Professional Documents
Culture Documents
Dynamics
of Machinery
III
2008
Preface
Preface i
Contents iii
8. Rolling element bearings 1
8.1 Rolling-element radial bearings 1
8.2 Kinematics of rolling bearings 3
8.2.1 Basic assumptions 3
8.2.2 Simple kinematic relations for angular contact ball bearings 4
8.2.3 Primary rolling element bearing frequencies 6
8.2.4 Kinematic relations for tapered roller bearings 7
8.2.5 General kinematic relations 8
8.3 Structural frequencies 9
8.4 Bearing mechanical signature 10
8.5 Rolling element bearing damage 13
8.5.1 Primary damage 14
8.5.2 Secondary damage 14
8.5.3 Other damages 15
8.6 Time domain bearing diagnostic methods 16
8.6.1 Time-waveform indices 16
8.6.2 Crest factor 17
8.6.3 Amplitude probability density 18
8.6.4 Statistical moments 21
8.6.5 Kurtosis 22
8.7 Frequency domain bearing diagnostics methods 23
8.7.1 Band-pass analysis 24
8.7.2 Spike energy 25
8.7.3 Envelope detection 28
8.7.4 Shock Pulse Method 30
8.8 Cepstrum analysis 35
iv FINITE ELEMENT ANALYSIS
References 36
9. Gears 39
9.1 Gear types 39
9.2 Gear tooth action 40
9.3 Gear vibrations 45
9.3.1 Tooth engagement 45
9.3.2 Effect of tooth deflection 46
9.3.3 Effect of tooth wear 47
9.3.4 Ghost components 48
9.3.5 Modulation effects 48
9.3.6 Resonance effects 53
9.4 Gear errors 54
9.5 Gear faults 55
9.5.1 Wear effects 55
9.5.2 Effects of fatigue 56
9.5.3 Tooth fracture 58
9.6 Gear condition monitoring 58
9.6.1 Vibration signal processing 59
9.6.2 Condition indicators 61
9.6.3 Oil debris analysis 67
9.7 Cepstrum analysis 69
9.8 Time-frequency analysis 72
References 72
The four essential parts of a ball bearing are shown in Fig. 8.1. These are
the inner ring, the outer ring, the balls or rolling elements and the cage (separator,
retainer).
The inner ring is mounted on the shaft and rotating with it. There is a track
for the rolling elements incorporated in this ring. For most applications, the outer
ring is mounted in a housing and usually fixed. It also contains a track for the
2 DYNAMICS OF MACHINERY
rolling elements. In some instances, both races rotate. The cage connects the rolling
elements and keeps an equal spacing between them. It rotates about the shaft. The
rolling elements are moving with the cage between the races.
Generally, rolling elements rotate around their axes and simultaneously
they orbit round the bearing axis. If pure rolling motion is considered, the absolute
motion can be seen as the sum of a transport motion with the cage and a relative
spinning motion with respect to the cage. In addition, a certain degree of sliding
occurs on the raceways, called skidding. In ball bearings with zero contact angle, a
ball may have a rotational sliding normal to the contact surface. At the same time,
the ball can have another kind of motion due to gyroscopic moments. If the roller
axis does not coincide with the rolling axis, a slight skew of the roller in roller
bearings may exist. Other motions may occur due to the misalignment of the two
raceways.
The kinematics of rolling bearings is influenced by structural parameters,
operating conditions, lubrication and manufacturing accuracy. Higher clearances
and lighter loading can cause internal sliding. Roller bearings used in aircraft
engines are sometimes assembled with out of round outer raceways to yield a
certain amount of preload in the radial direction in order to reduce skidding.
a b
Fig. 8.2 (from [8.2])
According to the shape of the rolling element, there are ball bearings and
roller bearings. Figure 8.2,a shows an angular-contact ball bearing while Fig. 8.2,b
illustrates a tapered roller bearing. For the latter, the inner ring is called the cone,
and the outer ring is called the cup.
8. ROLLING ELEMENT BEARINGS 3
Fig. 8.3
Figure 8.3 shows an angular contact ball bearing. The index i is for the
inner ring, o for the outer ring, B for the ball, and m for the cage. Dm is the
pitch diameter, DB is the ball diameter, Di is the diameter of the inner contact
circle, and Do is the diameter of the outer contact circle, is the contact angle
4 DYNAMICS OF MACHINERY
Do no Dm DB D
vo = o = + cos = no Dm 1 + B cos . (8.1)
2 30 2 2 60 Dm
Di n i Dm
D D
vi = i = B cos = n i Dm 1 B cos . (8.2)
2 30 2 2 60 Dm
The linear velocity at the center of rolling elements is equal to the mean
of the outer and inner raceway velocities at contact points (Fig. 8.3)
vo + vi D D
vm = = no Dm 1 + B cos + n i Dm 1 B cos . (8.3)
2 120 Dm 120 Dm
1 DB D
nm = no 1 + cos + n i 1 B cos . (8.5)
2 Dm Dm
The rotational speed of the cage relative to the inner ring is equal to the
difference between the absolute rotational speed of the cage and that of the inner
ring
n D
nmi = nm n i = r 1 + B cos , (8.6)
2 Dm
where nr is the relative rotational speed between the outer and the inner races
nr = no n i . (8.7)
8. ROLLING ELEMENT BEARINGS 5
Fig. 8.4
The rotational speed of a rolling element around its own axis can be
obtained blocking the cage (nm = 0) . If vm = 0 , then
nm i = n i , no m = no . (8.9)
and
Di
nB= n mi . (8.10)
DB
Similarly
Do
nB= n om . (8.11)
DB
The rotational speed of the rolling element is
1 Dm D D
nB = nr 1 B cos 1 + B cos ,
2 DB Dm Dm
6 DYNAMICS OF MACHINERY
nr Dm DB
2
nB = 1 cos . (8.12)
2 DB Dm
Z D
Z nm i = nr 1 + B cos . (8.13)
2 Dm
The impact rate for an outer race defect is equal to Z no m , the number of
rolling elements passing a given point on the outer ring per minute
Z D
Z no m = nr 1 B cos . (8.14)
2 Dm
The impact rate (per minute) for a ball defect is 2 nB , because the ball
defect strikes two surfaces (inner and outer races) in one revolution.
For a stationary outer ring, the impact rate for a cage defect is no m .
Z D
inner race ball pass frequency fi = f r 1 + B cos ; (8.16)
2 Dm
D D
2
ball defect frequency f B = fr m 1 B cos ; (8.17)
DB Dm
cage defect frequency
1 no DB ni D
fc = 1 + cos + 1 B cos . (8.18)
2 60 Dm 60 Dm
8. ROLLING ELEMENT BEARINGS 7
Note that the above relations are approximate, assuming pure rolling
motion and neglecting sliding motions. For normal speeds, these defect frequencies
are usually less than 500 Hz. Amplitude modulations especially at the shaft
rotational frequency can produce sum and difference sidebands.
Example 8.1
A radial-thrust ball bearing type 46305, GOST 831-54 mounted on a shaft
with the rotational speed n i = 1000 rpm , has the following geometry:
Example 8.2
A radial ball bearing type SKF6211, mounted on a shaft with the
rotational speed n i = 3000 rpm , has the following geometry:
1
K1 = [ tan ( ) tan ] tan 1 ( ),
2
(8.19)
1
K 2 = [ tan ( ) + tan ] tan 1 ( ).
2
Dm - the pitch diameter and DR - the roller diameter.
When the two rings rotate in the same direction, we obtain the following
speeds
8 DYNAMICS OF MACHINERY
Note that the relations for angular contact ball bearings can be obtained
from equations (8.20)-(8.23) by substituting DR = DB and
1 D 1 D
K1 = 1 B cos , K2 = 1 + B cos . (8.24)
2 2
Dm Dm
fn =
(
k k 2 1 )1 EI
[Hz] , (8.25)
2 2
2 k +1 a m
0.848 E
fBn = [Hz] , (8.26)
DB 2
where DB is the ball diameter and is the density of the ball material.
These are the free natural frequencies of individual elements. It is
difficult to estimate how these frequencies are affected by assembly into a full
bearing and mounted in a housing. However it is indicated that resonances are not
altered significantly. Resonance of the ball is usually far above the range of
vibration analysis and can be ignored.
The outer ring resonance can be excited by the rotating balls (rollers).
They deform the race into a flexural pattern (with a number of wavelengths equal
to the number of rolling elements) which rotates with the ball passing frequency. It
can also be produced by the waving motion of the balls around their theoretical
circumferential path.
In rolling bearings the external load is carried by a finite number of
rolling elements. Their number under load varies with the angular position of the
cage. The elastic deflection produced by the Hertzian contact under load varies
with the position of the rolling element relative to the line of load. This gives rise
to a periodical variation of the total stiffness of the bearing assembly and generates
the so-called varying compliance vibrations of the rotor [8.13].
Their fundamental frequency is equal to the ball (or roller) passage
frequency over the outer ring. Higher harmonics are also excited, to a degree
decreasing with their order, mainly due to deviations of the bearing parts from the
perfect geometric shape. The magnitude of shaft movements is a function of the
external load, number of rolling elements, radial clearance and the local stiffness
10 DYNAMICS OF MACHINERY
between rolling element and tracks, as given by the Hertzian theory for elastic
contacts (H. Hertz, 1881).
The parametrically excited vibrations of the rotor-bearing system, with
strongly coupled vertical and horizontal movements, are described by nonlinear
equations of motion with time varying coefficients. Variable contact compliance
vibrations are of importance only at frequencies in the neighborhood of the
rotational frequency of the bearing, and are generally of appreciable magnitude
only for rather high radial loads.
Structural resonances can also be excited by other distributed defects
such as race misalignment or eccentricity, lack of roundness, waviness of the
rolling surfaces and unequal ball diameters produced during the manufacturing
process. These distributed defects often give rise to excessive contact forcers
which in turn result in premature surface fatigue and ultimate failure.
Note that waviness defines relatively widely-spaced surface irregularities.
In principle, surface roughness is the same type of geometrical imperfection as
waviness. Their distinguishing characteristic is the spacing of irregularities, which
is finer for surface roughness. Waviness is used to imply irregularities up to an
order of 200 waves per circumference, while surface roughness contains waves of a
much higher order. Typical examples are the following: at a frequency of 300 Hz,
the inner ring has 16 to 17 waves per circumference, and the outer ring has 24 to
27. At a frequency of 1800 Hz, the inner ring has 94 to 101 waves per
circumference, and the outer ring has 147 to 166 [8.14].
Geometrical irregularities in the form of a waviness with a few cycles
around the circumference give rise to low frequency vibrations. The vibrations of
radially loaded bearings with stationary outer rings and positive radial clearances
are primarily related to the inner race waviness and varying roller diameter, rather
to other geometrical errors. The vibrations due to non-uniform roller diameters
occur at cage speed harmonics, while vibrations due to inner race waviness occur at
shaft speed harmonics with a side band spaced with the roller passage frequency
occurring at the high harmonics [8.15].
mechanical signature can be related to the specific mechanical defects within the
bearing. The amplitudes of these peaks are a measure of the energy transmitted by
impacts and, therefore, of the smoothness of the bearing operation. Peaks generated
by unbalance, misalignment and other sources have to be distinguished from
bearing generated peaks.
Wear
Wear may occur as a result of the ingress of foreign particles into the
bearing or when the lubrication is unsatisfactory. It may occur also in bearings
exposed to vibrations while not running, damage known as false brinelling.
Indentations
Indentations in raceways and rolling elements occur when the bearing,
while not running, is subjected to abnormally heavy loading in the form of impacts
or pressure. The distance between the dents is the same as the rolling element
spacing. Foreign particles in the bearing also cause indentations.
Smearing
When two inadequately lubricated surfaces slide against each other under
load, material is transferred from one surface to the other. This is known as
smearing and the surfaces concerned become ripped up and look scored. When
smearing occurs, the material is generally heated to such temperatures that
rehardening takes place. This produces localized stress concentrations that may
cause cracking or flaking.
Surface distress
If the lubricant film between raceways and rolling elements becomes too
thin, the peaks of the surface asperities will momentarily come in contact with each
other. Small cracks then form in the surfaces and this is known as surface distress.
These cracks must not be confused with the fatigue cracks that originate beneath
the surface and lead to flaking. These cracks may, however, hasten the formation of
sub-surface fatigue cracks and in that way shorten the bearing life.
Corrosion
Rust will form if water or corrosive agents get into the bearing in such
quantities that the lubricant cannot provide protection for the steel surfaces. This
process will soon lead to deep seated rust that can initiate flaking and cracks.
Fretting corrosion occurs when there is relative movement between bearing ring
and shaft or housing, on account of the fit being too loose.
Flaking (Spalling)
Bearing life is determined by material fatigue. Fatigue is the result of shear
stresses cyclically appearing just below the load carrying surface. After a time
these stresses cause cracks which gradually extend up to the surface. As the rolling
elements pass over the cracks, fragments of material break away and this is known
8. ROLLING ELEMENT BEARINGS 15
T
1
mean value x=
T x (t )d t ;
0
(8.27)
T
1
root mean square value xr .m .s . = x
2
(t ) d t . (8.28)
T
0
peak level
Crest Factor = . (8.29)
r .m.s . level
The curve in Fig. 8.9 shows a typical trend for the Crest Factor as the
bearing condition deteriorates.
Initially, for a bearing with no faults there is a relatively constant ratio of
about 3.0. As localized faults develop, the resulting impacts increase the peak level
substantially, but have little influence on the r.m.s. level. The peak level will
typically grow to a certain limit. As the bearing condition deteriorates, more spikes
will be generated per ball-pass, finally influencing the r.m.s. level, even though the
individual peak levels are not greater. Towards the end of the bearing life, the crest
factor may have fallen to its original value, even though both peak and RMS levels
have increased considerably.
The best way to trend the data is as illustrated in Fig. 8.9: peak and r.m.s.
levels on the same graph, with Crest Factor inferred as the difference between the
two curves (log scale).
18 DYNAMICS OF MACHINERY
Measuring the overall vibration level over a wide frequency range (10 Hz
to 10000 Hz), the method is prone to interference from other vibration sources.
ti
P ( x, x + x ) = . (8.30)
T
i =1
Fig. 8.10
p ( x ) dx = 1
(8.31)
Fig. 8.11
20 DYNAMICS OF MACHINERY
It is found that 99.8% of all events occur in the range 3 . From that
follows approximately that the peak value is 3 , which, divided by the r.m.s. value
, gives for the Crest Factor (8.29) a value of 3.0 .
An obvious measure of bearing condition is obtained by observing changes
in the probability at particular amplitude levels, those above 3 providing most
significant information.
A typical result for a bearing is shown in Fig. 8.12, where the vertical
logarithmic scale was chosen to enhance the changes at low probability which have
been found important in detection of bearing damage. Endurance tests have been
carried out at constant speed and twice the recommended load, to accelerate fatigue
failure. The overall acceleration level was measured in the frequency range
3Hz 5 kHz . The three curves correspond to increased test durations, expressed in
terms of the bearing life L10 = 50 h .
Note that L10 is defined as the rating life of a group of apparently identical
rolling element bearings, operating under identical loads and speeds, with a 90%
reliability before the first evidence of fatigue develops [8.21]. A fatigue spall of
specific size ( 6 mm 2 ) is usually considered (ISO 281, 2006).
In the early stages of the test, i.e. 0.067 L 10 ( 3.35 h ), when the bearing is
undamaged, the distribution curve is an inverted parabola which indicates a normal
(Gaussian) distribution. With incipient damage at 1.4 L10 ( 70 h ), pronounced
changes occur in the tail of the distribution curves. This is consistent with the
observation made on Fig. 8.9 that the measured peak acceleration level increases
8. ROLLING ELEMENT BEARINGS 21
but the r.m.s. level remains relatively unchanged. With increasing time, i.e. 1.6 L10
and advancing damage, the tail of the distribution curve initially broadens.
__
x p ( x ) dx .
2 2
mean square value x = (8.34)
( x x ) p ( x ) dx ,
2 2
= (8.35)
x p (x ) dx
3
Skewness skew (x ) =
, (8.36)
3
x p (x ) dx
4
Kurtosis kurt ( x ) =
. (8.37)
4
Skewness is a measure of symmetry, or more precisely, the lack of
symmetry. The skewness for a normal distribution is zero.
8.6.5 Kurtosis
The Kurtosis factor is the ratio of the fourth central moment of the
amplitude distribution to the second power of the second central moment.
Kurtosis characterizes the relative peakedness or flatness of a distribution
compared to the normal distribution (Karl Pearson in Biometrika, 1905).
A normal distribution has a Kurtosis of 3 and is called mesokurtic.
Indeed, for a Gaussian distribution
1 (x x ) 2
p (x ) = exp , (8.38)
2 2 2
( x x ) 4 exp (x x2)
1 2
( x x ) p ( x ) dx =
4
M4 = dx .
2 2
Denoting
xx
y= , d x = 2 dy ,
2
we obtain
y exp ( y ) dy = 3
4 4 4 2 4
M4 = .
y exp ( y ) dy =
2 2
(xx ) p ( x ) dx =
2 2 2 2
M2 = .
8. ROLLING ELEMENT BEARINGS 23
kurt ( x ) =
M4
=3.
(M 2 ) 2
A flat distribution with short tails has a Kurtosis value less than 3 and is
called platykurtic. A peaked distribution with longer tails has a Kurtosis value
greater than 3 and is said to be leptokurtic. Higher Kurtosis means that more of the
variance is due to infrequent extreme deviations, as opposed to frequent modestly-
sized deviations.
Kurtosis provides an early warning of surface damage (Dyer and Stewart,
1978). For a good bearing it equals 3. Bearing damage causes an increase in the
impulsive components of the vibration signal, due to impacting. The signals
become more spiky. A damaged bearing exhibits a non-Gaussian probability
distribution with dominant tails which increase the Kurtosis value.
The advantage of Kurtosis, as a parameter for detecting the condition of
rolling element bearings, lies in the finding that it remains close to 3 ( 8% ) for an
undamaged bearing and is insensitive to the load or speed of bearing. One
disadvantage is that the Kurtosis value comes down to the level of an undamaged
bearing (i.e. 3) when the damage is well advanced. Therefore, it has been suggested
to measure Kurtosis in selected frequency bands [8.23].
Experiments have shown that initial damage increases Kurtosis in the
lower frequency bands. As damage spreads, the Kurtosis value begins to decrease
in the first band (2.5 5 kHz ) , while increasing in the other bands. At the end of
the useful life of the bearing, the highest Kurtosis numbers are in the highest
frequency band (40 80 kHz ) [8.24].
For a bearing with fixed outer ring, rotating inner ring and fixed load, Fig.
8.15 shows the signal produced by a defect in the fixed race
For a defect in the rotating inner race, it is important to consider the load
distribution around the bearing circumference. This results in a modulation effect
illustrated in Fig. 8.16.
When the load is not fixed in space, but rotating as for centrifugal forces,
modulations are also generated for a fixed outer race defect.
The intensity of impact energy is a function of pulse amplitude, pulse rate
and pulse duration. This signal is processed by a Spike Energy detector (IRD
Mechanalysis). A simplified flow chart of the Spike Energy signal processing is
shown in Fig. 8.17.
The vibration signal from an accelerometer is passed through a high
frequency bandpass filter. The purpose of filtering is to reject the normal rotational
8. ROLLING ELEMENT BEARINGS 27
( )
It is customary to measure accelerations in g units 1 g = 9.81 m s 2 . The
acceleration measured to describe the energy produced by early bearing defects is
measured in gSE units (acceleration units of Spike Energy). These faults produce
a high frequency carrier and modulating sidebands. The carrier is the natural
frequency of the excited bearing component. The modulating sidebands are caused
by load and speed changes. The gSE reading is determined by the intensity of the
high-frequency peaks in the vibration signal. Pulses with large amplitude and high
repetition rate produce high overall gSE readings.
In addition to overall Spike Energy measurements, a Spike Energy
Spectrum can be obtained by fast Fourier transform (FFT) analysis of the signal
from the Spike Energy detector. It is different from the acceleration frequency
spectrum. The components in the gSE spectrum are modulation frequencies that are
related to the high frequency carrier, such as the resonance frequency of the
machine element.
28 DYNAMICS OF MACHINERY
The traditional method uses an analogue bandpass filter plus a rectifier and
a smoothing circuit (Fig. 8.18). The filter extracts the resonance excited by the
bearing fault from the frequency spectrum and the detector detects the envelope.
In modern signal analyzers, zooming around a resonance excited by the
bearing defect extracts the useful part of the frequency spectrum, and then the
Hilbert transform generates the envelope of the time signal. The spectrum of the
envelope is calculated to show the repetition frequency of the fault generated
pulses.
Envelope Detection or Amplitude Demodulation is the technique of
extracting the modulating signal from an amplitude-modulated signal. The result is
the time history of the modulating signal. This signal may be studied/interpreted as
it is in the time domain or it may be subjected to a subsequent frequency analysis.
8. ROLLING ELEMENT BEARINGS 29
By analyzing this signal with an FFT analyzer, the pulse frequency can be
determined exactly. Since the impulse rate can be calculated, see equations (8.15)-
(8.18), the source of the fault can be pinpointed. Note that the real frequency will
be slightly lower than the calculated one due to sliding.
If the fault is on the rotating race, then it is sometimes possible to see the
amplitude modulation from the varying load on the crack illustrated in Fig. 8.16.
This modulation effect will turn up as sidebands around the lines corresponding to
the pulse rate, spaced at the rotational speed (Fig. 8.20).
Shock (or stress) waves that result from metal-to-metal contact are short
duration bursts of energy that travel at the speed of sound through the material. As
the wave travels, it dissipates energy through the structure, thereby reducing the
wave pulse. The SPM is designed to detect the weak shock pulse signals using an
accelerometer with a natural frequency of about 36 kHz, ideally placed very
closely to the subject bearing. In fact, a patented design called Tandem-Piezo is
used, which enables the accelerometer to accurately measure both shock pulse and
vibration. To distinguish the shock pulses from vibration, a band pass filter around
de 36 kHz shock pulse signal is used. This helps isolate the shock pulse from other
interference created by machinery vibrations.
The last stage of signal processing is the conversion from a waveform to
analog pulses. This process provides a signal that then can be processed to
determine bearing condition.
a b c
Fig. 8.22 (from [8.36])
Figure 8.21 shows the block diagram of an early shock pulse meter [8.14].
The accelerometer output (Fig. 8.22, a) is passed through a high-gain amplifier
tuned at the resonant frequency of the accelerometer, the amplifier acting as a very
sharp band filter. The filtered and amplified shock pulse is shown in Fig. 8.22, b.
alternatively, it presents the signal r.m.s. value. The amplitudes of analog shock
pulses are displayed as function of time in Fig. 8.22, c.
The bearing condition is defined by a string of pulses with varying
magnitudes (Fig. 8.23). A shock pulse analyzer measures the shock pulse
magnitude on a decibel scale, in dBsv (decibel shock value). It takes a sample
count of the shock pulses occurring over a period of time and displays: LR (Low
Rate of occurrence), the value for the relatively small number of strong shock
pulses, and HR (High Rate of occurrence), the value for the large number of weak
shock pulses in the pattern. The difference between LR and HR is called the delta
value, .
a b
Fig. 8.24 (after [8.38])
The strength of the individual pulses, and the ratio between stronger and
weaker pulses in the overall pattern, provide the row data for bearing condition
analysis. The magnitude of these pulses is dependent on the bearing surface
condition and the peripheral velocity of the bearing.
In undamaged bearings, the shock level varies with the thickness of the
lubricant film between the rolling elements and raceway. The relationship between
stronger and weaker pulses, however, is only slightly affected (Fig. 8.24, a).
34 DYNAMICS OF MACHINERY
The shock pulse readings are evaluated and a code is displayed describing
the general bearing condition.
Code A is for a bearing in good condition. There is no detectable damage
to the surfaces of the load carrying parts, and no extreme lack of lubricant in the
rolling interface. Figure 8.25, a shows a typical shock pulse pattern from a good
bearing: a low shock level and a normal delta value.
Code B indicates a dry running condition, causing a high HR value and a
low delta value (Fig. 8.25, b). Code C is for reduced condition defined by an
increased shock pulse level with a large delta value (Fig. 8.25, c). This denotes
incipient surface damage. Code D is for bearing damage characterized by a high
shock level with a large delta value (Fig. 8.25, d). A contamination of the lubricant
by hard particles causes a similar pattern.
References
8.8. Jones, A. B., A general theory for elastically constrained ball and radial roller
bearings under arbitrary load and speed conditions, Journal of Basic
Engineering, Trans. ASME, vol.82, June 1960, p.309-320.
8.9. Harris, T. A., An analytical method to predict skidding in high speed roller
bearings, Trans. ASLE, vol.9, 1966, p.229-241.
8.10. Gupta, P. K., Dynamics of rolling element bearings, Journal of Lubrication
Technology, Trans.ASME, vol.101, no.3, 1979, p.293-326.
8.11. Meyer, L. D., Ahlgren, F. F. and Weichbrodt, B., An analytic model for ball
bearing vibrations to predict vibration response to distributed defects, Journal
of Mechanical Design, Trans. ASME, vol.102, no.2, April 1980, p.205-210.
8.12. Tandon, N. and Nakra, B. C., Vibration and acoustic monitoring techniques
for the detection of defects in rolling element bearings A review, Shock and
Vibration Digest, vol.24, no.3, March 1992, p.3-11.
8.13. Sunnersj, C. S., Varying compliance vibrations of rolling bearings, Journal
of Sound and Vibration, vol.58, no.3, 1978, p.363-373.
8.14. Collacott, R. A., Mechanical Fault Diagnosis, Chapmann and Hall, London,
1977.
8.15. Su, Y.-T., Lin, M.-H. and Lee, M.-S., The effects of surface irregularities on
roller bearing vibrations, Journal of Sound and Vibration, vol.165, no.3, 1993,
p.455-466.
8.16. Babkin, A. S. and Anderson, J. J., Mechanical signature analysis of ball
bearings by real time spectrum analysis, Nicolet Instruments Application Note
3, May 1972.
8.17. * Bearing failures and their causes, SKF Repro 19208.
8.18. Roos, C. H., Vibration signature analysis of bearings and electronic
packages, Paper SI-460, 41st Shock and Vibration Symposium, Colorado
Springs, Oct 1970.
8.19. * Detecting faulty rolling-element bearings, Brel & Kjaer Application
Note, BO 0210-11.
8.20. Dyer, D. and Stewart, R. M., Detection of rolling element bearing damage by
statistical vibration analysis, Journal of Mechanical Design, Trans. ASME,
vol.100, no.2, Apr 1978, p.229-235.
8.21. Lundberg, G. and Palmgren, A., Dynamic capacity of rolling bearings, Acta
Polytechnica, Mechanical Engineering Series, vol.1, no.3, Stockholm, 1947.
8.22. Martin, H. R., Statistical moment analysis as a means of surface damage
detection, Proc. 7th International Modal Analysis Conference, Schenectady,
New York, 1989, p.1016-1021.
38 DYNAMICS OF MACHINERY
Four essential types of gear are shown in Fig. 9.1. Spur gears (Fig. 9.1, a)
are used to transmit rotary motion between parallel shafts. They are usually
cylindrical in shape, and the teeth are straight and parallel to the axis of rotation.
a b c d
Fig. 9.1 (from [9.1])
Helical gears, used to transmit motion between parallel shafts, are shown
in Fig. 9.1, b. The line of contact of helical-gear teeth is diagonal across the face of
the tooth, so that there is a gradual engagement of the teeth and a smooth transfer
of load from one tooth to another. Helical gears subject the shaft bearings to both
40 DYNAMICS OF MACHINERY
radial and thrust loads. Double helical gears (herringbone) are used for the
transmission of high torques at high speeds, and to cancel out the thrust load.
For power transfer between intersecting shafts, there are straight bevel
gears (Fig. 9.1, c). Spiral bevel gears (Fig. 9.1, d) are the bevel counterpart of the
helical gears. Their teeth are curved and oblique.
a b c
Fig. 9.2 (from [9.2])
Hypoid gears (Fig. 9.2, a) are like spiral bevel gears, but their pitch
surfaces are hyperboloids rather than cones, and their pitch axes do not intersect.
They operate more smoothly and quietly and are stronger for a given ratio. Crossed
helical gears (Fig. 9.2, b), also known as spiral gears, are ordinary helical gears
used in nonparallel shaft applications.
The worm gearset (Fig. 9.2, c) consists of a worm, which resembles a
screw, and a worm wheel, which is a helical gear, with the respective shafts 900
apart. They are quiet and vibration free, with lower Hertz contact stresses than the
crossed-helical gears.
For spur gears, the terminology of gear teeth is given in Fig. 9.3. Gear
calculations are based on the theoretical pitch circle. The operating pitch circles of
a pair of gears in mesh are tangent to each other. The clearance circle is tangent to
the addendum circle of the mating gear.
Additional terminology is shown in Fig. 9.4. Here the pinion rotates
clockwise and drives a gear in a counterclockwise direction. OP is the line of
centers, connecting the rotation axes of the meshing gears. The pitch circles are
tangent at P, the pitch point.
9. GEARS 41
The resultant force vector between a pair of meshing gears acts along the
pressure line (also called line of action or generating line). The pressure line is
tangent at points c and d to the base circles.
The angle between the pressure line and the common tangent to the pitch
circles is the pressure angle, and it usually has values of 20 or 25 deg. The
operating diameters of the pitch circles depend on the center distance used in
mounting the gears, but the base circle diameters are constant and depend only on
how the tooth forms are generated, because they form the base of the starting point
on the involute profile.
Point a is the initial point of contact, where the flank of the pinion driving
tooth just touches the tip of the driven tooth. This point is located at the intersection
of the addendum circle of the gear with the pressure line. Should point a occur on
the other side of point c on the pinion base circle, the pinion flank would be
undercut during the generation of the profile.
Point b is the final point of contact, when the tip of the driving tooth just
leaves the flank of the driven tooth. This point is located at the intersection of the
addendum circle of the pinion with the pressure line. For no undercutting of the
gear teeth, point b must be located between the pitch point P and the tangent point
d on the base circle of the gear.
Line aP represents the approach phase of tooth contact, while line Pb is
the recess phase. Tooth contact throughout the line of action ab is by both sliding
and rolling, except for an instant at P when the contact is pure rolling.
Sliding gives rise to friction forces that vary in magnitude and direction as
the teeth go through the meshing cycle. During the approach action, the flank of the
pinion tooth is sliding down the face of the gear tooth, producing a frictional force
oriented upwards in Fig. 9.4. During the recess action, the face of the pinion tooth
is sliding up the flank of the gear tooth, and the resulting friction force exerted by
the pinion against the gear is oriented in opposite direction (downwards in Fig.
9.4). Friction forces produce a characteristic type of gear wear.
The zone of action of a pair of meshing gear teeth is shown in Fig. 9.5. The
arc of action AB is the sum of the arc of approach AP and the arc of recess PB.
In the unlikely situation in which the arc of action is exactly equal to the
circular pitch, when one pair of teeth are just beginning contact at a, the preceding
pair will be leaving contact at b. Thus, for this special condition, there is never
more or less than one pair of teeth in contact.
If the arc of action is greater than the circular pitch (their ratio is called the
contact ratio) but less than twice as much, then when a pair of teeth come into
contact at a, another pair of teeth will be still in contact somewhere along the line
9. GEARS 43
of action ab. Thus, for a short period of time, there will be two pairs of teeth in
contact, one near the vicinity of A and another near B. As the meshing proceeds,
the pair near B must cease contact, leaving only a single pair of contacting teeth,
until the procedure repeats itself. Gears are not generally designed having contact
ratios less than 1.20 because inaccuracies in mounting might reduce the contact
ratio even more, increasing the possibility of impact between the teeth as well as an
increase in the noise level. A contact ratio of 1.2 means 80 percent of the time
single tooth contact, and 20 percent of the time double tooth contact.
The contact ratio is equal to the length of the line of action ab divided by
the base pitch. The base pitch is the distance, measured on the line of action, from
one involute to the next corresponding involute.
In Fig. 9.6, a the mating teeth of the meshing spur gears are in contact at
the pitch point. The number of tooth pairs in contact is shown in Fig. 9.6, b. The
transition from single to double tooth contact produces variations in the mesh
stiffness.
44 DYNAMICS OF MACHINERY
v = r1 1 = r2 2 . (9.1)
Thus, the gear ratio is
2 r1
i= = . (9.2)
1 r2
is not changed. This increase creates two new operating pitch circles having larger
pitch diameters but remaining tangent to each other at the pitch point.
Interference might be produced by the contact of portions of tooth profiles
which are not conjugate. It is eliminated by undercutting (which weakens the
teeth), by using a larger pressure angle, or by increasing the number of teeth, hence
increasing the pitch line velocity and making the gears noisier, which is an
unacceptable solution.
fm = N fs . (9.3)
For a pair of spur gears, if f s1 and f s 2 are the rotation frequencies of the
two shafts, and N 1 and N 2 are the corresponding number of teeth, the
fundamental meshing frequency is the same for both gears in mesh
f m = N1 f s1 = N 2 f s 2 . (9.4)
An epicyclic geartrain is shown in Fig. 9.8. It consists of three revolving
planet pinions that engage the central sun gear and the coaxial ring gear with
internal teeth, and a carrier in which the planet pinions are supported. For a
planetary gear system, the following relationships can be used:
f m = N s ( f s fc ) = Nr ( fc fr ) , (9.5)
46 DYNAMICS OF MACHINERY
Ns fs + Nr fr
fc = , (9.6)
Ns + Nr
where f r and N r are the speed (rps) and the number of teeth of the ring gear, and
f s and N s are the speed (rps) and the number of teeth of the sun gear.
In most planetary gear systems one of the elements is attached to the frame
and has a zero input motion.
Profile errors identical on each tooth, or deflection effects which are the
same for each tooth mesh, produce vibrations with components at the tooth
meshing frequency and its harmonics.
Consider a pair of gears whose teeth are not rigid, but equally spaced,
perfectly formed and at constant speed. Since the contact stiffness varies
periodically, as shown in the lower part of Fig. 9.6, with the number of teeth in
contact and with the contacting position on the tooth surface, vibration will be
excited at the tooth engagement frequency and its harmonics. A typical gearmesh
waveform is shown in the lower part of Fig. 9.9.
In Fig. 9.6, the segment ab on the line of action denotes the interval of
engagement of a pair of gears. At the point a, when the flank of the driving tooth A
just touches the tip of the driven tooth D, there are two pairs of teeth meshing, each
taking a share of the transmitted load. Tooth B will then be relieved of some of its
load and will tend to deflect towards its unstressed position, imparting a forward
acceleration to tooth E on the driven gear. At the termination of meshing of teeth B
and E, only teeth A and D are available to transmit the load, as a result of which
9. GEARS 47
tooth A is deflected back further and tooth D will momentarily lag. The final point
of contact b is where the addendum circle of the driver gear crosses the pressure
line.
During the motion of the compliant meshing gears, the wear produced by
sliding tends to give the kind of profile deviation indicated in exaggerated form in
Fig. 9.10.
When the point of contact of the engaging teeth reaches the pitch point,
the direction of sliding reverses, causing a shock sometimes referred to as the
pitch-circle impulse which is perpendicular to the axes of rotation of the two
48 DYNAMICS OF MACHINERY
gears. The two shafts are then subjected to bending stress reversals at the rate of the
product of shaft speed and number of teeth.
When a new pair of teeth takes part in the transmission of load, the driven
gear retrieves its retardation by a renewed forward acceleration. It is subjected to
an engagement shock, the impulse acting in a tangential direction at a rate of the
product of rotational speed and number of teeth. These impulses cause the
transmitted torque to fluctuate about a mean level, with variations of the angular
velocity, producing a frequency modulation of the tooth-meshing frequency.
The pitch circle and engagement vibrations are transmitted through the
shaft and bearing housing causing casing vibrations. This vibration can be
measured using an accelerometer mounted on the casing.
Gear defects alter the magnitude and phase of the meshing stiffness and
therefore produce changes in the amplitude and phase of the vibration at meshing
frequency and its harmonics as the teeth go through the meshing. In addition, these
changes introduce amplitude and phase modulation effects which create side-bands
around the meshing frequency and its harmonics. The spacing of these side-bands
is the rotating speed of the gear (Fig. 9.11).
Faults occurring in a gear system introduce time-varying torques. These
induce a multiplicative effect and obviously modulation effects. Distributed effects,
affecting all the teeth (imperfect tooth profile, wear, etc.) generate modulation at
the meshing frequency, f m . Localized defects (like spalling, cracks, and breakage)
generate repetitive impulses at the shaft rotation frequencies f s1 and f s 2 . This
gives rise to amplitude or phase modulation effects at these frequencies. Due to
imperfect profile and teeth surface quality, the gear vibration spectrum consists of
numerous harmonics, of frequencies
f (k , p , q ) = k f m p f s1 q f s 2 , k = 1, 2, .. , p , q = 0,1, 2, .. . (9.7)
9. GEARS 49
Fig. 9.11
The existence of complex phase and amplitude modulation may also be
interpreted as a nonlinear or cyclostationary phenomenon.
Amplitude modulation
When the excitation due to the tooth engagement occurs simultaneously
with excitations having a frequency of once or twice per gearwheel rotation,
amplitude modulation (multiplicative) effects are produced (Fig. 9.12).
Fig. 9.12
Typical once per revolution excitations are produced by: a) the
accumulative effect of the pitch error; b) an isolated error of the tooth form; c)
debris trapped in the teeth; d) eccentricity of mounting the gear wheel; e) load
variation and f) unbalance. Typical twice per revolution excitations are produced
by misalignment and wheel distortion (ovality).
50 DYNAMICS OF MACHINERY
Frequency modulation
When the rotational speed of the gears is not constant, and the tooth
spacing is not perfectly uniform, a frequency modulation of the tooth meshing
frequency occurs. In fact, the same fluctuations in the tooth contact pressure which
give rise to amplitude modulation apply a fluctuating torque to the gears, producing
angular velocity fluctuations at the same frequency.
Frequency modulation, even by a single frequency f1 , gives rise to a
whole family of sidebands with a spacing equal to the modulating frequency, i.e.,
the same frequencies as produced by amplitude modulation by a distorted periodic
signal (Fig. 9.15). Since in gears the two effects are virtually inseparable, the
52 DYNAMICS OF MACHINERY
Fig. 9.15
{ C0 ( ) e 0 + C1 ( ) [ e 0 1 e
A i t i ( + ) t i ( 0 1 ) t
a= ]+
2 (9.10)
+ C2 ( ) [ e
i ( 0 + 2 1) t i ( 0 2 1) t
e ] + ...} + negative frequency terms...
f f f0
= = =N , (9.11)
f1 f 0 f1
where is the relative speed fluctuation of the gear, and N is the number of teeth
on the gear.
9. GEARS 53
It can be shown that, for << 1 only one pair of sidebands is required,
while for < 1 most information is contained in the first two pairs of sidebands
(Fig. 9.16).
Frequency modulation tends to modify the relative amplitude of the
sidebands produced by the amplitude modulation. Its additional effect is to increase
the number of sidebands somewhat and to make the sideband patterns
unsymmetrical by reinforcement/cancellation because of the different phase
relationships of the sidebands.
Gear faults may be classified in terms of the effects of wear, fatigue and
breakage. The terminology of gear faults is given in the following [9.5].
Arrested pitting describes very small shallow pits that are not propagating
into larger failure areas. It has been observed on spiral bevel gears and is frequently
associated with the waviness condition referred to as barber pole. This pitting is
often considered corrective in that it progresses immediately to the point of
relieving local compressive stress of overload.
Pitch line pitting belongs to the family of rolling contact fatigue and is
truly subsurface in origin. It is not generally associated with a condition of
lubrication distress but generally occurs at relatively high cycles of loading. In
fully hardened, properly designed gears, it is seldom seen in less than 100,000
cycles of operation.
Addendum pitting and dedendum pitting are terms which merely signify the
site of origin of one of the foregoing types of pitting or spalling.
Case crushing means shear failure of the core-case interface in case-
hardened gear teeth. It indicates insufficient case depth for the load magnitude.
58 DYNAMICS OF MACHINERY
Bending stresses under heavy cyclic loads produce a fatigue crack at the
fillet of the root of the tooth and results in failure (Fig. 9.18). The crack progresses
inwards and slightly downwards, then rises again until the fracture is completed at
the opposite fillet. Other causes of high stress concentration and fatigue are the
incorrect fillet radii.
Before any feature can be calculated on the raw vibration data, the data
must be conditioned or preprocessed. Conditioning may range from signal
correction, based on the data acquisition unit and amplifiers used, and mean value
removal, to time-synchronous averaging and filtering. Different signal processing
techniques are used based on the condition indicator being implemented (Fig.
9.19).
Basic raw signal conditioning is used to calculate the root mean square
(r.m.s.), Kurtosis, Delta r.m.s., Crest factor, Enveloping and Demodulation, as for
rolling element bearings (see Chapter 8). The only preprocessing is removing the
mean of the signal. Conditioning is simply multiplying all of the data points by
some calibration constant that is based on the accelerometer and amplifier used.
Time synchronous averaging (TSA) is used to extract repetitive signals
from additive noise. This process requires an accurate knowledge of the repetitive
frequency of the desired signal or a tachometer signal that is synchronous with the
desired signal. The raw data is then divided up into segments of equal length
blocks related to the synchronous signal and averaged together. When sufficient
averages are taken, the random noise is canceled, leaving an improved estimate of
the desired signal. The TSA signal is used for calculation of the FM0 indicator
(Stewart, 1977).
60 DYNAMICS OF MACHINERY
The real part is the band-passed signal and the imaginary part is the Hilbert
transform of the signal. The envelope is the magnitude of this complex time signal
and represents an estimate of the amplitude modulation present in the signal due to
the sidebands.
Kurtosis and r.m.s. may be performed at different preprocessing levels,
while Demodulation and Enveloping may return multiple parameters.
N
1
r .m.s . =
N x
n =1
2
n . (9.12)
Delta r.m.s. is simply the difference between the current r.m.s. value and
the previous one. This parameter focuses on the trend of vibration signal and is
sensitive to changes in the vibration signal. Theoretically it allows selection of an
alarm level which is not sensitive to load, however in practice it came out that it is
sensitive to load change.
Kurtosis
Kurtosis is defined as the fourth moment of the distribution (about the
mean), normalized by the square of the variance. It measures the relative
peakedness or flatness of a distribution as compared to a normal distribution.
Kurtosis provides a measure of the size of the tails of distribution and is used as an
indicator of major peaks in a set of data. As a gear wears and eventually a tooth
breaks, this feature should signal a defect due to the increased level of vibration.
The equation for Kurtosis is given by
62 DYNAMICS OF MACHINERY
( x n x )4
N
1
N n =1
kurt = , (9.13)
4
where x is the mean of the data and 2 is the variance.
A more detailed presentation of the Kurtosis is given in Chapter 8 in
connection to the condition monitoring of rolling element bearings.
Crest Factor
The Crest Factor is defined as the ratio of the peak level to the r.m.s. level
of the signal [9.14]. In early stages of damage, there is no change in the r.m.s.
value, while the peak value increases, therefore the Crest Factor increases. As the
damage progresses, the r.m.s. value increases and the Crest Factor decreases. It is
used to detect changes in the signal pattern due to tooth breakage, but is not
considered a very sensitive indicator.
A presentation of the Crest Factor is given in Chapter 8.
Energy Operator
The Energy Operator is defined as the normalized Kurtosis of a signal in
which each point is computed as the difference of two squared neighborhood points
of the original signal
( s n s )4
N
1
N n =1
EO = 2
, (9.14)
1
( )
N
s n s 2
N n =1
where s is the mean value of signal s , sn = xn2+1 xn2 , and N is the number
of points in the dataset x. In the case of endpoints, the data is looped around [9.15].
Specifically, when calculating the first point, the last point is used and vice versa.
Enveloping
Enveloping is used to monitor the high-frequency response of a gearbox
to periodic impacts produced when a faulty tooth makes contact with the mating
tooth. These impacts usually excite a resonance in the system at a much higher
frequency than the vibrations generated by the other components. The
corresponding high frequency energy is usually concentrated in a narrow frequency
band. Tooth wear and breakage increase the amplitude of side bands near critical
frequencies such as the output shaft frequency.
9. GEARS 63
Demodulation
When the teeth wear, the relative sliding results in a change of amplitude
or amplitude modulation of the vibrations at the gear meshing frequency f m and
its harmonics. Demodulation identifies the periodicity in the modulation of the
carrier.
The carriers are basically f m and 2 f m . Demodulation techniques detect
the amplitude modulation components induced by the gear wear at these
frequencies. This differs from enveloping which detects the combined effects over
a range of frequencies. The raw data is high-passed filtered at 0.85 f m and low-
passed filtered at 1.15 f m . The power spectral density of the filtered signal is
searched to obtain the actual carrier frequency f m . The actual carrier is used to
amplitude demodulate the filtered carrier signal. The power spectral density of the
resulting signal is searched within 5% of the output shaft frequency. The
condition indicators extracted from this technique are the frequency of the peak and
the magnitude squared amplitude.
FM 0
Major tooth faults typically result in an increase of the peak-to-peak
signal levels, but do not change the meshing frequency. The zero-order figure of
merit FM 0 is defined as the peak-to-peak level of the TSA signal divided by the
sum of the amplitudes at the gear-mesh frequency and its harmonics [9.16].
While the Crest Factor compares the peak value of the TSA signal to the
energy of the TSA signal, the FM 0 compares the peak value of the TSA signal to
the energy of the row signal.
The equation for FM 0 is
PPA
FM 0 = n
, (9.15)
ak
k =1
where PPA is the peak-to-peak amplitude of the TSA waveform and a k is the
amplitude of the kth mesh frequency harmonics.
64 DYNAMICS OF MACHINERY
FM 4
The indicator FM 4 was developed to detect changes in the vibration
pattern resulting from damage on a limited number of gear teeth [9.16]. FM 4 is
calculated as the Kurtosis of the difference signal divided by the square of the
variance of the difference signal
(d n d )
N
1 4
N n =1
FM 4 = 2
, (9.16)
1 2
(d n d )
N
N n =1
where d is the difference signal, d is the mean value of the difference signal, and
N is the total number of data points in the time record.
The difference signal is obtained by removing from the original signal the
gear meshing frequency, harmonics and first order sidebands. A flowchart for
calculating FM 4 is shown in Fig. 9.20.
It is assumed that a difference signal from a gear in good condition has a
Gaussian amplitude distribution, therefore resulting in a normalized Kurtosis value
of 3.0. As a defect develops in a tooth, such as a crack or pitting, peaks will grow
in the difference signal resulting in a less peaked amplitude distribution with a
Kurtosis value increasing beyond 3.0, typically larger than 7.0. If more than one
tooth is defective, the data distribution becomes flat and the Kurtosis value
decreases.
NA4
The NA4 indicator was developed to improve the behavior of the FM 4
indicator when more than one tooth is damaged [9.17]. It is determined by dividing
the fourth statistical moment of the residual signal by the current run time averaged
variance of the residual signal, raised to the second power.
The equation for NA4 is
( rn r )4
N
1
N n =1
NA4 = 2
, (9.17)
1 2
( r n ,m rm )
M N
1
M m =1 N n =1
where r is the residual signal, r is the mean value of the residual signal, N is the
total number of data points in the time record, and m is the current time record
number in the run ensemble.
NA4 was developed to detect the onset of damage and to continue to
react to this damage as it spreads and increases in magnitude [9.18]. If the gear
damage spreads from one tooth to another tooth, NA4 grows a) because the first
order sidebands increase, and b) the value of the average variance at the
denominator increases slower than the numerator.
NA4 *
NA4 * (or ENA4 ) was developed as an enhanced version of NA4 , and
was expected to be more robust when progressive damage occurs [9.19]. This
added robustness is obtained by normalizing the fourth statistical moment with the
residual signal variance for a gearbox in good condition, instead of the running
variance, which is used for NA4 . This overcomes the rapid increase of the
averaged variance at the denominator of equation (9.17) when the gear damage
progresses.
66 DYNAMICS OF MACHINERY
( rn r )4
N
1
N n =1
NA4* = , (9.18)
( M~ 2 ) 2
~
where M 2 is the variance of the residual signal for a gearbox in good condition.
Energy Ratio
Heavy uniform wear can be detected by the Energy Ratio [9.14]. It
compares the energy contained in the difference signal, d, to the energy contained
in the regular meshing (RM) signal
d
ER = , (9.19)
RM
M 6 A and M 8 A
The theory behind M 6 A and M 8 A is the same as that for FM 4 , except
that M 6 A and M 8 A are expected to be more sensitive to peaks in the difference
signal. The M 6 A indicator is determined by dividing the sixth statistical moment
about mean of the difference signal by the cube of variance of the difference signal.
The M 8 A indicator is obtained by dividing the eighth statistical moment about
mean of the difference signal by the fourth power of variance of the difference
signal [9.20].
The equations for M 6 A and M 8 A are as follows:
(d n d ) (d n d )
N N
1 6 1 8
N n =1 N n =1
M 6A = 3
, M 8A = 4
. (9.20)
1 2 1 2
( ) ( )
N N
dn d dn d
N n =1 N n =1
NB4
The NB4 indicator is similar to NA4 except that, instead of using the
residual signal, NB4 uses the envelope of a band-passed segment of the TSA
signal [9.21].
The idea behind this method is that a few damaged gear teeth will cause
transient load fluctuations that are different from the normal tooth load
fluctuations. The theory suggests that these fluctuations will be manifested in the
envelope of a signal which is band-pass filtered about the dominant meshing
frequency. The latter is either the primary meshing frequency or one of its
harmonics, whichever appears to give the most robust group of sidebands.
The envelope of the band-passed signal, s (t ) , is the magnitude of the
complex (i.e., analytic) signal, a (t ) + i H [ a (t )] , obtained by applying the Hilbert
transform
1 1
H [ a ( t )] = a ( ) t d (9.21)
s (t ) = (a (t ) ) 2 + H [a (t ) ] 2 . (9.22)
( s n s )4
N
1
N n =1
NB 4 = 2
, (9.23)
1 2
( s n ,m sm )
M N
1
N
M m =1 n =1
where s is the envelope of the band-passed signal and s is its mean value.
Oil debris analysis is a very reliable method for detecting gearing damage
in the early stages and allows estimation of the wear level [9.9]. During gearbox
operations, the mating surfaces of gearwheels are gradually abraded. Small pieces
of material break down from the contact surfaces and are carried away by the
68 DYNAMICS OF MACHINERY
lubricating oil. By detecting the number and size of particles in the oil one can
identify gear pitting damage in an early stage, which is unidentifiable by vibration
methods.
Oil debris sensors are usually based on a magnetic or an optical principle.
Magnetic sensors measure the change in magnetic field caused by metal particles in
a monitored sample of oil. A disadvantage of oil debris analysis is that it does not
localize the failure in complex gearboxes.
The oil debris sensor records counts of particles in bins set at different
particle size ranges. For each bin size range, an average particle size is first
determined. Then statistical distribution methods are applied to particles collected
from the lubrication system.
The mean particle size is calculated as
N
E ( ) =
i =1
i P [ i ] , (9.24)
where i is the average bin size, i the number of bins, and P [ i ] is the number
of particles per average bin size per reading divided by the total number of particles
per reading.
The Variance is
N
Variance = [
i =1
i E ( ) ] 2 P [ i ] . (9.25)
The Kurtosis is
N
Kurtosis = [
i =1
i E ( ) ] 4 P [ i ] . (9.26)
Kurtosis
Re lative Kurtosis = . (9.27)
(Variance) 2
Laboratory experiments have shown that oil debris analysis is more
reliable than vibration analysis for detecting pitting fatigue failure of spur gears.
The increase in oil debris mass is related to damage progression, which is not
detected by some vibration based condition indicators.
9. GEARS 69
C ( ) = F 1 { log [ G ( f ) ] } , (9.28)
a b
Fig. 9.21 (from [9.22])
70 DYNAMICS OF MACHINERY
C ( ) = F 1 { log [ G xx ( f )] } . (9.29)
G ( f ) = A ( f ) e i ( f ) , (9.30)
and
ln [ G ( f ) ] = ln [ A ( f ) ] + i ( f ) . (9.31)
The independent variable, , of the cepstrum has the dimensions of time,
but is known as quefrency. A high quefrency represents rapid fluctuations in
the spectrum (small frequency spacings) and a low quefrency represents slow
changes with frequency (large frequency spacings).
When peaks in the cepstrum result from families of sidebands, the
quefrency of the peak represents the time period of the modulation. Its reciprocal is
the modulation frequency. Note that the quefrency says nothing about the absolute
frequency, only about the frequency spacings.
a b
Fig. 9.22 (from [9.22])
Figure 9.22 shows the results of this type of analysis for a gearbox.
The spectrum (Fig. 9.22, a) contains a large number of sidebands, but their
spacing is difficult to determine. Within the display range of the cepstrum (0 30
ms) the first three rahmonics of the 8.28 ms (120.75 Hz) component and only the
first rahmonic of the 20.1 ms (49.75 Hz) component are present (Fig. 9.22, b). The
periodicity is not apparent in the frequency spectrum since the mixture of the two
periodicities gives a quasi-periodic structure.
9. GEARS 71
a b
c d
Fig. 9.23 (from [9.22])
Figure 9.23, c shows the expanded 400-line section from 7500 to 9500 Hz.
The eye still cannot readily see the sideband families because of the mixture of
different spacings. The amplitude cepstrum (Fig. 9.23, d ) of the whole one-sided
spectrum (Fig. 9.23, a), reveals that all rahmonics come from one of two families,
corresponding to the speeds of the two gears in this particular gearbox (50 Hz and
85 Hz).
72 DYNAMICS OF MACHINERY
References
9.1. Sidahmed, M. and Dalpiaz, G., Signal generation models for diagnostics,
Encyclopedia of Vibration, Braun, S., Ewins, D. and Rao, S.S., eds., Academic
Press, London, 2002, p.1184-1193.
9.2. Coy, J. J., Townsend, D. P. and Zaretsky, E. V., Gearing, NASA/RP-1152,
1985.
9.3. Shigley, J. E. and Mischke, C. R., Gearing. A Mechanical Designers
Handbook, McGraw-Hill, New York, 1990.
9.4. Shigley, J. E., Mechanical Engineering Design, 2nd ed., McGraw-Hill
Kogakusha Ltd., Tokyo, 1972.
9. GEARS 73
9.5. Collacott, R. A., Gear faults diagnostics, U.K. Mechanical Health Monitoring
Group, Leicester Polytechnic, Nov. 1975.
9.6. Mark, W., Analysis of the vibratory excitation of gear systems: basic theory,
Journal of the Acoustical Society of America, vol.65, 1978, p.1409-1430.
9.7. Randall, R. B., A new method of modeling gear faults, Journal of Mechanical
Design, Trans. ASME, vol.104, April 1982, p.259-267.
9.8. Wilson, W. Ker, Practical Solution of Torsional Vibration Problems,
Chapman & Hall, London, 1956.
9.9. Dempsey, P. J., Integrating oil debris and vibration measurements for
intelligent machine health monitoring, NASA/TM-2003-211307.
9.10. Choi, S. and Li, C. J., Estimate gear tooth transverse crack size from
vibration by fusing selected gear condition indices, Measurement Science and
Technology, vol.17, 2006, p.1-6.
9.11. Lebold, M., McClintic, K., Campbell, R., Byington, C. and Maynard, K.,
Review of vibration analysis methods for gearbox diagnostics and prognostics,
Proc. 54th Meeting of the Society for Machinery Failure Prevention
Technology, Virginia Beach, VA, May 1-4, 2000, p.623-634.
9.12. Mosher, M. Pryor, A.H. and Huff, E.M., Evaluation of standard gear metrics
in helicopter flight operation, 56th Mechanical Failure Prevention Technology
Conference, Virginia Beach, VA, April 15-19, 2002.
9.13. Dempsey, P., Lewicki, D. G. and Le, Dy D., Investigation of current methods
to identify helicopter gear health, NASA/TM-2007-214664.
9.14. Swansson, N. S., Applications of vibration signal analysis techniques to
signal monitoring, Conf. on Friction and Wear in Engineering, Barton,
Australia, 1980.
9.15. Ma, J., Energy operator and other demodulation approaches to gear defect
detection, Proc. 49th Meeting of Soc. for Mechanical Failure Prevention
Technology, Virginia Beach, VA, April 1995.
9.16. Stewart, R. M., Some useful data analysis techniques for gearbox diagnostics,
Report MHM/R/10/77, Machine Health Monitoring Group, I.S.V.R., Univ. of
Southampton, July 1977.
9.17. Zakrajsek, J. J., An investigation of gear mesh failure prediction techniques,
NASA TM-102340, Nov.1989.
9.18. Zakrajsek, J. J., Townsend, D. P. and Decker, H. J., An analysis of gear fault
detection methods as applied to pitting fatigue failure data, NASA TM-105950,
April 1993.
9.19. Decker, H. J., Handschuh, R. F. and Zakrajsek, J. J., An enhancement to the
NA4 gear vibration diagnostic parameter, NASA TM-106553, June 1994.
74 DYNAMICS OF MACHINERY
In large machines with fluid film bearings, particularly those with flexible
rotors and relatively stiff casing, the most frequently occurring malfunctions
(unbalance, misalignment and rotor system instability) manifest themselves as a
change in the shaft motion relative to the housing. The displacement of the journal
relative to the bearing housing is a good indicator of the machine condition.
When the machine has a flexible support structure, the shaft absolute
displacement has to be measured.
Rolling element bearing machines exhibit significant housing motion so
that the absolute r.m.s. velocity of the bearing caps is measured. This is illustrated
in Fig. 10.1.
When the machine has a relatively light rotor operating in a heavy stiff
casing (Fig. 10.1, a), most of the energy generated by the rotor is dissipated in
relative motion between the shaft and the bearing. On machines of this type (such
as high pressure centrifugal compressors) with casing to rotor weight ratios of 30:1
or more, the relative displacement between shaft and bearing measured with a
noncontacting probe is the best indicator of the machine condition.
10. VIBRATION MEASUREMENT 77
diameter and a minimum of 3 mm deep. The probe should be gapped closer than a
standard displacement probe, to generate a high spike at the output of the oscillator
demodulator. The spike may then be applied to the Z axis of an oscilloscope to
produce a blank spot for a phase reference in the waveform and orbital
presentation.
The phase mark may be fed to a tachometer for speed indication. It is used
either as a reference for the horizontal axis of a spectrum plot to construct order
plots, or for phase measurement in balancing, or to calculate a correction for shaft
runout.
If the motion consists of the fundamental frequency and the first harmonic,
the displacement components x(t) and y(t) recorded along the two directions are
periodic, and the precession orbit is as shown in Fig. 10.10. The maximum
precession radius smax is a measure of the shaft vibration severity, as defined in the
recommendations VDI 2059 [10.5]. When measurements are made at bearings, this
value can be compared with the bearing clearance.
In the standard ISO 7919 [10.6], which superseeded VDI 2059, the shaft
vibration magnitude is defined as the higher value of the peak-to-peak
displacement measured in two selected orthogonal measurement directions,
10. VIBRATION MEASUREMENT 81
[ ]
max x pp , y pp . Peak to peak displacement amplitude has enjoyed success
because it allows calculation of percentage of bearing or seal clearance, a very
important correlation on nearly all rotating machinery [10.7].
Fig. 10.11
When the rotating assembly is five or more times heavier than the case of
the machine, the shaft absolute displacement is of interest. It can be measured in
two ways: a) electronically summing the signals of both an eddy current probe
measuring relative shaft motion with respect to the bearing, and an accelerometer
measuring case absolute displacement (integrated twice) (Fig. 10.11), and b) using
a shaft rider, which is a spring mounted device that physically rides on the surface
of the shaft, normally a velocity sensor mounted on top of the shaft rider whose
output is integrated electronically to displacement.
For most machine types, one value of vibration severity will characterize
the vibratory state of that machine. However, for some machines this approach may
be inadequate and the vibration severity should then be assessed independently for
measurement positions at a number of locations.
Fig. 10.12
where v (t ) is the instantaneous value, and T is the sampling time, which is longer
than the period of any of the major frequency components.
For non-periodic steady-state vibrations, the r.m.s. value is defined as
t
1
v (t )dt .
2
vr .m .s . = lim t (10.2)
t
0
1
vr .m.s . = v0 = 0.707 v0 , v p = v0 , v pp = 2 v0 . (10.3)
2
a b
Fig. 10.13 (after [10.9])
Though the peak values are different in the two cases, v2 p 1.4 v1 p , the
r.m.s. values are the same, v2 r.m.s. = v1 r.m.s. .
This means that the use of the r.m.s. vibration as a measure of the vibration
severity gives better results in comparisons with allowable limit values than in
detecting developing malfunctions by monitoring the change of broad-band
vibration magnitude.
While the standard ISO 7919, based on VDI 2056, recommends the
measurement of the r.m.s. velocity on the bearing cap, some API standards and
[10.10] recommend the measurement of zero-to-peak velocity.
The selection, placement and proper use of the correct transducer are
important steps in the implementation of a condition monitoring and fault
diagnostics program.
Fig. 10.18
A typical eddy current transducer contains two coils: an active coil and a
balance coil. The active coil senses the presence of a nearby conductive object,
10. VIBRATION MEASUREMENT 89
while the balance coil is used for temperature compensation and to balance the
output bridge circuit. The lead wire is a single conductor shielded cable [10.16].
The eddy probe driver generates a high frequency signal to the eddy probe
and converts the return signal to a voltage which can then be displayed on a read-
out monitor and used for comparison of vibration levels with alarm set points.
When the appropriate voltage is supplied to the eddy probe driver, it
becomes an oscillator and generates a high frequency signal to the coil in the tip of
the eddy probe. The coil creates a small magnetic field that induces eddy currents
in metal targets (Fig. 10.18). These eddy currents absorb part of the energy and
change the sensors oscillation amplitude. As the gap narrows, more and more
energy is absorbed until finally the voltage output drops to zero at, or near, contact.
A typical response graph of gap vs. voltage (Fig. 10.19) shows the
sensitivity of 200 mV mil (8 mV m ) over the range of 100 mils (2.5 mm ) for a
standard supply voltage of minus 24V of direct current. Note that even though the
eddy probe has a response in excess of 2.5 mm , the linear response which ends the
useful range stops at about 2.5 mm .
This dynamic measurement provides not only the amplitude of the peak-to-
peak vibration, but also the frequency and waveform of the motion. This
information is of utmost significance in both monitoring and machinery
malfunction diagnostics.
The eddy current measurement is not disturbed by non-conductive material
in the gap between the probe and its observed surface, so that oil, steam and gases
do not adversely affect the measurement. The main disadvantage of proximity
probes is the sensitivity to shaft mechanical and electrical runout (glitch).
Mechanical runout is shaft eccentricity and depends on the manufacturing
tolerance. Electrical runout is a false indication of relative displacement due to
shaft anomalies (magnetization or internal stresses) and is indistinguishable from
actual displacement.
A single transducer mounted radially at one bearing provides the vibration
signal in only one plane. In order to obtain the shaft precession orbit, it is necessary
to mount two probes at 90 0 to each other (Fig. 10.20), at the same radius.
The measuring coil, the damping cylinder and the additional damping coil
are supported in the air gap. The damping cylinder reduces the influence of the
transducers natural frequency on the measuring signal. The additional damping
10. VIBRATION MEASUREMENT 93
Fig. 10.22
10.4.4 Accelerometers
The seismic mass is clamped to the base by an axial bolt bearing down on a
circular spring. The piezoelectric element is squeezed between the mass and the
base. When the accelerometer is subjected to vibrations, the mass will exert a
variable force on the piezoelectric discs. The charge developed across the
piezoelectric discs is proportional to the applied force, which in turn is proportional
to the acceleration of the mass. For frequencies much lower than the resonance
frequency of the accelerometer assembly, the acceleration of the seismic mass is
equal to the acceleration of the whole pickup.
Accelerometers have a very large dynamic range. The smallest acceleration
levels they can sense are determined only by the electrical noise of the electronics,
and the highest levels are limited only by the destruction of the piezo element
itself. Acceleration levels can span an amplitude range of about 108 , which is 160
dB.
The frequency range of the accelerometer is very wide, extending from
very low frequencies in some units to several tens of kilohertz. The high-frequency
10. VIBRATION MEASUREMENT 95
response is limited by the resonance of the seismic mass coupled to the springiness
of the piezo element. This resonance produces a very high peak in the response at
the natural frequency of the transducer, and this is usually somewhere near 30 kHz
for commonly used accelerometers.
A rule of thumb is that an accelerometer is usable up to about 1/3 of its
natural frequency. Data above this frequency will be accentuated by the resonant
response, but may be used if the effect is taken into consideration. The lower limit
is determined by cable and preamplifier. The frequency response curve of an
accelerometer is presented in Fig. 10.24.
Most accelerometers used in industry today are of the "ICP" type, meaning
they have in internal integrated circuit preamplifier. This preamp is powered by a
dc polarization of the signal lead itself, so no extra wiring is needed. The device the
accelerometer is connected to needs to have this d.c. power available to this type of
transducer. The ICP accelerometer will have a low-frequency roll-off due to the
amplifier itself, and this is usually at 1 Hz for most generally available ICP units.
There are some that are specially designed to go down to 0.1 Hz if very low
frequency data is required.
The resonant frequency of an accelerometer is strongly dependent on its
mounting. The best type of mounting is always the stud mount - anything else will
reduce the effective frequency range of the unit.
When mounting an accelerometer, it is important that the vibration path
from the source to the accelerometer is as short as possible, especially if rolling
element bearing vibration is being measured. If an accelerometer is mounted on a
surface that is being strained (bent), the output will be altered. This is known as
base strain, and thick accelerometer bases are used to minimize this effect. Shear-
type accelerometers are less sensitive because the piezoelectric crystals are
mounted to a center post and not to the base.
96 DYNAMICS OF MACHINERY
The recommended transducer types and their locations and directions for
various type machines are given in Table 10.1 ([10.21] and Annex A of [10.6]).
Table 10.1
Medium Radial
Relative Noncontacting Shaft, at each 45 deg
and small
displacement transducer bearing or
industrial
steam X and Y
turbines Each bearing
with fluid Velocity or Velocity transducer housing and Radial
film acceleration or accelerometer turbine X and Y
bearings housing
Velocity pickups
Advantages: a) ease of installation due to external machine mounting, b)
strong signal in the mid-frequency range, c) some are suitable for relatively high
temperature environments, and d) no external power required.
Disadvantages: a) relatively large and heavy, b) manufactured as a unit so
that a transducer fault requires replacement of the entire pickup, c) sensitive to
input frequency (tendency to emphasize higher frequencies), d) relatively narrow
frequency response with amplitude and phase errors at low frequencies, e) has
moving parts and is expected to degrade under extended normal use, f) difficult to
calibrate, g) measures dynamic motion only (not static position), and h) can
respond with excessive cross-axis sensitivity at high amplitude levels.
Accelerometers
Advantages: a) ease of installation due to external machine mounting, b)
good frequency response (especially at high frequencies, although this could be a
disadvantage by increasing the noise level from various external vibrations), c)
small and light weight, d) some are suitable for relatively high temperatures, and e)
strong signal in the higher frequency ranges.
Disadvantages: a) most sensitive to input frequencies (although this can be
an advantage when measuring very high frequencies), b) difficult to locate on the
machine case for a meaningful measurement, c) very sensitive to the method of
attachment, d) output requires amplification, e) most sensitive to spurious
98 DYNAMICS OF MACHINERY
vibrations (confusing the acquired data and making exact mounting location
difficult), f) impedance matching (or charge amplifier) is needed, and g) normally
requires some filtering for monitoring applications.
Figures 10.28 indicate the location of seismic pickups used for periodic
measurements on a motor driven fan using: a) elastic coupling and low shaft (Fig.
10.28, a), and b) belt-driven high shaft (Fig. 10.28, b).
10.4.7 Instrumentation
other marks) bonded on the shaft. The optical system includes a power supply and
an amplifier.
Vibration data are processed and reduced into interpretable formats to help
the malfunction identification process [10.22].
x = A cos t , y=
3
4
( )
A cos 2 t 450 .
102 DYNAMICS OF MACHINERY
z = R1 ei t + R1 N e i ( N)t
, (10.4)
a b
Fig. 10.33 (from [10.25])
Most frequency analysis instruments display only the positive half of the
frequency spectrum, because the spectrum of a real-world signal is symmetric
around d.c. Thus, the negative frequency information is redundant.
When only one vibration measurement (e.g., the vertical component) is
made at a given point, the half spectrum plot is useful, e.g. for tracking changes in
the spectral content over a period of time, provided timebase plots are available to
check the vibration signal quality. Half spectrum plots reveal new frequency
components and changes in the magnitude of previous data at a particular
frequency. The phase information is lost.
The half spectrum has been intensively used as a machine signature for
assessing the machine condition, correlating the frequency and magnitude of the
peaks with specific machine faults.
The full spectrum plot for the example considered in the previous section is
shown in Fig. 10.34. Though the right hand side of the full spectrum plot appears to
be the same as a half spectrum plot for one probe, this is not true. Only forward
components are shown on the positive side of the full spectrum plot.
a b
Fig. 10.35 (from [10.26])
a b
Fig. 10.36 (from [10.26])
106 DYNAMICS OF MACHINERY
a b
Fig. 10.37 (from [10.26])
a b c
Fig. 10.38 (from [10.26])
The advantages of using a full spectrum plot are apparent in cases where
two different machinery malfunctions produce the same half spectrum (Fig. 10.38,
a). The full spectrum for oil whirl and whip is shown in Fig. 10.38, b, and that of a
rub is shown in Fig. 10.38, c. In both cases there is an X subharmonic
component, but for whirl/whip it is forward, while for the rub is backward.
Transient vibration data taken during start-up and shutdown can be reduced
in different formats.
Figure 10.44 shows a normalized full spectrum cascade for a rotor in fluid
film bearings. The resonance peaks can be seen on the 1 lines (denoted 1X )
at the critical speed. The backward component is produced by the bearing
anisotropy. For a rotor in rolling element bearings this component is missing. At
high running speeds, above the onset speed of instability tresh , the unbalance
response is dominated by the component with frequency equal to the lateral natural
frequency of the rotor system.
Other display formats include a) d.c. gap voltage plots (for proximity
probes), b) axial thrust position plots, c) rpm versus time plots and d) multiple orbit
plots [10.32, 10.33].
References
10.24. Tondl, A. ans Springer, H., Ein Beitrag zur Klassifizierung von
Rotorschwingungen und deren Ursachen, Schwingungen in rotierenden
Maschinen III, Irretier, H., Nordmann, R., Springer, H., eds., Vieweg,
Braunschweig, 1995, p.257-267.
10.25. Laws, B., When you use spectrum, dont use it halfway, Orbit, vol.19, no.2,
June 1998, p.23-26.
10.26. Southwick, D., Plus and minus spectrum, Orbit, vol.14, no.2, June 1993,
p.16-20.
10.27. Laws, W. C. and Muszynska, A., Periodic and continuous vibration
monitoring for preventive/predictive maintenance of rotating machinery,
Journal of Engineering for Gas Turbines and Power, vol.109, April 1987, p.159-
167.
10.28. Gasch, R., Nordmann, R. and Pftzner, H., Rotordynamik, 2nd ed., Springer,
Berlin, 2001.
10.29. Southwick, D., Using full spectrum plots, Orbit, vol.14, no.4, Dec 1993,
p.19-21 and vol.15, no.2, June 1994, p.11-15.
10.30. VDI 2059 - Part 2, Shaft vibrations of steam turbosets for power stations,
March 1983, p.6.
10.31. Bently, D. E. and Muszynska, A., Detection of rotor cracks, Proc. 15th
Texas A&M Turbomachinery Symposium, Corpus Cristi, Texas, 10-13 Nov
1986, p.129-139.
10.32. * ADRE 3, Bently Nevada Corporation, Technical/Ordering Information
L6024, Jan 1990.
10.33. Eshleman, R. L., Basic Machinery Vibration Analysis, Vibration Institute
Press, Clarendon Hills, IL, 1999.
11.
CONDITION MONITORING AND
FAULT DIAGNOSTICS
and actual duty, the type of maintenance is called preventive (or scheduled)
maintenance.
Preventive maintenance is most effective under the following
circumstances: a) data describing the statistical failure rate for the machinery is
available, b) the failure distribution is narrow, meaning that the MTBF is
accurately predictable, c) maintenance restores close to full integrity of the
machine, d) a single, known failure mode dominates, e) there is low cost associated
with regular overhaul/replacement of the equipment, f) unexpected interruptions to
production are expensive, g) low cost spares are available, and h) costly secondary
damage from failure is likely to occur [11.17].
While there are some general guidelines for choosing the most
appropriate maintenance strategy, each case must be evaluated individually.
Principal considerations will always be defined in economic terms. Sometimes, a
specific company policy, such as safety, will outweigh all other considerations.
The following eight factors should be taken into account when deciding
the best maintenance strategy for a given machine: a) classification (size, type) of
the machine, b) critical nature of the machine relative to production, c) cost of
replacement of the entire machine, d) lead-time for the replacement of the entire
machine, e) manufacturers recommendations, f) failure data (history), MTTF,
120 DYNAMICS OF MACHINERY
physical measurements and the effects of the faults, i.e. the symptoms. It obviously
requires the knowledge of faults that may occur in the machine, and their
criticality, to be able to define the most suitable signature.
3. Detection
Detection involves data gathering, comparison to standards and
recommendations (see Chapter 12), comparison to limits set in-plant for specific
equipment, and trending over time. The signature characterizing the healthy state is
compared to the one extracted from the real measurement. The fault is not defined.
4. Diagnosis
Diagnosis involves recognizing the types of fault developing and
determining the gravity of given faults once detected and diagnosed. Sometimes
it is referred to as fault isolation. When a signature is related to a specific fault,
steps 3 and 4 may be imbedded in one-step detection/diagnosis, which happens
often in vibration condition monitoring.
5. Decision
In this step, known as prognosis, the operator has to decide whether to
stop the machine for maintenance and repair, or to continue operating. Prognosis
involves estimating (forecasting) the expected time to failure, trending the
condition of the equipment being monitored, and planning the appropriate
maintenance timing. It may include recommendations for altering the operating
conditions, altering the monitoring strategy (frequency, type), or redesigning the
process or equipment. Sometimes it includes the root-cause failure analysis, and
involves some research-type laboratory and/or in situ investigations.
11.4.1 Unbalance
flywheels, fans, gears, etc. The causes of unbalance include excess mass on one
side of a rotor (lost blade, eroded or damaged parts), low tolerances during
fabrication (casting, machining, assembly), variation within materials (voids,
porosity, inclusions), non-symmetry of design, aerodynamic forces, and
temperature changes.
Unbalance results in a periodic vibration signal with the same amplitude at
each shaft rotation. The characteristic diagnostic symptom is a strong radial
vibration at the fundamental frequency, 1X (1 x rotational speed). If the rotor is
overhung, there will be also a strong axial vibration at 1X. The half spectrum has
the higher peak at 1X (Fig. 11.6, a), the orbit is generally elliptical (Fig. 11.6, b)
and the timebase waveforms have one key phase mark per shaft revolution (Fig.
11.6, c).
not straighten out with time unless the rotor is allowed to cool off. Turbines are
more affected than compressors and motors. To measure it, turbine rotor forgings
are rotated slowly in an oven while temperature is increased and decreased several
times, runout being recorded at several places along the rotor. Maximum allowable
runout, at 500 C above operating temperature, is usually 8 m m of bearing span.
Another form of unbalance is caused by bowed rotors, especially heavy
rotors that have been allowed to sit idle for a long time. Such rotors are difficult to
straighten, so they need to be balanced by adding counterweights. To avoid this
condition the rotor should be turned when the machine is not in use.
Figure 11.7 shows the full spectrum cascade plot measured during the
startup of a machine with an unbalanced rotor. The 1X and -1X frequency
components have unequal peaks around 3000 rpm, denoting elliptical precession
orbits. The two neighboring peaks denote a split critical excited by unbalance.
expansion preload, offset, or cocked bearing-related preload, and gear mesh forces
also belong to this category.
Misalignment between coupled machines can be caused by thermal
expansion of the casing support structure, by settling or thermal distortion of
foundation or baseplate, or by piping forces which deflect the casing and its
support. It can be produced by a strong radial component of the fluid flow in fluid-
handling machines, especially evident in single volute pumps, or in turbines during
partial steam admission on the first stage nozzles.
Due to the radial force, the rotor is displaced from the original position and
moved to higher eccentricity ranges inside the bearings and seals. It may also
become bowed, and rotate in a bow configuration. At these conditions the
nonlinear effects of the system become active. Due to nonlinearity, the unbalance
forced response of the rotor will contain not only the synchronous component 1X,
but also its higher harmonics 2X, 3X, etc.
There are two components of a coupling misalignment (Fig. 11.8, a): a)
parallel (offset), and b) angular (face). Parallel misalignment occurs when shaft
centerlines are parallel but offset from one another in a radial direction (Fig. 11.8,
b). Angular misalignment occurs when the shaft centerlines meet at an angle (Fig.
11.8, c). The intersection may be at the driver or driven end, between the coupled
units or behind one of the coupled units. A coupling misalignment is shown in Fig.
11.8, d.
The rotor precession orbits show some distortion from the effect of a
misalignment load, as shown in Fig. 11.9, c. As the preload increases, the orbit will
progressively shift from an ellipse to a banana and finally, in extreme cases,
possibly to a figure eight (see Fig. 10.33).
In severe cases of misalignment it is not uncommon to have the low or
unloaded bearing become unstable due to the journal orbit location in the upper
half of the fluid film bearing (Fig. 11.10).
The analysis of the shaft centerline position can be used to diagnose
excessive preloads. A combination of shaft position and orbit representation gives a
clear indication of the position of the shaft in each bearing. In Fig. 11.10, preloads
on the shaft are forcing the shaft down in one bearing and up in the other. Note the
elliptical and banana nature of the orbits as a result of the preload and the bearing
constraint. The key phase dots on the orbits indicate that, although the bearings are
126 DYNAMICS OF MACHINERY
preloaded in opposite directions, the ends of the shaft vibrate in phase with each
other.
For higher running speeds, above the first resonance, when the shaft is
lightly loaded and 1X amplitude is reduced, the whirl appears again (Fig. 11.13).
It continues with the frequency just below X and then asymptotically
approaches to the rotor first natural frequency (orbit c). Oil whirl is replaced by oil
whip. The latter is much more violent and dangerous for the machine integrity
because the shaft vibrates at its resonant conditions. Therefore, relatively large
cyclical rotor bending stresses can be incurred, introducing a significant risk of
high cycle fatigue failure if the steady state tensile stresses in the rotor are high
enough.
indicates that the shape of the precession orbits should be circular and the
precession is forward.
The instability vibration frequency is approximately 0.45X for the whirl
instability, and it begins to diverge when the system starts the transition into whip
instability as the rotor speed approaches 5000 rpm. For machine speeds above 4500
rpm, small backward vibration components exist and the orbit for the whip
instability is slightly elliptical (confirmed by measurements).
Rubbing between the rotor and a stationary part of the machine is a serious
malfunction that may lead to a catastrophic failure. Rubbing involves several
physical phenomena, such as friction, stiffening/coupling effect, impacting, and
may affect solid/fluid/thermal balance in the machine system. Rubbing always
occurs as a secondary effect of a primary malfunction, such as unbalance,
misalignment, or fluid-induced self-excited vibrations, which result in high lateral
vibration amplitudes and/or changes in the shaft centerline position.
There are two extreme cases of rotor radial rubs: a) a full annular rub,
when the rotor maintains contact with an obstacle (e.g., a seal) during the complete
11. CONDITION MONITORING 131
cycle ( 360 0 ) of its precession motion, and b) a partial rub, when the contact
occurs occasionally during a fraction of the period of precession.
In the case of full annular rub, occurring mainly in seals, high friction
forces cause the change of the precession direction from forward to continuous
backward whirl (known as dry whirl). The waterfall plot of vertical vibrations of
a rotor rubbing inside the seal (Fig. 11.15) shows that in the lower speed range, the
rotor bounces inside the seal, producing multiple higher harmonics of 1X, while at
higher speed a full annular rub occurs.
In the case of short-lasting rotor/stator contact, the system becomes piece-
wise continuous with variable stiffness. The rub may be caused by a seal or other
non-rotating part acting as a bearing during part of the shaft revolution.
The periodic contact with an obstacle (Fig. 11.16, a), creating the effect of
a third bearing, produces a periodic variation of the rotor stiffness which
determines the self-excitation of the synchronous response and increases the
average spring constant to a higher value (Fig. 11.16, b). This tends to raise the
rotor critical speed (Fig. 11.16, c).
132 DYNAMICS OF MACHINERY
a b
c d
Fig. 11.16 (from [11.24])
The total shaft motion orbit (Fig. 11.16, d) has two fixed once-per-turn
timer marks indicating that the rotor requires two full turns to complete one orbit.
The orbit of the filtered 1X and (1/2)X components show inverse precession
directions due to the shaft kicking back as it rubs. Generally, multiples of (1/2)X
are also produced by the nonlinearity of the normal/tight rub [11.25].
The partial rotor/stator rub, or rub in oversized or poorly lubricated
bearings, causes steady subharmonic vibrations of the frequency equal exactly to
half of the rotational speed. The range of the possible subharmonic vibrations
varies, however, with the rotational speed. When the rotor operational speed is
higher that 3 times its first natural frequency, the resulting steady subharmonic
vibrations can have the range (1 3) X (light rub) or (1 2) X (heavy rub). This
condition can be generalized to any value of the rotational speed. If it exceeds the
value i times the rotor first natural frequency, then the rotor response will consist
of the synchronous component 1X and one subsynchronous component with the
lowest frequency equal to (1/i)X, or (1/(i-1))X, or (1/3)X, or (1/2)X with
increasing rub force [11.26].
11. CONDITION MONITORING 133
b
Fig. 11.17 (from [11.26])
134 DYNAMICS OF MACHINERY
The half spectrum cascade plot in Fig. 11.17, a shows the subharmonic
vibrations in the case of light rub. An increase of the rotational speed causes the
change of the subharmonic order from higher to lower range. Figure 11.17, b
presents the case of a higher rub force. The subharmonic vibrations of the order 1/2
are steadily maintained while increasing the rub force and rotational speed. The
samples of the rotor precession orbits were taken at rotational speeds = 227,
404, 595, and 790 rad/s. The steady rotor response consists of two main harmonics:
a synchronous component 1X due to unbalance, and a subsynchronous component
(1/2)X, (1/3)X, (1/4)X or (1/5)X, only one at a time. Minor higher harmonics are
present in the frequency spectrum. The synchronous orbit is always reduced to a
straight line inclined to the left, i.e., the vertical and horizontal subsynchronous
components are 1800 out of phase [11.26].
At certain rotational speeds, the thermal effect of rubbing causes an ever
changing thermal bow-related unbalance of the shaft.
The unbalance force carried by the rotor may occasionally exceed the
gravity force and/or other lateral forces applied to the rotor and pedestal. This
136 DYNAMICS OF MACHINERY
causes a periodic lifting of the pedestal, resulting in system stiffness softening, its
cyclic variability and impacting. As a result, the rotor may exhibit changes in the
synchronous response, and an appearance of fractional subsynchronous vibrations
((1/2)X, (1/3)X,) in some speed ranges. Most common is the occurrence of the
(1/2)X vibration component, often measured on rotating equipment.
Figure 11.21 shows the half spectrum cascade recorded during start-up of a
journal rotating in a bearing with relatively large radial clearance in a brass
bushing. Subsynchronous vibrations of (1/2)X and (1/3)X, as well as self-excited
vibrations are present.
slow down the loose part. At steady-state conditions, the friction and fluid drag
may balance each other, and the loose part rotational frequency, l , becomes
constant. If it does not differ very much from the rotational speed, , the resulting
vibrations exhibit the characteristic of beat (Fig. 11.22).
Most often, however, the looseness of a rotating part leads to transient
conditions. The loose part related vibrations have most often a subsynchronous
frequency tending to the natural frequency of the rotor. These vibrations look
somewhat similar to fluid whirl/whip vibrations, and may sometimes be confused
with the latter.
The time signal from a bearing that is loose on a shaft will also be
truncated (clipped). The extent and shape of the truncation depend on the physical
characteristics (stiffness, mass and damping) of the transmission path between the
rotor and stator. Spectral analysis of a truncated waveform yields a number of
discrete sum and difference frequencies.
The usual format of a full spectrum cascade plot is shown in Fig. 11.24. It
clearly shows a peak in the 2X amplitude at about 1390 rpm. The first bending
resonance of the machine is approximately 2700 rpm. Note that there is a peak in
the 3X amplitude at about 900 rpm, and a peak in the 4X amplitude at about 700
rpm.
140 DYNAMICS OF MACHINERY
When operating at 1390 rpm, i.e. near half the first critical speed, the
journal orbit (Fig. 11.25) has an internal loop which is characteristic for signals
containing two vibration components with the same direction of precession [11.29].
A more detailed study (not presented here) implies analysis of orbit/timebase plots
of the filtered 1X and 2X components. For the examined case it was found [11.19]
that the 1X component is forward and slightly elliptical. The 2X component is
forward, more elliptical, and larger than the 1X component.
As a rule, the major problem with fans is unbalance caused by: a) uneven
build-up or loss of deposited material, and b) misalignment. Both are characterized
by changes in vibration at or near the rotational frequency, which can be monitored
effectively with either a shaft-displacement or a casing system.
Selection of the monitoring system is dictated by the type of construction.
If the bearings are supported on stiff, reinforced-concrete pedestals, most of the
dynamic force developed by the rotor will be dissipated as relative motion within
the bearing clearance. A shaft-monitoring system is best suited for this construction
(Fig. 11.31). If bearings are supported on structural steel, the dynamic force
probably is dissipated as structural vibration, and a casing seismic monitoring
system, using sensors attached to the bearing housings, gives best results. For
optimum results, characteristics not specifically related to mechanical condition
should be eliminated by filtering the fan casing vibration signal to a bandpass
extending from approximately 50% of the running speed to three or four times it.
Bladed machinery, such as axial compressors and steam and gas turbines,
usually produces more complex vibration characteristics, particularly in the higher
frequencies, than the centrifugal equipment discussed in section 11.5.1. Spectral
components at blade-passing frequencies (the number of blades multiplied by shaft
speed), as well as at their multiples and the sum and difference combinations,
usually are identifiable.
Blade characteristics can be observed in the vibration signatures obtained
from sensors mounted on bearing caps. But high frequencies are transmitted into
the casing by pressure pulses close to the point of origin, rather than across a
compliant oil film. Thus, blade frequencies are much stronger and easier to
recognize from accelerometers located at the middle of the casing.
Usually axial compressors are driven by gas turbines so that the monitoring
system must be designed having in view the characteristics of both machines.
observe both the low rotational frequencies (as a primary or backup means of
monitoring) and the high blade- and flow-related frequencies.
Two sensors are installed for axial position measurement and thrust
monitoring, because some turbine conditions, such as blade fouling, can overload
the thrust bearing. Anyhow, steam turbines generally are less susceptible to thrust-
bearing problems than centrifugal problems, which depend on pressure balancing
to maintain thrust load within tolerable levels.
In addition to the measurements discussed for process-drive and boiler-
feed-pump turbines, the unique nature of large utility turbines dictates some
modifications. Figure 11.34 shows that the monitoring system for a thermal power
station turbine generally incorporates some means for obtaining absolute shaft
motion at each radial bearing (either a shaft-riding seismic sensor or a relative-
motion and a casing-absolute-motion sensor, electronically subtracted).
Rotor position indication, accomplished with a noncontact displacement
sensor located at the thrust bearing, should be provided on all turbines. For large
turbines with long bearing spans, it is also necessary to measure rotor eccentricity
while the unit is on turning gear, to warn of a thermal rotor bow, which could result
in packing rubs.
Other capabilities of the monitoring system should include phase reference
and speed measurements, made with noncontact sensors, and valve position
indication, accomplished with potentiometer or similar device.
Casing-expansion sensors are necessary to ensure that the sliding shoes are
free and functioning properly, to accommodate the large axial growths of high
temperature turbines. The differential rotor and casing expansion must also be
monitored to avoid rubbing between wheels and diaphragms. As shown in Fig.
11.34, differential expansion can be measured by using a noncontact axial position
sensor attached to the casing, and observing the rotor at the end opposite the thrust
bearing.
Gas turbine vibration signatures, particularly those from units with two or
more independent rotors, contain a large number of spectral components, spanning
a wide frequency range. Along with several running frequencies, the signatures
also may contain components generated by power takeoffs, load and accessory
gearing, turbine- and base-plate-mounted auxiliaries, compressor and turbine
blades, as well as numerous harmonics and sum and difference combinations.
A casing system using accelerometers (Fig. 11.38) is suitable for gas
turbines because of its: a) ability to monitor the mechanical condition of several
components simultaneously, b) quick response to a variety of problems, c) ability
to withstand high temperatures, and d) ease of installation and replacement. Shaft-
vibration sensors are not favored because they cannot collect the data that define
blade and gear condition, and are ineffective on machines using rolling element
11. CONDITION MONITORING 151
High speed industrial gears have moderate bearing preloads and relatively
flexible casings, so that casing vibration monitoring systems are favored. One
sensor at the coupling end of the high speed shaft provides adequate protection on
small gears. On large gears, two accelerometers are usually attached to the gear
152 DYNAMICS OF MACHINERY
casing on, or adjacent to, the coupling end bearings of both the high- and low-
speed shafts. Generally, filters are used to divide a gear signature into manageable
segments. The first segment, containing the rotational frequencies of both shafts,
starts at about 50% of the lowest running speed and extends to the fourth or fifth
multiple of the high speed shaft. The second segment should include frequencies
around 1-2 kHz. The third band should enclose the gear mesh frequency and its
sidebands. The fourth band (if provided) will cover the very high frequencies
generated by pitting and spalling of gear teeth.
The layout of the monitoring system of a motor driven large compressor is
shown in Fig. 11.39. Similar information is given in Fig. 10.25 for a turbine driven
compressor.
Figure 11.41 shows the overall layout and the transducer locations and
orientation of a large ammonia and CO2 compressor with a crankshaft with six
throws and rotational speed 330 rpm.
The velomitors (piezo-velocity sensors) are installed horizontally at
each end of the crankcase centerline. Six accelerometers are installed vertically on
the transition sections which connect the cylinders to the crosshead slipper guides.
They are intended to measure the high frequency signals generated by impacts
associated with piston rod looseness and knocking. Rod drop measurements are
made on all stages that have rider rings. At each monitored cylinder, a proximity
probe is mounted vertically on the crosshead oil wiper stuffing box, where it
measures the relative position of piston rod. A thermocouple or RTD mounted near
each valve measures the gas temperature.
Figure 11.42 shows the transducer locations on a large polyethylene
reciprocating compressor. The monitoring system collects and processes the
following data: a) valve temperature on 48 valves using resistive temperature
devices, b) rider band wear using proximity probes on 6 piston rods, c) crankcase
velocity with 4 piezo-velocity sensors per compressor, and d) crosshead
acceleration with 6 accelerometers.
154 DYNAMICS OF MACHINERY
Annex 11.1
Shaft alignment
There are basically two cold alignment methods: a) measuring the axial
and radial displacement of one machine with respect to the other (Fig. A11.2, a),
and b) measuring the radial displacement of both machines (Fig. A11.2, b).
a b
Fig. A11.2
Fig. A11.4
The reverse dial indicator method is preferably used with the coupling in
place (Fig. A11.4). The indicators are mounted on brackets with extension arms, to
read the outside diameter of the opposite coupling hub. They are mounted at top-
dead-center on the hub and calibrated to read zero. Readings are taken every 900
as the shafts are rotated. These readings are reduced and plotted on graph paper.
Alignment corrections are measured directly from the graph. This is probably the
most accurate of the dial indicator-based methods. The method is used when laser
systems are unavailable or unsuitable for the machine.
11. CONDITION MONITORING 157
The addition of special alignment bars has improved the reverse dial
indicator method, as both indicators can be read with ease as the shafts and
coupling rotate through 3600 .
3. Laser alignment
Laser alignment units consist of a laser fixed to the shaft on one side of the
coupling, behind the hub, and a prism affixed to the shaft on the opposite side of
the coupling. In Fig. A11.6, 1 is the laser support, 2 prism, a laser, b lens, c
focusing device, d filter, e lens, and f detector, 4 adapter, 5 driver, 6
driven machine.
The laser and prism are connected to a dedicated computer. As the shaft is
rotated, the computer records the alignment readings at multiple positions, typically
every 90 0 . The process is usually repeated two or three times to ensure accurate
results. Given machine dimensions, the computer will calculate the amount of
misalignment at the coupling and the corrections necessary at each machine foot to
achieve a correct static, or cold alignment.
4. Optical alignment
Optical alignment equipment generally consists of a precision jig transit or
sight level accurate to 1 arc-second ( 25.4 m over 5.2 meters), a portable
instrument stand, measurement scales, and tooling for mounting the scales on
machines. This method is very accurate and especially useful on long machine
trains. It directly shows the alignment of each rotor in the machine train, and the
catenary shape of the entire shaft system. This is done by placing scales directly on
the shaft and obtaining readings from the scales.
Optical alignment is used on machines that have rigid couplings or are not
easily measured using the previously presented methods. Examples are large
turbine-generator trains and hydroturbines.
References
11.38. Murray, G., Mucci, J., and Brier, S., Analysis of generator rotor unbalance,
Orbit, vol.14, no.1, March 1993, p.25-29.
11.39. Swan, P., Torsional vibration problems with asynchronous motor, Orbit,
vol.18, no.1, March 1997, p.22-24.
11.40. * Monitoring reciprocating compressors, Orbit, vol.11, no.3, Dec 1990,
p.20-23.
11.41. Silcock, D., Reciprocating compressor instrumented for machinery
management, Orbit, vol.17, no.2, June 1996, p.10-12.
11.42. Smith, T., Quantum Chemical uses reciprocating compressor monitor to
improve reliability, Orbit, vol.17, no.2, June 1996, p.14-16.
11.43. Schultheis, S. M., Vibration analysis of reciprocating compressors, Orbit,
vol.17, no.2, June 1996, p.7-9.
10.44. * Vorbeugende Maschineninstandhaltung, Schenck Seminar C 50, Nov
1989, p.70.
11.45. Bognatz, S. R., Alignment of citical and noncritical machines, Orbit, vol.16,
no.1, March 1995, p.23-25.
11.46. Campbell, A. J., Static and dynamic alignment of turbomachinery, Orbit,
vol.14, no.2, June 1993, p.24-29.
11.47. Dodd, V. R., Shaft alignment monitoring cuts costs, Oil and Gas Journal,
Sept 1971.
12.
VIBRATION LIMITS
The Rathbone Chart (Fig.12.1) was the first vibration guideline chart
produced for the insurance industry whose business depends upon correctly
assessing the mechanical condition of machinery it insures [12.23]. It is limited to
turbines on individual foundations, running at speeds less than 6000 rpm and with
small ratios of shaft vibration to bearing housing or pedestal.
12. VIBRATION LIMITS 165
Six curves limit the zones for different mechanical conditions, ranging
from very smooth to very rough. These categories are for overall (broad-band)
vibration measurements at the machine bearing housing. Above 20 Hz, the
boundaries are defined by lines with slopes of ( 1) on the log-log diagram, which
plots the peak-to-peak displacement amplitude, in mils, as a function of frequency
(1 mil = 25.4 m ). They represent constant peak velocity lines. The line indicating
the sensory perception level [12.24] is also included.
Figure 12.2 shows the general severity chart for bearing cap measurement
(filtered readings) developed first by H. G. Yates (1949) and reworked in 1964 by
IRD Mechanalysis [12.26]. It was used only as a guide in judging vibrations as a
warning of impending trouble. The diagram plots the peak-to-peak displacement
amplitude versus frequency as constant peak velocity lines, with a step of 2
between severity levels (1in s = 25.4 mm s) . Measurement of the peak-to-peak
vibration level was the current practice in the U.S.A. until 1974.
Meanwhile, the VDI Vibration Group developed the Guideline VDI 2056,
first released in 1960, then revised and completed in 1964 [12.27]. The vibration
intensity was defined by the root-mean-square of the vibration velocity. The
guideline was limited to mechanical vibrations above 5 Hz measurable at the
surface, at bearings or at fixing points.
An assessment scale was built up, starting from the average limit of human
perception, 0.112 mm s , and progressing in a ratio of 1.6 (4dB) for the limits of
12. VIBRATION LIMITS 167
vibration intensity levels. The reason was that experience has shown that a 1.6
times increase in the velocity is distinctly perceptible or detectable in its effects and
of importance for the stressing of the machine. A second improvement was the
differentiation of the four quality classes: A good, B allowable, C just
tolerable and D not permissible, for six different groups of machines.
The four groups of machines for which vibration intensity limits have been
suggested are the following: Class I (Group K) - individual parts of engines and
machines, integrally connected to the complete machine in its normal operating
condition; Class II (Group M) - medium sized machines (typically electrical
motors with 15 kW to 75 kW output) without special foundations, rigidly mounted
engines or machines (up to 300 kW) on special foundations; Class III (Group G) -
large prime-movers and other large machines with rotating masses mounted on
rigid and heavy foundations which are relatively stiff in the direction of vibration
measurements; Class IV (Group T) - large prime-movers and other large machines
with rotating masses mounted on foundations which are relatively soft in the
direction of vibration measurements (for example, turbogenerator sets and gas
turbines with outputs greater than 10 MW).
The vibration severity ranges for the four groups of machines are listed in
Table 12.1 [12.4]. The operating zones B and C cover double-step severity ranges.
Table 12.1
168 DYNAMICS OF MACHINERY
This section presents the vibration criteria suggested by the standard ISO
10816 presently in use.
The standard ISO 10816-1 [12.7] provides general guidelines that describe
criteria for the evaluation of vibration based on measurements made on the non-
rotating parts of the machine. These criteria, which are presented in terms of both
vibration magnitude and change of vibration, relate to operational monitoring and
acceptance testing.
This is Part 1 of a series of standards that has been written to: a) cover the
broadband frequency range of both low and high speed machines; b) set the
vibration criteria to include the various operational zones, irrespective of whether
they are increases or decreases; c) incorporate vibration criteria through a
worldwide survey; and d) include unique criteria and measurement procedures for
specific types of machines.
In addition to vibration velocity measurements, which were the primary
criteria in earlier Standards because they related to vibration energy, the ISO 10816
series also includes alternate criteria such as displacement, acceleration, and peak
values instead of r.m.s., as these criteria may be preferred for machines designed
for extra low or high speed operation.
12. VIBRATION LIMITS 169
The standard ISO 10816-2 [12.8] provides specific guidance for assessing
the severity of vibrations measured on the bearings or pedestals of large turbine
generating sets.
Table 12.2
The standard ISO 10816-3 [12.9] provides specific guidance for assessing
the severity of vibrations on bearings, bearing pedestals, or the housings of coupled
industrial machines when measured in situ. This standard covers the following
machines: steam turbines with power above 50 MW, compressors, industrial gas
turbines with power up to 3 MW, pumps with power up to 1 MW, generators,
electric motors of any type, and blowers with power greater than 300 kW.
Table 12.3
Support Zone Displacement Velocity
class boundary ( m ,r.m.s.) (mm s, r.m.s.)
A/B 37 2.3
Rigid B/C 72 4.5
C/D 113 7.1
A/B 56 3.5
Flexible B/C 113 7.1
C/D 175 11.0
Table 12.4
Fig. 12.3
The standard ISO 10816-4 [12.10] provides specific guidance for assessing
the severity of vibrations measured on the bearing housings or pedestals of gas
turbine sets. This standard applies to heavy-duty gas turbines used in electrical and
mechanical drive applications covering the power range above 3 MW, and a speed
range under load between 3000 and 20,000 rpm. Generally, the criteria apply to
both the gas turbine and the driven equipment. However, for generators above 50
MW, the criteria of ISO 10816-2 should be used, and for compressors in the power
range from 30 to 300 kW, the criteria of ISO 10816-3 should be used for assessing
the vibration severity.
The evaluation of zone boundaries based on bearing housing/pedestal
vibration for industrial gas turbines is given in Table 12.5. These criteria assume
that the gas turbines incorporate fluid film bearings, and the vibration
measurements are broadband values taken in situ under normal steady-state
operating conditions.
Table 12.5
The standard ISO 10816-5 [12.11] provides specific guidance for assessing
the severity of vibrations measured on bearings, bearing pedestals, or housings of
hydraulic machines when measured in situ. It applies to machine sets in hydraulic
power generation, and pump plants where the hydraulic machines have speeds
from 120 to 1800 rpm, shell- or shoe-type sliding bearings, and main engine power
of 1 MW or more. The position of the shaft line may be vertical, horizontal, or at
any arbitrary angle between these two directions.
This Standard includes: turbines and generators, pumps, and electrical
machines operating as motors, pump-turbines, and motor generators, including
auxiliary equipment (e.g., starting turbines or exciters in line with the main shaft).
The standard also includes single turbines or pumps connected to generators or
electric motors over gears and/or radially flexible couplings.
12. VIBRATION LIMITS 173
Vibration limits set by the Hydraulics Institute for horizontal clear liquid
pumps, measured on bearing housing are given in Fig. 12.5. Vibration tolerances
set by the Hydraulic Institute Application Standards B-74-1: 1967 [12.26] for
centrifugal pumps are shown for comparison in Annex A12.2.
The standard ISO 10816-6 [12.3] establishes procedures and guidelines for
the measurement and classification of mechanical vibrations of reciprocating
machines. In general, this standard refers to vibration measurements made on the
main structure of the machine, and the guide values are defined primarily to secure
a reliable and safe operation of the machine, and to avoid problems with the
auxiliary equipment mounted on the structure.
Table 12.6
Vibration Maximum levels of overall vibration
measured on the machine structure Machine vibration classification number
severity
grade Displacement Velocity Acceleration
m, r.m.s. mm/s,r.m.s. m/s, r.m.s. 1 2 3 4 5 6 7
boundary
1.1 to 1.8 -------17.8----- -----1.12---- -----1.76-----
Based on experience with similar machines, the damage that can occur
when exceeding the guide values is sustained predominantly by the machine-
mounted components (e.g., turbochargers, heat exchangers, governors, pumps,
filters, etc.), connecting elements of the machine with peripherals (e.g., pipelines),
or monitoring instruments (e.g., pressure gauges, thermometers, etc.). For rigidly
seated reciprocating piston engines, vibration levels are measured at the top edge of
the frame or cylinder cover. This standard generally applies to reciprocating piston
12. VIBRATION LIMITS 175
machines mounted either rigidly or resiliently with power ratings above 100 kW.
The vibration criteria for seven different classes of reciprocating machines are
presented in Table 12.6.
The class definitions are: 1) balanced opposed type rigidly mounted
reciprocating gas compressors; 2) multi-throw type rigidly mounted reciprocating
gas compressors; 3) single-throw type rigidly mounted reciprocating gas
compressors; 4) no example; 5) and 6) industrial and marine diesel engines (<2000
rpm); and, 6) and 7) industrial and marine diesel engines (>200 kW). The zone
descriptions are the same as in ISO 10816-2.
The values in Table 12.6 were derived from constant displacement in the
range 2 Hz to 10 Hz, constant velocity from 10 Hz to 250 Hz and constant
acceleration from 250 Hz to 1000 Hz. Vibration values for reciprocating machines
may tend to be more constant over the life of the machine than for rotating
machines. Therefore zones A and B are combined in this table. In future, when
more experience is accumulated, guide values to differentiate between zones A and
B may be provided.
as the basis for the evaluation of a new machine, in the absence of any other
established knowledge of the satisfactory running characteristics for a machine of
that type.
2) Changes in shaft vibration displacement, even though the limits in 1) are
not exceeded, may point to incipient damage or some other irregularity.
Consequently, such changes relative to a reference value should not be allowed to
exceed certain limits. If this reference value changes by a significant amount, and
certainly if it exceeds 25% of the reference level, steps should be taken to ascertain
the reasons for the change and, if necessary, appropriate action should be taken. In
this context, a decision on what action to take, if any, should be made after
consideration of the maximum value of vibration, and whether the machine has
stabilized at a new condition.
The standard ISO 10817-1 [12.32] describes the sensing device
(transducer), signal conditioning, attachment methods, and calibration procedures
for instrumentation to measure shaft vibration.
The standard ISO 7919-2 [12.19], based on VDI 2059-2 [12.14], provides
the special features required for measuring shaft vibrations on the coupled rotor
systems of steam turbine-generating sets for power stations, having rated speeds in
the range 1500-3600 rpm, and power outputs greater than 50 MW. Evaluation
criteria, based on previous experience, are presented which may be used as
guidelines for assessing the vibratory conditions of such machines.
Table 12.7
Shaft rotational speed, rpm
1500 1800 3000 3600
Zone boundary
Peak-to-peak relative displacement of shaft, m
A/B 100 90 80 75
B/C 200 185 165 150
C/D 320 290 260 240
The vibration levels specified here define four quality zones for both
relative and absolute shaft vibration measurement at, or close to, the main load-
carrying bearings, at rated speed and under steady state conditions. Higher levels of
vibration can be permitted at other measuring locations and under transient
conditions, such as start-up and run-down (including acceleration through critical
speed ranges).
178 DYNAMICS OF MACHINERY
Figure 12.7 shows for comparison the limit values for shut-down given in
VDI 2059-2 [12.14]. They represent maximum values of the radius of shaft
precession orbit, hence peak displacements. It can be noticed that the values in
Table 12.7 at the zone boundary C/D are almost the same, though they represent
peak-to-peak values, suggesting to multiply by 2 values in Tables 12.7 and 12.8.
The standard ISO 7919-3 [12.20], based on VDI 2059-3 [12.15], provides
guidelines for application of evaluation criteria based on shaft vibrations measured
close to the bearings under normal operating conditions. These guidelines are
12. VIBRATION LIMITS 179
presented in terms of both steady running conditions, and any changes that may
occur in these steady values.
4800
Zone limit A/B d A B (in m ) = ; (12.1)
n (in rpm )
9000
Zone limit B/C d B C (in m ) = ; (12.2)
n (in rpm )
13,200
Zone limit C/D dC (in m ) = . (12.3)
n (in rpm )
D
The numerical values specified in Fig. 12.8 are not intended to serve as the
only basis for acceptance specifications. In general, the vibratory condition of these
machines is usually assessed by consideration of both the shaft vibration and the
associated structural vibration. As a result, this Standard should be used in
conjunction with ISO 10816-3 [12.9]. The zone descriptions of Fig. 12.8 are the
same as in ISO 7919-2.
For comparison, the corresponding chart from the recommendations VDI
2059-3 [12.15] is reproduced in Annex A12.6.
The standard ISO 7919-4 [12.21] applies to heavy-duty gas turbines, used
in electrical and mechanical drive applications (including those with gears), with
fluid film bearings, power outputs greater than 3 MW, and shaft rotational speeds
under load from 3000 to 30,000 rpm. This includes gas turbines directly coupled to
other prime movers such as steam turbines. Aircraft type gas turbines are excluded,
since they differ fundamentally from industrial gas turbines, in the types of
bearings (rolling element), casing flexibility, mounting structure and rotor to stator
weight ratio.
Depending on the construction and mode of operation, there are three types
of industrial gas turbines: 1) single-shaft constant-speed; 2) single-shaft variable-
speed; and, 3) gas turbines having separate shafts for hot-gas generation and power
delivery.
Guidelines are given in Fig. 12.9 for the application of shaft vibration
criteria measured close to the bearings of industrial gas turbines under normal
operating conditions. The zone descriptions are the same as in ISO 7919-2.
Figure 12.9 is basically similar to Fig. 12.8 except for the range of
rotational speeds which starts at 3000 rpm. The three lines defining the zone
boundaries are defined by the same equations (12.1)-(12.3).
The corresponding chart from the recommendations VDI 2059-4 [12.16] is
given for comparison in Annex A12.7.
12. VIBRATION LIMITS 181
The standard ISO 7919-5 [12.22] lists the special features required for
measuring shaft vibrations on coupled hydraulic sets. This standard applies to all
types of hydraulic machines having nominal speeds between 60 and 3600 rpm,
with fluid film bearings and rated powers of 1 MW or more.
These machines may consist of turbines, pumps, pump-turbines,
generators, motors, and motor-generators, including couplings, gears, or auxiliary
equipment in the shaft line. The position of the shaft may be vertical, horizontal, or
at an arbitrary angle between these two directions.
It is not applicable to pumps in thermal power plants or industrial
installations, hydraulic machines or machine sets having rolling element bearings,
or hydraulic machines with water-lubricated bearings.
182 DYNAMICS OF MACHINERY
The guidelines are given for the application of shaft vibration criteria as
measured close to the bearings of coupled hydraulic sets, under normal operating
and steady state conditions, and any changes that may occur in these steady values.
The numerical values specified in Fig. 12.10 present rotor displacements
relative to the bearings vs. shaft rotational speed. It is limited to the range of
nominal rotational speeds from 60 to 2000 rpm. The zone descriptions are the same
as in ISO 7919-2.
For comparison, the corresponding chart from the recommendations VDI
2059-5 [12.17] is reproduced in Annex A12.8.
12. VIBRATION LIMITS 183
Figure 12.11 shows the flow diagram for selection of measurements and
evaluation of vibration severity.
184 DYNAMICS OF MACHINERY
Table 12.9
Dynamic ISO 10816 ISO 7019
Machine stiffness ratio, (pedestal) (shaft)
High pressure turbine 5 Moderate Good
Low pressure turbine 1.5 Moderate Good
Large generator 1.5 Moderate Good
High pressure centrifugal compressor 5 Not Good Good
Large fan 2/3 Good Moderate
Small fan & pump 1/3 Good Moderate
Vertical pump 1/10 Good Not Good
Large steam turbine generator set 1.5 to 3 Moderate Good
Figure 12.13 shows guidelines developed by the high speed gear industry
[12.35].
The following peak velocity limit values measured on the bearing caps of
gear boxes were recommended by Jackson [12.36]: smooth - 5 mm/s and less,
acceptable - 5 to 7 mm/s, marginal - 7 to 10 mm/s, planned shutdown repairs 10
to 15 mm/s, and immediate shutdown - 15 mm/s.
Table 12.10
16000
API 619 [12.43] nmax -
The limit lines in the chart correspond to constant values of the quantity
3
x 0 f , where x 0 is the displacement amplitude, and f is the frequency of
vibration. This is related to the vibration intensity Z according to the relationship
Z=
a02
f
= 16 4 x02 f 3 [ mm s ]
2 3
(12.4)
S = 10 log
Z
Zs
(
= 22 log x02 f 3 ) [vibrar] (12.5)
Values of both x02 f 3 and S are given for the three zone boundaries in
Fig. 12.14. For comparison, lines of constant peak velocity are indicated on the
chart, as well as the danger limit, according to the 1939 release of DIN 4150
[12.47]. It was considered [12.46] that little risk of damage is probable for values
of x02 f 3 less than 50 mm 2 s 3 , a limit that corresponds to S = 37.37 vibrar .
Table 12.11
Annex A12.1
Annex A12.2
Hydraulic Institute Application Standards B-74-1: 1967
Annex A12.3
In-service vibration severity criteria for centrifugal compressors
as a function of shaft speed Compressed Air and Gas Institute
194 DYNAMICS OF MACHINERY
Annex A12.4
12. VIBRATION LIMITS 195
Annex A12.5
Annex A12.6
Annex A12.7
Annex A12.8
References
12.1. Maedel, P. H. Jr., Vibration standards and test codes, Shock and Vibration
Handbook, 5th ed., Harris C. ed., McGraw-Hill, 2001, p.19.1-19.11.
12.2. VDI 2063, Measurement and evaluation of mechanical vibrations of
reciprocating piston engines and piston compressors, Sept 1985.
12.3. ISO 10816-6, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 6: Reciprocating machines with power
ratings above 100 kW, 1995.
12.4. VDI 2056, Beurteilungsmastbe fr mechanische Schwingungen von
Maschinen, Okt 1964.
12.5. ISO 2372, Mechanical vibration of machines with operating speeds from 10
to 200 rev s - Basis for specifying evaluation standards, Nov 1974.
12.6. ISO 2373, Mechanical vibration of certain rotating electrical machines with
shaft heights between 80 and 400 mm Measurement and evaluation of the
vibration severity.
12.7. ISO 10816-1, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 1: General guidelines, 1995.
12.8. ISO 10816-2, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 2: Land-based steam turbines and
generators in excess of 50 MW with normal operating speeds of 1500 r min ,
1800 r min , 3000 r min and 3600 r min , 2001.
12.9. ISO 10816-3, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 3: Industrial machines with nominal
power above 15 kW and nominal speeds between 120 r min and 15000 r min
when measured in situ, 1998.
12.10. ISO 10816-4, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 4: Gas turbine driven sets excluding
aircraft derivatives, 1998.
12.11. ISO 10816-5, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 5: Machine sets in hydraulic power
generating and pumping plants, 2000.
12.12. ISO 10816-7, Mechanical vibration Evaluation of machine vibration by
measurements on non-rotating parts, Part 7: Rotordynamic pumps for industrial
application, 2004.
12.13. VDI 2059 - Part 1, Shaft vibrations of turbosets. Principles for measurement
and evaluation, Nov 1981.
200 DYNAMICS OF MACHINERY
12.14. VDI 2059 - Part 2, Shaft vibrations of steam turbosets for power stations,
March 1983.
12.15. VDI 2059 - Part 3, Shaft vibrations of industrial turbosets, Nov 1981.
12.16. VDI 2059 - Part 4, Shaft vibrations of gas turbosets, Nov 1981.
12.17. VDI 2059 - Part 5, Shaft vibrations of hydraulic machine sets, Oct 1982.
12.18. ISO 7919-1, Mechanical vibration of non-reciprocating machines
Measurement on rotating shafts and evaluation criteria, Part 1: General
guidelines, 1996.
12.19. ISO 7919-2, Mechanical vibration of non-reciprocating machines
Measurement on rotating shafts and evaluation criteria, Part 2: Land-based
steam turbines and generators in excess of 50 MW with normal operating
speeds of 1500 r min , 1800 r min , 3000 r min and 3600 r min , 2001.
12.20. ISO 7919-3, Mechanical vibration of non-reciprocating machines
Measurement on rotating shafts and evaluation criteria, Part 3: Coupled
industrial machines, 1996.
12.21. ISO 7919-4, Mechanical vibration of non-reciprocating machines
Measurement on rotating shafts and evaluation criteria, Part 4: Gas turbine
sets, 1996.
12.22. ISO 7919-5, Mechanical vibration of non-reciprocating machines
Measurement on rotating shafts and evaluation criteria, Part 5: Machine sets in
hydraulic power generating and pumping plants, 1997.
12.23. Rathbone, T. C., Vibration tolerance, Power Plant Engineering, Nov 1939,
p.721-724.
12.24. Reiher, H. and Meister, F. J., Die Empfindlichkeit der Menschen gegen
Erschtterungen, Forschung auf dem Gebiete des Ingenieurwesens, vol.2,
no.11, 1931, p.381-386.
12.25. Blake, M. P., New vibration standards for maintenance, Hydrocarbon
Processing and Petroleum Refinery, vol.43, no.1, Jan 1964, p.111-114.
12.26. * A practical guide to in-plane balancing, IRD Mechanalysis, Technical
Paper No. 116, 1981.
12.27. Federn, K., Erfahrungswerte, Richtlinien und Gtemastbe fr die
Beurteilung von Maschinenschwingungen, Konstruktion, vol.10, no.8, 1958,
p.289-298.
12.28. Beebe, R. S., Predictive Maintenance of Pumps Using Condition
Monitoring, Elsevier, Oxford, 2004, p.93.
12.29. Niemkiewicz, J., Standards for vibrations of machines and measurement
procedures, Encyclopedia of Vibration, Braun, S., Ewins, D. and Rao, S.S.,
eds., Academic Press, London, 2002, p.1224-1238.
12. VIBRATION LIMITS 201
The unbalance in a machine may result from its design, from the
manufacturing process, from the assembly of multiple components or during
operation.
13.1.1 Definitions
In the case of couple unbalance, the shaft axis intersects the central
principal inertia axis at the rotor center of mass.
Couple unbalance is a condition created by a heavy spot at each end of a
rotor but on opposite sides of the centerline, as shown in Fig. 13.1, b. Sometimes it
206 DYNAMICS OF MACHINERY
a b
c d
Fig. 13.1
The diagram in Fig. 13.2 illustrates a vector solution [13.5] for single
plane balancing of a thin disc.
Fig. 13.2
A phase reference is marked on the disc. Then the disc is spun preferably
at the operating speed and the high side is marked on it. The measured response is
expressed by the complex displacement z0 whose magnitude is equal to the
measured amplitude and the phase is equal to the angle between the high side and
the reference timing mark.
Next, a trial mass mt is placed in any position (at 2700 in Fig. 13.2) and,
with the disc running at the same speed as before, the new high side is marked and
the response amplitude is measured. The response is expressed by the complex
13. BALANCING OF ROTORS 209
displacement z1 . It represents the effect of both the original unbalance and the
added trial mass. The vector difference z is then the effect of mt alone.
z0 = z0 0 = z0 R + i z0 I = z0ei 0 , (13.2)
z1 = a ( u + ut ) , (13.5)
or
i 1
z1 = z11 = z1R + i z1I = z1e . (13.6)
z = z1 z0 = z ei . (13.7)
If the trial mass is left in the rotor (when it is welded onto it), the
compensating mass produces a trim balance correction. The trim balance
correction vector is given by
z
utrim = ( u + ut ) = 1 . (13.13)
a
If the rotor response z1 is much larger than the original response
amplitude, not only should the trial mass be removed, but also the trial run to get
z1 should be repeated with either a reduced trial mass or a change in its angular
position.
Example 13.1
A rotor of 450 kg has a steady-state response amplitude of 75 m at a
phase angle of 2700 . A trial mass of 5 g is placed at a radius of 225 mm at a
position of 30 0 from the timing mark against rotor rotation. The steady-state
response with the trial mass on the rotor has an amplitude of 50 m at 170 0 .
Determine the correction balance [13.7].
Solution
The initial response is (Fig. 13.3)
z0 = 752700 = 0 i 75 .
The amplitude of the trial unbalance is
ut = mt rt = 5 225 = 1125 g mm .
The trial unbalance vector is
z0
u= = ( 0.8690 + i 0.0072 ) 103 = 869179.50 .
a
The correction unbalance
Fig. 13.3
Example 13.2
A rotor has a steady-state response amplitude of 3.4 mm s at a phase
angle of 1160 . A trial mass of 2 g is fixed to the rotor at the same angular position
as the reference mark. With the trial mass, the vibration velocity level is 1.8 mm s
at a phase angle of 420 . Determine the position and the magnitude of the
compensating mass necessary to balance the rotor [13.8].
Fig. 13.4
Solution
The initial response is (Fig. 13.4)
A compensation mass
z0 3 .4
mc = mt = 2 = 2.0117 g
z 3.3805
should be placed at an angle
Example 13.3
To balance the rotor statically, a machine was run up to its operating
speed and a vibration velocity level of 15 mm s was measured at a phase angle of
550 , after which the machine was stopped. A trial mass of 5 g was fixed to the
rotor at the same angular position as the reference mark. Then the machine was run
up to its operating speed again. The new vibration velocity level was 18 mm s at a
phase angle of 170 0 . Determine the position and the magnitude of the
compensating mass necessary to balance the rotor [13.8].
Solution
The initial response is (Fig. 13.5)
Fig. 13.5
trial run amplitude AT, BT, CT. The three trial run circles intersect at point T. The
line OT is drawn.
The correction mass is
mc = mt OT OA (13.14)
and its location is determined by the angle between the vector OT and the vector
opposite to OA, i.e. OC in this case. It must be placed to have the same phase lag
with respect to the first trial mass position.
Example 13.4
Sieberts construction from Fig. 13.6 is obtained using the following
measurement data. Original response amplitude OA = OB = OC = 20 m .
AT = 30 m - test run with trial mass at 00 . BT = 15 m - test run with trial mass
at 900 . CT = 43 m - test run with trial mass at 1800 .
Fig. 13.6
OA 20
mc = mt = mt = 0.625 mt
OT 32
and must be placed at 22.30 clockwise with respect to the second trial mass
position.
13. BALANCING OF ROTORS 217
First, the original unbalance readings z10 and z 20 are recorded for the two
bearings of the machine. It is assumed that they can be expressed in terms of the
unknown (required) values of unbalance u1 and u2 as
z10 = a11 u 1 + a12 u 2 ,
(13.15)
z 20 = a 21 u 1 + a 22 u 2 ,
z11 z10 z 21 z 20
a11 = , a 21 = . (13.17)
u t1 u t1
Finally, the trial mass is removed from the first correction plane and a trial
mass is added to the second correction plane. The resultant readings at both
bearings are again recorded.
If the first trial mass is assumed to be left in place, and a second trial mass
producing an unbalance u t 2 is added to the second correction plane, the resultant
readings z12 and z 22 are recorded at both bearings. They can be expressed using
the influence coefficients as
218 DYNAMICS OF MACHINERY
( ) (
z12 = a11 u 1 + u t1 + a12 u 2 + u t 2 , )
z 22 = a 21 ( u 1 + u t1 ) + a 22 (u 2 + u t 2 ) .
(13.18)
z12 z11 z 22 z 21
a12 = , a 22 = . (13.19)
ut2 u t2
If the first trial mass is removed, then z11 and z 21 should be replaced by
the original vibration readings z10 and z20 .
To balance the rotor, correction masses should be placed in planes 1 and 2
to generate vibrations equal in magnitude but opposite in direction to z10 and z 20 .
The values of uc1 and uc 2 represent the trim balance corrections required
if both trial masses are left in place.
If the computations are carried out using the original vibration readings
z10 and z20 , then the computed balances will correspond to the total original
balance correction required in the rotor
1
z11 z10 z12 z10
uc1 u u t 2 z10
= t1 . (13.22)
u
c2 z
21 z 20 z 22 z 20 z 20
u u t 2
t1
Example 13.5
For a machine with a rigid rotor supported in two bearings, vibration
velocity levels and phase angles have been measured as shown in Table 13.1. The
trial mass mt = 2.5 g was mounted on the rotor in turn, in the bearing plane 1 and
13. BALANCING OF ROTORS 219
bearing plane 2, at the same radius and angular position. Calculate the correction
masses and their positions [13.8].
Table 13.1
Vibration readings
Trial mass
Plane 1 Plane 2
None 7.2 mm/s 238 0 z10 13.5 mm/s 2960 z 20
2.5 g in Plane 1 4.9 mm/s 114 0 z11 9.2 mm/s 347 0 z 21
2.5 g in Plane 2 4.0 mm/s 79 0 z12 12.0 mm/s 2920 z22
Solution
The initial responses (Fig. 13.7) are
Fig. 13.7
220 DYNAMICS OF MACHINERY
Example 13.6
The initial vibration readings on a rigid-body rotor are
Solution
The initial responses are
z10 = 3.9043 + i 7.6627 , z20 = 5.8422 i 2.8494 .
The vibration readings at planes 1 and 2, due to the placement at plane 1
of the trial mass (at a unit radius) of unbalance u t1 = 0 i 10 , are
Example 13.7
The run-out readings taken on a rotor during coast down at a very low
speed are 0.5 m2720 and 0.4 m1230 at probe 1 and 2, respectively. They are
not produced by the unbalance, therefore should be subtracted in the balancing
calculation.
The initial vibration readings at design speed are
The trial mass is removed and placed at a relative phase angle of 2200 at
plane 2. The resulting vibration readings at planes 1 and 2 are
Solution
The initial responses are
The correction masses are 7.5 g at 850 in plane 1 and 5.3 g at 179.7 0 in
plane 2 clockwise.
If the second trial mass is left in the rotor, the trim balance is
u trim 2 = u c 2 u t 2 = 3.54116.30 .
u1 + u 2 u u
us = , ud = 2 1 . (13.24)
2 2
The u s components at the two planes are acting in the same radial
direction and generate a centrifugal force at the center of mass. They are equivalent
to a 2 u s unbalance applied at the rotor center of mass. The ud components are
acting 1800 out of phase to each other and create a couple which is a free vector.
224 DYNAMICS OF MACHINERY
The static and couple corrections can be carried out simultaneously, but they are
independent of each other.
The corresponding displacements, z1 and z 2 , can be resolved into the
static (in-phase) component and couple (out-of-phase) components
z1 + z 2 z 2 z1
zs = , zc = (13.25)
2 2
where z s defines the cylindrical mode and zc define the conical mode.
Example 13.8
The original readings on a two-disc rotor are 8 m1300 and 6 m300
at probe 1 and 2, respectively (Fig. 13.8). Determine the response to the original
static and couple unbalance [13.2].
Solution
The vibration readings in the two planes are
z1 = 5.1423 + i 6.1284 , z2 = 5.1622 + i 3.0000 .
Fig. 13.8
Even after balancing, any rotor will possess a certain residual unbalance.
Permissible residual unbalances are recommended in the standard ISO 1940/1
[13.12]. The standard includes a tentative classification of various types of
representative rotors. For each rotor group, a range of recommended balance
quality grades is given, relating the permissible residual unbalance to the maximum
service speed.
In general, the larger the rotor mass m, the greater the permissible
unbalance u per . The specific unbalance is defined as
u per
e per = . (13.26)
m
It corresponds to the mass eccentricity if the residual unbalance is a static
unbalance.
Practical experience has shown that for similar rotors, the specific
permissible residual unbalance e per is inversely proportional to the rotor angular
speed = (using the notation from ISO 1940/1)
e per = constant . (13.27)
6.3. Special conditions may require a better balance quality of G 4.0 to meet the
installation requirement in an area with low structure-borne noise limits [13.13].
The balance quality grades are designated according to the upper limit of
the product e given in millimeters per second (for measured in radians per
second). Plotted against the maximum operating speed, n, the upper limits of e per
are shown in Fig. 13.9.
Example 13.9
How large is the permissible specific residual unbalance e per in a rotor of
the balance quality grade G 6.3 for a service speed n = 3000 rpm ? Determine the
permissible residual unbalances in each of the correction planes if the rotor is
symmetrical and has 40 kg .
Solution
For n = 3000 rpm on the horizontal axis in Fig. 13.9, moving vertically to
the line G 6.3 , then horizontally to the left to the e per axis we obtain e per 20 m
(or 20 g mm kg ). This value can also be calculated. If G 6.3 means that the
permissible tangential velocity of the center of mass is 6.3 mm s , then
v per 6.3 6.3
e per = = = 0.02 mm = 20 m .
3000 314
30
For a rotor of mass m = 40 kg , the total permissible residual unbalance is
In Table 13.2 [13.12] the most common types of rigid rotor are listed in
groups with the same balance quality grade. The classification is only a
recommendation based on current experience and should be adhered to with care.
For a turbine rotor, a preliminary G-value is selected from Table 13.2 for
the specific application. Then this value is increased up to the next quality grade, as
a result of the unbalance produced by the installation of the coupling, bearing
configuration, salt deposits, corrosion of shaft components, cavitation and thermal
bending. The total permissible unbalance is calculated as shown above.
13. BALANCING OF ROTORS 227
Table 13.2
13. BALANCING OF ROTORS 229
The result can be used even for flexible rotors. Using a finite element
model of the rotor, the first modes of bending vibration are calculated, usually all
modes below the machine trip speed and the mode just above the trip speed. Then,
the worst unbalance distribution for each mode is considered, dividing the total
unbalance into suitable individual unbalance components located so that to produce
a maximum response in the respective mode of vibration. The calculated
amplitudes of the unbalance response are then compared to limit values given by
guidelines and standards.
Flexible rotors running at speeds far below the first critical can be
considered as not being deformed by unbalances and the motion in the two rigid-
body modes of precession can be cancelled by balancing in two planes. For speeds
higher than about half of the first critical, unbalances bend the rotor setting up new
centrifugal forces in addition to the ones balanced by two plane corrections.
The influence coefficient method can be extended to multimass flexible
rotors [13.14]. The aim is to determine those correction masses in a predetermined
set of planes which will minimize measured vibration readings at a series of
sensors and speeds, as predicted by the influence coefficients, relating vibration
readings to mass additions. The influence coefficients are determined
experimentally by applying trial masses to the rotor at one location at a time and
measuring the rotor response at each station where balance masses are to be placed.
The modal method [13.15] aims to balance the rotors, one mode at a time,
by placing proper masses at the antinodes. The set of masses is specifically selected
to leave the already balanced lower modes undisturbed. A unified balancing
approach procedure has been developed [13.16]. It involves the calculation of
modal trial mass sets, employing data derived as in the influence coefficient
method. In general, the number of planes required for the modal trial mass set is
one more than the number of modes which must not be affected.
There are two schools of thought regarding the number of balancing planes
needed at speeds comparable with the critical speeds. One [13.17] is satisfied with
N planes when the Nth critical speed is reached, the other [13.18] stipulates N + 2
planes.
Consider a rotor with a single major mass M (Fig. 13.10) and with an
arbitrary unbalance
uk = mk ek . (13.29)
The displacement of the major mass is
w1 = 11F1 + 1k Fk (13.30)
Solving for the deflection at the major mass station for a series of
unbalances uk
w1 = 1k uk 2 . (13.33)
1 2 M 11
The balancing requirement that ensures zero displacement at the major
mass station is
1k uk = 0 . (13.34)
2 (M w1 + mk ek ) = 0 . (13.36)
uk = 0 . (13.37)
This reduces to
l k uk = 0 . (13.39)
1
ub1 =
11
1k uk . (13.40)
Although the amplitude at the major mass station has been reduced to zero,
the transmitted bearing forces are nonvanishing. In order to eliminate the
transmitted bearing forces due to unbalance, as well as reduce the rotor amplitude
of motion while passing through the first critical speed, two additional balance
planes are required. Let ub 2 and ub3 be two additional balance corrections by
masses placed on the rotor. The balance corrections are given by
ub1 + ub 2 + ub3 = u k ,
12 1
ub1 +
11
ub 2 + 13 ub3 =
11 11
1k uk .
232 DYNAMICS OF MACHINERY
a b c d
e f g h
i j k l
m n o p
q r s t
Fig.13.11 (from [13.18])
13. BALANCING OF ROTORS 233
The end result of such balancing is subject to small errors, as higher order
unbalance terms, or eigenforms remain uncompensated.
The accuracy can be much improved if the rotor is balanced as a rigid rotor
at low speed. This means that two more balance planes are required (using the
N + 2 plane method), as shown in Fig. 13.11, q, where the five planes are
indicated as I, II, III, IV, V. The individual sets of unbalance masses are then
statically in balance, i.e. the sum and the static moment of the unbalances are zero.
The locations of balance masses are shown in Figs. 13.11, r, s, t. Their magnitudes
and angular positions are measured in the neighbourhood of the critical speeds nk1 ,
nk 2 , nk 3 . One set of masses affects only the deflection of one particular
eigenform. Each set is both statically and dynamically compensated. The method
includes balancing the rotor at low speeds as a rigid rotor. The sets of masses no
longer affect the balance of the rigid rotor.
References
Consider the effect of fluctuating gas pressure in the engine cylinder. Any
inertia effect is excluded, by assuming that the engine is turning over very slowly at
a constant speed [14.1].
238 DYNAMICS OF MACHINERY
Let P be the pressure force on the piston, which is variable with the time
(or with the crank angle = t ). The gas pressure pushes the piston downward and
presses upward against the cylinder head so that when the entire engine is
considered, the resultant in any direction would be zero.
a b
Fig. 14.1
However, the force P results in a torque about the crankshaft, called the
gas-pressure torque. Indeed, the piston force P (force F1 ) is transmitted to the piston
pin C (or through the piston rod to the crosshead). Neglecting friction, the force F1
is held in equilibrium by the forces F2 = P tan and F3 = P cos . The forces F1 ,
F2 , F3 of Fig. 14.1 are acting on the piston pin (or crosshead). The reaction force to
F2 acts to the right on the guide or frame (Fig. 14.1, b).
P
Tp = d = P y tan . (14.1)
cos
The force F5 = P cos is taken up by the main bearings at O and can be
resolved into a vertical component F6 = P and a horizontal component
F7 = P tan .
The four forces transmitted to the stationary parts of the engine are: a) P
upward on the cylinder head; b) P tan to the right on the cylinder or the crosshead
guide; c) P downward on the main bearings at O; and d) P tan to the left on the
main bearings at O (Fig. 14.1, b).
The total resultant force on the frame is zero, but there is a resultant torque
P y tan acting clockwise. By the law of action and reaction, this torque must be
equal and opposite to the driving torque d P cos on the crankshaft (acting
anticlockwise in the direction of rotation).
Thus the gas pressure in the cylinder do not causes any resultant force on
the engine frame, but produces only a torque about the longitudinal axis.
Assume that the piston executes a vertical alternating motion. While the
piston is accelerated downward, there is an upward inertia force F y acting on it
(Fig. 14.2, a), and this force must have a reaction F y pushing downward against
the stationary parts of the engine, which is not balanced internally.
The piston is accelerated downward by a force F 3 = F y cos along the
connecting rod. The force F4 on the crank pin exercises a torque about the
crankshaft axis
Fy
Ti = F4 d = d. (14.2)
cos
Since the piston acceleration is alternating, this inertia torque is also
alternating. The clockwise torque
Ti = F4 d = F2 y
a b
Fig. 14.2
There are also inertia forces of the rotating parts (the crank and the parts
revolving with it). These can be reduced to zero by counterbalancing the crankshafts.
Figure 14.3 shows the finite element model of a crankshaft in which the
counterweights can be seen.
Fig. 14.3
14. RECIPROCATING MACHINES 241
Denote l - length of the connecting rod and r crank radius (Fig. 14.4).
Suppose that C and A initially coincide to D (top dead center) and A' , respectively,
in the line of stroke OD [14.2].
Fig. 14.4
r2
s = r ( 1 cos ) + sin 2 ,
2l
or
r2
s = r ( 1 cos ) + ( 1 cos 2 ) ,
4l
r 2 r
s = r + r cos t + cos 2 t . (14.5)
4l 4l
The velocity of the piston is
ds r
v= = r sin t + sin 2 t .
dt 2 l
The acceleration of the piston is
dv r
a= = r 2 cos t + cos 2 t . (14.6)
dt l
Note that one term varies with the same frequency as the rotation; this is
called the primary term. The term which varies at twice the frequency of rotation is
called the secondary term. The importance of the secondary term is established by
the crank-connecting rod ratio r l . For a connecting rod of finite length, the motion
of the piston is periodic but not harmonic.
m2 h = m c , (14.7)
m k G2 = m1c 2 + m 2 ( h c )2 ,
where k G is the radius of gyration of the rod about the piston pin.
14. RECIPROCATING MACHINES 243
Ti = mt a y tan =
r . (14.10)
= mt r 2 cos t + cos2 t (l cos + r cos t ) tan
l
Replacing
r
tan sin t , cos 1.0 ,
l
equation (14.10) becomes
r r
Ti = mt r 2 2sin t cos t + cos 2 t 1 + cos t . (14.11)
l l
Multiplying out and omitting higher powers of r l yields
r r
Ti = mt r 2 2 sin t cos t + sin t cos 2 t + sin t cos 2 t (14.12)
l l
Using the trigonometric relations
1
sin t cos 2 t = ( sin 3 t sin t ) ,
2
1
sin t cos t = sin 2 t , (14.13)
2
1
cos 2 t = ( 1 + cos 2 t ) ,
2
equation (14.12), giving the inertia torque about the crankshaft, reduces to
1 r 3r
Ti = mt r 2 2 sin t sin 2 t sin 3 t . (14.14)
2 2l 2l
The engine-frame torque differs from the reverse of the crankshaft torque
by the magnitude of the so-called residual couple. This is an inertia couple due to the
connecting rod. It corrects for the error in the angular acceleration of the connecting
rod which is introduced when the common assumption is made that the mass of the
connecting rod is borne at the piston pin and crankpin in inverse proportion to the
distances of these points from the center of gravity of the connecting rod.
The residual couple of the connecting rod usually is negligible in in-line
engine cylinders but is taken into account in radial engine dynamics.
If the pressure variation throughout the cycle of the machine is known, it is
possible to evaluate the gas-pressure torque (14.1) as a function of the crank angle
. This calculation is based on the pressure-volume diagram for a typical cylinder,
obtained from the pressure-volume card obtained experimentally.
14. RECIPROCATING MACHINES 245
From the diagram of the cylinder pressure vs. crank angle (Fig. 14.6, a) the
resulting gas-pressure torque can be calculated as a function of crank angle, hence
time (Fig. 14.6, b).
a b
Fig. 14.6 (after [14.3])
T p = b0 + a1 2 sin + b1 2 cos + a1 sin + b1 cos +
2 2
(14.15)
3 3
+ a3 2 sin + b3 2 cos + a 2 sin 2 + b 2 cos 2 + ....
2 2
(
Fy = mt r 2 b1 cos t + b 2 cos 2 t + b4 cos 4 t + b 6 cos 6 t + .... ) (14.16)
where
246 DYNAMICS OF MACHINERY
1 3 15 5
b1 = 1 , b2 = + + + ... ,
4 128
1 3 9 5
b 4 = 3 + 5 + ... , b6 = , (14.17)
4 16 128
and
r
= . (14.18)
l
It contains only even higher order components.
The inertia torque (14.14) has the form
( )
Ti = mt r 2 2 a1 sin t + a 2 sin 2 t + a3 sin 3 t + a 4 sin 4 t + .... (14.19)
where
1 1 15 5 1 1
a1 = + 3 + + ... , a 2 = + 4 + ... ,
4 16 512 2 32
3 9 81 5 1 7
a 3 = + 3 + + ... , a 4 = 2 + 4 + ... , (14.20)
4 32 512 4 32
5 3 75 5 3
a5 = + + ... , a 6 = 4 + ... .
32 512 32
In the single-cylinder engine there will always be the unbalance due to the
translating mass mt . In the multi-cylinder engine, the unbalance due to mt can be
cancelled by the proper angular spacing of the cranks.
By combining several cylinders acting on the same drive shaft into a single
rigid frame, it is possible to balance out some of the important harmonics in the
forces and the moments of the individual cylinders. Although many configurations
are possible (see Table 4.1), we will here discuss only the in-line machine, in which
n identical cylinders are equally spaced along a straight line, as shown in Fig. 14.7.
14. RECIPROCATING MACHINES 247
Let the crank position (offset angle) be defined by j with respect to the
first crank ( 1 = 0 ) .
Based on equations (14.9) and (14.14), the inertia unbalance of a
counterbalanced multi-cylinder engine consists of a vertical force of magnitude
n
cos ( t + ) + l cos 2 ( t + )
r
Fi = mt r 2 j j (14.21)
j =1
and a yawing moment
n
r
2l sin ( t + ) sin 2 ( t + ) 2l ( )
1 3r
M y = mt r 2 2 j j sin 3 t + j .(14.22)
2 j =1
n
M z = mt r 2 c j ( )
cos t + j +
r
( )
c j cos 2 t + j , (14.23)
j =1
l
where c1 = 0 .
Table 14.1
Table 14.1 [14.5] illustrates the forces and couples developed by some
multi-cylinder machines for different crank arrangements and numbers of cylinders.
It applies to machines having the same bore and strike for each cylinder. For
compressors at which the bore and strike of the cylinders are not all the same, Table
14.1 should not be used. The unbalanced forces and couples should be computed for
each cylinder and the results superposed.
In multi-cylinder engines and compressors, the net forces and torques are
modified by the cancellation of harmonics among events in the different cylinders.
This cancellation is achieved by the arrangement of cylinders, positioning of cranks
14. RECIPROCATING MACHINES 249
Fig. 14.8
a b
c d
Fig. 14.10 (from [14.7])
254 DYNAMICS OF MACHINERY
Worthy of note are the large amplitude components 2X and 2X. The first
is produced by the unbalanced pitching moment M 2 V , the second corresponds to the
ignition rate in five cylinders. Diesel engine-electric generator alignment was
checked during measurements to minimize the misalignment-induced 2X spectral
component.
The harmonic 5X can be produced by the rockers or by the unbalanced
rolling moment M 5 R . The 7X component corresponds to the impact rate of the
camshaft (two cams/cylinder for valves plus one cam/cylinder for injection). The
X 2 component, which corresponds to the ignition rate in a cylinder and to the
camshaft speed, is associated with irregularities in the injection timing.
In order to explain the relatively large amplitude of components 2X and
2X, measurements were performed at various engine speeds, at a point near the
cylinder covers, with the engine in idling condition.
At 500 rpm (Fig. 14.10, a) the component 2X has the highest level, while
2X is slightly lower. At 600 rpm (Fig. 14.10, b), the component 2X occurs at 25
Hz, with a level three times higher than at 500 rpm. At 680 rpm (Fig. 14.10, c) 2X
occurs at 28.3 Hz, having a level 2 times lower than at 600 rpm, while the
component 2X increases to 5 mm s . At 750 rpm (Fig. 14.10, d), 2X decreases to
8.5 mm s , while 2X, which now occurs at 25 Hz, increases to 12 mm s , having the
highest level.
It was concluded that, at 25 Hz, a structural resonance occurs, excited at
600 rpm by the component 2X and at 750 rpm (the rated speed), by the component
2X.
Measurements have shown that the relative level of the 2X and 2X
components decreases at points located in the middle of the engine, both at the
engine mounting feet level and at the top edge of the frame (Fig. 14.11). The
relatively low frequency of the recorded vibrations and the amplitude maps plotted
along the height and the length of the engine excluded consideration of lateral
resonances of the flexible engine frame, in the so-called H-shape and X-shape modes
of vibration.
It was concluded that the resonance is a rigid body resonance of the whole
engine-generator set on the flexible engine room floor structure.
The main cause of engine vibration does not lie, in this case, in the engine
itself, but in the insufficient stiffness of its supporting structure. Location of the
engine with the middle on a local transverse stiffener was not sufficient to prevent
the pitching vibrations induced by the unbalanced moment M 2 V . Supplementary
stiffeners have been added, to transmit the load from the engine base to adequate
bulkhead plating and deck stiffeners, which eliminated the resonance condition.
14. RECIPROCATING MACHINES 255
Figure 14.15 shows a typical compressor cross section and the customary
nomenclature. The cylinder is connected to the compressor frame via the distance
piece and the crosshead guide, both of which have flexibility in axial, transverse, and
torsional direction, and each of which is of rather complicated geometry. Their
14. RECIPROCATING MACHINES 257
crank end internal cylinder pressure times the area of the crank end head. The
internal cylinder pressure force is plotted versus crank angle in Fig. 14.18.
The compressor inertial force versus crank angle (time) is nearly sinusoidal
(broken line in Fig. 14.18). As a result, depending on the connecting rod length to
stoke ratio, the amplitude of the second harmonic is about 20% of the fundamental.
There are no significant harmonics above two times crank shaft speed. The gas force
plus the inertial force represents the total load (solid line).
The magnitude and shape of the flow pulses through the compressor valves
are determined by the physical, geometrical and mechanical characteristics of the
compressor (rotational speed, bore, stroke, loading, compression ratio, etc.).
The velocity of the piston is approximately sinusoidal in shape, due to the
finite ratio of connecting rod length to crank radius. Since the flow is based on the
product of the piston velocity and the piston swept area, the shape of the discharge
262 DYNAMICS OF MACHINERY
flow curve at the piston face is of the same shape as the piston velocity curve. Two
simplified examples are shown in Figs. 14.22 and 14.23.
Figure 14.22, a shows the discharge valve flow versus time for a single-
acting cylinder. During compression, the suction and discharge valves are closed.
When the pressure in the cylinder reaches the discharge back pressure, the discharge
valve opens, and the flow versus time (or crank angle) wave through the valve has
the shape of the corresponding portion of the piston velocity curve (a quarter of a
sinusoid for l r = ). As the cylinder reaches the top dead center, the discharge
valves close, and the flow returns to zero.
A frequency analysis of the flow wave is shown in Fig. 14.22, b. Due to the
repetitive action of the compressor cylinder, excitation is generated only at discrete
frequencies, which are integer multiples of the running speed. The highest harmonic
amplitude occurs at 1 running speed (for a single cylinder end), with the levels
decreasing at higher harmonics.
For a double acting cylinder ( l r = 5 and no valve loses), the flow versus
time diagram contains two flow slugs slightly different and not 180 0 apart in time
(Fig. 14.23, a). The cylinder produces flow excitation at all integer harmonics of
running speed as shown in Fig. 14.23, b.
Assuming no interaction between the piping (i.e., no reflected acoustic
waves), the pressure wave out of the cylinder takes on a shape, as a function of the
crank angle, as shown in Fig. 14.24.
Figure 14.25, a shows the p-V diagram for a cylinder which is not affected
by pulsations, while Fig. 14.25, b shows a diagram distorted due to pulsation. For
this type of p-V card, the discharge pressure is higher than desired, and the suction
pressure is lower. The valve opening and closing times are also distorted. The
capacity is lower than calculated for the ideal case, resulting in decreased efficiency.
a b
Fig. 14.25 (from [14.11])
264 DYNAMICS OF MACHINERY
Actual dynamic pressure data taken from a natural gas compressor is shown
in Fig. 14.26 as pressure-volume (p-V diagram) and pressure-time data.
Notice that the ideal p-t wave (Fig. 14.24) and the actual p-t wave (Fig.
14.26) are definitely non-sinusoidal, which results in pressure pulsations at the
higher harmonic frequencies, as seen in the overlaid frequency spectrum. Comparing
the p-V card with an ideal p-V diagram in Fig. 14.25 one can notice the dynamic
character during the discharge (top of the curve). This distortion of the p-V diagram
14. RECIPROCATING MACHINES 265
comes from acoustic resonances of the discharge piping as the pressure pulses are
reflected back into the cylinder. Strong acoustic responses of the piping can distort
the p-V card resulting in compressor overloading.
The complex interaction which occurs between the piping and compressor
can cause a variety of actual p-V cards among different cylinders and compressors.
Considering the phasing of pressure waves resulting from multiple compressor
cylinders operating with head-ends and crank-end pockets, the shape and frequency
content of pressure-time waves can become very complex. The interaction of the
piping with the cylinders further distorts the picture since these pressure pulses can
excite acoustic natural frequencies (resonance).
Acoustic resonances
The existence of quarter and half-wave modes alone do not constitute
resonances. Resonance occurs when a compression wave is generated at a frequency
equal to an acoustical natural frequency. The build up in amplitude occurs because a
reflected wave arrives at the proper time to reinforce the wave at the compressor.
The arrival of the reflected wave is dependent upon the path length of the piping
elements. Therefore, the standing wave pattern amplitude is reinforced so that the
actual maximum pulsating wave amplitude is substantially greater than the induced
level. Since the large pressure amplitudes are the element of most concern, the
pressure antinodes are the areas of concern.
Figure 14.30 illustrates how the response of an acoustic system varies with
the excitation frequency. The figure shows a piston operating in a pipe with a closed
end opposite the piston. Since this system behaves as a closed-closed pipe, the
resonant frequencies are n a 2 L , which for the given dimensions occur at 20, 40, 60,
80, and 100 Hz. The plot in the figure represents the pressure amplitudes at point A,
located at the piston, as the piston excitation frequency is varied from 0 to 100 Hz.
As the frequency increases, the resonant amplitudes decrease. This is
because the lowest modes, starting with the fundamental, have the most energy and,
thus, are more dangerous. The responses at the nonresonant frequencies are small but
nonzero.
At points A and C, the peak pressures at resonance are approximately equal,
while at point B, the only resonances observed are at 40 and 80 Hz, which are the
even-numbered modes, for which point B is a pressure node.
14. RECIPROCATING MACHINES 269
Helmholtz resonators
The side-branch resonator (Fig. 14.31, a) can be an effective dynamic
absorber in an acoustic system. It is a choke-volume system which, attached to a
pipe, creates an antiresonance. For long neck resonators
a A
fr = , = . (14.27)
2 V L +1 2 A
Its use should be limited to constant speed systems where the resonator is
tuned to a major frequency of pulsation. The resonator will pull pulsation energy out
of the main line. However, the pulsations will be amplified in the resonator. It must
be mechanically restrained to prevent vibrations in the cantilever mode.
Acoustic resonances of the nozzles to a filter bottle in a reciprocating gas
compressor generally have a strong response, because the pulsating flow from the
cylinder flows directly into the nozzle. The nozzle and cylinder are similar to the
elements of a Helmholtz side branch resonator, where the cylinder internal passages
and clearance pockets form the volume and the gas in the nozzle is the oscillating
mass. The nozzle resonant frequency can be estimated from the equation for the
Helmholtz resonator (14.27). Because the cylinder generates strong pressure pulses
over a range of harmonic frequencies, the probability is high that one of the
harmonic frequencies will match the nozzle resonant frequency.
In high flow, multi-cylinder compressor stages where several cylinders
discharge into a surge volume or filter bottle, nozzle resonances may be near the
bottle passbands simply because of typical dimensions.
Surge volumes
A surge volume (Fig. 14.31, c) can be quite effective in attenuating
pulsations of a compressor, particularly if it can be located near the discharge flange.
272 DYNAMICS OF MACHINERY
Although it has qualities similar to a filter, it is not a true filter. The maximum
attenuation of the outlet pulsations occur away from the resonant frequency.
The attenuation factor is approximately
2
pin 1 1
= 1+ m , (14.28)
pout 4 m
D2
where the expansion ratio m = and d inlet diameter, D bottle diameter.
d2
The resonant frequency is
a 1 + 2
fr = , (14.29)
2 V
where
Aj
j = , (14.30)
L j + 1 2 Aj
Ac 1
fH =
a + 1 , (14.31)
2 Lc V1 V 2
where Lc = L c + 0.6 d c , d c - the choke diameter, L c - the length of choke tube,
A c - the area of choke tube, V 1 - the volume of primary bottle and V 2 - the volume
of secondary bottle.
For equal volumes, the Helmholtz frequency is approximately [14.11]
274 DYNAMICS OF MACHINERY
a c
fH = . (14.32)
2 V1
Ac
c = . (14.33)
Lc + 1 2 Ac
Dissipative devices
The most frequently employed dissipative device is the orifice plate. Forcing
the flow through small openings, substantial pressure drops can be obtained.
Orifices are the cheapest pulsation control device and the one most amenable
to quick fix solutions. If a pulsation problem is uncovered in the field, it is
relatively easy to add an orifice to the system (usually at a flange), compared to
adding an accumulator or acoustic filter. Of course, the likelihood that simply
placing an orifice in the most available location will solve the problem is not very
high. Their sizing and placement has to be guided through an accurate acoustic
simulation of the entire system.
The effectiveness of dissipative devices is frequency-dependent. Their
performance is better at high frequencies. Orifices are most effective when placed at
or near the location of a velocity antinode in the mode shape of the mode to be
attenuated. In order to provide some appreciable damping to the system, the orifice
diameter should be not larger than one-half of the pipe diameter [14.15].
support structure to change its natural frequency or to revise the piping layout to
change the location where the harmonic force is applied.
where k = I A is the radius of gyration, inches, and L is the length of span, ft (!).
Note that this equation does not include the weight of the fluid and the
insulation. The frequency factors, , for calculating the first two natural frequencies
for ideal straight piping spans are given in terms of the overall span length in Fig.
14.34.
Piping bends
The natural frequencies of selected pipe configurations with piping elbows
(L-bends, U-bends, Z-bends, and three dimensional bends) were calculated using the
ANSYS finite element program to generate frequency factors for the first two modes
of vibration. Values are given in Fig. 14.34 for bends with equal span length and a
total length L, calculated using a curved beam (elbow) element at corners. Frequency
factors for a range of bend aspect ratios are published in reference [14.17].
f
f1 = . (14.37)
P1
1+
W
If the second weight in the span is considered by itself, the equation is
f
f2 = . (14.38)
P2
1+
W
The frequency for the span with both weights is given by the following
equation
1
f 12+ 2 = . (14.39)
1 1 1
+
f12 f 22 f 2
With the above approach, clamp spacings can be selected which ensure that
the piping spans will be resonant above some selected frequencies. Table 14.2
[14.13] gives the recommended maximum clamp spacing for minimum natural
frequencies from 10 to 50 Hz.
For complicated piping configurations a finite element analysis is required.
These include flange flexibilities, flexibility of structures on which pipe supports are
mounted, branch connection flexibilities, dynamic pipe-soil interaction, compressor
frame flexibility, etc.
Table 14.2
The ANSI/ASME Code OM3-1987 [14.21] uses this stress versus cycles-to-
failure curve as a basis for specifying criteria for evaluating the vibration-induced
stresses in nuclear power plant piping for preoperational and startup testing. The
code defines the allowable fatigue stresses as 0.8 times the allowable alternating
stress intensity at 10 6 cycles which is 13,000 psi zero-to-peak (89.5 MPa).
The vibration-induced dynamic stresses in a piping span vibrating at
resonance has been shown to be related to the maximum vibration amplitude in the
span [14.18]. The relationship is given by the equation below
D
= Kd y (SCF ) , (14.40)
L2
where dynamic stress, psi, K d deflection stress factor, y maximum vibration
amplitude measured between nodes (normally at supports), mils, D outside pipe
diameter, inches, L span length, ft, SCF stress concentration factor
( 1 psi = 6.895 kPa , 1 ft = 0.3048 m , 1in = 25.4 mm ).
where dynamic stress, psi, v is the maximum velocity in the pipe span, in sec .
Some velocity stress factors are given in Fig. 14.34 for ideal straight spans and
piping bends with equal legs. Values for different leg length ratios are presented in
reference [14.17].
The actual velocity is a function of the fatigue limit and is given in equation
(14.44) where a safety factor (usually 2) is included to account for system unknowns
a
v= . (14.44)
K v SF SCF
Based on an allowable fatigue limit of 13,000 psi zero-to-peak, a maximum
velocity stress factor of 318, a stress concentration factor of 5, and a safety factor of
2, the allowable zero-to-peak velocity is equal to [14.17]
13000
va = = 4 in sec . (14.45)
318 2 5
For spans with weights, the allowable velocity is [14.22]
va = 2 in sec 50 mm s . (14.46)
References
14.1. Den Hartog, J. P., Mechanical Vibrations, 4th ed., Dover, New York, 1985.
14.2. Thompson, W. T., Vibration. Theory and Applications, George Allen &
Unwin, London, 1966.
14.3. Magrath, H. A., Rogers, O. R., and Grimes, C. K., Shock and vibration in
aircraft and missiles, Ch. 47 in Shock and Vibration Handbook, C. M. Harris and
Ch. E. Crede, eds., McGraw-Hill, New York, 1961.
14.4. Crandall, S. H., Rotating and reciprocating machines, Ch. 58 in Handbook of
Engineering Mechanics, W. Flgge, ed., McGraw-Hill, New York, 1962.
14.5. Richart, F. E. Jr., Hall, J. R. Jr. and Woods, R. D., Vibrations of Soils and
Foundations, Prentice Hall, Englewood Cliffs, N.J., 1970.
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Verbrennungskraftmaschine, Die Verbrennungkraftmaschine, Neue Folge, Band
2, Springer, Wien, 1981.
14. RECIPROCATING MACHINES 285
14.7. Rade, M., Diagnosis of an auxiliary diesel engine vibration problem with
signature analysis, Machine Vibration, vol.1, 1992, p.58-63.
14.8. * Reciprocating Compressors for Petroleum, Chemical, and Gas Industry
Services, ANSI/API Standard 618, 5th ed., 2007.
14.9. Bloch, H. P., Compressors and Modern Process Applications, Wiley, New
York, 2006.
14.10. Lifson A. and Dube, J. C., Specifying reciprocating machinery pulsation and
vibration requirements per API-618, American Gas Association
Distribution/Transmission Conference, Las Vegas, Nevada, May 4-6, 1987.
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Systems, Engineering Dynamics Incorporated, Technical Report EDI 85-305, 2nd
ed., 2nd Printing, 1988.
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piping systems, Proc. 23rd Turbomachinery Symposium, Texas A&M University,
College Station, Texas, 1994, p.243-272.
14.13. Atkins, K. E., Pyle, A. S. and Tison, J. D., Understanding the pulsation and
vibration control concepts in the new API 618 Fifth Edition, 2004 Gas Machinery
Conference, Albuquerque, New Mexico, Oct. 4-7, 2004
14.14. Corbo, M. A. and Stearns, Ch. F., Practical design against pump pulsations,
Proc. 22nd International Pump Users Symposium, Turbomachinery Laboratory,
Texas A&M University, Feb.28-March 3, 2005, p.137-177.
14.15. Price, S. M., and Smith, D. R., Sources and remedies of high-frequency piping
vibration and noise, Proc. 28th Turbomachinery Symposium, Texas A&M
University, College Station, Texas, 1999, p.189-212.
14.16. Wachel, J. C., Piping vibration and stress, Proc. Machinery Vibration
Monitoring and Analysis Seminar , Vibration Institute, April 1981.
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Proc. 19th Turbomachinery Symposium, Texas A&M University, College
Station, Texas, 1990, p.119-134.
14.18. Wachel, J. C, Displacement method for determining acceptable piping
vibration amplitudes, International Pressure Vessels and Piping Codes and
Standards, PVP-vol.313-2, ASME 1995, p.197-208.
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stresses and failures, Pressure Vessels and Piping Conference, Orlando, Florida,
June 27 July 2, 1982, ASME Bound Volume No.H00219, 1982.
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1969.
286 DYNAMICS OF MACHINERY