or Mariottes) Law.
At this time no temperature scale existed and he could not determine the relationship between
hotness and volume. Later work (1702) by Amontons developed the air thermometerit relied on
the increase in volume of a gas with temperature rather than the increase in volume of a liquid and
gave us Amontons Law: P1T2 = P2T1.
Although Amontons had done the work before him, Charles is credited with the law V1T2 = V2T1
as measured on the Kelvin temperature scale. Gay-Lussac (also famed for his Law of Combined
Volumes) in 1808 made definitive measurements and published results showing that every gas he
tested obeyed this generalization. Daltons work on the law of the partial pressure of gases (1801) and
Avogadros article (1811) stating that at the same temperature and pressure, equal volumes of different
gases contain the same number of molecules would lead to the concept of the mole and Avogadros
number. By 1860 our modern day view of the Ideal Gas Law was in existence and the Maxwell
Boltzmann theory further explained the gas laws in terms kinetics of individual molecules. This
incorporated Bernoullis 1730s kinetic model of tiny gas molecules moving about in otherwise empty
space (a foretelling of the van der Waals equationperhaps the most commonly known of many Real
Gas equations).
Boyles Law was the first of the gas laws and was a truly remarkable display of experimental
procedure with the application of leading-edge contemporary technology. A vacuum pump was the
catalyst and facilitating element as it would prove to be in many other major scientific milestones.
1.2
The development of vacuum technology made many contributions in the 17th to 19th centuries
ranging from evidence to resolve to the philosophical confrontation between plenists and vacuuists, to
the development of the gas laws. By the mid 19th century there seems to have been a major
application of vacuum awaiting discovery. Step forward the humble light bulb.
Davy moved the world on from gas/oil/candle lighting in 1809 by creating an incandescent light
arc-lamp. De la Rue in 1820 followed with an evacuated glass bulb (thence filled with gas) to provide
an incandescent light-bulb though it proved non-economic. From the 1850s work intensified in which
vacuum was used to form the void in which an electric filament was heated to incandescence by an
electric current. Edison is generally attributed with the design in 1879 of the modern-day practical
light-bulb though others (Swan, Weston, Maxim etc.) made many contributions.
Althought they were intended to cause the gas to glow, certain glasses were seen to glow (e.g.,
Geisslers tube) at the end of the tube and/or around the filament. Many investigations of these
cathode rays followed (Lenard and Crookes etc.) and it was a short step for a third electrode to be
used in the vacuum tube to see their effect on these cathode rays. Thomson developed from these
studies his corpuscular theory and discovered the negatively charged electron (1897).
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1.3
The understanding of the strange phenomenon of cathode rays presented a great scientific challenge in
the latter stages of the 19th century. In 1871 Crookes suggested that these rays were negatively
charged and in 1879 invented the Crookes vacuum tube (of glass). This was an early form of the much
known 20th century cathode-ray tube and eight years later he performed the famous Maltese cross
experiment. Varley and Crookes in 1871 had suggested that cathode rays were particles and Perrin
proved this in 1895. Positive (canal) rays, or ions, were observed by Goldstein in 1896.
Stoney in 1874 had estimated the charge on the cathode rays (calling them electrons in 1891)
but it was not until 1897 that J.J. Thomson performed his famous series of experiments to demonstrate
the particle or corpuscular, nature of cathode rays. He showed them to be a constituent of an atom
the first subatomic particle to be discovered. It is interesting to note that after Rntgen discovered Xrays in 1895 the first commercial X-ray machine was developed for medical applications in the
following year (by E. Thomson): one of the shortest times to market of any vacuum application!
Rntgen picked up his Nobel prize in physics in 1901 for his discovery of the X-ray.
A fundamental and at least enabling factor in these experiments was the development of the
mean free path theory by Clausius in 1858 without the knowledge that a vacuum is needed to allow
particles to travel unimpeded by collision with gas molecules (as a guide, the mean free path of
nitrogen is 66 cm at 104 mbar). As with today, experimental necessity proved the catalyst for the
development of vacuum generation mechanisms and vice versa new vacuum techniques facilitated
advances in experimental developments. Various pumping techniques for glass vacuum systems had
been developed in parallel to these significant discoveries. These included the Roots pump 1859,
diffusion pumps (Geissler 1855, Topler 1862 and Sprengel 1865), Bunsens 1870 water jet pump and
Dewars 1892 cryogenic (liquid air-cooled charcoal) pump. Fleuss oil piston pump (1892) pump and
Gaedes 1905 mercury sealed rotary vacuum and molecular drag pump of 1912 also played a role.
Subatomic particles were further isolated in 1918 with Rutherfords discovery of the first
nucleon (alpha particle): the proton, and by Chadwick in 1932 of the neutron.
Since then vacuum has continued to be an instrumental tool in driving subatomic studies and
more. Perhaps the most demanding and fundamental studies are still to reveal themselves: the use of
UHV in interferometric experiments for the isolation, capture of gravitational waves. Gravitational
waves were predicted from Einsteins General Theory of Relativity and are disturbances (ripples) in
the curvature of spacetime caused by motions of matter. As these waves pass through matter, their
strength weakens and the wave shrinks and stretches.
Mechanical vacuum pumps developed and used from ~ the mid 20th century to the present day
will be discussed after some basic vacuum concepts.
The commonly used and basic vacuum concepts utilize the gas quantities:
number of molecules, N
molar mass, M
gas constant R0
temperature, T
gas mass, w
number of moles, nm
pressure (P) volume (V) units; gas quantity q
45
A.D. C HEW
q = PV ,
(1)
q = PV = w
PV = nm R0T =
R0T
.
M
(2)
w
R0T .
M
(2a)
q = PV
q = 100 mbar litre
1000 mbar
100 mbar
w
PV = n m R 0T =
R 0T
M
Given PV
Given w
Only if we know
M and T
S V .
(3)
Throughput
(4)
RT
Q = PV = w 0 .
M
(5)
Q tells us nothing about pressure and volume rate separatelyonly the product does that.
By speed, manufacturers generally mean the volume flow rate measured under standard
conditions. Generally units are m3/h, l/m or cfm for primary and l/s for secondary pumps but many
other units are used (standards specify between 15C and 25C). Displacement is usually referred by
manufacturers to the swept volume rate D, i.e., the trapped or isolated inlet volume/unit time. The
maximum possible flow rate of the pump, or speed S < D.
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2.1
Flow regimes
Knudsen number:
Kn =
d
Characteristic
dimension
Regime
Molecular
Transitional
Continuum
Increasing Pressure
Typically < 103 mbar
Kn =
(6)
Regime
Regime
Continuum
Continuum
Molecular
Molecular
<< d
Kn << 1,
moleculemolecule
collisions dominate
Kn >> 1, >> d
moleculesurface
collisions dominate
Fig. 3: Flow regime classification
Definitions:
Kn < 0.01
continuum state
transitional state
Kn > 1
molecular state.
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A.D. C HEW
Regime
Regime
Molecular
Molecular
Transitional
Transitional
Continuum
Continuum
Type
Type
Laminar
Laminar
Re
Turbulent
Turbulent
2.2
Conductance, C
Definition
C=
Q
Pu Pd
(7)
Conductance = 1/Resistance
Series
C1
C2
1
1
1
=
+
+"
C n C1 C 2
C1
Parallel
Cn = C1 + C1 + .
C2
Fig 5: Conductance definition
Pumping speed can be combined with a conductance in the same way as conductances in series,
see Fig. 6. N.B. in molecular flow we need to introduce the concept of transmission probability.
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Conductance
Pump
1
1 1
= +
S net S C
Speed, pressure ratio K and conductances are combined as in Fig. 7 so that the zero flow
compression ratio K (i.e. ratio of the upstream to downstream pressures) is given as
Q = Pd S = ( Pu Pd )C
C=
K=
1
1 1
= +
Snet S C
(8)
S
S
or K = 1 + .
K 1
C
Pu
Pu
Pd
Pd
Q
PuSnet = PdS
Snet
S
Snet =
K
S
S
or K = 1 +
K 1
C
49
S
t
V
(9)
A.D. C HEW
Mechanical pumps
Wet pumps
Primary
Primary
Primary
n = 0 to 3 (m3/h)
n = 0 to 2 (m3/h)
n = 1 to 3 (m3/h)
Primary
Primary or Secondary
Primary
Primary
Primary
Primary
Primary
Primary or Secondary
Secondary
n = 1 to 3 (m3/h)
n = 2 to 5 (m3/h)
n = 1 to 3 (m3/h)
n = 1 to 3 (m3/h)
n = 1 to 3 (m3/h)
n = 1 to 2 (m3/h)
n = 0 to 2 (m3/h)
n = 0 to 2 (l/s)
n = 1 to 4 (l/s)
Dry Pumps
Northey-claw
Roots
Scroll
Screw
Regenerative
Piston
Diaphragm
Drag
Turbomolecular
All theses pumps rely on the principle of positive displacement of gas (or vapour) except drag
pumps, which exploit molecular drag and turbomolecular pumps (momentum transfer/capture
technique). Table 1 indicates some of the range of choices involved between wet (oil-filled) and dry
(oil-free) vacuum pumps.
Table 1: Wet and dry pump comparisons
Wet pumps
Dry pumps
Capital cost
Low
High
Oil loss
Very low
System contamination
Very low
Add on costs
Oil return/filtration
Not necessary
Aggressive process
Not suitable
Resistant
Purge
Sometimes
Almost always
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Roughing time ?
Throughput ?
For process?
Ultimate ?
Leakage/outgassing?
Cleanliness?
Up-time
Service interval?
Running Costs?
$ ?
Oil-sealed rotary vane pumps (OSRVs shown in Fig. 10) were first developed in the early 1900s.
Today, the two commonly used oil-sealed pumps are rotary vane and rotary piston pumps. Oil-sealed
rotary vane pumps are often used for low inlet pressures and light gas loads. Oil-sealed rotary piston
pumps are often large and are most often found in high-gas-load, high-inlet-pressure industrial
applications.
EXHAUST
OUTLET
INLET
EXHAUST
VALVE
STATOR
VANE
OIL
ROTOR
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A.D. C HEW
1
2
3
4
Inlet exposed
Trapped volume
Compression
Exhaust
4.1
Functions of oil
A single-stage pump has one rotor and one set of vanes (ultimate pressure circa 102 mbar). They have
a lower cost where low ultimate vacuum is not required and are used for higher inlet pressures or high
gas loads due to lower compression. A dual-stage pump is most simply two single-stage pumps in
series (ultimate pressure circa 103 mbar or lower). The effective higher compression ratio gives better
ultimate vacuum. These are shown in Fig. 12 and a cutaway is shown in Fig. 13.
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4.3
Pumped gas may contain both permanent gases and vapours, which can condense when compressed.
Condensed vapours may include liquid water and solvents which can mix with pump oil to form an
emulsion. Condensed vapours can limit the ultimate vacuum, cause corrosion, and possibly lead to
pump seizure. Gas ballasting allows vapour pumping without condensation. The basic principle is that
the ballast gas opens the exhaust before compression pressure allows vapours to condense.
Dry pumps do not have oil in the swept pumping volume and use a series of stages with small noncontacting clearances to displace gas/vapours and create compression. Ultimates can be 102 mbar and
lower; higher frequencies giving lower ultimates as they provide reduced (ultimate-limitating) gas
back-leakage. A typical design is shown in Fig.14.
5 th 4 th
3 rd
2nd 1st
G ear
B e a rin g
Canned
M o to r
C o o lin g
M u lti-L o b e
R o o ts
C law s
Clearance mechanism
Fig. 14: Rootsclaw dry pump schematic
53
R o o ts
A.D. C HEW
5.1
Diaphragm pumps
Figure 15 shows the schematic of a diaphragm pump whose best ultimates are of the order 0.1 mbar.
The crankshaft rotates and the connecting rod pulls the diaphragm down, creating a vacuum in
the chamber. This opens the inlet valve and closes the exhaust valve and the chamber fills with gas. As
the crankshaft continues to rotate, the connecting rod forces the diaphragm to the top of the chamber.
This compresses the gas, opens the outlet valve, and closes the inlet valve. The valves on the inlet and
outlet to the chamber are flapper types, which are operated by pressure. Figure 16 shows a typical
speed curve.
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5.2
Scroll pumps
Eccentrically mounted matching scroll forms move to isolate gas and transport it to an atmospheric
pressure exhaust as in Fig. 17.
BOCE XDS35i
5.3
The operational principle of dry piston pumps is the same as with oil-filled versions and is shown in
Fig. 19. In the dry version contact can be made with sacrificial coatings.
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A.D. C HEW
Inlet
Compressed Gas
Exhaust
Trapped Gas
Exhausted Gas
Crankshaft
As the crankshaft rotates, it moves the piston vertically through the cylinder, which traps,
compresses, and then exhausts the gas from the pump. A coating around the outside of the piston
creates the seal between the piston and the cylinder wall.
5.4
Roots/booster pumps
These are non-contacting secondary pumps and the sequence of operation is shown Fig. 20. Rotors
trap a volume of air against the stator body and sweep it around, exhausting the gas at a point 180
from the inlet. Tight clearances between the rotors and the stator are critical to trap and move through
the pump body.
Normally the booster displacement is greater than the backing pump speed therefore large
outletinlet pressure differentials P are generated at high inlet pressure. Unless this P differential is
limited, power demand increases rapidly. Limiting methods, shown in Figs. 21 and 22 include
hydrokinetic drive, inverter motor control and pressure relief valves (outlet to inlet).
INLET
Gas volume
being pumped
2
1
OUTLET
56
Speed
Hydrokinetic drive
Or bypass valve or
Inverter drive
0.001
0.01
0.1
Backing pump
Speed
10
Pressure
100
1000
Pressure differential
Speed
Increasing
motor
power
Increasing
P
capability
0.001
0.01
0.1
10
Pressure
100
1000
To achieve speed, ultimate or pump-down requirements, more than one booster may be used.
With boosters in parallel, performance improvement is limited to approximately one decade
improvement in ultimate with modest improvement in pumping speed at high pressures and with high
pumping speed improvement at low pressures. With boosters in series, a lower ultimate is achieved
(limited by outgassing and back-leakage). Also higher pumping speeds at higher pressures are
achieved. This configuration limits the pumping speed at lower pressures. Schematically these are
shown in Fig. 23.
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A.D. C HEW
Speed
Pressure
B
B
Turbomolecular pumps
58
6.1
Principle of operation
Molecules leaving
surface
Surface
pII
N
A
P
(a)
(b)
High rotational speeds (> 1000 Hz) tip velocity = molecular thermal
velocities
Fig. 26: Molecular collisions with surfaces
59
A.D. C HEW
Direction of rotation
of blade
Horizontal
Direction of rotation
of blade
Stator
60
The Gaede and Holweck drag stages are shown in Fig. 31. These allow operation to a higher
exhaust pressure.
Holweck
Gaede
Interstage
port
z Spinning discs
z Stationary fingers
(supported by envelope)
Grease
Ceramic/permanent magnet
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A.D. C HEW
Magnetic levitation turbomolecular pumps shown in Fig. 33 are generally more expensive but
are non-contacting with the following advantages:
no bearings to wear and
high reliability
permanently low vibration characteristic with time
no hydrocarbon lubricants present
can be mounted in any orientation
designed to work with (harsh) semiconductor process gases, radiation environments, etc.
3 active axis
Y1
5 active axis
PLANE 1
X1
Y1
PLANE 1
X1
Y2
N S
N S
S N
S N
Cross section
of 5 axis STP
PLANE 2
X2
Z
Fig. 33: Magnetic bearing turbomolecular pumps
A BOC Edwards STPA2203 (nominal speed 2200 l/s) is shown in Fig. 34 with respect to its
throughput performance
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Other pumps designed for mass spectrometry: split flow/multi-inlet pumps Ref. [1] and pure
drag pumps are also extensively used, especially in machinery for scientific instrumentation.
Regenerative/drag pump
This pump is a single-axis mechanical clearance pump capable of achieving < 106 mbar and
exhausting directly to atmospheric pressure. It is fully described in Ref. [2] and a cross-section shown
in Fig. 35.
Holweck Stages
Rotor
Regenerative
stages
Stator
The pump employs a combination of Holweck drag stages (which enable the achievement of the
low ultimate and the molecular pumping speedup to 140 l/s) and regenerative stages which operate
from a few mbar to atmospheric exhaust pressure. Figure 36 shows the pumping speed curves for a
BOC Edwards EPX500 pump which show the typical molecular nature of the pumps performance.
600
Ar
N2
400
He
300
H2
Speed m /hr
500
200
100
0
1.00E-06
1.00E-05
1.00E-04
1.00E-03
1.00E-02
1.00E-01
1.00E+00
Pressure mbar
63
1.00E+01
1.00E+02
1.00E+03
A.D. C HEW
References
[1] A. D. Chew, A. Cameron, D. Goodwin, J. Hamilton, T. Hawley-Jones, P. Meares, J. Pumfrey,
J. Ramsden and D. Steele, Considerations for primary vacuum pumping in mass spectrometry
systems, Spectroscopy 20, January 2005.
[2] A. D. Chew, M. Galtry, R. G. Livesey and I. Stones, Towards the single pump solution: Recent
development in high speed machines for dry vacuum pumping, J. Vac. Sci. Technol. A 23
(2005) 1314.
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