Stability of Cracked Rotors in the

Coupled Vibration Mode

G. A. Papadopoulos
A. D. Dimarogonas
Department of Mechanical Engineering,
Washington University,
St. Louis, MO 63130

A transverse surface crack is known to add to a shaft a local flexibility due to the
stress-strain singularity in the vicinity of the crack tip. This flexibility can be
represented, in the general case by way of a 6x6 compliance matrix describing the
local flexibility in a short shaft element which includes the crack. This matrix has
off-diagonal terms which cause coupling along the directions which are indicated by
the off-diagonal terms. In addition, when the shaft rotates the crack opens and
closes. Then the differential equations of motion have periodically varying stiffness
coefficients and the solution can be expressed as a sum of harmonic functions of
time. A method for the determination of the intervals of instability of the first and
of second kind is developed. The results have been presented in stability charts in the
frequency vs. depth of the crack domain. The coupling effect due to the crack leads
to very interesting results such as new frequencies and vibration modes.

Introduction
Propagating fatigue cracks can have detrimental effects on
the reliability of rotating machinery such as turbomachinery,
helicopter rotors, process machinery, etc. In turbomachinery
for power generation, for example, the energy crisis of the early 70's led to a considerable slow-down in the erection of new
power stations. The bulk of the power equipment in this country was commissioned in the 1960's and with a design life of 30
years, it is now in the third and last decade of its life. It is expected that failures due to low-cycle fatigue initiated cracks
will be a major cause of machine failures in the next decade.
The existing methods of crack detection are based on the
monitoring of a vibration having twice the critical frequency.
However, this approach has not been used for monitoring and
diagnosis because such vibration can be caused by other factors. The discovery of coupling modes can lead to an unambiguous diagnosis because such modes can be initiated only by
surface cracks.
It is known that the presence of a transverse crack in a structural member introduces local flexibility, which can be
described by way of a local flexibility matrix, the dimension of
which depends on the number of degrees of freedom considered. The maximum rank of such a matrix is 6x6.
Such a matrix was first introduced for beams of rectangular
cross-section with transverse surface cracks by Dimarogonas
and Paipetis (1983) for 5 degrees of freedom neglecting torsion. They have also reviewed the work on cracked rotors and
stationary structures.
More recently, Nelson and Nataraj (1986) introduced a
Finite Element methodology and a time-varying (regularly
closing) crack together with a series expansion of the solution
Contributed by the Technical Committee on Vibration and Sound for
publication in the JOURNAL OF VIBRATION, ACOUSTICS, STRESS, AND RELIABILITY

IN DESIGN. Manuscript received June 25, 1987.

356/Vol. 110, JULY 1988

to yield a better understanding of the subcritical resonance at

integer fractions of the rotor's critical speed.
In the area of the vibration of cracked stationary structures,
Dimarogonas (1976) introduced the local flexibility of the
cracked section of the shaft for vibration analysis of beams
and Chondros and Dimarogonas (1979) for plates. Reduced
section approximations have been used by Kirmser (1944) and
Petroski (1981, 1984), among others, for the approximate
evaluation of the change of the fundamental frequency due to
existence of the crack.
Coupling between different vibration modes due to cracks
has been first reported by Dimarogonas and Paipetis (1983)
who developed a 5x5 flexibility matrix for a beam of rectangular cross-section. Nondiagonal terms in such a matrix
would indicate static and dynamic coupling. This observation
led to analytical and experimental verification for the existence of substantial and identifiable coupling between axial
and bending vibration, (Papadopoulos and Dimarogonas,
1987) just as between torsional and bending vibration in a stationary shaft (Papadopoulos and Dimarogonas, 1987) and in a
fractured bone (Nikiforidis et al. 1986).
2 Flexibility of a Cracked Shaft
A shaft of diameter D, length L, material properties E and v
has a crack of depth d = a/D at location $=L\/L (Fig. 1).
It is known that the presence of a transverse surface crack
on a shaft element introduces a local flexibility (Dimarogonas,
1976). This flexibility has been calculated and expressed
(Papadopoulos and Dimarogonas, 1987) by way of a full 6x6
compliance matrix due to general loading (6 degrees of
freedom) (Fig. 1).
Here three degrees of freedom, i.e., bending P 4 , P5 in the
two main directions of the cracked section and extension in the
direction of the force Px, will be used.

Copyright 1988 by ASME

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({

Fig. 1

Fig. 3

.9

rotations <px and ^ and displacement w of the two sides of the

crack about x and y and along z, respectively. Therefore

.8
.7
L

\5

.5

W} = Wxvyvt\, [P) = i i y V Y

^c55

C,I-7

.3

where

.4

If the coordinates are u, v, w along x, y, z, respectively, and

the forces acting on the rotor Fx, Fyy, Fz, respectively,
geometry of the system and equation (2) yields
ields

.2

{8} =
I0'3

(2)

{<P\=[C]{P}

.6

10-2

lO"'
10
10'
Dimensionless Compliance

102

105

[G1][CJ[G2]{F}

| 8 ! = [ w ] , [F\ = {FxFyFz][G,\

Fig. 2(a)

(3)

where
=

diag[L/2,L/2,l\,

[G2]=diag[L/4,L/4,l]
The respective compliance matrix for the uncracked shaft is
[Cs] = diag[L3 /48 EI, L 3 /48 EI, L/EA]
9

Where / and A are the section moment of inertia and area of

the shaft cross-section, respectively,
The compliance matrix of the cracked shaft will be then

8
7
6

[C 0 ] = [G,][C 0 .][G 2 ] + [CJ

In explicit form, if /* = 4/3(1 - v2) and \=L/D

5
C

C45

,4-

C55\2+fi\3

3
/^

M4

[C0] = C0

C45X

C15X
10-3

(4)

10-2

10-1
10
101
Dimensionless Compliance

10 2

103

Fig. 2(b)

C54X2
CM\

C51X
3

+ \

C14X

C41X

[CJ =

C55/R

Ci4/R

C 5)

C45//V

C44//?

C4J

'14

C/J
'11 J

(1)

2C[i+3/^X

(7)

During the shaft rotating, the crack opens and closes,

depending on the rotor deflection. For a large class of
machines, the static deflection is much greater than the rotor
vibration. Under this assumption the crack is closed when
<p = 0 and it is fully open when <p = ir (Fig. 3). Equation (7)
gives the shaft stiffness matrix for open crack. For closed
crack,
[K\^0 = [Ks] = diag [UnW

Where, F0=AE/(\-v ),
A is the shaft cross-section surface, R=D/2, and C,-, dimensionless compliance functions of
the relative crack depth a (Fig. 2).
Matrix [Ccr] relates the two bending moments about x and y
and the extensional force along z to the respective relative

(6)

where C 0 = (1 - v2)/(irDE)
The stiffness matrix can now be obtained as the inverse of
the compliance matrix:
lK]v=r = [KG] = lCG]-'

The 3 x 3 compliance matrix for the crack is,

(5)

1/MX3, l/3pX]

(8)

When <p = ir/2 or ^ = 37r/2 the half cracked surface is open

and the other half is closed. Then the stiffness of the shaft can
be expressed by the relation:

Journal of Vibration, Acoustics, Stress, and Reliability in Design

[K\9=rn = [K]v=}T/2 = [[G.HC^.] [G2] + [Cs]\"'

(9)

JULY 1988, Vol. 110/357

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Crack

1.0

Fig. 4
<U K 3 -3

where

[C^] =

2F

CM/R

C,5/R

Qi

C54/R

C55/R

C51

C,

C,,i?

Thus during the rotation the stiffness varies with time or with
the angle. This variation may be expressed by way of a truncated, cosine series.
[K\ = [K(wt)\ = {K0\
+ [K^cos

wt + [K2]cos 2oit+ [AT3]cos 3cot+[K4]cos

.2

.4

.6

a/h

Crack Depth Ratio

Fig. 5
O)/0)n

Aut

4 0 cro

K C0S

M = Hl J

v<t

(io)

,=o
where [K], JJ = 0 , 1
4 are fitting coefficient matrices t o
be determined from t h e known behavior of t h e stiffness
matrix at certain angular locations (Fig. 3). M o r e specifically,
[K] = [K]v=od---T[K]2
' d<p

= 0 at <p = wt = 0

[K\ = \K\,=ir/2&<P
[K\ = {K\,

= */2

(11)

20

and --z-[K\
= 0 at <p = TT
1
dip

Application of conditions (11) o n equation (10) yields

matrices [Kv], TJ = 0, 1, 2, 3, 4 element by element as solutions
of 5 x 5 linear systems of algebraic equations.

T T IT HiHiilUnfit

30-

10

*.M..,t,X.tJ.,*.XJLAA.t.t.a.'f

' i.i.*-*-i-q,|f

ItinTIifflfllmlliiiiiriijii

Stability o f the S y s t e m

A shaft with a surface crack, as in Fig. 1, rotates with

angular velocity w. T h e equations of motion for lateral motion
in the two main directions u, v and longitudinal motion w will
be in matrix form (Fig. 4 ) .
[M\{r] + [K\{r] = {Ba) + {Bl)ei<

[a) = Ur0)lr1)[r2}

The solution r is expected in the form

{/) = i ( B o j { B , ) 0

(13)

, =0

Substituting equation (13) into equation (12), using t h e

expression 2 cos a cos b = cos(a+b) + cos( b), a n d collecting the similar term yields a system of linear equations,

358/Vol. 110, JULY 1988

Fig. 6

(2[K0] + [# 2/ ])/2 - co2/2[M] for / =7 * 0

(r) = {u v w]

[D]{a) = {f]

a/h

[D] = (([*,+,]+ [* l W ])/2 f o r / = y

= {mew2 mew2 0]

( ' ' ) = Yd K l c o s i e r

.8

2[^ 0 ] for i=j = 0

= {mg 0 0}

[B{)

.6

(12)

where [M] is the diagonal mass matrix

lM] = diag[m,m,m),[B0}

.4

.2

(14)

[r,])
' 4 > ! ( , + i)terms

If m is the dimension of the [K] matrix then the dimension of

[D] matrix is p - m (/ + 1). Stability of the system is determined
from the null equations
{D][a}=4>

(15)

The sign of t h e determinants of all successive minors of

matrix [D] determines the stability boundaries of the system.

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JJ\^^^MJ[J

^AAHW/KJ^VXWJ^

show such behavior. Several subharmonics of the longitudinal

and lateral natural frequencies are noticed as thresholds of instability. In fact, this analysis did not take damping into account. Therefore, in certain areas of the (CJ, a) plane the
analysis predicts instability which for linear systems means
that vibration will increase beyond bound. Damping and
nonlinearities limit the vibration amplitudes and therefore in
the areas of instability vibration at the respective frequency is
expected, which is substantiated by the test results in Fig. 7.

Conclusion
It was shown that a surface crack on a rotating shaft can
Fig. 7
yield a variety of unstable areas of operation due to the couIn the problem at hand, the dimension of matrix [D] is 18 X 18 pling of lateral and longitudinal vibration. This coupling can
and the computation of the determinants was a modest prob- only be related to the existence of cracks and can be used for
lem for the computer, to the extent that an exhaustive search crack identification. It can also supplement the utilization of
twice the speed of rotation and half the critical speed signals in
was performed in the (o>, a) plane.
the process of crack identification.
This analysis can be extended to surface and solid structures
4 Experimental Evidence
with very interesting consequences. Applications can be enIn 1983, a 300 MW steam turbine of the Lavrion Station of visaged in the diagnosis of nonunion healing in cracked bones,
the Public Power Corporation, Greece, made by ALSTHOM, diagnosis of cracks and cracked welds in pressure vessels, reacexperienced violent vibration on the LP rotor of unknown tor containment vessels, reactor piping, and finally in real time
cause. The velocity vibration probes, located near the bear- quality control of material production processes.
ings, were used by the authors to obtain information for the
rotor vibration. The transducer output was analyzed on a
spectrum analyzer and a typical such spectrum is shown in Fig. References
7, corresponding to bearing No. 6 of the machine. There was
Dimarogonas, A. D., 1976, Vibration Engineering, West Publishers, St. Paul.
immediate evidence for existence of a crack. Both the very
Dimarogonas, A. D., and Paipetis, S. A., 1983, Analytical Methods in Motor
high 2 per rev. component and the 12 and 6 Hz peaks cor- Dynamics, Elsevier-Applied Science Publishers, London.
Dimarogonas, A. D., and Papadopoulos, C. A., 1983, "Vibration of Crackresponding to one half and one quarter of the critical speed,
ed Shafts in Bending," Journal of Sound and Vibration, Vol. 91, No. 4, pp.
respectively, suggested the existence of a deep crack. The 538-593.
crack could not be precisely located, nor its magnitude preciseKirmser, P. G., 1944, "The Effect of Discontinuities on the Natural Frequenly estimated. Based on the test results the company decided to cy of Beams," Proc. ASTM, Vol. 44, pp. 897-904.
Nelson, H. D., and Nataraj, C , 1986, "The Dynamics of a Rotor System
dismantle the turbine and an 120 degrees crack was found on
a Cracked Shaft," ASME JOURNAL OF VIBRATION, ACOUSTICS, STRESS, AND
the Low Pressure rotor. The rotor was repaired by the with
RELIABILITY IN DESIGN, Vol. 108, pp. 189-196.
manufacturer and run subsequently without problems.
Nikiforidis, G., Bezerianos, A., and Dimarogonas, A. D., 1986, "Vibration
On the spectrum of Fig. 7 some other vibration frequencies Analysis of Bone Healing under Plastic Cast," IEEE/SBMI Conf., Ft. Worth,
were noticed, which could not be related to any of the higher Texas.
Papadopoulos, C. A., and Dimarogonas, A. D., 1987, "Coupled
bending modes. In particular, a succession of 44, 88, 176 Hz Longitudinal and Bending Vibration of Rotating Shafts," Journal of Sound and
frequencies suggested a relation to either torsional or Vibration, Vol. 117, No. 1, pp. 81-93.
Papadopoulos, C. A., and Dimarogonas, A. D., 1987, "Coupling of Bendlongitudinal natural vibration frequencies. Eventually, it was
ing and Torsional Vibration of a Cracked Timoshenko Shaft," Ingenieur Arfound that these frequencies were close to subharmonics of the chiv,
Vol. 57, pp. 257-266.
355 Hz fundamental longitudinal natural frequency
Papadopoulos, C. A., and Dimarogonas, A. D., 1987, "Coupled
(calculated). Since the vibration measured was in a lateral Longitudinal and Bending Vibrations of a Cracked Shaft," ASME JOURNAL OF
direction, it was concluded that the crack resulted in coupling VIBRATION, ACOUSTICS, STRESS AND RELIABILITY IN DESIGN, Vol. 110, pp. 1-8.
Petroski, H. J., 1984, "On the Cracked Bell," Journal of Sound and Vibraof longitudinal and lateral vibration. This could only be exVol. 96, No. 4, pp. 485-493.
plained on the basis of the coupling terms in the cracked shaft tion,
Petroski, H. J., 1981, "Simple Static and Dynamic Models for the Cracked
flexibility matrix. Indeed, the stability chart of Figs. 5 and 6 Elastic Beam," Int. Journal of Fracture, Vol. 17, pp. R71-R76.
0

50

100

Frequency

Journal of Vibration, Acoustics, Stress, and Reliability in Design

JULY 1988, Vol. 110/359

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