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Dynamics

of Machinery

III

2008

Preface

lecture course given since 1993 to students of the English Stream in the

Department of Engineering Sciences (D.E.S.), now F.I.L.S., at the University

Politehnica of Bucharest. It grew in time from a postgraduate course taught in

Romanian between 1985 and 1990 at the Strength of Materials Chair and continued

within the master course Safety and Integrity of Machinery until 2007.

Dynamics of Machinery, as a stand alone subject, was first introduced in

the curricula of mechanical engineering at D.E.S. in 1993. To sustain it, we

published Dynamics of Machinery in 1995, followed by Dinamica sistemelor

rotor-lagre in 1996 and Rotating Machinery in 2003.

The course aims to: a) increase the knowledge of machinery vibrations; b)

further the understanding of dynamic phenomena in machines; c) provide the

necessary physical basis for the development of engineering solutions to machinery

problems; and d) make the students familiar with machine condition monitoring

techniques and fault diagnosis.

As a course taught for non-native speakers, it has been considered useful to

reproduce, as language patterns, full portions from English texts. For the students

of F.I.L.S., the specific English terminology is defined and illustrated in detail.

Basic rotor dynamics phenomena, simple rotors in rigid and flexible

bearings as well as the rotor dynamic analysis tools are presented in the first part.

Finite element modeling of rotor-bearing systems, hydrodynamic bearings, seals

and floating ring bearings are treated in the second part. This third part is devoted

to the analysis of rolling element bearings, gears, vibration measurement for

machine condition monitoring and fault diagnosis, standards and recommendations

for vibration limits, balancing of rotors as well as elements of the dynamic analysis

of reciprocating machines and piping systems. No reference is made to the

vibration of discs, impellers and blades.

Prefa

predat din 1993 studenilor Filierei Engleze a Facultii de Inginerie n Limbi

Strine (F.I.L.S.) la Universitatea Politehnica Bucureti. Coninutul cursului s-a

lrgit n timp, pornind de la un curs postuniversitar organizat ntre 1985 i 1990 n

cadrul Catedrei de Rezistena materialelor i continuat pn n 2007 la cursurile de

masterat n specialitatea Sigurana i Integritatea Mainilor. Capitole din curs au

fost predate din 1995 la cursurile de studii aprofundate i masterat organizate la

Facultatea de Inginerie Mecanic i Mecatronic.

Dinamica mainilor a fost introdus n planul de nvmnt al F.I.L.S. n

1993. Pentru a susine cursul, am publicat Dynamics of Machinery la U. P. B. n

1995, urmat de Dinamica sistemelor rotor-lagre n 1996 i Rotating Machinery

n 2005, ultima coninnd materialul ilustrativ utilizat n cadrul cursului.

Cursul are un loc bine definit n planul de nvmnt, urmrind: a)

descrierea fenomenelor dinamice specifice mainilor; b) modelarea sistemelor

rotor-lagre i analiza acestora cu metoda elementelor finite; c) narmarea

studenilor cu baza fizic necesar n rezolvarea problemelor de vibraii ale

mainilor; i d) familiarizarea cu metodele de supraveghere a strii mainilor i

diagnosticare a defectelor.

Fiind un curs predat unor studeni a cror limb matern nu este limba

englez, au fost reproduse expresii i fraze din lucrri scrise de vorbitori nativi ai

acestei limbi. Pentru studenii F.I.L.S. s-a definit i ilustrat n detaliu terminologia

specific limbii engleze.

n prima parte se descriu fenomenele de baz din dinamica rotorilor,

rspunsul dinamic al rotorilor simpli n lagre rigide i lagre elastice, precum i

principalele etape ale unei analize de dinamica rotorilor. n partea a doua se

prezint modelarea cu elemente finite a sistemelor rotor-lagre, lagrele

hidrodinamice, etanrile i lagrele cu inel flotant. n aceast a treia parte se

trateaz lagrele cu rulmeni, echilibrarea rotoarelor, msurarea vibraiilor pentru

supravegherea funcionrii mainilor i diagnosticarea defectelor, standarde i

recomandri privind limitele admisibile ale vibraiilor mainilor, precum i

elemente de dinamica mainilor cu mecanism biel-manivel i vibraiile

conductelor aferente. Nu se trateaz vibraiile paletelor, discurilor paletate i ale

roilor centrifugale.

Contents

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

10.1 General considerations 75

10.2 Measurement locations 76

10.2.1 General criteria 76

10.2.2 Shaft precession 77

10.2.3 Casing vibrations 78

10.3 Measured parameters 79

10.3.1 Measurement of rotor precession 80

10.3.2 Measurement on bearings 81

10.3.3 Displacement, velocity or acceleration 81

CONTENTS v

10.4 Transducers and pickups 85

10.4.1 Transducer selection 85

10.4.2 Eddy current proximity transducers 88

10.4.3 Velocity pickups 91

10.4.4 Accelerometers 94

10.4.5 Summary about transducers 96

10.4.6 Placement of transducers 98

10.4.7 Instrumentation 100

10.5 Data reduction 101

10.5.1 Steady state vibration data 101

10.5.2 Transient vibration data 108

References 112

11.1 Machine deterioration 115

11.2 Machine condition monitoring 116

11.2.1 General considerations 116

11.2.2 Maintenance strategies 117

11.2.3 Factors influencing maintenance strategies 119

11.3 Diagnosis process 120

11.4 Fault diagnostics 121

11.4.1 Unbalance 121

11.4.2 Misalignment and radial preload 123

11.4.3 Fluid induced instabilities 127

11.4.4 Rotor-to-stator rubbing 130

11.4.5 Mechanical looseness 135

11.4.6 Cracked shafts 138

11.5 Problems of specific machines 141

11.5.1 Centrifugal equipment 141

11.5.2 Bladed machines 145

11.5.3 Electrical machines and gears 151

11.5.4 Reciprocating compressors 152

Annex 11.1 Shaft alignment 155

References 159

vi FINITE ELEMENT ANALYSIS

12.1 Broadband vibration standards and guidelines 163

12.2 Vibration severity charts 164

12.3 Vibration limits for nonrotating parts 168

12.3.1 General guidelines 168

12.3.2 Steam turbine sets 169

12.3.3 Coupled industrial machines 170

12.3.4 Gas turbine sets 172

12.3.5 Hydraulic machines 172

12.3.6 Reciprocating machines 174

12.4 Vibration limits for rotating parts 176

12.4.1 General guidelines 176

12.4.2 Steam turbine sets 177

12.4.3 Coupled industrial machines 178

12.4.4 Gas turbine sets 180

12.4.5 Hydraulic machine sets 181

12.4.6 Selection of measurements 183

12.5 Gear units 185

12.6 API Standards 186

12.7 Industrial buildings 187

12.7.1 Vibration intensity 188

12.7.2 Limits based on vibration velocity 190

Annexes 192

References 199

13.1 The mass unbalance 204

13.1.1 Definitions 204

13.1.2 Static unbalance 205

13.1.3 Couple unbalance 205

13.1.4 Quasi-static unbalance 206

13.1.5 Dynamic unbalance 207

13.1.6 Static vs dynamic unbalance 207

13.2 Single plane balancing 208

13.2.1 Vector balancing 208

13.2.2 Influence coefficient method 209

CONTENTS vii

13.3 Two-plane balancing 217

13.3.1 Influence coefficient method 217

13.3.2 Resolution into static and couple unbalance 223

13.4 Unbalance tolerances 225

13.4.1 Permissible residual unbalance 225

13.4.2 Balance quality grades 225

13.4.3 Classification of rigid rotors 226

13.5 Multiplane flexible rotor balancing 229

13.5.1 Balancing in N+2 planes 229

13.5.2 Modal balancing 232

13.5.3 General remarks 234

References 235

14.1 Single cylinder engines 237

14.1.1 Gas pressure excitation 237

14.1.2 Inertia effects 239

14.1.3 Kinematics of crank mechanism 241

14.1.4 Connecting rod and equivalent two-mass system 242

14.1.5 Unbalance of a single cylinder engine 243

14.2 Multi cylinder engines 246

14.2.1 Unbalance forces and couples 246

14.2.2 Othe vibration sources 250

14.2.3 Fault diagnosis of a diesel engine 251

14.3 Reciprocating compressors and piping systems 256

14.3.1 Compressor-manifold system 256

14.3.2 Excitation forces 258

14.3.3 Pulsation analysis 261

14.3.4 Piping vibration 274

References 284

Index 287

8.

ROLLING ELEMENT BEARINGS

bearings, and techniques for detecting bearing damage.

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

which vibration energy is produced by the periodic impact of a defect. Theoretical

estimates of these frequencies can be determined assuming a perfect geometry.

This means: a) outer and inner bearing races are perfectly circular; b) all balls are

perfectly spherical and of equal diameter; c) perfect alignment of the inner and

outer races. In practice this is rarely the case and it is common to find additional

frequency components generated by errors such as lobing, ovality and ball diameter

differences.

bearings, the following assumptions are made: a) bearing elements are rigid

(contact deformations are neglected); b) rolling elements have pure rolling motions

on raceways (sliding neglected) so that the linear velocities at the contact points of

a rolling element and a raceway are identical; c) radial clearances are neglected; d)

the effect of lubrication is ignored [8.3].

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

represent the rotational speeds of the inner ring, outer ring and ball. Clockwise

rotations are considered positive.

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

vm = nm Dm . (8.4)

60

Equating the two equations, the rotational speed of the cage is derived as

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

nr D

nom = no nm = 1 B cos . (8.8)

2 Dm

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)

vi = n i Di = vo = n B DB ,

60 60

so that

n m i Di = n B DB

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

The impact rate for an inner race defect is equal to Z nmi , the number of

rolling elements passing a given point on the inner ring per minute

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 .

obtains

Z D

outer race ball pass frequency fo = f r 1 B cos ; (8.15)

2 Dm

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:

angle = 26o , number of balls Z = 10 [8.4].

From the formulas for bearing frequencies (8.15)-(8.18) we obtain:

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:

= 0 , number of balls Z = 10 .

The bearing frequencies (8.15)-(8.18) are:

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

nm i = no n i K 2 , (8.21)

nR = no n i ) 2DDm K1K 2 . (8.23)

R

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

taking into account the effect of Hertzian deformations, spinning and sliding ball

motions, radial clearances and elastohydrodynamic lubrication [8.5]. Rolling

element bearings are statically-indeterminate, nonlinear, elastic systems whose

motion is influenced by structural parameters, operating environment, lubrication

condition and manufacturing accuracy.

Mathematical models for the ball motion have been developed,

considering either three or five degrees of freedom [8.6]. Balls may have a

rotational sliding normal to the contact surface, called spinning, if its contact angle

is not zero. At the same time, balls have another type of motion due to gyroscopic

moments. In radial roller bearings a slight skew of rollers may exist, i.e. the roller

axis may not coincide with the rolling axis. Internal sliding is more serious in

rolling bearings with high clearances and relatively low external loads. Skidding is

sometimes reduced by intentional radial preload obtained with out-of-round outer

raceways.

Early quasi-static analyses of unlubricated roller bearings were based on

the assumption of Coulomb friction in the race contacts [8.7], [8.8]. The friction

forces resulting from interfacial slip at the ball-race contacts have been included in

the dynamic analysis of the elastically constrained bearing. Elastohydrodynamic

lubrication effects have been introduced later [8.9] and incorporated in more

accurate dynamic analyses [8.10].

More elaborate models have been developed to simulate distributed

defects such as off-size rolling elements, misaligned and out-of-round components

[8.11]. Their description is beyond the aim of this presentation.

8. ROLLING ELEMENT BEARINGS 9

theoretically as [8.12]

race natural frequency

fn =

(

k k 2 1 )1 EI

[Hz] , (8.25)

2 2

2 k +1 a m

to neutral axis, I is the moment of inertia of cross-section, E is Youngs modulus,

and m is the mass of race per linear length;

ball natural frequency

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].

by an accelerometer or other motion transducer, can be electronically broken into

its frequency components and their related amplitude levels. This plot of the

narrow-band spectrum of the vibration signal is called the mechanical signature

of the ball bearing, since it identifies the bearing and is unique to the unit selected.

Figures 8.5 and 8.6 are examples of mechanical signatures of two

different ball bearings. Many of the discrete frequencies contained in the

8. ROLLING ELEMENT BEARINGS 11

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.

12 DYNAMICS OF MACHINERY

same type would require data obtained at the same speed, since most of the

vibration frequencies are proportional to speed. Rather than trying to hold speed

constant, it was found better to have mechanical signatures independent of speed.

This is accomplished by normalizing all frequencies relative to the fundamental

rotational speed. The procedure is called order normalization. For stationary

outer ring, the fundamental frequency of rotation is that of the inner ring. The

spectra in Figs. 8.5 and 8.6 are plotted versus frequency orders.

amplitude is calibrated for 90dB equal to 0.26 g. The noise floor is approximately

50dB or 0.0026 g. The first order is the only frequency evident in this spectrum.

The amplitude of the spectrum is plotted in log scale to provide the greatest vertical

magnification. This allows the detection of small defect frequencies in a

measurement containing a large frequency component. Otherwise the random noise

due to friction may dominate the spectrum making it difficult to locate frequencies

that can be correlated with bearing defects. A spectrum averaging technique can be

applied to enhance the signal-to-noise ratio of the periodic discrete frequencies

generated by the ball bearing.

A mechanical signature showing a ball defect is illustrated in Fig. 8.8.

The presence of two large orders (5.80 and 1.00) generates sum and difference

frequencies that can be identified at 5.80 1.00 and 5.80 2.00 . This bearing also

shows orders associated with inner race defects that can be explained by a non-

linear (N.L.) theory taking into account race waviness, eccentricity and large ball

diameter variations.

8. ROLLING ELEMENT BEARINGS 13

spectrum having peaks at the harmonics of the outer race defect frequency, with

side bands spaced with the cage frequency. The inner race surface irregularities

produce a spectrum having peaks at the harmonics of the inner race defect

frequency. The side bands are spaced with an interval related to the cage frequency

and the shaft running frequency.

lubrication, careless handling, ineffective sealing, incorrect fits, etc. produces its

own characteristic damage. Such damage, known as primary damage, can be wear,

indentations, smearing, surface distress, corrosion and electric current damage.

Primary damage gives rise to secondary, failure-inducing damage flaking

and cracks. A failed bearing frequently displays a combination of primary and

secondary damage [8.17].

The local defects, including cracks, pits and spalls, give rise to impulsive

contacts between the bearing elements. These impulsive contacts produce

vibrations and noise, which can be monitored to detect the presence of a defect in

the bearing.

14 DYNAMICS OF MACHINERY

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

makes the bearing unserviceable. The life of a rolling bearing is defined as the

number of revolutions the bearing can perform before incipient flaking occurs.

The causes of premature flaking may be heavier external loading than had

been anticipated, preloading on account of incorrect fits or excessive drive-up a

tapered seating, oval distortion owing to shaft or housing seating out-of-roundness,

axial compression as a result of thermal expansion, misalignment, etc. Flaking may

also be caused by other types of damage, such as indentations, deep seated rust,

electric current damage or smearing.

Cracks

Cracks may form in bearing rings for various reasons. The most common

cause is rough treatment when bearings are being mounted or dismounted (hammer

blows, excessive drive-up on tapered seatings, heating and mounting on shafts with

wrong tolerances). Flaking acts as a fracture notch and may lead to cracking of the

bearing ring.

Cage damage

Cage failures are due to vibrations, excessive speeds, wear and blockage

by flaked material wedged between the cage and a rolling element. Misaligned

rings produce oval ball paths that distort the cage once per revolution leading to

fatigue cracks. The cage is the first component to be affected when the lubrication

becomes inadequate. It is always made of softer material than the other

components of the bearing and consequently it wears comparatively quickly.

Two approaches have been used to study the vibration and acoustic

response of rolling element bearings due to defects in the bearings. One is to run

the bearings until they fail and monitor the changes in their vibration and acoustic

response. Usually the failure is accelerated by overloading, overspeeding, or

starving the bearings of lubricant. The other approach is to intentionally introduce

defects in the bearings by techniques such as acid etching, spark erosion,

scratching, or mechanical indentation. The vibration response of the bearings is

measured and compared with the responses of good bearings.

foreign particles which become pressed between the rolling elements and rings.

External debris is foreign matter introduced to the bearing from an external

source.

Glazing is a form of smearing whereby the affected area on the raceway

has a shiny appearance similar to the finish on a new ball. Metal flow has taken

place during this mode of failure.

16 DYNAMICS OF MACHINERY

produced by the balls running on the retaining diameter of the counterbored

raceway.

Brinelling. The term applies to a bearing which has been statically loaded

to an extent such that the raceways and rolling elements are permanently deformed.

A brinelled bearing has indentations in the raceways and often has corresponding

flats on the rolling elements.

Fretting is a corrosive form of wear caused by very slight movement

between two metal surfaces under very high contact pressure. The formation of an

iron-oxide paste between two fretting steel members is not uncommon. It is often

seen between the inner ring and the shaft.

Creeping is a relative movement between the bearing inner ring and the

shaft, caused by inadequate interference fit for the applied load. Creeping is

evidenced by circumferential scoring on the bearing bore and shaft. It may be an

advanced stage of fretting.

Spinning is an advanced stage of creeping. The relative movement between

inner ring and shaft is much greater than in creeping and the sliding surfaces may

become polished. The iron-oxide from the fretting phase may still be present and

assist in further wear.

Discoloration due to temperature indicates operation of the bearing

elements with marginal lubrication or under excessive power conditions.

in rolling element bearings.

and used for trending and comparisons. Examples are the peak level (maximum

vibration amplitude within a given time signal), peak-to-peak amplitude (maximum

positive to maximum negative signal amplitudes), mean level (average vibration

amplitude), and root-mean-square (r.m.s.) level [8.12].

For a sample record x (t ) of duration T, the mean value and the root mean

square value have the following expressions:

8. ROLLING ELEMENT BEARINGS 17

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

level at the bearing housing. Measured levels are compared with general standards

or with established reference values for each bearing. By plotting the measurement

results over time the trend in vibration can be followed and extrapolated to give a

prediction of when the bearing needs replacement. However, because the overall

vibration level often increases only in the final stages of failure, this method gives

late warnings of failure.

Two time-waveform indices used to get early warnings of the bearing

failure the Crest Factor and the Kurtosis are presented in the following.

The Crest Factor is defined as the ratio of the peak level to the r.m.s. level

of a signal [8.18]

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.

stationary random signal. Considering a sample record x (t ) of duration T, the

signal is described by the probability with which the signal will take values

between x and x + x (Fig. 8.10). It is equal to the time spent in the window x ,

equal to the sum t1 + t2 + .... + tn , divided by the averaging time T

n

ti

P ( x, x + x ) = . (8.30)

T

i =1

p (x ) , giving the probability to have an amplitude x , plotted on the left of Fig.

8. ROLLING ELEMENT BEARINGS 19

which describes signals occurring in practice with sufficient precision.

Fig. 8.10

p ( x ) dx = 1

(8.31)

zero mean.

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.

more informative to examine statistical moments of the data [8.22]. These are

defined by the general integral

Mn =

x p ( x ) dx , (n = 1, 2, 3, ...) .

n

(8.32)

mean value x=

x p ( x ) dx ,

(8.33)

__

x p ( x ) dx .

2 2

mean square value x = (8.34)

( x x ) p ( x ) dx ,

2 2

= (8.35)

Odd moments, i.e. n = 1, 3, 5,, etc., relate information about the position

of the peak density relative to the median value. Even moments, n = 2 , 4, 6 ... , etc.,

indicate the spread in distribution.

Higher moments (n > 2 ) generally have the mean value removed and are

normalized by the standard deviation. The third moment yields

x p (x ) dx

3

Skewness skew (x ) =

, (8.36)

3

22 DYNAMICS OF MACHINERY

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].

domain by applying a Fast Fourier Transform (FFT) algorithm. The principal

advantage of this format is that the repetitive nature of the vibration signal is

clearly displayed as peaks in the frequency spectrum at the frequencies where the

repetition takes place. This allows for faults, which usually generate specific

characteristic frequency responses, to be detected early, diagnosed accurately, and

trended over time as the condition deteriorates. However, the disadvantage of

frequency-domain analysis is that a significant amount of information (transients,

non-repetitive signal components) may be lost during the transformation process.

24 DYNAMICS OF MACHINERY

vibration signals. Additional processing techniques are used as an aid to

interpretation of the spectrum, like synchronous time signal averaging and

cepstrum analysis (see Sections 9.6.1 and 9.7).

to as mechanical signatures in Section 8.4, are used in fault detection and

diagnosis. For fault detection, current spectra are compared with those obtained

over a period of time to detect changes in spectrum, which denote bearing

deterioration [8.25]-[8.27].

8. ROLLING ELEMENT BEARINGS 25

function of time. The frequency spectrum gives earlier warnings than monitoring of

overall vibration. The level of overall vibration only increases after an increasing

component has become the highest peak in the spectrum.

Whenever an increase of the baseline (reference) level is detected, a further

analysis is carried out for fault diagnosis. The frequency range in which the levels

are exceeded gives an indication of what type of faults to expect.

Band-pass analysis involves filtering the vibration signal above and/or

below specific frequencies in order to reduce the amount of information presented

in the spectrum to a set band of frequencies. These frequencies are typically where

fault characteristic responses are anticipated. Changes in the vibration signal

outside the frequency band of interest are not displayed.

Vibrations produced by machines with rolling element bearings occur in

three frequency regions (Fig. 8.14):

a) the rotor related region, in the range of 1 4 to 3 times the shaft

rotational speed. In the low frequency region, unbalance, misalignment, bent shaft,

mechanical looseness, oil whirl, hysteretic whirl, etc. will be found;

b) the prime spike (element passage) region, normally 1 to 7 times the

element passage rate. In the medium frequency region, indication on wear and

incipient faults in a gearbox will be found, as well as eccentricity, uneven

gearwheels, misaligned gearwheels, etc.;

c) the high frequency (spike energy) region, from 5 kHz to approximately

25 kHz . At very high frequencies, to the megahertz region, measured data may

contain information related to incipient faults in rolling-element bearings, rubs,

cavitation, valve noise, etc.

Guideline alarm threshold values are [8.1]:

7.7 mm s peak for region a,

2.5 to 3.8 mm s peak values for region b,

3 to 4 g peak values for region c.

repetitive mechanical impacts or pulses that occur as a result of surface flaws or

insufficient bearing lubrication. These impacts tend to excite the resonance

response of machine components. A signal measured near a rolling element bearing

appears as periodic spikes of high-frequency energy and can be measured by

accelerometers [8.29].

26 DYNAMICS OF MACHINERY

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

vibration generated by impacts to remain. The lower corner frequency, f c , can be

selected between 100 and 5000 Hz, and the upper corner frequency, f d , is

65 kHz .

The filtered vibration signal passes through a peak-to-peak detector with a

properly selected output time constant, which detects and holds the peak-to-peak

values. Then, it decays at the rate of the time constant until the next pulse occurs.

The instrument repeats this process.

( )

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

methods. The gSE readings can be different if different transducers are used unless

transducers have exactly the same frequency response characteristics. To ensure

the consistency of gSE data, it is necessary to always use the same accelerometer

and the same mounting conditions. Stud mounting is the best.

Spike Energy readings are highly dependent upon the machine size,

configuration and bearing details. Users must go through a learning phase, taking

periodic readings, observing trends, noting failed bearings and building up

historical background before accurate condition assessments are made. As an order

of magnitude, energy alarm levels of 0.5 gSE have been used in an application

with the dryer rolls on a paper machine.

filter and rectification preprocessing of a standard accelerometer signal to reveal

the bearing defect at its fundamental frequency [8.32]. Sometimes it is referred to

as the high frequency resonance technique [8.33].

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

signal.

around the frequency region where the increase is detected (in the kHz range). This

leaves the high frequency signal which contains the pulse-excited vibration of the

bearing housing without most of the contaminating signals.

This signal is then rectified and low-pass filtered, at a frequency

approximately one half the bandwidth of the bandpass filter. The signal now looks

somewhat like the original pulses from the bearing, but of most significance, we

have thus recreated the pulse frequency.

30 DYNAMICS OF MACHINERY

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).

early 1970s [8.35]. It was prompted by difficulties encountered by techniques

based on the analysis of the repetitive components of the vibration signals from

rolling element bearings.

The method involves the analysis of the high-frequency (ultrasonic) shock

waves generated by metal-to-metal impacts in a rotating bearing, where most of the

information about bearing damage can be found.

8. ROLLING ELEMENT BEARINGS 31

the theoretical lubricant film thickness between the bearing surfaces, as well as the

overall condition of the bearing surface.

The shock pulse analyzer detects impacts of very short duration arising

from the presence of pits and spalls. Unlike conventional vibration analysis, that

monitors a broad vibration band with the objective of detecting discrete

frequencies, the shock pulse method (SPM) measures and evaluates the ultrasonic

frequency band centered around 36 kHz.

32 DYNAMICS OF MACHINERY

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.

and-held circuit. This measures the information and displays it on a counter which

records the number of peaks occurring above a defined peak amplitude;

8. ROLLING ELEMENT BEARINGS 33

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

pulse strength, combined with a distinct change in the ratio between stronger and

weaker pulses (Fig. 8.24, b).

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.

8. ROLLING ELEMENT BEARINGS 35

plotted as a function of HR. The fields marked A, B, C, D correspond to the

condition codes. The black point marks a shock pulse reading. For a bearing in

good condition it is in the field A.

Developing surface damage causes a marked increase of the delta value,

HR remains low while LR increases. The marker point moves upwards, from A

through field C towards D.

For poor lubrication, the condition code changes from A to B then to D as

damage develops and increases. The marker point moves to the right.

Shock pulse is not limited to determining the condition of rolling element

bearings. Any machine element with continuous metal-to-metal contact gives off

shock pulse signals. Equipment such as gearboxes, lobe compressors, screw

compressors and centrifuges can be monitored using SPM.

Cepstrum analysis is a post-processing technique involving a Fourier

transform of a logarithmic frequency spectrum (see definitions in Section 9.7). It is

used to detect and quantify families of uniformly spaced harmonics arising from

periodic added impulses generated by bearing faults.

36 DYNAMICS OF MACHINERY

ball bearing, showing the spectra on the left and the cepstra on the right [8.39].

The initial cepstrum has a single peak at the quefrency equal to the

rotational period. The second cepstrum (after 5 months) reveals the development of

a fault by a series of new rahmonics. The quefrency of the first rahmonic is 4.1

times lower than the shaft speed quefrency (r.p.m.). This means that its

corresponding frequency is 4.1 times the shaft speed. In this case it immediately

identified the source as corresponding to the impact rate of the outer race for a

particular bearing in the gearbox (which had 10 balls and a ball-diameter-to-pitch-

diameter of 0.18).

The cepstrum can only be used for bearing fault diagnosis when the fault

generates discrete harmonics in the spectrum. This is usually the case for high-

speed machines, where resonances excited by the fault represent a relatively low

harmonic order of the ballpass frequencies involved, but is often not the case for

slow-speed machines, where this order may be in the hundreds or even thousands,

and these high harmonics are often smeared together. It should be noted that

envelope analysis (see Section 8.7.3), where the envelope obtained by amplitude

demodulation of the band-pass filtered signal is frequency analyzed, can be used in

either case.

References

rolling element bearings, Bently Nevada Application Note AN044, June 1988.

8.2. Li, C. J. and McKee, K., Bearing diagnostics, Encyclopedia of Vibration,

Braun, S., Ewins, D. and Rao, S.S., eds., Academic Press, London, 2002, p.143-

152.

8.3. Changsen, W., Analysis of rolling element bearings, Mechanical Engineering

Publications, Ltd., London, 1991.

8.4. Scheithe, W., Vibration measurement a method for early detection of rolling

element bearing failures, Practice of Vibration Analysis 13, Schenck C 1213e.

8.5. Hamrock, B. J. and Anderson, W. J., Rolling-Element Bearings, NASA

Reference Publication 1105, June 1983.

8.6. Jones, A. B., The mathematical theory of rolling element bearings, Mechanical

Design and Systems Handbook, H.A.Rothbart, ed., McGraw Hill, New York,

1964, p.13-1 to 13-76.

8.7. Jones, A. B., Ball motion and sliding friction in ball bearings, Journal of Basic

Engineering, Trans. ASME, vol.81, March 1959, p.1-12.

8. ROLLING ELEMENT BEARINGS 37

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

health monitoring, Stewart Hughes Ltd., Southampton, U.K., 1981.

8.24. Volker, E. and Martin, H. R., Application of Kurtosis to damage mapping,

Proc. 4th International Modal Analysis Conf., Los Angeles, 1986, p.629-633.

8.25. Daadbin, A., and Wong, J. C. H., Different vibration monitoring techniques

and their application to rolling element bearings, International Journal of

Mechanical Engineering Education, vol.19, no.4, 1991, p.295-304.

8.26. Mathew, J. and Alfredson, R. J., The condition monitoring of rolling element

bearings using vibration analysis, Journal of Vibration, Acoustics, Stress and

Reliability in Design, Trans. ASME, vol.106, July 1984, p.447-453.

8.27. Taylor, J. I., Identification of bearing defects by spectral analysis, Journal of

Mechanical Design, Trans. ASME, vol.102, no.2, April 1980, p.199-204.

8.28. Angelo, M., Vibration monitoring of machines, Brel & Kjaer Technical

Review, no.1, 1987.

8.29. Xu, M., Spike Energy and its applications, Shock and Vibration Digest,

vol.27, no.3, May-June 1995, p.11-17.

8.30. Sidahmet, 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.

8.31. Shea, J. M. and Taylor, J. K., Using Spike Energy for fault analysis and

machine-condition monitoring, IRD Mechanalysis Technical Report 11, 1990.

8.32. Mignano, F., Envelope detection, Shock and Vibration Digest, vol.29, no.3,

March 1997, p.18-23.

8.33. McFadden, P. D. and Smith, J. D., Vibration monitoring of rolling element

bearings by the high frequency resonance technique. A review, Tribology

International, vol.17, 1984, p.1-18.

8.34. Courrech, J. and Gaudet, M., Envelope analysis the key to rolling-element

bearing diagnosis, Brel & Kjaer Application Note No. BO0187-11.

8.35. Butler, D. E., The shock-pulse method for the detection of damaged roller

bearings, Non-Destructive Testing, April 1973, p.92-95.

8.36. Lee, G., What is shock pulse method?, www.reliabilityweb.com.

8.37. * Shock Pulse Analyzer A2011, Instruction Manual, SPM Instrument AB,

no.71416.B, Nov.1992.

8.38. Lundy, J., Detecting lubrication problems using shock pulse, Lubrication and

Fluid Power, Jan-Feb.2006, p.57-62.

8.39. Randall, R. B., Cepstrum analysis, Encyclopedia of Vibration, Braun, S.,

Ewins, D. and Rao, S.S., eds., Academic Press, London, 2002, p.216-227.

9.

GEARS

gearbox diagnostics. It presents gear defects, gear errors and condition indicators

used for gear failure detection. Differences of various metrics are in the

characteristic frequencies that are included, excluded, or used as a reference.

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.

42 DYNAMICS OF MACHINERY

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

velocity ratio during meshing. Ideally, when two gears are in mesh, their pitch

circles roll on one another without slipping. Denoting the pitch radii by r1 and r2 ,

and the angular velocities by 1 and 2 , the pitch line velocity is

v = r1 1 = r2 2 . (9.1)

Thus, the gear ratio is

2 r1

i= = . (9.2)

1 r2

must meet the following requirements (Fig. 9.7):

a) the pitch point P must remain fixed on the line of centers O1O2 ;

b) the lines of action for every instantaneous point of contact e must pass

through the same point P;

c) the generating (pressure) line must be always tangent to the base circles

and normal to the involute profiles at the point of contact e.

Deviations from the above requirements produce transmission errors

giving rise to vibrations [9.6].

Changing the center distance, the above requirements are still satisfied,

because it has no effect on the base circles used to generate the tooth profiles.

Increasing the center distance increases the pressure angle and decreases the length

of the line of action, but the teeth are still conjugate, and the angular velocity ratio

9. GEARS 45

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.

Deviations from the ideal tooth profile and gear geometry generate vibrations

whose measurement and analysis can help in diagnosing gearbox faults. The main

sources of such deviations are the tooth deflection under load, the wheel distortion

during heat treatment or gearbox assembly, and the geometrical errors in the profile

itself, resulting from the gear cutting process and wear.

smooth, and absolutely rigid, the meshing frequency, f m , is equal to the number of

teeth in the wheel, N, multiplied by the speed of the shaft on which the wheel is

mounted, f s , in rps

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.

purposes it is necessary to make measurements always at the same loading, and this

loading should be sufficient to ensure that the teeth are permanently in contact, and

not able to move into the backlash.

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.

due to periodic faults introduced into the gear by the machining process. They

normally correspond to the number of teeth on the index wheel driving the table of

the gear-cutting machine, and are due to errors in these teeth. Therefore, they

appear at a harmonic of the particular gear speed. Being a result of a fixed

geometrical error, they are not very load dependent and get smaller as a result of

gear wear. Hereditary excitations can also occur at frequencies determined by the

characteristics of the machine which made the gear-cutting machine.

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

rise to a pair of sidebands in the frequency spectrum, spaced on either side of the

carrier frequency by an amount equal to the modulating frequency.

by a lower-frequency cosine (plus d-c component), um (t ) . U c ( f ) and U m ( f ) are

the corresponding Fourier spectra obtained by a forward Fourier transform. The

final resulting spectrum consists of the carrier frequency plus two sidebands spaced

at an amount equal to the modulating frequency. Indeed, transformation of the

product of cosines in a sum yields

1

cos c t cos m t = [ cos (c + m )t + cos (c m )t ] , (9.8)

2

where

cos c t =

2

e(

1 i c t

)

+ e i c t ,

and

c = 2 f c , m = 2 f m .

9. GEARS 51

effect of fault distribution on the sideband pattern. A very localized fault, e.g., on

one tooth, would tend to give a modulation by a short pulse of length of the order

of the tooth mesh period, but repeated once every revolution. Figure 9.14, a shows

how this in the spectrum would result in the generation of a large number of

sidebands of almost uniform level.

that as the envelope of the fault in the time signal becomes wider, it makes the

corresponding envelope in the frequency domain narrower and higher. The

resulting modulation products become more obviously sidebands grouped around

the tooth meshing harmonics.

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

and frequency modulation.

Fig. 9.15

represented by [9.7]

(

a = A cos 0 t + sin 1 t , ) (9.9)

of phase from that of the unmodulated carrier.

The decomposition into cosine components, and further decomposition

into positive and negative frequency components, yields (giving details of the

positive frequency components alone)

{ 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...

C0 ( ) and that of the nth order sidebands by Cn ( ) .

frequency and the modulating frequency f1 is the rotating speed of the gear, then

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.

vibration trouble through resonance if it coincides with a natural frequency of some

part of the structure such as the webs and walls of the gear cases, the discs of large

gear wheels and the blades of a turbine [9.8].

Gear pairs are part of torsional (and axial) vibrating systems so that their

location and characteristics have an important influence on the dynamic response

especially near resonances.

If the vibratory torque at the gears is greater than the mean transmitted

torque, tooth separation occurs due to the backlash and this can result in severe

impact loading (hammering) at the gear teeth upon re-engagement.

54 DYNAMICS OF MACHINERY

vibration and there are gear errors attempting to force a vibratory movement at that

point, very large dynamic loads will be produced. By placing the gears away from

a nodal point, the vibratory torque at the gears may be appreciably reduced.

In the case of auxiliary drives, it is usually preferable to take off power at a

node of free torsional vibration, since the vibration amplitude at a node is small and

is therefore less likely to cause noise and wear or interfere with the functioning of a

comparatively lightly loaded auxiliary system.

In heavily loaded gears, the use of tip and/or root relief is usually desirable

to accommodate tooth deflection under load.

With helical gearing, tooth errors can excite torsional and axial vibrations

or a combination of the two. In double-helical gearing, the type of vibration excited

depends upon the phasing of errors in the right- and left-hand helices. If errors are

in phase the tendency is to excite torsional vibrations. If the errors are 1800 out of

phase, the tendency is to excite axial vibrations.

In difficult cases of resonance, it might be desirable to change the number

of teeth in all gears whose meshing is responsible for the disturbance or,

alternatively, modify the structural elements which are responding to the

disturbance.

variations from the ideal due to practical variations which are accentuated by the

teeth profile design. The main gear errors are listed below.

Pitch errors. Variations in spacing occur between corresponding sides of

adjacent teeth. Pitch errors create angular accelerations in the transmission motion,

with resultant torques and forces, which make a considerable contribution to gear

noise.

Radial run-out errors. These are eccentricities of the pitch cylinder

measured in the transverse plane, due to incorrect mounting of the gear on the shaft

or produced during gear manufacturing (ghost and hereditary errors). They

generate vibration and noise once per revolution. Amplitude modulation of the

tooth contact and its harmonics leads to side-band effects which extend over a

considerable frequency range.

Profile errors. Such errors are the deviations of an actual profile from the

theoretically correct involute profile in a transverse plane. They are primary factors

contributing to noise and vibration in gears.

9. GEARS 55

influenced by the bearing clearance, shaft and housing deflections and

manufacturing errors.

Teeth which have pitch or profile errors are prone to tooth separation,

high impact loads and failure. This occurs especially for lightly loaded gears where

the stress at the root of a tooth and the vibration may be excessive at critical

speeds.

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].

superimposed on a roughened thin layer of melted material. The terms scuffing and

scoring are frequently interchanged.

Gear scuffing is characterized by material transfer between sliding tooth

surfaces. It occurs when inadequate lubrication film thickness permits metal-to-

metal contact between gear teeth. Without lubrication, direct metal contact removes

the protective oxide layer on the gear metal, and the excessive heat generated by

friction welds the surfaces at the contact points. As the gears separate, metal is torn

and transferred between the teeth.

The ASM Handbook Vol.18 defines scoring as the formation of severe

scratches in the direction of sliding. Scoring tends to progress steadily from the tip

of the driving pinion inwards, and correspondingly over the driven profiles.

Scoring can be inhibited by phosphate treatment or copper plating of the

tooth surfaces. Extreme-pressure additives inhibit scoring, without marked change

in the viscosity grade of the oil. Minor scoring may be considered as scratching.

Scuffing is most likely to occur in new gear sets during the running-in

period, because the gear teeth have not sufficient operating time to develop smooth

surfaces.

Galling is a form of contact welding that results in the transfer of material

from one gear number to another. It is quite infrequent in moderate to high-speed

gearing, but is often seen in low-speed and stop/start type operations.

56 DYNAMICS OF MACHINERY

existence of small round or elliptical patches which (under high magnification)

exhibit the general appearance of minute scorings.

Destructive wear results in a corrosive change in the involute shape of the

gear tooth. It would be accompanied by extremely rough operation, non-uniform

motion and shock overloads, which would probably result in tooth breakage.

Corrosive wear generally occurs in long lasting operations in the presence

of chlorine or sodium based lubricants. This should not be confused with ordinary

oxidation corrosion which may occur during no operation intervals due to

improper preservation. It may be difficult to detect if the resultant pitting is fine.

Interference wear is the effect of the tip of one gear tooth tip in contacting

the fillet or root area of its mating tooth. When the initial contact occurs, the root of

the pinion tooth engages with the tip of the wheel tooth. Deflection occurs at the

point of maximum relative sliding speed, so that the tip may dig in and cause wear

of the pinion root. Conversely, during recession, the tip of the pinion tooth deflects

as it disengages from the wheel tooth causing wear of the wheel root. To overcome

this, the tips of both pinion and wheel teeth should be carefully and accurately

relieved.

Burning indicates surface tempering or softening of the tooth, most

probably accompanied by a total loss of lubricant. It is an advanced condition of

discoloring.

Discoloration is a term used to locate the existence of surface temper

colouring of the active profile (the top band) of a gear tooth. The condition

indicates a marginal lack of lubrication or an excessive power operation.

Misalignment wear arises from operation at skewed axes.

gears. Pitting occurs when small pieces of material break off from the gear surface,

producing pits on the contacting surfaces. The fatigue cracks are initiated on the

tooth surface or just below the surface, caused by the Hertzian contact due to low

lubricant film thickness. Cyclic action of applied and released excessive local

pressure combined with the sliding and rolling action between mating teeth is

believed to cause local fatigue failure which produces the pits (Fig. 9.17).

Pitting may also be produced by hydrogen embrittlement of metal due to

water contamination of the lubricant. Pitting is confined almost entirely to the

dedendum of both driving and driven gears, being most severe about the pitch line.

The occurrence of pitting is proportional to the tensile strength of the steel, it

increases with oil viscosity and is adversely affected by surface roughness.

9. GEARS 57

extremely tiny pits, approximately 10 m deep.

Spalling is a pitting condition whose origin can be physically detected at

the apex of the fan-shaped portion of the damaged area. This is a surface-initiated

type of fatigue, which has its origin in the surface tensile cracking which leads to

the gradual erosion and exfoliation of increasingly larger pieces of gear material as

the fan widens out in the direction of sliding action. The cracks will ultimately

undermine the entire case of case-hardened gear teeth as the spalling approaches

the extremities of the addendum.

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

the tooth flank.

The Hertzian shear stress increases from zero at the surface to a maximum

at a depth depending upon: a) surface load concentration; b) contact length at the

surface, and c) relative curvature of the surfaces in contact. Case depth is the

distance from the surface to the position where the hardness reaches that of the core

material. For gear teeth, the maximum shear stress should be within the depth of

hard casing.

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.

without adequate coolant leaves the surface layers in a state of tension. In severe

cases, grinding cracks may form at the root of tooth fillets. Such cracks act as

nuclei for tooth fracture.

accelerometers installed on gearboxes. In practice, direct comparisons of current

vibration signatures with previous signatures are not effective, due to large

variations. Instead, more useful techniques that involve the extraction of features

from the vibration signature data are being used, based on some statistical

measurement of vibration energy.

9. GEARS 59

(metrics) about the system input which are more informative than evaluating the

raw input itself. It is a parametrization process, which often reduces the data

volume. Feature extractors output only the information relevant for detecting the

failure modes to which the associated components are susceptible.

In vibration monitoring, damage detection techniques based on the

Discrete Fourier Transform (DFT) have been traditionally developed. The absolute

value of DFT contains an estimate of the signal power spectrum, which displays

different behavior between health state and damaged state signals. However, the

absolute DFT is insensitive to the shaft phase offset, which is random and thus a

source of unwanted variation in signal characteristics.

Given the geometry of rolling element bearings, it was possible to predict

which frequencies, i.e. DFT coefficients, are affected by different failure modes.

For gear systems, some fault-indicating signal characteristics are not well captured

by the DFT, but are better enhanced by other transforms. Several condition

indicators (figures of merit) have been introduced to detect localized damage in

gears [9.11-9.13]. Ideally, these features are more stable and well behaved than the

raw signature data itself.

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

TSA signal with the primary meshing and driveshaft components along with their

harmonics removed. Good results are obtained by high passing the data about some

frequency and remove the meshing frequency and all harmonics. The cut-off

frequency of the high pass filter is system dependent, and is selected between d.c.

and the fundamental meshing frequency. Indicators NA4 (Zakrajsek, 1993) and

NA4* (Decker, 1994) are determined based on the residual signal.

The condition indicators FM4 (Stewart, 1977), M6A and M8A (Martin,

1989) are based on the difference signal, calculated by removing the regular

meshing (RM) components from the TSA signal. The RM components consist of

the driveshaft frequency and its harmonics, the primary meshing frequency and

harmonics, along with the first order sidebands. It turns out that the difference

signal can be obtained by removing the sidebands of the primary meshing

frequencies from the residual signal.

The NB4 condition indicator (Zakrajsek, 1994) is obtained from the band-

pass mesh (BPM) signal. The TSA signal is band-pass filtered around the primary

gear mesh frequency, including as many sidebands as possible. The Hilbert

transform is then applied to the filtered signal to produce a complex time series.

9. GEARS 61

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.

following. The definitions assume that the input signal is finite. The primary

differences between the various condition indicators are in the signal based on

which the computations are made: the raw signal, the residual signal or the

difference signal, and in the signal used as a reference.

The root mean square (r.m.s.) is a measure of the power content of the

vibration signal. It is a general fault indicator, which provides no information on

which component is failing, and shows no appreciable changes in the early stages

of gear damage. Alone, it can be effective only in detecting major out-of-balance.

The r.m.s. of a digital signal defined by a data series xn over length N is defined as

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

element bearings [9.11], consists of processing the structure resonance energy with

an envelope detector (Fig. 8.17).

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.

9. GEARS 65

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

The basic idea is that the energy is transferred from the regular meshing

component to the rest of the signal as wear progresses.

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

develops in a tooth, M 6 A increases beyond 45 and M 8 A increases beyond 300.

9. GEARS 67

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)

mean of this envelope signal by the square of average variance of the envelope of

band-passed signals up to current time, with the following equation

( 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

measured by the oil debris sensor, a fuzzy logic analysis can be used. Integrating

oil debris analysis and vibration measurement results in a monitoring system with

improved damage detection and decision-making capabilities.

complex to be interpreted directly. Cepstrum analysis is used as a post-processing

technique to detect spectrum periodicity, i.e. the existence of sideband families.

Cepstrum is the spectrum of a logarithmic spectrum, hence a backward

transformation to the time domain. It is also a data reduction technique, effectively

reducing a whole family of sidebands into a single line and easing the monitoring

of changes in gearbox condition. Figure 9.21, b shows a typical cepstrum for a

gearbox, determined based on the frequency spectrum from Fig. 9.21, a.

Cepstrum is the inverse Fourier transform of a logarithmic spectrum

C ( ) = F 1 { log [ G ( f ) ] } , (9.28)

Thus, the cepstrum is a spectrum of a spectrum and for this reason, the

name cepstrum was coined from spectrum by reversing the first syllabe. Other

terms are coined in similar way, quefrency from frequency, rahmonic from

harmonic, gamnitude from magnitude, saphe from phase, quefrency alanysis

from frequency analysis, etc. [9.23].

a b

Fig. 9.21 (from [9.22])

70 DYNAMICS OF MACHINERY

signal g x (t ) , i.e. G xx ( f ) = F { g x (t ) } and F { } represents the forward Fourier

2

cepstrum [9.24], defined by

C ( ) = F 1 { log [ G xx ( f )] } . (9.29)

Fourier Transform of a time signal g (t ) , the resulting cepstrum is termed a

complex cepstrum, defined by equation (9.28) but where

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

vibration signal containing at least the first three harmonics of the toothmeshing

frequency (4.3 kHz).

Figure 9.23, b is a 2000-line composite spectrum extending in frequency

from below the toothmesh frequency to above its third harmonic (3.5-13.5 kHz). It

excludes the low harmonics of both shaft speeds. This degree of resolution is

required to separate the individual sidebands with spacings equal to the shaft

speeds, but the eye cannot see the spectrum details.

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

vibration monitoring and analysis [9.25]:

For fault detection: a) it is a sensitive measure of the growth of

harmonic/sideband families; b) the data is reduced to a single line per family; c) it

is insensitive to the location of the measurement point, to the phase combination of

amplitude and frequency, and to gearbox loading.

For fault diagnosis: a) it is an accurate measure of the spacing of frequency

components; b) it can be calculated from any section of a spectrum; c) it can be

used for the separation of different families of sidebands; and d) it is sensitive to

tooth and blade differences but not to uniform wear.

vibration signals. Therefore, vibration signals from gears are non-stationary.

However, most of the widely used signal processing techniques are based on the

assumption of stationarity. Thus they are not fully suitable for the detection of

short-duration dynamic phenomena and for the time localization of transient

events.

Application of time-frequency distribution techniques is suitable for the

detection and localization of cracks in gears. They show how the energy

distribution over frequencies changes from one instant to the next. Examples of

such distributions include wavelet transformations (J. Morlet, 1982), the short-time

Fourier transform (S. Gade and H. Herlufsen, 1987), the Wigner-Ville distributions

(E. Wigner, 1932, and J. Ville, 1948) and the exponential distribution (H. I. Choi

and W. J. Williams, 1989) [9.26-9.30]. Their study exceeds the frame of this book.

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

detection, Proc. 7th International Modal Analysis Conference, Schenectady,

New York, Jan 1989, p.1016-1021.

9.21. Zakrajsek, J. J., Handschuh, R. F. and Decker, H. J., Application of fault

detection techniques to spiral bevel gear fatigue data, Proc. 48th Meeting of the

Society for Machinery Failure Prevention Technology, Wakefield, MA, April

1994.

9.22. Randall, R. B., Cepstrum analysis and gearbox fault diagnosis, Brel&Kjaer

Application Note No. 233-80.

9.23. Bogert, B. P., Healy, M. J. R. and Tukey, J. W., The quefrency alanysis of

time series for echoes: cepstrum, pseudo-autocovariance, cross-cepstrum, and

saphe cracking, Proc. Symp. Time Series Analysis, Rosenblatt, M., ed., Wiley,

New York, 1963, p.209-243.

9.24. Randall, R. B., Advanced machine diagnostics, Shock and Vibration Digest,

vol.29, no.6, 1997, p.6-26.

9.25. * Primer for Cepstrum analysis a powerful tool for simpler diagnosis of

REB and gear vibrations, Brel & Kjaer Application Note No. BAN0026 -EN-

11.

9.26. Cohen, L., The Time-Frequency Analysis, Prentice-Hall, New Jersey, 1995.

9.27. Kaiser, G., A Friendly Guide to Wavelets, Birkhuser, Boston, 1994.

9.28. Wang, W. J. and McFadden, P. D., Early detection of gear failure by

vibration analysis. Calculation of the time-frequency distribution, Mechanical

Systems and Signal Processing, vol.17, 1993, p.193-203.

9.29. Dalpiaz, G., Rivola, A. and Rubini, R., Effectiveness and sensitivity of

vibration processing techniques for local fault detection in gears, Mechanical

Systems and Signal Processing, vol.14, no.3, 2000, p.387-412.

9.30. Gade, S. and Gram-Hansen, K., Non-stationary signal analysis using Wavelet

Transform, Short-time Fourier Transform and Wigner-Ville distribution, Brel

& Kjaer Technical Review, no.2, 1996.

10.

VIBRATION MEASUREMENT

measurement and evaluation of vibrations in machine condition monitoring and

fault diagnostics.

determining the most common types of malfunctions, b) determining how these

malfunctions will manifest themselves in terms of mechanical motion, and c)

measuring that motion which is both a reliable indicator of normal machine

performance and which is also most responsive to the primary malfunction

mechanisms.

The most probable malfunctions of a machine are a function of both the

machine design and the function the machine performs in a particular process.

Machines of identical design may have different prime malfunctions due to the

application of each machine in a different process. For example, a compressor may

exhibit unbalance (manifested as increased radial motion) as its prime malfunction

due to the erosion or fouling characteristic of the process gas, whereas an

identically designed compressor may exhibit thrust surge or erratic axial position

changes as its prime malfunction due to a history of uneven process gas flow

through the machine.

In machines with fluid film bearings, rotor-related malfunctions such as

unbalance, misalignment, thrust bearing failure, and rotor instability occur more

often than housing-related malfunctions and foundation problems. Journal

displacements relative to the bearing housing are measured with non-contacting

probes. Absolute shaft displacements are measured for machines with flexible

support structures.

For rolling element bearing machines, the velocity of bearing cap and

casing vibrations is measured using accelerometers or velocity pickups.

76 DYNAMICS OF MACHINERY

make on a particular machine or for a particular purpose.

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

bearings supported on flexible structure (Fig. 10.1, b), most of the energy

developed by the rotor is dissipated in the structural motion. On this type of

machine (fans, aircraft derivative gas turbines and machinery fitted with rolling

element bearings), the velocity of the casing vibration is the best measure of

condition.

transducers mounted at each bearing spaced 90 degrees apart, as shown in Fig.

10.2.

the same direction at each bearing of a multi case machine string. Since it is often

impossible to mount a displacement probe in the horizontal plane, due to

interference from the horizontal splits of the bearing and casing, current practice is

to mount both probes in the upper half of the bearing, 45 degrees either side of the

vertical centerline. In this configuration, the probe on the right (looking from the

driver end) is arbitrarily called the horizontal probe and applied to the horizontal

axis of an oscilloscope to establish the correct orbital motion. The probe on the left

is called the vertical probe. One must of course remember that the oscilloscope

display is tilted 45 degrees from actual shaft motion.

Apart from the probes measuring the shaft radial displacement, a phase

reference probe is usually installed on each shaft. It is a standard displacement

probe, located so that it can observe an once-per-revolution mark on the shaft, such

as a keyway or a hole. The width of the mark should be at least twice the probe tip

78 DYNAMICS OF MACHINERY

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.

sufficient to characterize adequately their running conditions with respect to

trouble-free operation. Measurements should be taken on the bearings, bearing

support housing, or other structural parts which significantly respond to the

dynamic forces and characterize the overall vibration of machine. Typical

measurement locations are shown in Figs. 10.3 to 10.8.

bearings, while Fig. 10.4 shows the measuring points for housing-type bearings.

Figure 10.5 shows the measuring points for small electrical machines. For

vertical in-line reciprocating engines, the measuring points are shown in Fig. 10.6,

where L and R define the left-hand and right-hand when facing the coupling flange,

1 the machine end of mounting, 2 the crankshaft level, 3 the top edge of

frame, .1 the coupling end, .2 the mid machine, and .3 the free end of

machine.

10. VIBRATION MEASUREMENT 79

multicylinder V-engines and in Fig. 10.8 for a horizontal opposed cylinder

machine.

vibrations is to ensure that the transducer mounting is solid and does not have a

natural frequency within the frequency range to be examined. In general,

cantilevered mounts should be avoided as well as mounting on inspection covers or

unsupported areas of bearing caps.

frequency range of interest determine the measured variable (displacement,

80 DYNAMICS OF MACHINERY

the transducer which must be used.

such as vibration displacement, velocity or acceleration, the vibration displacement

is selected as the most meaningful quantity.

For the complete determination of the shaft motion in a radial plane, two

transducers must be mounted in this plane, spaced 90 degrees apart as shown in

Fig. 10.2. If the motion contains only the fundamental frequency, the displacement

components x(t) and y(t) recorded along the two directions are harmonic, and the

rotor precession orbit is elliptical, as shown in Fig. 10.9. The ellipse major

semiaxis smax is a measure of the shaft vibration severity.

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.

reciprocating parts of complete machines, it is common practice to consider the

root mean square (r.m.s.) value of broad-band vibration velocity, since this can be

related to the vibration energy. Moreover, in the range 600 12000 rpm it is

relatively independent of frequency, and thus yields a simple measure of severity

for a new operating machine.

The standard ISO 10816 [10.3] defines the vibration severity as the

highest value of the broadband r.m.s. value of the velocity amplitude in the

frequency range 10-1000 Hz, as evaluated on the structure at prescribed points,

under agreed machine support and operating conditions.

82 DYNAMICS OF MACHINERY

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.

machine operating with reasonable allowable vibration is 6.25 mm s zero to peak.

At a running speed of 3000 rpm, this yields a displacement of 40 m peak-to-peak

and an acceleration of 0.2 g zero to peak.

Now assume that a vibration is generated at one-third running speed

frequency with a displacement amplitude of 80 m peak-to-peak, twice the

displacement at running speed. The 1X component could be from unbalance while

the 1 3 X component could be the result of a slight looseness or rub condition, oil

whip, the excitation of a resonance, or several other malfunctions.

A displacement of 80 m peak-to-peak at 1000 rpm yields a velocity of

4.16 mm s zero to peak and an acceleration of 0.044 g zero to peak. If the two

signals were in-phase (a rare case) such that the separate amplitudes would be

additive, then the increase in vibration levels would be as follows: displacement,

40 m to 120 m or 200%; velocity, 6.25 mm s to 10.41 mm s or 68%; and

acceleration, 0.2 g to 0.244 g or 22% [10.8].

If the measurement being made is shaft precession, then this means that

the shaft is now 3 times closer to the internal clearances of the machine than it was

before the subsynchronous vibration occurred. In terms of velocity, the situation is

less than 2 times as bad, and the small increase in acceleration may even go

unnoticed by a casual operator.

If the measurement is being made on the machine support structure, the

evaluation of terms is even more critical. In most cases, the rotor amplitude will

have increased even more than was measured on the machine casing.

For diagnostic purposes in machines with fluid film bearings,

displacement is the most direct indicator of the relative severity of vibrations at

various frequencies. In the above example, if a tunable filter were used to sort the

various frequencies according to their respective amplitudes, the following analysis

would result. Displacement would show the 1 3 X component to be predominant

and 2 times the amplitude of the 1X component. Velocity would show the 1X

predominant with the 1 3 X component being 2 3 the amplitude of the 1X, and

10. VIBRATION MEASUREMENT 83

amplitude of the 1X motion (Fig. 10.12).

Fig. 10.12

synchronous frequencies, and thus the amount of shaft deflection (measured in

displacement), relative to the machine clearances, is the most important parameter

to evaluate in terms of vibration severity and the significance of the various

vibration frequency components.

while casing vibration velocity is expressed in terms of the r.m.s. value.

The root-mean-square (r.m.s.) is an average of the composite waveform.

For a sine wave with unit amplitude, the r.m.s. value would be 0.707. If the sine

wave amplitude doubled to 2, the r.m.s. value would also double to 1.414.

However, the r.m.s. average responds in a linear manner for pure sine waves only.

If a waveform acquires an additional frequency component such that the total

amplitude increases, then the r.m.s. value could either increase or decrease as a

result of the new shape of the waveform. For example, the r.m.s. value of a square

wave is less than the peak value.

A harmonic vibration expressed in terms of velocity v (t ) = vo cos t is

defined by the amplitude vo and the circular frequency (Fig. 10.13, a). The

amplitude is sufficient to define the magnitude of harmonic vibrations.

In the case of periodic vibrations (obtained by the summation of several

harmonic components), the maximum value is called the peak value, v p (or zero-

to-peak value). In most cases it is simpler to measure the peak-to-peak value, v pp .

84 DYNAMICS OF MACHINERY

follows

T

1

v (t )dt ,

2

vr .m .s . = (10.1)

T

0

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

can be established

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])

same amplitude but a frequency 10 times higher than the initial harmonic vibration.

The resulting periodic vibration would have a peak value almost twice that of the

initial component, but an r.m.s. value only 1.4 times larger.

Figure 10.14 shows the influence of the relative phasing on the

compounding of two harmonic components. The higher harmonic has half the

amplitude of the fundamental component and a frequency 3 times higher.

10. VIBRATION MEASUREMENT 85

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.

accurate information involves selecting the proper vibration transducer. Important

basic considerations include: a) type of machinery to measure, b) frequency range

to be measured, c) environmental considerations, and d) permanent or portable data

collection.

Figure 10.15 illustrates typical frequency regions of operation for different

transducers. For constant velocity vibration amplitude across all frequencies, a

displacement transducer is more sensitive in the lower frequency range, while an

accelerometer is more sensitive at higher frequencies.

86 DYNAMICS OF MACHINERY

1m at about 1000 Hz and disappears into the background noise of most

commercially available measuring systems. In an extreme case, the 6 mm/s

velocity at 10 kHz corresponds to an acceleration level of 400 m s 2 , i.e.

approximately 40 g with a displacement of only 0.1m . Displacement is not an

effective means of measuring high-frequency vibration because large forces are

required at these frequencies to produce a measurable displacement and not

because the instrumentation system is limited to a maximum frequency. Below

10. VIBRATION MEASUREMENT 87

identifiable acceleration signal is so large that endangers the transducer mechanical

integrity.

Thus, it is recommended to use displacement pickups from 0 to about 1000

Hz, velocity pickups from 10 to 3000 Hz and accelerometers from 20 Hz to well

above 20 kHz, setting the lower limit for acceleration measurement at 0.4 m s 2 ,

and that for displacement at 2 m [10.1]. The trend is the extension of acceleration

measurement at lower frequencies.

critical consideration is to make sure it has a frequency range that includes the

potential machine fault frequencies. The second key factor is to make sure the

accelerometer will perform in the environment intended to be used. Some of the

considered factors are: a) heat tolerance, b) moisture, c) chemical exposure, d)

electrical interference, e) intrinsically safe requirements, and f) shock limit.

Recommended ranges for displacement, velocity, and acceleration

transducers are specified in [10.10] as well as frequency ranges of operation.

Figure 10.16 illustrates the typical envelope ranges of velocity vs. frequency for

several type transducers.

Traditional vibration sensors fall into three main classes: a) noncontact

displacement transducers, b) velocity pickups, and c) piezoelectric accelerometers

[10.12].

88 DYNAMICS OF MACHINERY

axial position monitoring systems [10.13, 10.14]. They consist of an eddy current

transducer (probe), a cable and an oscillator-demodulator (proximitor) (Fig. 10.17).

used to measure dynamic motion and static gap. The eddy probe is a flat pancake

coil of wire molded into a universal threaded case. Usual probe tip diameter is 5

mm, with a body diameter of 8 mm and length of 25 mm.

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 .

referring to the probe calibration curve the exact gap between the eddy probe and

the observed surface can be determined. If the observed surface is moving, as with

a precessing rotating shaft, the signal is not constant but varies in proportion to the

amplitude of the movement. Therefore, both the negative d.c. voltage which gives

average gap distance, and the a.c. component which gives dynamic motion are

available.

90 DYNAMICS OF MACHINERY

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.

phase reference probe observing an once-per-turn discontinuity (notch, hole, pin,

keyway), to provide phase angle orientation information. This key-phase probe

provides both speed and phase references, and a timer pulse for use with peak-to-

peak eccentricity measurements.

10. VIBRATION MEASUREMENT 91

The instrument must display voltage waveforms from vibration transducers in time

base and orbit format. The key-phase signal connected to the Z-axis intensity input

can be used to trigger the oscilloscope and to provide a reference point from which

to make phase angle measurements.

The horizontal probe is connected to the positive polarity input of the

horizontal amplifier of an oscilloscope (Fig. 10.20). The vertical probe output is

connected to the vertical amplifier jack. The key-phase probe output signal is

connected to the trigger jack of the oscilloscope for synchronizing the scope, but

more importantly, it is connected to the Z-axis input of the Cathode Ray Tube. This

connection must be a.c. coupled to the Z-input, and the normal ground shorting bar

must be removed. If the scope is a.c. coupled at this point, there is no problem. If it

is d.c. coupled, a capacitor is needed in series with the signal. Shielded coaxial

cables should be used, and only one earth ground is to be used for all equipment.

The key phase signal is superimposed on the time base and orbit traces

producing a bright/blank (or blank/bright) key phase mark. A notch-type keyphasor

will produce a voltage pulse which goes negative and then positive. As the notch

enters the probe face area (increase in gap) a boost in negative voltage (with

negative slope) is produced. When the notch trailing wall passes the probe face

(decrease in gap) a less negative burst (positive slope) of voltage occurs. As the

gap changes through the notch start and notch end, the time base waveforms and

the orbit trace are interrupted with a blank (break) mark, followed by a bright mark

[10.18].

If the shaft rotates clockwise, then the blank/bright sequence on the orbit

should also be clockwise if the shaft precession is forward. A bright/blank

sequence would indicate backward precession. The usual old convention was to

view, from outboard, the driving end facing the driven machine.

Eddy current proximity sets can be used to monitor rotor-to-stator

differential expansions and rotor positions relative to the thrust bearing.

instruments including electrodynamic transducers. In an electrodynamic

transducer, a coil moves through the magnetic field produced by a stationary

permanent magnet. The transducer can also be designed with a stationary coil and

the permanent magnet core moving within the coil. The principle of operation is

the same.

When the core moves, magnetic lines of the field created by the core cross

the turns. The electromotive force induced in the turns is proportional to the speed

of the core. The unit thus produces a signal directly proportional to vibration

92 DYNAMICS OF MACHINERY

operate, and it has relatively low electrical output impedance making it fairly

insensitive to noise induction.

A vibration pickup consists of a seismic mass supported by two

membranes, so that part of the mass lies within the air gap of a magnetic circuit.

The velocity pickup is a seismic instrument fastened to a vibrating structure. At

frequencies above the resonance of the mass-spring system, the relative motion

between the mass and casing sensed by the transducer is essentially the same as the

motion of the structure under test. The seismic mass and the pickup casing vibrate

1800 out of phase. Relative to a fixed (inertial) reference frame, the mass remains

nearly stationary (becomes a fixed point) and the casing motion is measured with

respect to it. The amplitude of the e.m.f. induced into the measuring coil is

proportional to the velocity of the relative motion and hence to the vibration

velocity of the structure under test.

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

temperatures or to compensate for static sag if the transducer is used in a vertical

attitude.

A correction coil, wound round the magnetic flux source, i.e. permanent

magnet, eliminates the influence of eddy-current damping on the flux. Limit stops

are fitted to prevent excessive movement of the seismic mass.

The electrodynamic velocity pickup PR 9266 made by Philips is shown in

Figure 10.21 where: 1 permanent magnet, 2 correction coil, 3 measuring coil,

4 additional damping coil, 5 damping cylinder, 6 and 7 membranes, 8

casing, 9 output leads, 10 three-core screened cable, 11 and 12 limit stops.

The frequency range is 10 to 1000 Hz, for displacement amplitudes up to 1 mm and

accelerations up to 10 g. The undamped natural frequency is 12 Hz. The mass

without cable is about 0.5 kg. The sensitivity is 30 mVpp mm s at 110 Hz.

built-in electronic integrator. This unit is called a "velometer", and is by all

accounts superior to the classic seismic velocity probe

Fig. 10.22

that make it nearly obsolete for new installations, although there are many

thousands of them still in use today. It is relatively heavy and complex and thus

expensive, and it has poor frequency response, extending from about 10 Hz to 1000

Hz. The spring and the magnet make up a low-frequency resonant system with a

natural frequency of about several Hz (Fig. 10.22). This resonance needs to be

highly damped to avoid a large peak in the response at this frequency. The problem

is that the damping in any practical design is temperature sensitive, and this causes

the frequency response and phase response to be temperature dependent.

94 DYNAMICS OF MACHINERY

10.4.4 Accelerometers

response, good temperature resistance and moderate pricing piezoelectric

accelerometers are the most often used vibration sensing instruments. They are

made in several different configurations, but the compression-type, illustrated in

Fig. 10.23, serves to describe the principle of operation. This accelerometer is a

seismic pickup in which the sensing piezoelectric ceramic discs form the elastic

element of the spring-mass system.

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

Transducer type Direction

type parameters locations

Noncontacting

Large

Relative transducer Radial

steam

displacement Shaft, at each 45 deg

turbine

or absolute Noncontacting and bearing or

generator

displacement seismic transducer X and Y

sets with

combination

fluid film

bearings

Velocity or Velocity transducer Each bearing Radial

acceleration or accelerometer housing X and Y

Power Shaft axial Noncontacting

generation transducer or Thrust collar Axial Z

displacement

axial probe

Phase Eddy

reference current/inductive/optical Shaft Radial

and rpm transducer

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

transducer or Thrust collar Axial Z

displacement

Mechanical axial probe

drive

Phase Eddy

reference current/inductive/optical Shaft Radial

and rpm transducer

10. VIBRATION MEASUREMENT 97

the following comparison is reproduced from [10.8].

Proximity probes

Advantages: a) measures directly the motion of the shaft (the origin of

most large machine vibrations), b) measures in terms of displacement (the most

meaningful engineering unit for fluid film bearing measurements), c) measurement

is noncontact (will not influence the measured vibratory motion because of

contact), d) solid-state with no moving parts, e) one sensor simultaneously

measures both dynamic motion and (average) position, f) system is modular with

the most inexpensive part, the probe, requiring only occasional replacement

(because of abuse), g) one extra transducer can be used as a rotor speed sensor and

a phase reference, h) excellent frequency response, i) small size, j) well-suited to

most machinery environments, k) ease of calibration, l) accurate low frequency

amplitude and phase angle information, and m) high level low impedance output.

Disadvantages: a) control of observed shaft surfaces desirable to avoid

excessive sensitivity to shaft mechanical and electrical runout, b) somewhat

sensitive to various shaft materials, c) requires an external power source, and d)

sometimes difficult to install.

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.

common in many oil and petrochemical plants, pumping stations, etc. It consists of

radial vibration, axial position, and speed monitoring of shafts, plus radial and axial

vibration of machine case and possibly of piping and foundation.

two-plane radial vibration of the shaft at each machine journal and each gear shaft,

plus case radial vibration on the gear, and c) shaft axial position (dual or single) on

all shafts (for protection against excessive thrust deflection).

In addition, the following are available from the permanently mounted

transducers for periodic monitoring and analysis information: a) shaft orbits, b)

gear case orbits, c) phase of the turbine, gear, and compressor shafts, d) axial

vibration, and e) eccentricity, or average position, of shafts. With the addition of a

roving velocity transducer, case, foundation and piping vibrations can also be

periodically monitored.

10. VIBRATION MEASUREMENT 99

large turbine-driven compressor.

100 DYNAMICS OF MACHINERY

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

instruments. Conditioners, which include filters, analog integrators, and amplifiers,

are used to enhance data. Digital recorders, tape recorders and digital computers

are used for data recording, especially when transient vibration phenomena are

measured. Electronic data collectors are used for storing r.m.s. or peak data that

can be transferred to a digital computer; trends can then be established and reports

generated.

Data processing is carried out using tunable and swept-filter analyzers,

tracking filters and FFT spectrum analyzers. FFT analyzers acquire a block of data

over a designated frequency range during a period of time, digitize the data, and

perform a frequency analysis using the FFT algorithm. They contain buffers

capable of storing large quantities of data and can also produce spectrum cascade

(waterfall) diagrams, i.e. amplitude versus frequency for various times or speeds.

These analyzers can perform integration, r.m.s. band analysis, and compute power

spectral density. The magnitudes of r.m.s.-based bands can be displayed in a linear

or logarithmic format.

Data display instruments include monitors, oscilloscopes, strip chart

recorders, analog and digital plotters. Simpler instruments display r.m.s., peak, or

average values of measured vibration.

Apart from the mentioned transducers, optical (and magnetic) pickups are

used in torsional vibration measurements, and general speed and phase

measurements on rotating shafts. The optical pickup sends a voltage pulse to the

oscilloscope or analyzer when energized by light pulses from a reflective tape (or

10. VIBRATION MEASUREMENT 101

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].

Orbits and time base plots are useful for examining the magnitude,

frequency, phase angle, and shape of the shaft precession motion and its filtered

frequency components (Fig. 10.29).

directivity (forward or backward), the bearing pre-loading (orbit distortion) and the

existence of sub-harmonic and supra-harmonic components.

Simple orbits are elliptical or Lissajous figures. The classical Lissajous

figures may be obtained by compounding two perpendicular harmonic motions

with two different frequencies.

In Fig. 10.30 it is shown how the orbit is built up from the two components

x = A cos t , y=

3

4

( )

A cos 2 t 450 .

102 DYNAMICS OF MACHINERY

construction, the time steps are labelled 1, 2, 3, etc. Thus the direction of orbital

motion can easily be determined.

frequencies, actual rotor steady-state orbits result from two perpendicular

components which both are periodic motions (sums of harmonic motions), and

usually carry the same set of frequencies. Thus, if x contains 1X and 2X

components, then most probably y will have 1X and 2X components, though

with different amplitudes and phases.

10. VIBRATION MEASUREMENT 103

superharmonic components.

When the rotor vibration has a subharmonic component of order 1/N, the

complex vector of the precession radius (for zero phase angles) is of the form

z = R1 ei t + R1 N e i ( N)t

, (10.4)

R1 N is the amplitude of the subsynchronous component. The plus sign is for

forward precession while the minus sign is for backward precession.

For N = 2 , and R1 R1 2 = 2 (dominant synchronous component), the orbit

is shown in Fig. 10.31, a for a forward subharmonic component, and in Fig. 10.31,

b for a backward subharmonic component. When the two components have

different phase angles, the orbits are no more symmetrical.

subsynchronous component) are shown in Fig. 10.32.

Similar conclusions result from the analysis of periodic vibrations with

superharmonic components, replacing N by 1/N in equation (10.4).

Generally, orbits have external loops when the so-called 2X component is

mainly due to shaft misalignment (including gear mesh and belt drives), coupling

misalignment (Fig. 10.33) and resulting radial preload. Orbits with internal loops

are mainly due to shaft asymmetry (such as with cracked shafts) together with

radial preload (from misalignment, gravity or fluid flow). The effect of the radial

preload on the shape of steady-state orbits is shown in Fig.11.9 (Chapter 11). With

increasing force, the initial elliptical orbit may become banana shaped, then

figure eight shaped.

104 DYNAMICS OF MACHINERY

The direct (unfiltered) orbit and timebase plots of the vibration signals

measured at a particular location on a machine are quite complex. The orbit is far

from elliptical and the timebase traces are combinations of several harmonic

components (fig. 10.33, a). The half spectrum plot (Fig. 11.33, b) is a frequency

domain version of the timebase plot for the Y probe. It makes the identification of

frequencies and individual component amplitudes easier.

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.

In the general spectral analysis, the two-sided spectrum shows both the

positive and negative frequency components of a signal. In machine diagnostics,

full spectrum plots use data from two orthogonal transducers converted into

information about the magnitude, frequency and phase of the directional (forward

and backward) response components. Forward components are shown in the

positive half of the full spectrum plot, and backward (reverse) components are

shown in the negative half. The relative magnitude of the forward and backward

components of equal frequency defines the direction of the precession.

10. VIBRATION MEASUREMENT 105

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])

component present only on the right hand side. A backward circular orbit has a

component only on the left hand side.

When the components on the right and left hand sides are equal or of

different amplitudes, the orbit at that frequency is elliptical. The component with

the larger amplitude determines the direction of precession along the orbit. When

the forward component is larger (Fig. 10.35), the precession is forward. When the

backward component is larger (Fig. 10.36), the precession is backward. When the

amplitudes are equal (Fig. 10.37), the orbit degenerates into a straight line.

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.

Mode shape plots (Fig. 10.39) display the precession orbits at selected

sections along the rotor, and the dynamic deflected line at a given moment. They

provide estimates of the nodal points along the rotor and for the internal clearances

between the rotor and stator.

10. VIBRATION MEASUREMENT 107

Trend plots are used for analyzing changes of observed data as a function

of time (Fig. 10.40) determined by modifications in the operating parameters of the

machine. They display both global level vibration data and other monitored

parameters useful in the machine condition diagnostics.

108 DYNAMICS OF MACHINERY

Transient vibration data taken during start-up and shutdown can be reduced

in different formats.

Bod plots (Fig. 10.41) and polar plots (Fig. 10.42) reveal the critical

speeds, the dynamic distorted shape and the mode shapes of the rotor, and the

amplification factor at the synchronous frequency of the rotor-bearing system. The

polar diagrams of the synchronous component 1X (filtered) are useful in the

multiplane field balancing and the detection of cracked shafts.

10. VIBRATION MEASUREMENT 109

Waterfall diagrams are used for examining the variation of the spectral

components (synchronous, sub- and supersynchronous) with speed. This permits

the detection of some instabilities (such as oil whirl/whip), of cracked shafts and

rubs. Figure 10.43 illustrates a cascade spectrum plot and orbits of a cracked shaft.

Full spectrum cascade plots display the speed evolution of the directional

(forward and backward) components of the instantaneous precession radius.

110 DYNAMICS OF MACHINERY

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.

displays the known characteristics, i.e. forward precession, different amplitude

forward and backward components, denoting an elliptical orbit, and primary 1X

component for the entire machine startup.

Other phenomena, such as preload induced rubs, cracked shafts or fluid

produced instabilities are conveniently analyzed using such plots (see Chapter 11).

Diagrams of the shaft centerline position (Fig. 10.46) are useful for

observing changes in the steady-state position of the rotor in the bearings. They

give indications of bearing wear and major changes in the alignment state of the

machine, indicating rotor preload due to misalignment or thermal effects.

Shaft centerline plots warn about a journal operating near or above the

center of the bearing, a usual cause of instability.

10. VIBRATION MEASUREMENT 111

Graphs of the time variation of the broadband vibration amplitude (Fig.

10.47) permit to avoid the rotor thermal bow at start-up or when driven through the

turning gear (due to nonuniform heating). They are useful in the detection of severe

vibrations produced by rapid temporary variations of the steam temperature (due to

boiler malfunction) or by partial admission, which affects the journal average

position in the bearing, hence the stability of the precession motion.

Acceptance region plots are displays where filtered 1X (or 2X) vibration

vectors are shown as a trend in polar format (Fig. 10.48). A user-defined normal

operating range of the 1X vibration vector is determined within the polar plot to

form what is called an acceptance region. Deviation of the 1X vibration vector

tip from the acceptance region may be a vital warning of a shaft crack or other

rotor disturbances.

112 DYNAMICS OF MACHINERY

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

Well Books, Tulsa, 1993.

10.2. * Vorbeugende Maschineninstandhaltung, Schenck Seminar C 50, Nov

1989, p.70.

10.3. ISO 10816-1, Mechanical vibration Evaluation of machine vibration by

measurements on non-rotating parts, Part 1: General guidelines, 1995.

10.4. 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.

10.5. VDI 2059 - Part 1, Shaft vibrations of turbosets. Principles for measurement

and evaluation, Nov 1981.

10.6. ISO 7919-1, Mechanical vibration of non-reciprocating machines

Measurement on rotating shafts and evaluation criteria, Part 1: General

guidelines, 1996.

10.7. Bently, D. E., Crude vibration amplitude measurements: Peak to peak versus

smax , Orbit, vol.15, no.3, Sept 1994, p.3.

10. VIBRATION MEASUREMENT 113

Part 2, Bently Nevada Corporation, Application Note BNC-015, L0467-00,

June 1980.

10.9. Federn, K., Erfahrungswerte, Richtlinien und Gtemastbe fr die

Beurteilung von Maschinenschwingungen, Konstruktion, vol.10, no.8, 1958,

p.289-298.

10.10. Jackson, Ch., The Practical Vibration Primer, Gulf Publishing Company,

Houston, Texas, 1979.

10.11. ISO 13373-1, Condition monitoring and diagnostics of machines

Vibration condition monitoring Part 1: General procedures, 2002.

10.12. Khazan, A. D., Transducers and Their Elements: Design and Application,

Prentice Hall, 1994.

10.13. Bently, D. E., Proximity measurement for engine system protection and

malfunction diagnosis, Bently Nevada Corp. Publication BNC-1, from Diesel

and Gas Turbine Progress, March 1972.

10.14. Bently, D. E., Shaft motion and position Keys to planned machine

maintenance, Annual Meeting of the Technical Association of the Pulp and

Industry, Miami Beach, FL, 14-16 Jan 1974.

10.15. * Machine protection systems, Dymac Measurement and Control,

Application Note Dymac MPS-1, Dec 1977.

10.16. Harker, R. G., A new turbine supervisory instrumentation package, Bently

Nevada Corp. Publication BNC-3, Aug 1979.

10.17. * Bently Nevada Oscilloscope by Tektronix, Technical/Ordering

Information L6026, Jan 1990.

10.18. Jackson, Ch., Balance rotors by orbit analysis, Hydrocarbon Processing,

vol.50, no.1, Jan 1971, p.73-79.

10.19. * Machine Monitoring Systems, Equipment for electronic measurement

of mechanical quantities, Philips Catalogue 79/80, p.49.

10.20. * Accelerometer calibration for accurate vibration measurements, Brel

& Kjaer Application Note No. BR 0173.

10.21. 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.

10.22. * Data presentation techniques for trend analysis and malfunction

diagnosis, Bently Nevada Corporation, Application Note R7/79, July 1979.

10.23. Muszynska, A., Misalignment and shaft crack-related phase relationships

for 1X and 2X vibration components of rotor responses, Orbit, vol.10, no.2,

Sept.1989, p.4-8.

114 DYNAMICS OF MACHINERY

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

performance and predicting mechanical problems. Methods are based on condition

monitoring, vibration measurement and analysis.

machine normal operation, and 3) the failure development period [11.2].

The beginning of a machine useful life is usually characterized by a

relatively high rate of failure. These wear-in failures are typically due to design

116 DYNAMICS OF MACHINERY

commissioning errors. As the causes of these failures are found and corrected, the

frequency of failure decreases.

The machine then passes into a relatively long period of operation, during

which the frequency of failures occurring is relatively low. This period of a

machine life is called the normal wear period and usually makes up most of the

life of a machine. There should be a relatively low failure rate during the normal

wear period when operating within design specifications.

As a machine gradually reaches the end of its designed life, the frequency

of failures again increases. These failures are called wear-out failures. This

gradually increasing failure rate is primarily due to metal fatigue, wear mechanisms

between moving parts, corrosion, and obsolescence. The slope of the wear out part

of the bathtub is machine-dependent.

of the machinery, especially for high power and dangerous machines; b)

optimizing the availability of machines by avoiding unexpected shutdowns,

especially for critical machines in a continuous production process, and c)

implementation of condition-based maintenance, for which the operations are

planned according to various constraints (cost, production, failure condition, etc.).

information on the condition of equipment to the people who need it in a timely

manner. The personnel include operators, maintenance engineers and technicians,

managers, vendors, and suppliers. These groups will need different information at

different times. The task of the person or group in charge of condition monitoring

is to ensure that useful data is collected, that data is changed into information in a

form required by and useful to others, and that this information is provided to the

people who need it and when they need it. Useful references on this subject are the

books [11.2] to [11.16].

The focus of this chapter is on vibration-based data, but there are several

different types of data that can be useful in assessing the machine condition. These

include lubrication oil/grease analysis, wear particle monitoring and analysis,

noise, temperature, force, output (machine performance), product quality, odor, and

visual inspections.

11. CONDITION MONITORING 117

failure, b) preventive, and c) predictive maintenance. Each of these different

strategies has distinct advantages and disadvantages. Specific situations within any

facility require the application of a different strategy. Therefore, no one strategy

should be considered as always superior or inferior to another.

Run-to-failure, or breakdown maintenance, is a strategy where repair

work or replacement is only performed when machinery has failed. In general, run-

to-failure maintenance is appropriate when the following situations exist: a) the

equipment is redundant, b) low cost spares are available, c) the process is

interruptible or there is stockpiled product, d) all known failure modes are safe, e)

there is a long mean time to failure (MTTF) or a long mean time between failure

(MTBF), f) there is a low cost associated with secondary damage, and g) quick

repair or replacement is possible [11.17].

time in service, the load (or duty) placed on the machine, and the estimated

remaining capacity of the machine. Whenever the estimated capacity curve

intersects with (or drops below) the load curve, a failure will occur. At these times,

repair work must be carried out. If the situation that exists fits within the seven

rules outlined above, all related costs (repair work and downtime) will be

minimized when using run-to-failure maintenance.

When specific maintenance tasks are performed at set time intervals (or

duty cycles) in order to maintain a significant margin between machine capacity

118 DYNAMICS OF MACHINERY

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].

time in service, the load (or duty) placed on the machine, and the estimated

remaining capacity of the machine when preventive maintenance is being

practiced. Maintenance activities are scheduled at regular intervals in order to

restore machine capacity before a failure occurs. In this way, there is always a

margin between the estimated capacity and the actual load on the machine. If this

margin is always present, there should theoretically never be an unexpected failure,

which is the ultimate goal of the preventive maintenance.

Predictive (on-condition) maintenance requires that some means of

assessing the actual condition of the machine is used in order to optimally schedule

maintenance, in order to achieve maximum production, and still avoid unexpected

catastrophic failures.

Condition based maintenance should be employed when the following

conditions apply: a) the machine is expensive or critical, b) a long lead-time is

necessary for replacement parts (no spares are readily available), c) the process is

uninterruptible, d) equipment overhaul is expensive and requires highly trained

11. CONDITION MONITORING 119

g) failures are not indicated by degeneration of normal operating response [11.17].

Figure 11.4 shows an illustration of the relationship between the machine

time in service, the load (or duty) placed on the machine, and the estimated

remaining capacity of the machine when predictive maintenance is being practiced.

Note that the margin between duty and capacity is allowed to become quite small,

but the two lines never touch. This results in a longer time between maintenance

activities than for preventive maintenance. Maintenance tasks are scheduled just

before a failure is expected to occur. This requires the existence of a set of accurate

measures that can be used to assess the machine integrity.

maintenance strategies during its operational life, e.g. scheduling the maximum

time between overhauls during the early stages of the machine life, and increased

frequency of monitoring as the age of the machine increases, looking only for

unexpected failures.

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

environment) [11.17].

presented in Fig. 11.5.

The information is taken from sensors and measurement systems that

have to be reliable. Bad measurements generate a wrong diagnosis so that

various techniques have been developed to detect invalid measurements.

This step allows the definition of a reference signature (or base-line)

which is able to characterize the state of the machine (healthy or faulty), but can

also be related to various kinds of faults. This is an important preliminary step to

the diagnostic process. It makes use of the machine characteristics, the type of

11. CONDITION MONITORING 121

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.

problems that can cause machine failures and how they may be recognized. An

attempt is also made to assess the effectiveness of the various methods of data

presentation and analysis in correlation with operational process data.

11.4.1 Unbalance

of a rotating component is not coincident with the center of rotation. It is

practically impossible to fabricate a component that is perfectly balanced, and even

after balancing (see Chapter 13) some residual unbalance exists in rotors,

122 DYNAMICS OF MACHINERY

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).

may be larger in one than the other. The latter is caused by asymmetrical radial

forces such as might be produced by a pressure dam bearing, torque reaction in

gears or orthotropic bearings (different horizontal and vertical support stiffnesses).

In each case, the higher force tends to suppress the coincident vibration.

A special form of unbalance is caused by thermal distortion of the rotor. It

is produced by thermally unstable shaft forgings which take a bow when they are

heated to an elevated temperature. This bow is a function of temperature and it will

11. CONDITION MONITORING 123

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.

second most common malfunction of rotating machinery. One of the main effects

of misalignment between rotors in the machine train is the generation of rotor

preload in a radial direction. The misalignment causes a constant radial force which

pushes the rotor to the side. Gravitational preload on horizontal rotors, thermal

124 DYNAMICS OF MACHINERY

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.

frequency component, as shown in Fig. 11.9. Shaft alignment techniques are

presented in Annex 11.1.

11. CONDITION MONITORING 125

sometimes up to the sixth) in the frequency spectrum are the usual diagnostic

signatures. The harmonics allow misalignment to be distinguished from unbalance.

High horizontal relative to radial vibration amplitude ratios (greater than 3:1) may

also indicate misalignment.

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.

axis of rotation, measured at the points of power transmission when equipment is

running at normal operating conditions. For instance, if the points of power

transmission are 0.5 m apart and the maximum shaft centerline to projected shaft

centerline offset is 0.5 mm , the deviation is one mm per m of power transmission

distance. At 3000 rpm this deviation is acceptable. At 20,000 rpm the alignment

deviation is unacceptable.

11. CONDITION MONITORING 127

Acceptable amounts of misalignment must be tailored to suit each individual drive

train application. Gear-type couplings and universal joint drives must have small

amounts of misalignment for proper lubrication to occur. Staying within the

acceptable misalignment band usually fills this requirement. Diaphragm couplings,

on the other hand, should be aligned within the excellent range.

common problem on high speed machinery equipped with fluid film bearings. As a

self excited phenomenon, instability causes the shaft to precess at a submultiple of

running speed and it is easy to be recognized as illustrated in Fig. 11.12.

component between approximately 40% and 60% running speed. In its early stages

the subharmonic component generally fluctuates irregularly in amplitude. As

instability progresses, the subharmonic spectral component will increase in

amplitude and will remain at the higher amplitude for longer periods of time until it

finally dominates the spectrum. When the latter occurs, the amplitude fluctuations

generally stop and components at twice and higher multiples of the subharmonic

may appear in the spectrum.

128 DYNAMICS OF MACHINERY

speed pattern to snake and bounce. The irregular bounce will likewise occur in an

orbital presentation (Fig. 11.12, c) but the key indicator in the final stages of

instability is two timing marks around the circumference of the orbit, indicating

that the shaft rotates twice in the time necessary to complete the orbit.

Instability is caused by a variety of factors. Oil whirl, where the shaft rides

a pressure wave in the oil film circulating at approximately one-half shaft speed is

perhaps the most common example. As a slight variation, the presence of oil whirl

close to a critical speed may cause the combined effect to latch in at the critical.

Other sources of instability can be hysteretic or frictional in nature, but all those

mentioned share a common cause, a force component perpendicular to the rotor

normal stabilizing force which, when resolved, produces a tangential whirling force

in the same direction as the shaft rotation.

Corrective measures for instability can range from minor changes in

bearing design such as decreased clearances, decreased bearing area in the lower

half to increase load or the addition of stiffness by substituting a pressure dam or

lobed bearing design for a plain cylindrical bearing. Next, one generally goes to a

much stiffer bearing design such as a tilting pad type with changes to the rotor

itself, such as decreasing the bearing span and/or adding diameter resorted to as a

final measure should all else fail.

In general, operating changes such as varying oil temperature are not

successful in eliminating instability although deliberate misalignment has been

used in the past to temporarily stabilize a bearing and permit continued operation.

A common type of malfunction in machines with fluid film bearings is

whirl and whip. Whirl and whip are rotor instabilities (self-excited vibrations)

generated by bearing, seal or main flow fluid dynamic forces. The malfunction is

characterized by rotor forward subsynchronous precession, often at destructive

levels, especially for whip conditions. Analysis of spectrum cascade plots and shaft

orbital motion can be used to diagnose whirl and whip.

Figure 11.13 shows a half spectrum cascade plot with orbits of an

unbalanced rotor supported in oil bearings. At a threshold of stability, below the

first resonance speed, the rotor undergoes whirl, as exhibited by the vibration

component with frequency just below X (orbit a).

When the machine speed increases and passes through the first resonance

(orbit b), the amplitude of 1X vibration, caused by unbalance increases, resulting in

higher oil bearing stiffness. It causes the suppression of the whirl. The bearing

stiffness increases significantly for higher journal eccentricities. This characteristic

is widely used for correction of oil whirl and whip malfunctions. A friendly

radial preload (provided for instance by a misalignment), holding the journal in an

eccentric position corrects effectively the oil whirl and whip in machines supported

by hydrodynamic cylindrical bearings.

11. CONDITION MONITORING 129

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.

full spectrum cascade plots. Figure 11.14 shows such a plot of a machine with a

threshold of stability of approximately 2300 rpm. For speeds less than

approximately 4500 rpm, the vibration is composed almost entirely of high

amplitude forward vibration components. The absence of backward components

130 DYNAMICS OF MACHINERY

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).

[11.23]. The latter are not shown here for conciseness.

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

described by Mathieu-type equations of motion. The solutions correspond to

submultiples of the running speed frequency. If the rotor resonance is less than 1/4,

1/3, 1/2 etc. of operating speed, has some unbalance and is lightly damped, the

resonance of the rotor system will be increased by the rub to exactly coincide with

the nearest higher fraction of running speed. The rotor will lock on this exact

submultiple.

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.

Fig. 11.18. When the rotor speed is increased, the unbalance creates enough force

to cause the rotor to contact the stator before the resonance peak. The rotor gets

stuck on top of its critical. The phase lag is usually about 80 to 100 degrees. As

speed increases, the rub increases, so the system dynamic stiffness increases. This

raises the critical speed, thus establishing this lockup situation. If the rotational

speed is well above the critical, an impact on the shaft can remove the continuous

rub condition, and the machine operates at much higher efficiency.

11. CONDITION MONITORING 135

and eventually corrected, as they cause very characteristic modifications of rotor

normal operational responses. The features of loose stationary parts, rotating parts

and oversize, poorly lubricated bearings are presented in the following.

parts. Typical examples of these may be a bearing shell with excessive clearance

with respect to the bearing housing. Other examples may be a loose bearing

housing, loose pedestal support, loose grout or a frame set on the earth without tie

downs.

Symptoms of looseness of the casing on its supports can be observed

listening to the machine with a listening rod and feeling with the fingertips for

differential vibration at mating surfaces. It is always a good idea to check all bolts

in the support structure for tightness, including casing hold down bolts and

soleplate bolting. A thorough checkout should be made for any gaps between feet

and other mounting surfaces, using a feeler gage, giving special attention to

clearances under casing feet, cracks in the foundation, and clearances in guide

keys.

Based on experience, this type of problem produces a spectrum with a high

amplitude peak at running frequency, followed by a string of vibration components

at multiples and submultiples of running frequency (Fig. 11.19).

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.

bearings (often referred to as dead band), usually due to poor lubrication.

Excessive clearances between journals and plain bearing bushes, as well as

between rolling element bearings and housing, produce periodic variations of the

stiffness of rotor/bearing system (Fig. 11.20), thus providing conditions for

parametric unbalance-related excitation which can lead to rotor instability.

rubbing, namely variable stiffness, impacting and friction. The similarity is,

however, of the mirror image type. The rubbing system is described as normal-

tight, while the system with increased clearances is described as normal-loose

[11.25]. As shown in section 11.4.4, a rubbing rotor becomes periodically stiffer,

which leads to an increase of the average stiffness. In the rotor/bearing system with

excessive clearances, the average stiffness decreases. This tends to lower the rotor

critical speed. If the normal rotor resonance is greater than 1/2 the normal operating

speed and the system is lightly damped, the resonance of the rotor will be lowered

by the effective decreased stiffness to coincide with the nearest lower fraction of

running speed. The rotor will lock into this exact submultiple [11.25].

The diagnosis of excessive clearance, and distinguishing it from the

rubbing, should be based on the rotor centerline position and 1X data, frequency

spectrum and orbit analysis. While exhibiting similar spectra, the journal/bearing

contact is usually maintained during a longer fraction of the vibration period than

the rotor/stator rubbing contact, thus the orbits are substantially different from the

rub case. While maintaining the contact, the journal slides on the bearing surface,

and a part of the orbit follows the bearing clearance circle. The journal remains

close to the bearing surface even when the contact is broken. This is different from

rubbing when more impacting and unsteady transient motion occurs.

11. CONDITION MONITORING 137

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.

Looseness may occur at discs or thrust collars mounted on rotating shafts

or at bearings untightened in bearing pedestals. A loose disc will still rotate, but at

a different speed than that of the rotating shaft. A loose bearing may start rotating,

dragged into rotation by the shaft. Their response is a function of clearances, the

friction conditions between the shaft and the loose part, as well as the tangential

external force applied to the loose part.

Depending on a particular machine, the drag force can drive the loose part

at a higher frequency than the rotational frequency (e.g.: a loose turbine disc) or

138 DYNAMICS OF MACHINERY

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.

synchronous 1X response vector (amplitude and phase) and slow roll vector, and b)

the occurrence of the vibration component of twice rotational speed 2X,

occasionally at the operating speed, but especially on startup and shutdown.

The first symptom is caused by the shaft bowing (elastic unbalance

effect) which interferes with the original mass unbalance. The second symptom is

associated with the asymmetry of the shaft. The 2X component is due to a

combination of a transverse crack and a constant radial force. The 2X component is

especially dominant when the rotational speed is in the region of half of any rotor

system natural frequency.

11. CONDITION MONITORING 139

proximity probes, can be monitored under normal operating conditions to provide

alarming and early warning of a shaft crack. The polar plot with acceptance regions

(Fig. 10.48) is an excellent format for documenting these shifts. Deviation of the

1X vibration vector tip from an acceptance region may be a vital warning of a shaft

crack.

More effective is the shaft crack detection using transient data. Figure

10.43 shows a half spectrum cascade plot that documents 1X, 2X and other

vibration components from slow roll to maximum available speed.

A very useful diagnostic tool is the full spectrum cascade plot (Fig. 11.23).

It shows the resonance produced by a 2X excitation force when the operating speed

is near half the first critical speed.

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.

system and process parameters as well as to trend the 2X vector, to determine

whether vector changes are caused by a rotor crack or other factors such as load,

field current, steam conditions, or other operating parameters.

11. CONDITION MONITORING 141

and construction, support structure, service and type of operation, and response to

probable malfunctions. Specific problems related to different machine types are

presented in the following [11.35].

rotational frequency. Additional prominent components generally are found at the

vane-passing frequency or frequencies (number of impeller vanes multiplied by

shaft speed), followed by a series of harmonics. Their amplitude may be related to

cavitation in pumps or surge in compressors and fans. Monitoring these vibration

characteristics may warn about incipient cavitation or surge.

(Fig. 11.26). With this type of construction, a large portion of the dynamic force

developed by the rotor is transmitted across the bearings with minimum relative

motion and is dissipated as structural vibration. Using vibration pickups, attached

to the bearing housings in the plane of least stiffness, usually provide the best

response and indication of mechanical condition.

142 DYNAMICS OF MACHINERY

shown in Fig. 11.27 is recommended. The signal obtained from the casing sensor is

divided, within the monitor, into bands related to specific mechanical components.

The first band, encompassing the frequencies around the running speed frequency,

is measured in terms of velocity and fitted with a low-pass filter to eliminate

interference from the impeller-vane passing frequency. If cavitation is likely, a

bandpass filter can be used to enclose the vane-passing frequency and one or two

of its multiples into a second monitored band. In centrifugal pumps with rolling

element bearings, high frequency resonant transducers are used to assess pulses of

energy above some adjustable threshold to provide early warning of an impending

failure.

may be developed if internal clearances are lost, it is advisable to include either an

axial-thrust position monitor or a thrust-bearing temperature indicator, plus an

alarm to warn of impending problems.

generally have a relatively large casing-to-rotor weight ratio and a stiff support

structure (Fig. 11.28).

Most of the low-frequency energy developed by the rotor is dissipated by

relative motion between journal and bearing, within the bearing clearance. A

noncontact relative-motion displacement monitoring system, like that shown in

Fig. 11.29 (installed on a compressor of older design), has the fastest and most

easily recognizable response at small changes in mechanical condition.

11. CONDITION MONITORING 143

excitation generated by aerodynamic turbulence or an impeller resonance. This

excitation is relatively easy to detect as acceleration, but its displacement most

likely will be below the minimum detectable amplitude of a typical industrial

144 DYNAMICS OF MACHINERY

infrequently that the additional instrumentation required for protection is not

usually warranted on a permanent basis.

Thrust position monitoring capability should be included as a part of any

centrifugal compressor monitoring system. A typical position-monitoring system

consists of an axial-displacement sensor and an appropriate monitor. Two sensors

are recommended in high-head or critical applications. Thrust-temperature

monitoring is mandatory on high-differential-head compressors, where the failure

of a balance drum seal can overload the bearing to failure.

primary-air service generally have large diameter rotors operating from 500 to 900

rpm in pillow-block bearings, supported on structural steel or concrete foundations

(Fig. 11.30).

11. CONDITION MONITORING 145

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.

rows of moving blades with shaft extensions at both ends (Fig. 11.32). Many

experts consider that a casing monitoring system offers acceptable protection

against both low frequency problems and high frequency blade related problems. A

more conservative approach combines acceleration monitoring for the blade-

passing frequencies with a conventional shaft-displacement system. If blade

problems are anticipated, the frequency spectrum is monitored in three bands: a)

the low frequency band around the running speed, indicating unbalance and

misalignment, b) a band covering the blade fundamental resonance frequencies,

and c) a band incorporating the blade-passing frequencies and their harmonics (up

to the third or fourth multiple of the highest blade passing frequency).

146 DYNAMICS OF MACHINERY

generally provides sufficient protection.

Usually axial compressors are driven by gas turbines so that the monitoring

system must be designed having in view the characteristics of both machines.

plants, or boiler-feed pumps vary significantly in dynamic response from turbines

used for producing electric power. The former usually operate between 5000 and

12,000 rpm and deliver from 6000 to 30,000 hp, with inlet steam pressures up to

about 120 bar. Utility turbines operate much slower, at synchronous and half-

synchronous speed, generally are much larger in size, and may use steam at

pressures above 250 bar.

A relative-motion shaft-displacement system, like that shown in Fig. 11.33,

serves best on large process-drive and boiler-feed pump turbines, units with

moderate to high casing-to-rotor weight ratios and relatively stiff support

structures. It provides excellent data at the low frequencies near the rotational

speed, and where shaft instability might present problems. Further, it is the only

way to monitor shaft radial position.

On critical high-speed turbines, the monitoring system includes backup

accelerometers mounted at each bearing that monitor absolute shaft motion. They

are useful to avoid problems caused by inadvertent location of shaft sensors at

nodal points, in-phase motion of the bearing housing, forces caused by vibration at

high frequencies, or a large amount of opposing runout, when relative-motion

shaft-displacement systems may not exhibit abnormal changes in the machine

condition. Casing accelerometers have a wide frequency range, allowing them to

11. CONDITION MONITORING 147

observe both the low rotational frequencies (as a primary or backup means of

monitoring) and the high blade- and flow-related frequencies.

thrust-bearing overload. Journal-bearing temperature, obtained from sensors

imbedded in these bearings, is a valuable indicator of bearing performance.

148 DYNAMICS OF MACHINERY

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.

11. CONDITION MONITORING 149

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.

150 DYNAMICS OF MACHINERY

train configurations are given in Figs. 11.35 to 11.37, where the usual conventions

for transducer numbering are shown, as well as in Fig. 10.27.

have: a) relatively low casing-to-rotor weight ratios, b) light, flexible casings, and

c) flexible support structures. Though speeds vary greatly, these machines

generally operate at moderate to high speeds. Aircraft derivatives are not

considered herein.

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

stability.

Casing accelerometers should be mounted at each bearing and at midspan.

For maximum protection, axial position and journal bearing temperature sensors

should be included.

bearings mounted on a flexible structure. Thus, most of the dynamic force

developed by the rotor results in structural vibration rather than relative motion

between shaft and bearings. Aside from rotor bar passing frequencies, most of the

characteristics that define the mechanical condition are found in the low frequency

region, up to about four or five times the running speed.

Small electrical machines have rolling element bearings and are monitored

by casing-vibration systems. Thermal power station large generators are monitored

with shaft vibration systems, usually the same as those used for the turbine.

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.

(rings supporting the piston in the cylinder) wear, leaking valves, and excessive

vibration due to impact-type events or poor mounting/foundation, lack of

lubrication, piston ring wear, and excessive bearing wear. Trending the rod drop

reading provides an early indication of when the riders bands will fail, allowing the

engineers to schedule maintenance at a convenient time. Using both a vertical rod

drop probe and horizontal probe can provide additional valuable diagnostic

information.

film bearings, problems related to bearing wear, crankshaft unbalance, or

misalignment can be detected with proximity probes in an X-Y configuration at

each main crankshaft bearing. Continuously measuring temperature at the main

11. CONDITION MONITORING 153

bearing failure, or insufficient lubrication.

A typical layout of the transducers used to monitor a horizontal

reciprocating compressor is illustrated in Fig. 11.40. Proximity probes mounted at

crankshaft are not shown.

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

time domain [11.43]. Velocity transducers are installed on the crankcase in the

horizontal plane parallel to the pistons to detect changes in running speed vibration

and in crankcase deflection. They can be mounted on the cylinder head, or on the

crosshead at a 450 angle in the plane of the piston motion, to detect both vertical

and cylinder vibration called stretch motion. Malfunctions can be detected

looking at timebase data in the region of 1X and 2X running speed

Proximity probes, which measure both the position and motion of the

piston rod, detect rider band wear. They can be used to measure crankshaft

displacement relative to the main bearings which, under normal conditions, follows

an elliptical orbit.

Accelerometers installed on the crosshead or distance piece of each

cylinder detect impact events. Accelerometers can also be used to confirm valve

problems when they are temporarily installed on the valve covers. Valve leaks can

be detected evaluating the timebase waveform relative to a reference that defines

top dead center and bottom dead center. The portion of the stroke in which the high

frequency vibration (produced by gas escaping through the valve) occurs can

isolate the problem to either a suction or discharge valve.

11. CONDITION MONITORING 155

Annex 11.1

Shaft alignment

when the machine is running under normal load.

Coupling alignment measurements provide data for calculating the offsets

of each shaft centerline relative to the other, across the coupling distance, in the

horizontal and vertical directions. The maximum alignment deviation is the largest

from driver offset and driven offset values. For the machine operating speed, the

diagram from Fig. 11.11 shows if realignment is necessary.

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

In the first method, a bracket-mounted dial indicator is used to take

readings from outside diameter (rim) of the opposite coupling hub and axially on

the inside face of the coupling while one shaft is rotated (Fig. A11.3). The data is

reduced, plotted and corrections calculated.

156 DYNAMICS OF MACHINERY

the reverse dial indicator and laser methods, though in some situations it is

necessary to use this method [11.45].

The second method entails two dial indicators mounted on opposite shafts

which are read simultaneously (Fig. A11.4).

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 .

158 DYNAMICS OF MACHINERY

bars and transducers (Fig. A11.5). The Dodd bar method [11.47] uses proximity

probes mounted on bars. The tubular bars are in a triangular arrangement with

supporting stiffeners between the tubes. One bar contains mounted probes which

are referenced to the other bar for the probe gap. Movement of the machines is

measured by the change in probe gap, and the relative alignment of the train is

calculated and plotted.

The alignment bars, representing the projected center lines of the two

machines, are attached to the inboard bearing housing of each unit. The

noncontacting transducer probes measure the relative movement between the bars,

indicating the thermally induced travel of the two shafts. Indicating blocks are

mounted on the bar fastened to the driven machine. Four proximity probes and two

probe brackets are mounted on the bar attached to the driver.

The probes and indicating blocks are positioned to measure the horizontal

and vertical movement at each coupling hub. The proximity probes measure the air

gap between the probe and indicating block. A proximitor amplifying unit

conditions the electrical energy supplied to the probe and linearizes the return

signal. The proximitor output signal is routed to readout meters calibrated to

display the different movements in displacement units.

11. CONDITION MONITORING 159

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

monitoring, Brel & Kjaer Application Note, 14-227.

11.2. Sidahmed, M., Diagnostics and condition monitoring, basic concepts,

Encyclopedia of Vibration, Braun, S., Ewins, D., and Rao, S.S., eds.,

Academic Press, London, 2002, p.376-380.

11.3. Collacott, R. A., Vibration Monitoring and Diagnostic, Wiley, New York,

1979.

11.4. Mitchell, J. S., Machinery Analysis and Monitoring, Penn Well Books, Tulsa,

1981.

11.5. Reeves, Ch., Vibration Monitoring Handbook, Coxmoor Publ. Comp., May

1998.

160 DYNAMICS OF MACHINERY

Elsevier, Oxford, 2004.

11.7. Bloch, H. P., Practical Machinery Management for Process Plants, vol.1:

Improving Machinery Reliability, 3rd ed., Gulf Professional Publ., Oxford,

1998.

11.8. Eisenmann, R. C. Sr., and Eisenmann, R. C. Jr., Machinery Malfunction

Diagnosis and Correction, Hewllet Packard Professional Books, Prentice

Hall, Upper Saddle River, NJ, 1997.

11.9. Bloch, H. P. and Gleitner, F. K., Practical Machinery Management for

Process Plants, vol.4: Major Process Equipment Maintenance and Repair,

2nd ed., Gulf Publishing Comp., Houston, 1997.

11.10. Gleitner, F. K. and Bloch, H. P., Practical Machinery Management for

Process Plants, vol.5: Maximizing Machinery Uptime, Gulf Professional

Publ., Oxford, 2006.

11.11. Forsthoffer, W. E., Forsthoffers Rotating Equipment Handbooks, vol.5

Reliability Optimization through Component Condition Monitoring and Root

Cause Analysis, Elsevier, Amsterdam, 2005.

11.12. Macdonald, D., Practical Machinery Safety, Newness, Oxford, 2004.

11.13. Mobley, R. K., An Introduction to Preventive Maintenance, 2nd ed.,

Butterworth-Heinemann, Amsterdam, 2002.

11.14. Scheffer, C. and Girdhar, P., Practical Machinery Vibration Analysis and

Predictive Maintenance, Newnes, Oxford, 2004.

11.15. Barron, R., Engineering Condition Monitoring: Practice, Methods and

Applications, Addison Wesley Longman, London, 1996.

11.16. Adams, M. L., Rotating Machinery Vibration: From Analysis to

Troubleshooting, Marcel Dekker, New York, 2001.

11.17. Mechefske, C. K., Machine condition monitoring and fault diagnostics,

Chap.25 of C.R.C. Handbook, Taylor and Francis, 2005.

11.18. Mitchell, J. S., Bearing diagnostics: An overview, ASME Winter Ann. Mtg.,

10-15 Dec 1978, San Francisco, p.15-24, 1978.

11.19. Southwick, D., Using full spectrum plots, Part 2, Orbit, vol.15, no.2, June

1994, p.11-15.

11.20. Piotrowski, J., Shaft Alignment Handbook, 2nd ed., Marcel Dekker Inc.,

New York, 1995.

11.21. Muszynska, A., Vibrational diagnostics of rotating machinery malfunctions,

Course on Rotor Dynamics and Vibration in Turbomachinery, von

Karman Institute for Fluid Dynamics, Belgium, 21-25 Sept 1992.

11. CONDITION MONITORING 161

monitoring for preventive/predictive maintenance of rotating machinery,

Journal of Engineering for Gas Turbines and Power, vol.109, April 1987,

p.159-167.

11.23. Southwick, D., Using full spectrum plots, Orbit, vol.14, no.4, Dec 1993,

p.19-21.

11.24. * Machinery protection and diagnostics topics, Bently Nevada

Application Note 003, Feb 1977.

11.25. Bently, D. E., Forced subrotative speed dynamic action of rotating

machinery, ASME Paper 74-Pet-16, Petroleum Mechanical Engineering

Conference, Dallas, Texas, Sept 1974.

11.26. Muszynska, A., Partial lateral rotor to stator rubs, I. Mech. E. Conference

Publication 1984-10, Proc. Third International Conference on Vibrations in

Rotating Machinery, Heslington, England, 11-13 Sept 1984, p.327-335.

11.27. Bently, D. E., Basic rotor-to-stator thermal rubs which exhibit rotative

speed (1X) symptom only, Orbit, vol.17, no.3, Sept 1996, p.4-6.

11.28. Gasch, R., Nordmann, R. and Pftzner, H., Rotordynamik, 2nd ed., Springer,

Berlin, 2001.

11.29. Muszynska, A., Misalignment and shaft crack-related phase relationships

for 1X and 2X vibration components of rotor responses, Orbit, vol.10, no.2,

Sept.1989, p.4-8.

11.30. Pfleiderer, C., Petermann, H., Strmungsmaschinen, 6th ed., Springer, 1990.

11.31. Mitchell, J. S., Putting vibration and other operating variables to work in a

monitoring system, Power, May 1977, p.87-89.

11.32. * Centrifugal Compressor for Ultra-High Pressures, Druckschrift MA

25.69 en/9.83, Mannesmann Demag, 1983.

11.33. Eck, B., Ventilatoren, Springer, Berlin, 1957.

11.34. Kostyuk, A. G. and Frolov, V. V., Steam and Gas Turbines (in Russian),

Energoatomizdat, Moskow, 1985.

11.35. Mitchell, J. S., Monitoring the complex vibration characteristics of bladed

machinery, Power, July 1977, p.38-42.

11.36. * Rotating Machinery Information Systems and Services, Bently

Nevada, Publ. L1001-00, April 1993.

11.37. Hayashida, B., Advancement of Turbine Supervisory Instrumentation

continues to help solve machinery problems, Orbit, vol.13, no.1, Feb 1992,

p.6-11.

162 DYNAMICS OF MACHINERY

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

acceptable vibration limits for different types and sizes of machinery.

measured either on the bearing housings or between the journal and the bearing

case are compared against guideline charts and recommended acceptable limits.

In the development of standards it has been found that machinery can be

subdivided into four categories for the purposes of vibration measurement and

evaluation [12.1]:

1. Reciprocating machinery having both rotating and reciprocating

components, such as diesel engines and certain types of compressors and pumps.

Vibrations are usually measured on the main structure of the machine at low

frequencies.

The Guideline VDI 2063-1985 [12.2], intended for the measurement and

evaluation of mechanical vibrations of reciprocating piston engines and piston

compressors, has proved to be useful in practice, though the same criteria were

applied to all reciprocating machines. It was superseded by the standard ISO

10816-6 [12.3] which gives different vibration limits for various machines.

2. Rotating machinery having rigid rotors, such as certain types of electric

motors, single-stage pumps, and slow-speed pumps. Vibrations are usually

measured on the main structure (such as on the bearing caps or pedestals) where

the vibration levels are indicative of the excitation forces generated by the rotor

because of unbalance, thermal bows, rubs, and other sources of excitation.

164 DYNAMICS OF MACHINERY

mean-square velocity in the specified frequency range (typically from 10 to 1,000

Hz), as evaluated on the structure at prescribed points.

The Guideline VDI 2056-1964 [12.4] was the basis for the standards ISO

2372-1974 [12.5] and ISO 2373 [12.6] superseded now by ISO 10816 [12.7]-

[12.12]. ISO standards are used as a basis for the corresponding national standards.

The obsolete standards still contain useful information.

3. Rotating machinery having flexible rotors, such as large steam turbine

generators, multistage pumps and compressors. The machine may be set into

different modes of vibration as it accelerates through one or more critical speeds to

reach its service speed. On such a machine, the vibration amplitude measured on a

structure member may not be indicative of the vibration of the rotor. For example,

a flexible rotor may experience very large amplitude displacements resulting in

failure of the machine, even though the vibration amplitude measured on the

bearing cap is very low. Therefore, it is essential to measure the vibration on the

shaft directly.

The Guideline VDI 2059-1981 (first draft in 1972) comprised 5 parts

[12.13]-[12.17] devoted to general guidelines and four types of turbines. It was the

basis for the standard ISO 7919-1996 which has also 5 parts [12.18]-[12.22].

4. Rotating machinery having quasi-rigid rotors, such as low-pressure

steam turbines, axial-flow compressors, and fans. Such machinery contains a

special class of flexible rotor where vibration amplitudes measured on the bearing

cap are indicative of the shaft vibration.

In addition to the International Standards Organization (ISO), various trade

organizations such as American Petroleum Institute (API), American Gear

Manufacturers Association (AGMA) and the American National Electrical

Manufacturers Association (NEMA) have developed and published vibration

standards, which are widely accepted and applied. In most cases, these standards

have been developed by consensus of consumers and manufacturers, and their use

is considered voluntary.

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.

The chart developed by Blake [12.25] is given in Annex A12.1. Horizontal

displacements measured on bearings have to be multiplied by a service factor.

166 DYNAMICS OF MACHINERY

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

prime movers and driven machinery led to the standard ISO 2372-1974 [12.5],

merely the English version of the VDI 2056 recommendations. The term vibration

intensity was replaced by vibration severity, so that the r.m.s. value of vibration

velocity (over the frequency range 10 to 1000 Hz) was recognized as the best

figure of merit for vibration effects on non-rotating parts of machinery. Table 12.1

can also be found in the above standard. It was maintained in the first release of

ISO 10816-1 [12.7] as a short term expedient only, until the relevant parts of the

standard became available.

Although the absolute values suggested by these criteria are not always

relevant, due to the different mobilities of the machine structures at the

measurement location, they are useful in that they indicate the significance of

various degrees of vibration level increases. For example, a level increase by a

factor of 2.5 (8dB) is a significant change as it is the span of one quality class.

Likewise, an increase by a factor greater than 10 (20dB) is serious as it can take the

classification from good to not permissible.

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

sufficient to ensure that the particular machine is adequately covered, which

depends on the type of machine under consideration. For example, the frequency

range necessary to assess the integrity of a machine with rolling element bearings

should include frequencies higher than those of machines with fluid film bearings.

For long-term operation, the standard shows how to set operational

vibration limits under the form of alarms and trips.

Alarms provide a warning that a defined value of vibration has been

reached or a significant change has occurred, at which remedial action may be

necessary. If an alarm situation occurs, operation can continue for a period whilst

investigations are carried out to identify the reason for the change in vibration and

define any remedial action.

Trips specify the magnitude of vibration beyond which further operation of

the machine may cause damage. If the trip value is exceeded, immediate action

should be taken to reduce the vibration or the machine should be shut down.

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

1500 or 1800 3000 or 3600

Zone boundary

Vibration velocity, mm s r.m.s.

A/B 2.8 3.8

B/C 5.3 7.5

C/D 8.5 11.8

Zone A - new machines that can be operated without restriction.

Zone B - acceptable for unrestricted long term operation.

Zone C - machines that may be operated for a limited time until a

suitable opportunity arises for remedial action to be taken.

Zone D - vibrations of sufficient severity to cause damage to the

machine.

The vibration measurement system should be capable of measuring

broadband vibrations in mm s r.m.s. over a frequency range 10-500 Hz. If,

170 DYNAMICS OF MACHINERY

monitoring during machine run-up or run-down, or overspeed, a wider frequency

may be required.

This standard includes the vibration criteria shown in Table 12.2. It is

based on bearing housing/pedestal vibration velocity amplitude ( mm s r.m.s.) for

turbine generator sets exceeding 50 MW, and with nominal speeds of 1500, 1800,

3000 and 3600 rpm. The values apply to in situ measurement under steady-state

conditions.

It is recommended that the alarm value should not normally exceed 1.25

times the upper limit of zone B. In general, the trip value will be within zone C or

D, but it is recommended that the trip value should not exceed 1.25 times the upper

limit of zone C.

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

structures require a division of this standard into two machinery groups, namely: 1)

large machines with rated power above 300 kW, or electrical machines with shaft

heights over 315 mm; and, 2) medium size machines with a rated power above 30

kW up to and including 300 kW, or electrical machines with shaft heights from 180

mm to 315 mm. The larger machines normally have sliding bearings and the range

of operating or nominal speed is relatively broad with ranges from 120 rpm to

15000 rpm. The recommended criteria are shown in Fig. 12.3.

12. VIBRATION LIMITS 171

with rated power from 300 kW to 50 MW (group 1) is shown in Table 12.3. The

zone descriptions are the same as in ISO 10816-2.

Table 12.4

class boundary ( m , r .m.s.) (mm s, r.m.s.)

A/B 22 1.4

Rigid B/C 45 2.8

C/D 71 4.5

A/B 37 2.3

Flexible B/C 71 4.5

C/D 113 7.1

machines with rated power from 15 kW to 300 kW (group 2) is included in Table

12.4.

Fig. 12.3

established for pumps [12.28]. They apply to pumps with multivane impeller

(centrifugal, mixed or axial flow above 15 kW) and separate or integrated driver.

172 DYNAMICS OF MACHINERY

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

rpm

A/B B/C C/D

Vibration velocity, mm s r.m.s.

3000-20000

4.5 9.3 14.7

element bearings, but does not address the evaluation of the condition of those

gears or bearings. The zone descriptors are the same as in ISO 10816-2.

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

The recommended criteria values (in mm s r.m.s.) vs. shaft rotational

speed (in rpm) for hydraulic machines with nominal power above 1 MW, and

nominal speeds between 120 and 1800 rpm are shown in Fig. 12.4. The zone

descriptions are the same as in ISO 10816-2.

174 DYNAMICS OF MACHINERY

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-----

A/B

2.8 to 4.5 -------44.8----- -----2.82---- ------4.42---- A/B

A/B

4.5 to 7.1 -------71.0----- -----4.46---- ------7.01---- A/B

A/B

C

7.1 to 11 -------113----- -----7.07---- ------11.1---- A/B

A/B

C

11 to 18 -------178----- -----11.2---- ------17.6----

C

18 to 28 -------283----- -----17.8---- ------27.9----

C

28 to 45 -------448----- -----28.2---- ------44.2---- D

D C

45 to 71 -------710----- -----44.6---- ------70.1---- D

D C

71 to 112 ------1125---- -----70.7---- ------111----

D

D C

112 to180 ------1784---- -----112---- ------176----

D

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.

displacement in the range 2 Hz to 10 Hz, 45 mm/s r.m.s. velocity (or 68 mm/s peak

velocity) from 10 Hz to 100 Hz, and 4g peak acceleration from 100 Hz to 300 Hz

(Fig. 12.6). The limiting curve is overlaid on the vibration severity grade

nomograph given in the standard ISO 10816-6: 1995 [12.3] in Annex A12.5.

Guidelines for the evaluation of vibrations of reciprocating internal

combustion engine-driven alternating current generating sets are given in the

standard ISO 8528-9: 1995.

176 DYNAMICS OF MACHINERY

displacements measured relative to bearings [12.31] was developed in 1968 for

Dresser Clark centrifugal compressors (see Annex A12.4). Alternative severity

criteria are given in Annex A12.3 [12.30]. This section presents the vibration

criteria suggested by the standard ISO 7919 (based on VDI 2059), presently in use

for measurement on rotating shafts.

vibration measurements on the rotating members of machines. Such machines

generally contain flexible rotor-shaft systems. Change in the vibration condition

may be detected more sensitively by measurements on these rotating elements.

Also, machines having relatively stiff and/or heavy casings, in comparison to the

rotor mass, are typical of those classes of machines for which shaft vibration

measurement are frequently preferred.

Machines such as industrial steam turbines, gas turbines, and

turbocompressors have several modes of vibration in their service speed range,

and, their responses due to unbalance, misalignments, thermal bows, rubs, and the

unloading of bearings may be better observed by measurements on the shafts.

There are three principal factors by which the vibration level of a machine

is judged [12.29], namely: a) bearing kinetic load; b) absolute motion of the rotor;

and, c) rotor clearance relative to the bearing. If the bearing kinetic load is of

concern to ensure against bearing damage, the vibration of the shaft relative to the

bearing structure should be monitored as the overriding criterion. If the absolute

motion of the shaft (a measure of the rotor bending stress) or rotor-bearing

clearance are of concern, the type of measurement used depends on the vibration

level of the structure which supports the relative motion transducer. Hence, if the

vibration level of this support structure is less than 20% of the relative shaft

vibration, the absolute shaft vibration must be measured; and, if this is found to be

larger than the relative shaft vibration, then this will be the more valid

measurement. The rotor clearance to the bearing must be monitored to ensure

against rotor seal and blading rubs which can cause rotor or blading failures.

The shaft vibrations of machines, measured close to the bearings, are

evaluated on the basis of two criteria [12.29]:

1) The reliable and safe running of a machine under normal operating

conditions requires that the shaft vibration displacement remain below certain

limits consistent with, for example, acceptable kinetic loads and adequate margins

on the radial clearance envelope for the machine. Generally, this criterion is taken

12. VIBRATION LIMITS 177

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

turbine-generator sets, in micrometers peak-to-peak, measured relative to the

bearings, are shown in Table 12.7 for relative shaft to bearing vibrations, and in

Table 12.8 for absolute vibrations.

Table 12.8

Shaft rotational speed, rpm

1500 1800 3000 3600

Zone boundary

Peak-to-peak absolute displacement of shaft, m

A/B 120 110 100 90

B/C 240 220 200 180

C/D 385 350 320 290

without restriction; zone B is acceptable for long-term operation; zone C represents

machines that may be operated for a limited time until a suitable opportunity arises

for remedial action to be taken; and zone D is identified as a trip level as these

values are considered to be of sufficient severity to cause damage.

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.

bearings, comprising: turbocompressors, turbines, turbine-generators, and electric

drives, all having maximum rated speeds in the range 1000 to 30,000 rpm, and

powers between 30 kW and 50 MW.

In Fig. 12.8, limits are shown for the evaluation of the peak-to-peak shaft

displacement relative to the bearing, d, as a function of the rotational speed, n.

The three lines at zone boundaries are defined by the following equations

180 DYNAMICS OF MACHINERY

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

general guidelines for selecting the appropriate vibration standards for a specific

machinery classification. The proposed method includes two basic evaluation

criteria: a) shaft displacement from the journal centerline; and b) stiffness ratio of

pedestal to bearing. The latter determines the ratio of the shaft relative

displacement to the pedestal vibration.

Figure 12.11 shows the flow diagram for selection of measurements and

evaluation of vibration severity.

184 DYNAMICS OF MACHINERY

measurements and when to make shaft relative vibration measurements.

have high bearing stiffness, a stiffness ratio less than 1, and are better suited to

vibration measurements at the pedestal and/or casing. Conversely, machines using

fluid film bearings and supported on relatively soft pedestals, will have a much

higher stiffness ratio, and are better suited to shaft vibration measurements.

Table 12.9 [12.29] shows example dynamic stiffness ratios, and the

applicability of the reference standard.

12. VIBRATION LIMITS 185

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

ISO 8579-2 [12.34] specifies the methods for determining the mechanical

vibration of individually housed, enclosed, speed-increasing and speed-reducing

gear units. This standard specifies methods for measuring housing and shaft

vibrations, and the types of instrumentation, measurement methods and testing

procedures for determining vibration levels. It applies only to a gear unit under test

and operating within its design speed, load, temperature range and lubrication for

acceptance testing at the manufacturers facility.

186 DYNAMICS OF MACHINERY

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.

the petroleum and petrochemical industry, covering topics that range from basic

design features of various machine components to conditions regarding critical

speeds, rotor balancing and vibration limits.

Table 12.10 shows vibration limits recommended by various API standards

[12.36].

Table 12.10

mils peak-peak in/s

0.12 r.m.s.

nmax

API 612 [12.39]

API 616 [12.41] 12000 -

1.25

API 617 [12.42] nmax

API 672 [12.44]

API 613 [12.40] 0.5

nmax 4g pk (2.5-10 kHz)

16000

API 619 [12.43] nmax -

12. VIBRATION LIMITS 187

to vibrations generated by machinery, road traffic, underground trains, aircraft,

blasting operations, wind, forge hammers, pile drivers, and earthquakes.

Distinction should be made between high-intensity, short-duration

vibrations induced by earthquakes and blasting, and long-duration, usually

smaller-intensity vibrations induced by traffic, compressors, machinery, and other

human activities. While much information is available on the effects of

blasting vibrations from controlled tests on specific types of buildings (reinforced

or prestressed concrete, wood-framed, brick constructions), opinions on the effect

of intermittent or sustained vibrations produced by traffic and factory machinery

are controversial.

It is considered that building damages are not due directly to the effects

of vibrations alone. The risk of damage induced by low-level sustained vibrations

to usual buildings is very small, even when the level of vibrations is considered

intolerable by the occupants.

Buildings are more likely damaged by strong dynamic loading produced

by blasting, earthquakes, or other causes. During vibrations induced later by other

sources, if existing cracks are developed, the structural stiffness can vary in time

and eventually a resonance condition can be reached. This condition can cause the

vibration level to increase beyond safe limits. However, even in these cases,

experience gained in recent years has shown that the resistance to fatigue of steel or

reinforced concrete structures is sufficient to ensure that damage is unlikely to

occur if the level of vibrations can be tolerated by the occupants [12.46].

One cannot establish, with absolute certainty, what constitutes damaging

vibrations for a building. These damaging vibrations depend on building size, type,

and destination. In some norms (e.g.: [12.47]), the concept of damage is used to

define noticeable defects that decrease the buildings capacity to satisfy the

requirements imposed by its proposed use. Thus, for industrial buildings, damages

mean a decrease of either their safety state or the load carrying capacity of structural

elements. Nuclear power plants are not considered herein.

In all cases, damage does not refer to the building collapse or the fracture

of structural elements. From this point of view, the limit values of allowable

vibrations set up a large safety margin against yielding in the ordinary sense of the

word.

Maximum permissible steady-state vibrations have lower levels than

shock-induced short-duration vibrations. In the following, available vibration limits

are classified according to the quantity chosen as criterion in assessing the effect of

vibrations.

188 DYNAMICS OF MACHINERY

12.14 for estimation of possible vibration-induced damage to buildings [12.46].

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)

vibration intensity, measured in vibrar, is given by

12. VIBRATION LIMITS 189

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 .

classification of vibrations according to their effect on buildings is given. The

limit values of ranges are presented in Fig. 12.15, plotted in coordinates peak

displacement vs. frequency with solid lines.

190 DYNAMICS OF MACHINERY

velocities of 2.5, 5, 12 and 50 mm/s are also plotted with broken lines. Based on

our experience [12.49], the allowable limit of building vibrations is in the range of

30-40 vibrars and corresponds to 5 mm/s r.m.s. velocity at frequencies between 5

and 50 Hz.

damage than the vibration intensity. From Figs. 12.14 and 12.15 one can see that

constant velocity lines have smaller slopes than constant vibration intensity lines.

Therefore, standards based on constant velocity will give increased weight to

lower frequency vibrations, which more likely can induce structural resonance

than frequencies above 50 Hz.

The German norm DIN 4150 [12.47] indicates that, at conventional

types of structures (industrial buildings and plants, public buildings, offices and

buildings of similar type and destination), damages were not observed for steady-

state horizontal vibrations with a peak velocity less than 5 mm/s. Beyond this

limit, damage occurrence depends on the specific conditions of the case under

investigation.

Practical experience has shown that damages of structural elements do

not occur for peak velocities up to 10 mm/s, even when all the strength capacity is

consumed by the static loading. Calculation of the additional dynamic stresses set

up by vibrations is recommended (if possible) when this limit is exceeded.

Table 12.11

I Below 2.5 damages not possible

II 2.5 5.0 damages very improbable

III 5.0 10.0 damages not probable

IV Over 10.0 damages possible,

stress check necessary

stationary floor vibrations by measurement of the peak displacement and

frequency. However, vibration limits are expressed in terms of vibration severity

(Table 12.11). This is the maximum r.m.s. velocity, measured as the largest

orthogonal component of vibration, determined at prescribed measuring points on

the structure.

12. VIBRATION LIMITS 191

Constant r.m.s. velocity lines of 2.5, 5 and 10 mm/s are plotted in Fig. 12.15 with

broken lines.

[12.49], based on our experience that the upper limit for the range in which

damages from sustained steady-state vibrations are most probable can be chosen

at 7 mm/s r.m.s. velocity. However, as in all vibration standards, this must be

taken only as a guide in judging the vibration level and as a warning of impending

damage.

192 DYNAMICS OF MACHINERY

Annex A12.1

12. VIBRATION LIMITS 193

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

196 DYNAMICS OF MACHINERY

Annex A12.6

VDI 2059 Part 3

12. VIBRATION LIMITS 197

Annex A12.7

VDI 2059 Part 4

198 DYNAMICS OF MACHINERY

Annex A12.8

VDI 2059 Part 5

12. VIBRATION LIMITS 199

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

MECH 458, Part 5, Machine condition monitoring and fault diagnostics,

Queens University, Kingston, Canada, 2007.

12.31. * General guide lines for vibration on Clark centrifugal compressors,

Dresser Industries Inc., Clark Turbo Products Division, N.Y., 1971.

12.32. ISO 10817-1, Rotating shaft vibration measuring systems Part 1: Relative

and absolute sensing of radial vibration, 1998.

12.33. ISO 10816-0 (draft by H. Kanki), Guidelines for selecting vibration

evaluation methods, including shaft relative, shaft absolute, and pedestal

vibration measurements, 2003.

12.34. ISO 8579-2, Acceptance code for gears, Part 2: Determination of

mechanical vibration of gear units during acceptance testing, 1993.

12.35. AGMA 426.01, Specification for measurement of lateral vibration on high

speed helical & herringbone gear units, The American Gear Manufacturers

Association.

12.36. Jackson, Ch., Shop testing Is it worth it?, Orbit, vol.19, no.2, June 1998,

p.10..

12.37. ANSI/API Std 610, Centrifugal Pumps for Petroleum, Petrochemical and

Natural Gas Industries, 10th ed., Oct 2004.

12.38. ANSI/API 611, General-Purpose Steam Turbines for Petroleum, Chemical

and Gas Industry Services, Jan 1997.

12.39. ANSI/API 612, Petroleum, Petrochemical and Natural Gas Industries

Steam turbines Special-Purpose Applications, 6th ed., Nov 2005.

12.40. ANSI/API 613, Special Purpose Gear Units for Refinery Service, Chemical

and Gas Industry Services, Jun 1995.

12.41. API Std 616, Gas Turbines for Petroleum, Chemical and Gas Industry

Services, Aug 1998.

12.42. API Std 617, Axial and Centrifugal Compressors and Expander-

Compressors for Petroleum, Chemical and Gas Industry Services, 7th ed., July

2002.

12.43. API Std 619, Rotary-Type Positive-Displacement Compressors for

Petroleum, Petrochemical and Natural Gas Industries, 4th ed., Dec 2004.

12.44. API Std 672, Packaged, Integrally Geared Centrifugal Air Compressors for

Petroleum, Chemical and Gas Industry Services, March 2004.

12.45. API Std 673, Centrifugal Fans for Petroleum, Chemical and Gas Industry

Services, Jan 2002.

202 DYNAMICS OF MACHINERY

Digest, no.117, May 1970.

12.47. DIN 4150, Erschtterungen im Bauwesen, Teil 1, 2, 3, May 1986.

12.48. Koch, H. W., Ermittlung der Wirkung von Bauwerksschwingungen, VDI-

Zeitschrift, vol.95, 1953, p.733-737.

12.49. Rade, M., Vibration limits for industrial buildings, The Shock and

Vibration Digest, vol.26, no.3, May/June 1994, p.11-14.

12.50. ISO 4866, Mechanical vibration and shock. Vibration of buildings.

Guidelines for the measurement of vibrations and evaluation of their effects on

buildings, 2000.

13.

BALANCING OF ROTORS

produces specific once per rotation (synchronous) precession of rotors and lateral

vibrations of their supporting structures. Corrective balancing aims to reduce

machine unbalance-related vibrations.

Properly balanced rotors are important for the smooth running and

integrity of rotating machines. However during manufacturing irregularities are

produced by machining errors, cumulative assembly tolerances, distortions due to

heat treatment, flaws or inclusions in castings, and material non-homogeneity.

Irregularities occurring during operation include uneven wearing and erosion,

unsymmetrical buildup of deposits, missing or loose rotor parts, and load-related

and thermal distortion of the rotor. Because of these, the actual axis of rotation

does not coincide with one of the principal axes of inertia of the body, and variable

disturbing forces are produced which result in vibrations. In order to avoid/remove

these vibrations and ensure/establish proper operation, balancing becomes

necessary.

Balancing is the process of adding (or removing) mass on a rotor in order

to shift a central principal inertia axis to coincide with the geometric axis of

rotation. In a thin disc, the mass centre is moved towards the centre of rotation. In a

longer rotor, two or more planes along the axis of the shaft may be selected to

redistribute the rotor mass. An appropriate set of masses is applied (or removed) at

proper angular orientation and as close as possible to the proper plane along the

rotor. This gives a counter effect and balances the unit by making the free

centrifugal forces acting on the rotating body as small as possible.

Balancing is done by drilling, welding, sticking with adhesive, milling,

grinding or attaching screws. Typical items requiring balancing are electrical

armatures, spindles and tool-holders, crankshafts, ventilators, turbo-machinery,

pump impellers, drive assembly components, turbo charger rotors and car wheels.

The forces generated by an unbalance are proportional to the rotating speed

squared. Therefore, the balancing of high-speed equipment is especially important.

204 DYNAMICS OF MACHINERY

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

centrifugal force F = 2 m r . At a given value of the angular speed, the magnitude

and direction of the centrifugal force is determined by the product m r . In

balancing it is called unbalance [13.1].

The unbalance is defined by the vector quantity

u = mr , (13.1)

kg m . Unbalance is independent of the rotational speed, hence implies that the

radius is constant.

In a rotor, the radius is measured with respect to the shaft axis, i.e. the

line connecting the centers of the bearing journals. It is the geometric axis of

rotation attached to the rotor.

In most rotors the condition of unbalance does not change noticeably up

to the operating speed. These rotors are referred to as rigid rotors. Flexible rotors

operating below one third of the first bending critical speed are considered as rigid.

For such rotors the unbalance may be specified as a fixed value, irrespective of the

rotational speed. They may be balanced at any desired speed up to the operating

speed.

Unbalance compensation is carried out by adding (or subtracting)

material to the unbalanced rotor. For a disc-shaped rigid rotor, this is done in such

a way that the sum of the centrifugal forces produced by the initial unbalance and

the correction mass becomes zero. The product of the correction mass with the

correction radius must be equal to the initial rotor unbalance. The added mass must

be placed in the opposite angular position, while the material removing is done in

the same angular position as the initial unbalance. The above considerations apply

only to discs mounted perpendicular to the rotation axis. Several correction masses

can be used (due to the particular form of the rotor) providing that the vector sum

of their individual unbalances counteracts the initial rotor unbalance.

As a rotor spins, the unbalanced mass tends to pull the rotor toward the

bearings on the side the unbalance is located. The point of maximum orbit radius,

13. BALANCING OF ROTORS 205

amplitude, is called the high side or high spot of motion. The point located at 180 0

phase angle is named the low spot. At very low speeds, the high spot will be in

phase with the unbalanced (heavy) mass. The intersection of its radius with the disc

rim locates the heavy spot. In a flexible rotor, the phase of the measurable high spot

will lag the unknown position of the heavy spot. As speed increases, the high spot

of these rotors begins to lag the heavy spot. At the critical speed, the phase lag is

900 and well beyond the critical speed, the phase lag increases to 1800 (Fig. 2.11).

The high spot can be marked on a spinning disc by holding and gradually

moving a piece of chalk (or marking pen) close enough to cause a mark (streak) on

the disc rim. It can be located with a dial indicator and a stroboscope, or with

proximity transducers and a strip chart recorder or oscilloscope. On small machines

a seismic velocity pickup and a vibration analyzer can also be used. The high spot

is the part of the shaft that would first contact a closely fitting labyrinth seal and

would leave a mark on a shaft at this location. A reference mark called key phasor

is also prescribed on the disc to define the reference with respect to which phase

angles are measured.

For a rigid rotor having significant length, there are four types of rotor

unbalance i.e. static, couple, quasi-static and dynamic [13.2], [13.3].

principal inertia axis is displaced parallel to the shaft axis (Fig. 13.1, a).

The problem can be solved with a single correction mass placed in the

same plane as the rotor center of mass. If it is not possible to make a mass

correction in the center portion of the rotor, then equal corrections can be made in-

line at opposite ends of the rotor.

Static unbalance can be usually identified by comparing the magnitude

and phase readings obtained at the support bearings. For rotors supported between

bearings, static unbalance will result in nearly identical magnitude and phase

readings. This does not apply for overhung rotors.

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

unbalance, couple unbalance becomes apparent only when the part is rotated and

can be identified by comparing the magnitude and phase readings at the rotor

support bearings. Rotors supported between bearings will typically reveal equal

amplitudes of vibration but phase readings will differ by 1800 . This method of

detecting couple unbalance does not apply to overhung rotors.

In a rotor with overhung discs at both ends, the distance between bearings

is smaller than the distance between the correction planes so that couple unbalance

is of primary importance as compared with the static unbalance.

Unfortunately, only a few balance problems will be pure static or pure

couple. Most balance problems will be a combination of static and couple

unbalance, further classified as quasi-static and dynamic unbalance.

a b

c d

Fig. 13.1

intersects the rotating centerline but not at the rotor center of mass.

This type of unbalance can be produced if the rotor were out of balance at

only one end, as shown in Fig. 13.1, c. Installing an unbalanced pulley or coupling,

or reblading only the first stage of a turbine or compressor might cause it. It can be

also thought as a combination of static and couple unbalance where the static

unbalance is directly in line with one of the couple components.

13. BALANCING OF ROTORS 207

by carrying out a simple single-plane balancing to the end having the higher

vibration level, and by making the mass corrections in a nearby reference plane not

coinciding with the plane through the rotor center of mass.

inclined with respect to the shaft axis but does not intersect it. It is the most

common type of unbalance for long rotors and can be visualized as a combination

of static and couple unbalance, where the static component is not in line with one

of the couple components. As a result, the central principal axis is both tilted and

displaced from the shaft axis, as shown in Fig. 13.1, d.

Dynamic unbalance problems can only be solved by making mass

corrections in a minimum of two different reference planes. One therefore

frequently refers to dynamic balancing as two plane balancing and to static

balancing as single plane balancing.

between bearings is reasonably large and the disc has been attached normal to the

shaft axis (no axial run-out). Assembly faults, axial run-out in the bearing seating, a

throw in the ball bearings or internal stresses can produce simultaneous couple

unbalance. Grinding wheels and fan rotors are statically balanced. Turbine wheels

are only statically prebalanced and then the completely assembled rotor is

dynamically balanced. The static part of unbalance may be measured, without

rotation, in the earth gravitational field by rolling on knife edges, suspending as

pendulum or weighing [13.4].

Properly balanced car tires are important for driving comfort and long tire

life. Out-of-balance tires will cause a car to vibrate at speeds between 80 and 120

km/h. Vibrations in the seat or floorboard are produced by static unbalance.

Vibrations in the steering wheel are produced by the wheel wobbling due to

dynamic unbalance.

When mounting a car wheel, the tire light spot, marked by a yellow dot

on the tire sidewall, should be lined up with the rim high spot at the valve stem.

Tires should be balanced when they are mounted on wheels for the first time or

when they are remounted after repair. In the latter case, mud or dirt packed in the

back of the rim or debris embedded in the thread must be first removed. It is also

important to avoid using locking lug nuts heavier than the initial wheel lugs.

208 DYNAMICS OF MACHINERY

are presented in the following. They require the addition of a test trial mass to

produce a change in the original unbalance which can be used to determine the

required balance correction. Common practice is to use a mass which will produce

an unbalance force at the support bearing equal to 10% of the rotor weight

supported by the bearing.

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.

z will rotate by and will be parallel and opposite to z0 . If it is increased in

the ratio z0 z to equal the original unbalance, it will balance the disc. Hence the

correction mass (when mt is removed) is mc = mt z0 z .

This procedure is a variant of the more general influence coefficient

method [13.6] presented in the following.

the radial unbalance vector and the angular velocity squared. In linear systems,

rotor lateral displacements may be expressed as sums of products of a flexibility

coefficient and a centrifugal force, or alternatively in terms of products of speed-

dependent influence coefficients and radial unbalances. Herein, the influence

coefficient represents the response of the rotor to a unit unbalance.

The rotor is spun at constant rotational speed. In a rigid rotor, the heavy

spot lies in the same radial plane as the high side. The response of the unbalanced

rotor is expressed by a complex displacement

z0 = z0 0 = z0 R + i z0 I = z0ei 0 , (13.2)

0 is the phase angle between the high spot and a reference timing mark.

unbalance u = m r is expressed as the product of the rotor mass m and the

unbalance eccentricity r , of magnitude r and phase lag angle m . This angle

shows the radial plane where the unbalance u is located with respect to the timing

reference mark on the shaft, as measured in a direction opposite to rotation.

The rotor synchronous displacement response may be expressed in terms

of a complex influence coefficient a multiplied by the rotor unbalance u

z0 = a u . (13.3)

It is assumed that the influence coefficient a is a function of rotor speed

only. This implies that, if a small correction mass is placed on the rotor, the

influence coefficient at a particular speed will not change (which is not true in non-

linear systems).

210 DYNAMICS OF MACHINERY

(sometimes unknown) phase angle t relative to the reference timing mark. The

trial complex unbalance is

i t

ut = mt rt e . (13.4)

The rotor response, measured at the same speed as the initial response, is

z1 = a ( u + ut ) , (13.5)

or

i 1

z1 = z11 = z1R + i z1I = z1e . (13.6)

z = z1 z0 = z ei . (13.7)

z0 z0 z

u= = ut = 0 ei ( 0 ) ut . (13.8)

a z z

If the trial mass is removed, it is desired to find the right location where

to place a compensating mass mc in order to balance the rotor. The placement of

the new mass creates a z vector which is equal to the original z0 vector, but acts

in the opposite direction. This is achieved if the balance correction uc is equal and

opposite to the rotor initial unbalance vector u

z0 i ( 0 ) i t

uc = u = u e i = e u t e = u c e i c , (13.9)

z

where

z0 z

uc = ut = 0 mt rt = mc rt , (13.10)

z z

and

c t = = 0 1800 . (13.11)

The compensation mass

z0

mc = m, (13.12)

z t

may be placed at the same radius rt as the trial mass mt , but should be shifted by

an angle = 0 1800 in the positive direction (if t is not known).

13. BALANCING OF ROTORS 211

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

The response after the trial mass is applied is

The difference vector

The influence coefficient

z

a= = ( 0.7131 + i 86.3034 ) 10 3 = 86.3063 10 3 90.50 .

ut

The original unbalance

212 DYNAMICS OF MACHINERY

z0

u= = ( 0.8690 + i 0.0072 ) 103 = 869179.50 .

a

The correction unbalance

where

uc = mc rt = 3.8622 225 = 869 g mm .

Fig. 13.3

z0 75

mc = mt = 5 = 3.8622 g

z 97.0946

should be placed at the radius rt = 225 mm shifted by an angle

If the trial mass is left in the rotor, the trim balance correction vector is

13. BALANCING OF ROTORS 213

so that a mass

mtrim = 2.5747 g

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)

214 DYNAMICS OF MACHINERY

The difference vector

A compensation mass

z0 3 .4

mc = mt = 2 = 2.0117 g

z 3.3805

should be placed at an angle

in the positive direction, i.e. 310 anticlockwise.

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)

The response after the trial mass is applied is

The difference vector

A compensation mass

z0 15

mc = mt = 5 = 2.69 g

z 27.87

13. BALANCING OF ROTORS 215

Fig. 13.5

cases, balancing can be carried out using only amplitude measurements, using a

simple vibration meter connected to an accelerometer mounted on the bearing

[13.2]. The procedure requires one run to obtain the original unbalance amplitude

and three trial runs. On each trial run, a single trial mass is attached at a different

angular position on the rotor. Usually, the same mass is placed at 00 , 1200 , 2400

(or at 00 , 900 , 1800 ) on the rotor, at the same radius.

Geometrically, Sieberts construction (Fig. 13.6) can be used to evaluate

the amount and angular location of the required balance correction. A circle with

the center in O is drawn having the radius proportional to the amplitude of response

to the original unbalance. The relative angular positions A, B, C of the trial mass

mt are marked on the original circle. Using the trial mass positions as the centers,

circles are drawn (at the same scale) having the radius equal to the corresponding

216 DYNAMICS OF MACHINERY

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

The compensating mass is

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

problems in-place [13.9], [13.10], including: a) separate single-plane solutions; b)

simultaneous single-plane solutions; c) the influence coefficient method; and d)

decomposition into static plus couple unbalance. Only the last two methods are

presented in the following [13.6].

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 ,

influence coefficients, a trial unbalance is placed in each plane and the new

resulting amplitudes of motion are measured.

Next, a trial mass producing an unbalance u t1 is added to the first

correction plane and the resultant readings z11 and z 21 at both bearings are

recorded. They can be expressed using the influence coefficients as

( )

z11 = a11 u 1 + u t1 + a12 u 2 ,

z21 = a 21 ( u 1 + u t1 ) + a 22 u 2 .

(13.16)

and a21 may be determined as

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)

and a22 may be determined as

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 .

1

uc1 u10 + u t1 a11 a12 z12

= = . (13.20)

u c 2 u 20 + u t 2 a21 a22 z 22

Solving for the final balance correction gives

a12 z 22 a22 z 12 a 21 z 12 a11 z 22

u c1 = , u c2 = . (13.21)

a11 a 22 a21 a12 a11 a 22 a21 a12

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

Responses with the trial mass applied in plane 2 are

The difference vectors are

The correction unbalances are

Example 13.6

The initial vibration readings on a rigid-body rotor are

2700 at plane 1. The resulting vibrations at planes 1 and 2 are

13. BALANCING OF ROTORS 221

placed at a relative phase angle of 180 0 at plane 2. The resulting vibration readings

at planes 1 and 2 are

Determine the balance corrections [13.11].

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

The vibration readings at planes 1 and 2, due to the placement at plane 2

of the trial mass (at a unit radius) of unbalance u t 2 = 12 + i 0 , are

The influence coefficients (13.17) and (13.19) are

The correction unbalances (13.22) are

222 DYNAMICS OF MACHINERY

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

A trial balance mass of u t1 = 4.9 g is placed at a relative phase angle of

1200 at plane 1. The resulting vibrations at planes 1 and 2 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

Determine the balance corrections [13.11].

Solution

The initial responses are

The vibration readings at planes 1 and 2 due to the placement of the trial

mass (at a unit radius) of unbalance u t1 = 2.4500 + i 4.2435 at plane 1 are

The vibration readings at planes 1 and 2 due to the placement of the trial

mass (at a unit radius) of unbalance u t 2 = 3.7536 i 3.1497 at plane 2 are

The influence coefficients (13.17) and (13.19) are

13. BALANCING OF ROTORS 223

The correction unbalances (13.22) 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 .

116.30 clockwise.

unbalances at two arbitrary planes, u1 and u 2 , may be vectorially resolved into a

static unbalance u s and a couple unbalance ud [13.11]

u1 = u s ud ,

(13.23)

u2 = u s + ud .

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

z1 + z 2

zs = = 0.0269 + i 4.5642 = 4.5689.60 .

2

The response to couple unbalance is

z2 z1

zc 2 = = 5.1692 i 1.5642 = 5.4343.20 ,

2

13. BALANCING OF ROTORS 225

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)

geometrically similar rotors, with the same peripheral velocity, the same stresses in

the rotor and the same specific bearing loads are produced if the value e per is

kept constant (assuming rigid bearings). The balance quality grades G are based on

this relationship.

The G number is the product of the specific unbalance and the angular

velocity of the rotor at maximum operating speed. It is constant for rotors of the

same type

G = e per = constant . (13.28)

Balance quality grades are separated by a factor of 2.5. However, G

numbers of intermediate value may be used to satisfy special requirements. For

example, a standard pump impeller has a recommended balance quality grade of

226 DYNAMICS OF MACHINERY

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

228 DYNAMICS OF MACHINERY

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.

carrying N concentrated masses can be balanced perfectly by placing small

correction masses in N + B planes along its length [13.19].

230 DYNAMICS OF MACHINERY

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)

deflection at station 1 due to a unit force at station k, Fk is the sum of external and

inertia forces acting at station k and F1 = M 2 w1 . For synchronous motion,

neglecting external damping and other external forces at the major mass station

The deflection at the major mass is

to the major mass M.

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)

13. BALANCING OF ROTORS 231

requires that

2 (M w1 + mk ek ) = 0 . (13.36)

uk = 0 . (13.37)

The third balancing requirement is obtained by summing moments about

the first bearing

This reduces to

l k uk = 0 . (13.39)

In summary, the requirements for flexible rotor balancing may be stated as

two equations of rigid body balance (13.37) and (13.39), plus a flexible rotor

balance requirement (13.34).

In the N plane method, only one balance correction mass is needed to

reduce the amplitude at the major mass station or shaft antinode to zero. The

balance correction ub1 placed at the major mass station is

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

precession eigenform or mode shape. Due to damping, precession mode shapes are

three-dimensional curves. In the balancing practice, they are approximated by

planar mode shapes described by curves lying in axial planes, generally non

coincidental [13.20]. For a flexible rotor in two bearings (Fig. 13.11, a) the first

three planar mode shapes are shown in Figs.13.11, b, c, d.

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

in the rotor (Fig. 13.11, e) can be represented as a sum of modal unbalances (Fig.

13.11, f, g, h), which are proportional to the eigenforms, but lying in different axial

planes. At the same time, the shaft deflection at a particular speed (Fig. 13.11, i)

has a modal expansion by virtue of which it can be resolved into a sum of terms

proportional to the eigenforms (Fig. 13.11, j, k, l).

Running at a critical speed, the deflected shape almost coincides with the

corresponding eigenform, the other terms in the expansion being vanishingly small.

Due to the orthogonality of mode shapes, a particular unbalance distribution

ui (x ) = ai i (x ) , proportional to the ith eigenform i (x ) , can only excite the

lateral deflection wi ( x ) = bi i (x ) , i. e. the deflection which also takes the ith

eigenform. Thus unbalance excitation and bending response shapes are the same

for each term in the series.

This property enables the serial elimination of unbalance terms ui (x ) by

compensating balance masses.

In practice, this means running the rotor up to very near its first critical

speed and adding unbalances (correction masses) u1k (k = 1, 2,...) at particular

locations xk on the rotor. The rotor deflection is thereby reduced enough to allow

running through the first critical speed and almost up to the second.

The process is repeated with another set of balancing masses

u2k (k = 1, 2 ,...) . Note that the individual sets of balancing masses only affect the

bending caused by the corresponding eigenform and no other. This leads to a

systematic balancing procedure with condition equations for the sets of balance

masses [13.18].

From this it is found that balancing out N critical speeds or N eigenforms

requires at least N planes and therefore the addition of at least as many balancing

masses (known as the N plane method).

If there are, for example, two critical speeds in the operating range and one

just over, then at least 2 + 1 = 3 balance planes are necessary.

Let the three correction planes be denoted I, II, III (Fig. 13.11, m). To

compensate the unbalance at the first critical speed, a single mass producing u12

should be added at the antinode of the first eigenmode (Fig. 13.11, n). To

compensate the unbalance at the second critical speed, two masses producing the

unbalances u21 and u23 should be added in antiphase near the antinodes of the

second eigenmode (Fig. 13.11, o). To balance at the third critical speed, three

masses producing u31 , u32 , u33 are located at the antinodes of the third eigenmode

(Fig. 13.11, p). This way the rotor is not balanced as a rigid rotor at low speeds.

234 DYNAMICS OF MACHINERY

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.

theoretically necessary to have an infinite number of balancing planes and the same

number of compensating unbalances. In practice, a finite number of planes is used.

Therefore every practical method involves a certain amount of error.

In both the N plane method and the N + 2 plane method, one source of

error is the neglection of the higher-order modes of precession. The main error of

the N plane method is the failure to meet the condition of rigid-body balancing.

Perfect balancing of a flexible rotor with a finite number of masses is

theoretically impossible. For a large rotor with 80 m bearing vibration before

balancing, the above systematic procedures can normally balance the rotor to have

10 m . The difficulties start when one wants to get under 10 m , due to thermal

effects and non-linearities of oil film. Other problems are encountered when the

effect of the second eigenform in the unbalance is so severe that the first critical

speed cannot be reached. Balancing of the first eigenform then requires at least two

or preferably three planes.

With elastic bearings the rotor deformation is not exclusively due to its

flexural rigidity. The stiffness of the bearings and pedestals is also important and

has to be taken into account in balancing machines with soft bearings.

Other details are given in the book [13.4] and the standard ISO 11342-

1998 [13.21].

Two Romanian standards derived from the corresponding ISO versions are

[13.22] and [13.23].

13. BALANCING OF ROTORS 235

References

13.2. * A practical guide to in-place balancing, IRD Mechanalysis, Technical

Paper No.116, 1981.

13.3. Schneider, H., Auswuchttechnik, VDI Taschenbcher T29, Dsseldorf, 1972.

13.4. Kellenberger, W., Elastisches Wuchten, Springer, Berlin, 1987.

13. 5. Thearle, E. L., Dynamic balancing of rotating machinery in the field, Trans.

ASME, vol.56, 1934, p.745-753.

13.6. Chen, W. J. and Gunter, E. J., Introduction to Dynamics of Rotor-Bearing

Systems, Trafford Publ., Victoria, Canada, 2005.

13.7. Somervaile, I. J., Balancing a rotating disc: simple graphical construction,

Engineering, Feb 1954.

13.8. * Static and dynamic balancing, Brel & Kjaer Application Note No. 17-

227.

13.9. Kellenberger, W., Balancing flexible rotors on two generally flexible

bearings, Brown Boveri Review, vol.54, no.9, Sept 1967, p.603-617.

13.10. Dimarogonas, A. D. and Haddad, S., Vibration for Engineers, Prentice Hall,

Englewood Cliffs, NJ, 1992.

13.11. Gunter, E. J. and Jackson, Ch., Balancing of rigid and flexible rotors,

Handbook of Rotordynamics, Ehrich, F. F. ed., McGraw-Hill, New York, 1992.

13.12. ISO 1940-1, Mechanical vibration - Balance quality requirements for rotors

in a constant (rigid) state, Part 1: Specification and verification of balance

tolerances, 2003.

13.13. ISO 1940-2, Mechanical vibration - Balance quality requirements of rigid

rotors, Part 2: Balance errors, 1997.

13.14. Dimentberg, F. M., Theory of balancing flexible rotors, Russian

Engineering Journal, vol.11, 1964.

13.15. Bishop, R. E. D. and Parkinson, A. G., Vibration and balancing of flexible

shafts, Applied Mechanics Reviews, vol.21, no.5, May 1968, p.439-451.

13.16. Darlow, M. S., Smalley, A. J. and Parkinson, A. G., Demonstration of a

unified approach to the balancing of flexible rotors, ASME Paper 80-GT-87,

ASME Gas Turbine Conference, March 1980.

13.17. Bishop, R. E. D. and Gladwell, G. M. L., The vibration and balancing of an

unbalanced flexible rotor, J. Mech. Eng. Sci., vol.1, no.1, 1959, p.66-77.

236 DYNAMICS OF MACHINERY

planes?, ASME Journal of Engineering for Industry, vol.94, 1972, p.548-560.

13.19. Den Hartog, J. P., Mechanical Vibrations, 4th ed., Dover, New York, 1984.

13.20. Gunter, E. J., Barrett, L. E. and Allaire, P. E., Balancing of multimass

flexible rotors, Proc. 5th Turbomachinery Symp., A&M University, Cllege

Station, Texas, Oct 1976.

13.21. ISO 11342, Mechanical vibration Methods and criteria for the mechanical

balancing of flexible rotors, 1998.

13.22. SR ISO 1925: 1995, Echilibrare. Vocabular.

13.23. SR ISO 1940-1: 1994, Vibraii mecanice. Condiii de calitate pentru

echilibrarea rotoarelor rigide. Partea 1: Determinarea dezechilibrului rezidual

admisibil.

14.

RECIPROCATING MACHINES

reciprocating machines: a) vibrations transmitted to the foundation by the machine as

a whole, and b) torsional vibrations in the crankshaft and in the shafting of the driven

machinery. They are produced by the periodic accelerations of the crank mechanism

and the periodic variations in cylinder gas pressure. Only the vibratory motions of

the machine frame and the developed reaction forces are studied herein. An example

is also given of fault diagnosis by vibration measurement for an auxiliary diesel

engine. Related topics are the acoustic resonances and pulsation control of the piping

system of reciprocating compressors.

machinery involving a crank mechanism produce reciprocating forces. The crank

mechanism transfers a reciprocating motion to a rotary motion, or vice versa. After

the mass and center of gravity of each of the moving parts are determined, the forces

resulting from operation of the machine can be evaluated.

Consider a vertical single-cylinder engine. The crank mechanism consists of

three bodies: a) a crank OA which rotates, b) a reciprocating body which slides back

and forth in pure translation; point C is either the piston pin or the crosshead; and c)

a connecting rod AC which joins them (Fig. 14.1, a).

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).

It is transmitted through the connecting rod to the crank pin as force F 4 . By shifting

this force parallel to itself to O we obtain a force F 5 = F 4 and a torque T p which is

the driving torque of the gas pressure

14. RECIPROCATING MACHINES 239

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

with respect to the gas pressure torque (Fig. 14.2, b).

240 DYNAMICS OF MACHINERY

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

s = DC = DA'+ A' O BO CB ,

s = l + r r cos l cos = r ( 1 cos ) + l ( 1 cos ) . (14.3)

Because

AB = l sin = r sin

one can write

r

sin = sin ,

l

12

r2 1 r2

cos = 1 sin = 1

2

sin 2 1 sin 2 . (14.4)

2 2 l2

l

242 DYNAMICS OF MACHINERY

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.

equivalent dynamical system composed of two concentrated masses, as shown in

Fig. 14.5.

For the two mass system to be dynamically equivalent to the original

connecting rod, it must satisfy the following requirements: a) same total mass; b)

same center of mass; and c) same mass moment of inertia. These three conditions

can be expressed by the equations

m = m1 + m 2 ,

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

subjected to translation and rotation.

crank end, it is possible to make h = l . The mass m 2 then coincides with the crank

pin and its motion is that of pure rotation. The two concentrated masses are then

expressed by the equations

c c

m1 = m 1 , m2 = m . (14.8)

l l

We will analyze here only the simpler case where the connecting rod is

replaced by concentrated masses expressed by equations (14.8).

The translating mass mt in C is the sum of the piston mass and the portion

of the connecting rod m 1 . The rotating mass m r is composed of the remaining

portion m 2 and any unbalanced mass of the crankshaft assigned at this position, both

of which will be assumed to be balanced by a counterweight.

magnitude

r

Fy = mt a = mt r 2 cos t + mt r 2 cos 2 t . (14.9)

l

We thus have a primary unbalance at a frequency equal to the rotational

speed, and a secondary unbalance at a frequency equal to twice the rotational speed.

The inertia force mt a has also a torque about the crankshaft equal to

244 DYNAMICS OF MACHINERY

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])

following form:

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

only integer orders occur. In a four-stoke machine, the cycle requires two

revolutions, and, in general, half-integer as well as integer orders will occur. The

coefficients of all orders up to j = 18 for a number of representative engine cycles

have been tabulated (F. P. Porter 1943).

Neglecting gravity, the total torque delivered to the crankshaft is the sum

of the inertia torque (14.14) and the gas-pressure torque (14.15). The total torque on

the frame is that due to inertia plus the negative of (14.15) due to gas pressure. The

total forces on the frame are due only to inertia.

In a more detailed analysis [14.4], not limited by the approximation (14.4),

the magnitude of the inertia force (14.9) has the form

(

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

occurs at twice rotational speed.

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

pitching moment about a horizontal axis perpendicular to the center line of the

engine. This moment can be found by summing the moments of the Fy forces about

the first cylinder. If the distance from the jth cylinder to cylinder 1 is c j , the

pitching moment about the first cylinder becomes

248 DYNAMICS OF MACHINERY

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

[14.6] is beyond the aim of this presentation. The main results can be summarized as

follows [14.3]:

Multi-cylinder in-line four-stroke-cycle engines, firing at equal intervals

and with parallel lines of stroke are unbalanced with respect to harmonics of order

N 2 , whenever N is an integral multiple of the number of cylinders n. The

reciprocating inertia force contains no odd harmonics after the first. Half-integer

harmonic orders occur only for the gas-pressure torque. The magnitudes of the

unbalanced harmonics are n times the magnitudes of corresponding harmonics for

one cylinder.

The reciprocating inertia forces act in planes normal to the crankshaft and

distributed along the length of the shaft. The unbalanced harmonics are n parallel

forces which alternate in phase in the lines of stroke of each cylinder at frequencies

i n 2 , where i is an integer. The resultant of these forces is at the centroid of the

parallel forces. For a balanced-type crankshaft (rear half is a mirror image of the

front half, implying an even number of cylinders), this point is at the middle of the

crankshaft. The harmonics of the moment of the resultant force with respect to a

reference line are called rocking moments, since the resultant force may produce

pitching vibrations of the engine on its mounts (or on the foundation).

The total engine-frame torque due to both gas-pressure reactions and

dynamic unbalances is obtained by adding the magnitudes of corresponding

harmonics of the gas-pressure torque reaction and inertia couple due to inertia torque

of reciprocating parts. Their effect is to produce rolling vibrations of the engine

frame.

A six cylinder four-cycle engine of 0, 120, 240, 240, 120, 0 deg. crank

shaft has all forces balanced and all moments balanced. Consequently, a V-12 engine

made up of two in-line 6s would also be balanced. An eight-cylinder in-line engine

(0, 180, 90, 270, 270, 90, 180, 0 deg.) is completely balanced.

The balance of the engine presupposes that the engine parts, including the

engine frame, are rigid bodies which do not deform under the influence of a balanced

force system. Actually, the engine is composed of elastic bodies and the balanced

forces may cause deformations which are vibratory in nature. The effects of

elasticity of engine parts is most pronounced in the case of large marine in-line

engines.

Some of the assumptions upon which a theoretical treatment is based often

are not satisfied exactly in the practical cases. A basic assumption is that each

cylinder produces an identical pressure-time history. Irregularities arising from

variations in ignition, fuel distribution to the cylinders, irregular valve operations,

etc., violate this assumption. They usually excite the fundamental harmonic of the

gas-pressure cycle, which is quickly noticeable and usually referred to as engine

roughness [14.3].

250 DYNAMICS OF MACHINERY

understanding of the interaction between different malfunction mechanisms is

needed. Interactive fault mechanisms such as misalignment, excessive bearing

clearance, rigid body resonances of the engine on the supporting structure or elastic

resonances of large engine frames, or loss of bolting tightness, occur quite

frequently. A thorough knowledge of all potential malfunctions with their

corresponding symptoms and interactions is mandatory for proper diagnosis of

engine condition.

Other common sources of vibration are the impacts in the fuel injection

system and in the valve train, the piston slap, the lack of tightness of bearing

components, the residual unbalances of rotating parts, various misalignments,

exhaust-gas impulses and looseness of mounting bolts to the subbase.

The fuel injection system produces vibrations due to the impacts of the cam

on the injector train push rod (injection pump) of diesel engines. It influences the

combustion law, namely the ignition delay and the injection rate. Disturbances in the

injected fuel time history and the injection timing have great influence on the

ignition delay, whose variation in different cylinders is indicated by an increase of

fractional order components, especially X and n X 2 , where n is the number of

cylinders. Decrease of ignition delay reduces the level of combustion-generated

vibrations.

The impacts occurring in the valve gear due to clearances produce

vibrations in the gas distribution system. In the four-stroke engine, the camshaft

rotates at half the crankshaft speed, so that any related malfunction will produce an

increase of the one-half order component (X 2 ) and its integer multiples. Increased

clearances in camshaft bearings due to wear as well as improper setting of the

clearance between rockers and valve stems produce an increase of all vibration

frequencies, especially of X 2 , n X 2 and 3n X 2 , where n is the number of

cylinders (three cams for each cylinder). The impact between valves and seats

produce a 2n X 2 component.

Other engine systems (lubricating, cooling, and turbocharging) also

influence the level of overall engine vibrations. They generate frequency harmonics

of orders corresponding to the speed of respective pumps, the gear mesh, etc.

Increased clearances in the running gear produce sharp metallic knocking

at all engine speeds. They can occur between the piston pin and the connecting rod

bush, between the crank pins and the connecting rod or between the crankshaft and

the shell of main bearings. Based on experience, this type of trouble produces a high

first-order component ( 1X ) followed by a string of harmonic components at higher-

order harmonics. This is partly explained by an amplitude modulation of the

vibration signal which is truncated due to the clearance. Spectral analysis of a

14. RECIPROCATING MACHINES 251

difference components. A similar problem occurs with looseness of the engine frame

bolting to the subbase. Strong second-order (2X ) harmonics occur when some bolts

lose their tightness.

Increase of the clearance between the main bearing shell and housing can

determine a periodic variation of the crankshaft support stiffness. Stiffness

nonlinearities produce Mathieu-type vibrations with subsynchronous spectral

components X 2 or X 3 , and their multiples. Usually the X 2 component is

accompanied by integer multiples 1X, 3 X 2 , 2X, 5 X 2 of decreasing amplitude

(with increasing order).

Piston slap is an impact generated by the reversal of the side force acting

on the piston, especially near the top dead center. In large diesel auxiliary engines,

large impact forces occur due to the relatively large piston mass and the piston to

liner clearance, which in some cases overpass combustion generated forces. These

impacts produce an increase of all harmonic components in the frequency spectrum,

especially low order.

One cannot neglect excitations induced by the driven (electrical) machine

or other neighboring engines.

measurements on 680 kW, four-stroke, 750 rpm rated speed, non-reversible five-

cylinder diesel engines with direct injection, exhaust turbocharging and charge air

cooling system [14.7].

The dynamic analysis of such an engine yields the following unbalanced

external forcing functions (Fig. 14.8):

Fig. 14.8

as a couple acting in the vertical plane containing the lines of stroke of the cylinders,

252 DYNAMICS OF MACHINERY

couple, second order, 2X).

b) A resultant vertical force, usually small, with the tenth harmonic F10

the first major unbalanced component (10X ) .

c) A rolling moment, due to both the gas-pressure torque reaction and the

inertia torque of reciprocating parts, having the first significant components: the

fifth-order harmonic M 5R ( 5X ) due to gas pressure and the tenth-order harmonic

M 10R ( 10X ) due to both gas-pressure reaction and inertia torque. Higher order

harmonics are of negligible magnitude.

Measurement points were chosen on the mounting feet, on the engine

frame at the crankshaft level, at the top edge of the frame and on the cylinder covers,

at several locations along the engine (between the coupling flange end and the

turbocharger end).

Apart from overall level measurements, frequency spectra of the peak-to-

peak vibration velocity were plotted, in the frequency range 4-100 Hz. A

characteristic spectrum, plotted at 750 rpm crankshaft speed and partial load, is

shown in Fig. 14.9

14. RECIPROCATING MACHINES 253

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

higher 1X and 2X components, with a series of higher multiples, which made

identification of vibrations stemming from the engine itself more difficult (Fig.

14.12).

faults. Irregularities in combustion produce large X 2 , 2X and 7X harmonic

components (Fig. 14.9). In fact, all measured engines were maladjusted, compression

checks showing differences up to 15% between cylinders for the same engine. When

the injection was shut off in the cylinder next the measurement point (Fig. 14.13) or

in the adjacent cylinder (Fig. 14.14), the X 2 component decreased at a level

corresponding to measurements at idleness.

A broken valve spring, producing a recognizable clattering noise, gave rise

to larger 2X and 5X components in the frequency spectrum measured at a point

near the respective cylinder. Excessive valve clearance produced deliberately during

measurements had the same effect. Other faults such as worn main bearing half-

shells, a damaged roller in the fuel injection pump, misalignment preloads caused by

offset camshaft bearing housings, and problems with the nozzle needle of the fuel

injection valve gave minor or unnoticeable changes in the frequency spectrum.

In some cases the diagnosis was made difficult because the faults caused

the engine to run unevenly and spectrum averaging attenuated some changes in the

frequency spectra.

256 DYNAMICS OF MACHINERY

and gas-processing facilities. The major concern is to avoid or eliminate excessive

vibrations and dynamic stresses caused by mechanical and pulsation-induced

shaking forces. This is achieved by the reduction and control of pulsation levels as

well as the restraint of piping and use of elbows only where required. This section

presents basic information about the features of reciprocating compressors, as

described by the API Standard 618 [14.8], acoustic resonance phenomena and

pulsation control in piping systems, as described in reference [14.9].

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

mechanical natural frequencies, associated mode shapes, and cyclic stresses in the

compressor cylinder-manifold system, in order to avoid coincidences between the

mechanical and acoustical resonant frequencies.

system. Besides the cylinders, there are the suction and the discharge bottle which

often have internals in the form of choke tubes and baffles (Fig. 14.17).

258 DYNAMICS OF MACHINERY

finite stiffness. The bottles are flexibly connected to the cylinders via the nozzles.

One end of the nozzle is connected to the cylinder by a bolted flange joint, and the

other end of the nozzle penetrates the bottle with a welded joint (branch connection).

Additional suction and discharge piping, additional stages, connected units, etc.,

distort the ideal features of Fig. 14.16 and make the mechanical analysis of this

system even more complex.

pulsation amplitudes through the insertion of passive filters into the gas flow path.

Attenuation of the pressure pulsations in reciprocating compressor installations

results in improved compressor performance and reduction of dynamic pressure

drop, i.e. additional pressure drop due to pulsations, with the expense of unwanted

losses in the static pressure drop, produced by the filtering devices.

The predominant pulsation induced excitation arises from the unbalanced

forces occurring in the suction and discharge bottles. These forces are the result of

differential pressures acting axially on surfaces within the bottle (end caps and

baffles). They can be calculated based on data on amplitude and relative phase of

pressures within the bottle. The dynamic components of these forces are represented

as a function of frequency under the form of the net shaking force spectrum.

The gas force, or load, is equal and opposite to the cylinder internal pressure

force, i.e. the cylinder internal pressure force acts on the heads of the cylinders, the

opposing gas force acts on rod. The net cylinder internal pressure force is calculated

from the head end internal cylinder pressure times the area of the head end minus the

14. RECIPROCATING MACHINES 259

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.

These forces are caused by accelerations of the piston assembly and

crankshaft throws and are transmitted to the compressor frame via the bearing

reactions. This type of force is determined from the manufacturers balance data and

pressure-volume cards.

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).

Figure 14.19 illustrates, schematically, an additional important excitation

force - the cylinder stretch. Under the action of compression loads within the

cylinder, each cylinder will tend to stretch and shrink once per revolution of the

crankshaft. Thus, there is a strong first order component of cylinder stretch motion,

with the various cylinders out-of-phase with each other due to the crank angle

phasing. The magnitude of cylinder stretch can often be 0.25 mm in peak-to-peak

amplitude and occasionally reaches 0.4 mm. This movement can, in some cases,

cause excessive stresses in the attached nozzles and bottles. First order cylinder

stretch has sometimes been a significant contributor in breaking nozzles and baffles.

260 DYNAMICS OF MACHINERY

Acoustic shaking forces act in the axial direction of pipe runs causing

vibration in the axial direction of that pipe run. But maximum vibration actually

occurs in the transverse direction of adjoining piping that runs perpendicular to the

piping where the shaking force is acting. Figure 14.20 shows the action of shaking

forces on common adjoining piping configurations, including spans with pinned to

nearly fixed ends, L-bends and U-bends.

14. RECIPROCATING MACHINES 261

generated and transmitted into the piping system. Pulsations are a major cause of

reduced reliability and lost efficiency in compressor systems and their piping.

Unbalanced forces caused by pulsations at piping elbows, surge volumes, etc. can

result in high vibration levels and cause fatigue failures of piping, supports and

nozzles. Reflection of pulsations back to suction or discharge valves can cause

changes in the valve opening time, distortion of the pressure-volume card and

reduction in cylinder capacity and efficiency, as well as increasing valve

maintenance. Plane wave theory is satisfactory for the analysis of pulsations in

reciprocating compressors in typical piping systems in the petrochemical industry.

Reciprocating compressors generate flow modulations which in turn

generate pressure pulsations. The flow modulations are a result of intermittent flow

through the suction and discharge valves. They are superimposed upon the steady

(average) flow.

Figure 14.21 shows a schematic of a compressor cylinder. The suction flow

qS enters the cylinder, and the discharge flow q D exits the cylinder.

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.

14. RECIPROCATING MACHINES 263

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).

The flow pulses caused by the reciprocating action of the compressor create

pressure pulses or waves that move through the piping system. As the disturbance

propagates through the medium, portions of the gas are alternately compressed or

expanded from the equilibrium state.

The wavelength of the pressure wave is

a

= , (14.24)

f

where a is the acoustic velocity and f = 2 is the frequency. This equation

describes the spatial distribution of pressure maxima and minima of the acoustic

wave.

Standing waves

In order for acoustic or pulsation waves to reinforce and result in resonance,

reflections of acoustic waves are necessary. Full reflections occur at closed or open

ends. An acoustic compression pulse is reflected by a closed end as a compression

pulse; an open end will reflect it as a rarefaction pulse. Partial reflections occur at

pipe section discontinuities. Pulsations can cause pressure forces at a restriction such

as reducers, elbows, pipe caps, orifices or partially closed valves.

The superposition of an incident wave and a reflected wave, being the sum

of two waves travelling in opposite directions, will give rise to a standing wave.

Acoustic standing waves are like the natural modes of mechanical vibrating systems.

They are defined by a natural frequency and two distinct mode shapes, one for

pressure and one for velocity.

The acoustical response in the piping is a function of both the mechanical

properties of the compressor, the thermo physical properties of the gas, and the

acoustical circuit defined by the attached piping. When a particular harmonic of

running speed is near or coincident with an acoustical natural frequency, the acoustic

266 DYNAMICS OF MACHINERY

organ pipe type resonances or complex modes involving all of the piping.

Figure. 14.27 provides the pressure and velocity mode shapes for the second

mode of a closed-closed pipe.

transducer were placed at these nodes, no pulsation pressure would be detectable.

The velocity mode shape is shown by the bottom trace in Fig. 14.27. The

velocity amplitude is a maximum at the pressure nodes (maximum kinetic energy)

and zero at the pressure maxima (maximum potential energy), except at the piston

surface, which is not a true velocity node due to piston motion. Because of the

resonant condition, the gas velocity at the velocity maxima may be greater than the

piston velocity.

When pipe lengths are equal to multiples of the wavelength, resonance can

occur. In addition, pipe resonances can occur when the lengths coincide with one

half or one quarter of the wavelength, with the right combination of end conditions

(open or closed).

Most practical piping is open at least at one end. The compressor discharge

line ends in a bottle or a manifold. Likewise, the suction pipe almost always begins

with an open end. According to API 618 [14.8], if the diameter reduction is two-to-

14. RECIPROCATING MACHINES 267

pipe having a diameter that is at least twice as large, it can be considered to be open-

ended. Closed-closed modes are occasionally encountered in pulsation control

bottles and acoustic filters.

For half wave resonances, both end conditions must be the same, i.e. open-

open or closed-closed. The first three pressure mode shapes are shown in Fig. 14.28.

Resonances occur at multiples of the half-wave frequency. The acoustic resonance

frequency is

na

f = , (14.25)

2L

where L is the effective length of pipe and n = 1, 2 , 3,... The length should be

corrected for entrance and exit effects [14.11].

For quarter wave resonances, end conditions must be opposite, i.e. one open

end and one closed. The first three pressure mode shapes for an open-closed pipe are

depicted in Fig. 14.29. The acoustic resonance frequency is

na

f = , (14.26)

4L

where L is the effective length of pipe and n = 1, 3, 5,... (odd integers). The length

should be corrected for end effects.

268 DYNAMICS OF MACHINERY

measurements when a pressure transducer is connected to a main line with a short

nipple and a valve forming a quarter-wave stub. When its length is tuned to the

pulsations in the main line, the needle of the pressure gage will wobble or indicate

severe pressure variations which do not actually exist in the main line [14.11].

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

theoretically, be infinite. Actual piping systems have acoustic damping as a result of

the following mechanisms: a) viscous fluid action (intermolecular shearing), b)

transmission (lack of total reflection) at line terminations, junctions, diameter

changes, and c) piping resistance (pipe roughness, restrictions, orifices).

Therefore, damping of acoustic modes may be accomplished by placement

of resistance elements, such as an orifice, which will work most effectively at

velocity maxima.

Note that acoustic resonances of piping systems for constant-speed

compressors can usually be adjusted to detune them from the compressor harmonic

frequencies by locating the resonances between harmonics and avoid pulsation

amplification. However, for a variable speed compressor, detuning resonances

becomes impossible and requires an acoustical filter.

Certain components of the piping system may be viewed as lumped

elements. Lumped acoustic elements are: a) the acoustic compliance, represented by

a volume which acts as a stiffness or storage element and opposes a change in

applied pressure; b) the acoustic inertance, characterizing a mass of gas contained in

a relatively small diameter pipe which, when forced into motion, has the property of

opposing a change in volume velocity; and c) the acoustic resistance, an orifice

which dissipates energy when the gas is forced through the smaller diameter

opening. These acoustic elements are directly analogous to the mechanical stiffness,

270 DYNAMICS OF MACHINERY

resistance. Moreover, the acoustic volumetric flowrate is analogous to the

mechanical displacement and the electrical current, while the acoustic pressure is

analogous to the mechanical force and the electrical voltage.

Systems consisting of only the two reactive elements (a gas inertia and

compliance, a mass-spring system, an L-C circuit) are one degree of freedom

oscillators. The equations of their natural frequencies are essentially equivalent.

The control of pulsations can be accomplished by judicious use of filters and

tuned absorbers. Both of these types of acoustic elements amplify pulsations at their

resonant frequencies; however, by their careful design and application, they can be

used to attenuate energy.

14. RECIPROCATING MACHINES 271

the pulsation energy does not exist, and the maximum attenuation frequencies are

located where the pulsation energy does exist. A tuned absorber uses a resonant

component to take energy from the main system and relocate the resonance where it

is controllable. The attenuation characteristics of four acoustic components are given

in Fig. 14.31.

The fundamental acoustic properties of piping components defined

previously can be used to describe methods of controlling pulsations in piping

systems. These methods include: a) use of side-branch resonators (Helmholz

resonators), b) use of a surge volume for compressor cylinders, c) use of baffles and

choke tubes within surge volumes, and d) use of dissipative components such as

orifice plates, perforations, etc.

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

tube area.

Economic considerations limit the size of surge bottles, and therefore impose

practical limits on the degree of the overall acoustic attenuation which can be

achieved. While the surge volume reduces the outlet pulsations, the pulsations within

the volume can be at resonance, so that it must be adequately supported.

An acoustic filter is designed to reflect as much of the incident energy as

possible and, thereby, transmit as little as possible. One of the simplest low-pass

filters is a pipe with either a constriction or an added enlarged section. They are

commonly used in the design of automobile mufflers, gun silencers, and sound-

absorbing plenums used in the ventilating systems. Another filter is a bottle with an

internal baffle and a choke tube (Fig. 14.31, d).

One of the most common types of acoustic filters used in reciprocating

equipment involves the use of two volumes joined by a relatively small diameter

pipe, to create a volume-choke-volume filter. Figure 14.32 shows various forms of

the volume-choke-volume filter. If properly designed, the filter components behave

as basic lumped acoustic elements, i.e. the bottles behave as acoustic compliances

and the choke acts like an acoustic inertia. These lumped characteristics are valid as

long as the excitation frequencies are below the open-open resonant frequency of the

choke tube and the closed-closed resonant frequencies of the bottles.

14. RECIPROCATING MACHINES 273

that shown in Fig. 14.33. At frequencies above its resonance frequency, known as

the Helmholtz frequency f H , transmitted pulsation levels drop off rapidly.

is given by

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

internal resonances of elements such as compressor internals, nozzles, etc., may exist

and will have the effect of passing particular frequencies. They produce peaks

(pass bands) in the high frequency portion of the filter frequency response (Fig.

14.31, d). The number of pass bands occurring can be minimized by making the

effective length of the choke equal to the lengths of the bottles.

In low mole weight gas systems, reactive filters are impractical due to the

high speed of sound values. Pulsation control can be accomplished through the use

of ample surge volumes and resistive or pressure drop elements.

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].

single most important concept is to avoid resonance. This is best achieved by

focusing on two factors of design: a) try to minimize the magnitude of the harmonic

forcing functions as described in Section 14.3.3, and b) make revisions to the piping

14. RECIPROCATING MACHINES 275

support structure to change its natural frequency or to revise the piping layout to

change the location where the harmonic force is applied.

Field experience has confirmed that a 10% shift of the natural frequency

away from resonance results in acceptable vibration levels (a reduction by a factor of

five to ten, depending on damping) when the primary cause of the high vibration was

resonance. Allowing for 10% uncertainty in natural frequency predictions, a 20%

design separation margin is recommended.

The operation of double acting compressors results in significant inherent

forces at one and two times rotational speed. Resonance could be avoided at these

frequencies if the predicted natural frequencies should be at least 20% above two

times the compressor rotational speed.

The two design separation margin guidelines adopted by the API 618

standard are: a) minimum predicted natural frequencies should be greater than 2.4

times maximum compressor rotational speed, and b) predicted natural frequencies

should be separated at least 20% from frequencies with significant excitation forces.

Actual piping span natural frequencies deviate from the theoretical beam

natural frequencies, since the configurations that exist in typical plant piping have

boundary conditions that differ from ideal values. Nevertheless, ideal beam theory

gives a valuable starting point for understanding piping vibration behavior.

Simplified natural frequency formulas can be used to evaluate the piping system

with a minimum of detailed computer analyses.

For a straight uniform piping span, the natural frequency can be calculated

using the following relationship

EI

f = , (14.34)

2 Al 4

where: f is the span natural frequency, E Youngs modulus, density, A pipe

cross section area, I cross section moment of inertia, l span length,

frequency factor.

= 0.283 lb in 3 , equation (14.34) can be simplified [14.16] to

k

f = 223 , (14.35)

L2

276 DYNAMICS OF MACHINERY

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.

14. RECIPROCATING MACHINES 277

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].

Applying Rayleighs method, the first natural frequency of a beam with a

concentrated mass can be calculated by

f

fw = , (14.36)

P

1+

W

where f w is the pipe span natural frequency with concentrated weight, f pipe span

natural frequency without concentrated weight, P concentrated weight, W weight

of beam span, - weight correction factor.

Weight correction factors to be used in calculating the natural frequencies of

ideal piping spans for weights at the maximum deflection locations are given in Fig.

14.35. If two weights are located in one span, Dunkerleys formula can be used to

calculate the effect of the second weight.

The frequency for one weight P1 is

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

278 DYNAMICS OF MACHINERY

14. RECIPROCATING MACHINES 279

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

In cases where high vibrations are noticed, the engineer must have some

simple criteria to judge the severity of vibrations. Screening criteria have been

developed to eliminate the necessity of a comprehensive analysis of every span in

the piping system.

The piping system design vibration criteria adopted by API Standard 618 is

shown in Fig. 14.36.

The figure is based on: a) a constant allowable vibration amplitude of 0.5

mm peak-to-peak for frequencies below 10 Hz, and b) a constant allowable vibration

velocity of approximately 32 mm s peak-to-peak for frequencies between 10 and

200 Hz. In fact, no single vibration guideline can completely account for the wide

variation in geometry and supporting of actual compressor and piping systems. The

adopted design vibration limit balances between typically acceptable vibration levels

for large slow speed versus smaller high speed compressor piping systems.

280 DYNAMICS OF MACHINERY

The severity of piping span lateral vibration displacement amplitudes can be

assessed by comparing the maximum resonant vibration-induced dynamic stresses to

an allowable fatigue limit stress.

The low cycle fatigue curves for carbon steel given in the ASME USAS

B31.7-1969 (Fig. 14.37) can be used to obtain an acceptable fatigue limit stress

[14.20].

14. RECIPROCATING MACHINES 281

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 ).

the vibration mode shape at resonance. The deflection stress factors for the first two

modes of the ideal Bernoulli-Euler beams and the piping configurations with elbows

are given in Fig. 14.34 for equal leg lengths and in reference [14.17] for various

values of the leg length ratio.

The allowable vibration amplitude can be calculated based on the fatigue

limit using the relationship [14.18]

a L2

ya = , (14.41)

(SCF )(SF ) K d D

where a allowable stress, psi, K d deflection stress factor, SCF stress

concentration factor and SF safety factor.

If the API 618 allowable of 13,000 psi zero-to-peak is used as the endurance

limit combined with a stress concentration factor of 4.33, a safety factor of 2, and a

stress deflection factor of 3000 (applicable for a fixed-fixed pipe), the allowable

vibration in peak-to-peak mils can be calculated. Equation (14.41) becomes

L2

ya = . Rule of Thumb (14.42)

D

This can be used conservatively as a screening criterion for straight runs of

piping or for piping with bends. Note that the pipe diameter is measured in inches,

while the span length is measured in feets. This criterion is overly conservative for

cantilever beams. If the measured vibrations exceed the screening criterion, the

vibration induced stresses are not necessarily excessive, and more detailed

calculations using computer programs are required.

282 DYNAMICS OF MACHINERY

In a piping span vibrating at resonance, it is also possible to relate the

maximum stress to the measured velocity [14.16]. In order to develop a closed-form

solution of the dynamic stress as a function of the velocity, the radius of gyration has

to be expressed as a function of the outside diameter of the pipe. A comparison of

the radius of gyration for different sizes of pipe versus the diameter shows that, for a

significant range of pipe sizes, this is approximately 0.34 D0 , where D0 is the

outside pipe diameter. By making this substitution for the radius of gyration, the

stress in an ideal beam can be expressed as a constant K v , referred to as the velocity

stress factor, multiplied by the maximum velocity measured in the piping span,

times the stress concentration factor

= K v v SCF . (14.43)

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)

For typical piping with an ultimate tensile strength of less than 80,000 psi,

the fatigue limit from ASME B31.7 is 26,000 psi peak-to-peak. Since the stress is

equal to the dynamic strain times the modulus of elasticity, the allowable strain

would be 866 10 6 in in . If a stress concentration factor of 4.33 and a safety factor

of 2 is used, a safe allowable strain reading for a gage mounted near the area of high

stress concentration would be 100 10 6 in in or 100 microstrain.

The guidelines for the interpretation of the strains are the following [14.19]:

14. RECIPROCATING MACHINES 283

Strain: 100 < < 200 p-p marginal. (14.47)

Strain: 200 < p-p failure possible.

Since the span natural frequency is an inverse function of the square of the

span length, the most effective way to solve a mechanical resonance is to add pipe

restraints, such as piers, supports or clamps to shorten the vibrating span. Many

times, temporary bracing with hydraulic jacks, wooden beams and wedges can be

used to confirm that a support at a particular location will reduce the vibrations.

Some of the general guidelines which can be used in selecting modifications

to detune the mechanical resonances are outlined below [14.12]:

1. Pipe supports and clamps should be installed on one side of each bend, at

all heavy weights, and at all piping discontinuities.

2. The support and clamp stiffness should be adequate to restrain the shaking

forces in the piping to the desired amplitudes and should be greater than twice the

basic span stiffness in order to effectively enforce a node at the support location.

3. Vents, drains, bypass, and instrument piping (appurtenances) should be

braced to the main pipe to eliminate relative vibration between the small-bore piping

and the main piping.

4. Restraints, supports, or gussets should not be directly welded to pressure

vessels or the piping unless they are subjected to the appropriate heat treatment. It is

more desirable to add a saddle-type clamp around the pipe and weld the braces to the

clamp.

5. To resist vibration, the piping clamps should have contact with the pipe

over 180 degrees of the circumference. Rubber or gasket-type material can be used

between the clamp and the pipe to improve the contact.

6. The piping span natural frequency should not be coincident with the

excitation frequencies.

The use of reactive filtering in conjunction with control of mechanical

natural frequencies results in a safe margin between significant pulsation-induced

forces and mechanical natural frequencies. The procedure for designing reactive

filters consists of the following steps:

1. Determine choke diameter and approximate length based on allowable

pressure drop.

284 DYNAMICS OF MACHINERY

running speed. Generally, the filter frequency is set at 50-80 percent of 1 running

speed for heavy gases, or between 1 and 2 running speed for lighter gases.

3. Perform pulsation simulation to determine pulsation levels and

( )

acceptability of filter design. Determine maximum frequency f p of significant

pulsation and force in piping (Fig. 14.45, d).

4. Determine minimum allowable mechanical natural frequency ( f m ) based

( )

on f p . Set f m 1.5 f p .

6. Use pipe support span tables (Table 14.2) to determine additional support

locations based on f m .

7. Determine minimum stiffness (k) of each support: k 2 lateral span

2 48 E I

stiffness = ( l = support span).

l3

Use of this acoustic filtering concept in conjunction with control of

minimum piping mechanical natural frequencies provides a high level of confidence

that resonance will be avoided.

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.

14.6. Maas, H. and Klier, H., Krfte, Momente und deren Ausgleich in der

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.

14.11. Wachel, J. C. et al, Vibrations in Reciprocating Machinery and Piping

Systems, Engineering Dynamics Incorporated, Technical Report EDI 85-305, 2nd

ed., 2nd Printing, 1988.

14.12. Wachel, J. C. and Tison, J. D., Vibrations in reciprocating machinery and

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.

14.17. Wachel, J. C., Morton, S. J. and Atkins, K. E., Piping vibration analysis,

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.

14.19. Wachel, J. C., Field investigations of piping systems for vibration-induced

stresses and failures, Pressure Vessels and Piping Conference, Orlando, Florida,

June 27 July 2, 1982, ASME Bound Volume No.H00219, 1982.

14.20. * Nuclear Power Piping, USAS B31.7-1969 ASME Code, New York,

1969.

286 DYNAMICS OF MACHINERY

Plant Piping Systems, ANSI/ASME Operations & Maintenance Standards/Guides

Part 3, ASME, New York, 1990.

14.22. Wachel, J. C. and Smith, D. R., Vibration troubleshooting of existing piping

systems, Engineering Dynamics Incorporated Report 91903, July 1991.

14.23. * Nivele admisibile de vibraii pentru conducte din instalaii chimice i

rafinrii, Ministerul Industriei Chimice, NTR 11230-85, ICITPR Ploieti, iulie

1985.

Index

Acceptance region plots 111 Discharge bottle 258

Acoustic resonance 265, 268 Discoloration 56

Amplitude demodulation 28 Dresser Clark Chart 194

probability density 18 Dynamic unbalance 207

Angular contact bearings 4

Eddy current transducer 88

API 618 279

Electrical machines 151

API standards 186

Envelope analysis 28

Axial compressors 145

Enveloping 62

Balance quality grades 225, 228 Energy operator 62

Balancing of rotors 203 Errors 54

in N+2 planes 229

Bearing frequencies 6

Fault diagnostics 121

wear 14

Feature extraction 59

Blake Severity Chart 192

Flaking 14

Bode plots 108

Fluid induced instabilities 127

Brinelling 16

FM0 63

Burning 56

FM4 64

Cage damage 15 Fretting 16

Cascade plots 109 Frosting 56

Case crushing 57 Full spectrum plots 104

Centrifugal compressors 142

Galling 55

fans 144

Gas pressure excitation 237

pumps 141

Cepstrum analysis 35, 69

torque 238

Gas turbines 150, 172, 180

Condition indicators 59

Gear errors 54

monitoring 115

Gears 39, 185

Connecting rod 242

Ghost frequencies 48

Contact ratio 42

Glazing 15

Couple unbalance 205, 223

Grooving 16

Coupled industrial machines 170, 178

Cracked shafts 138 Half spectrum plots 104

Crank mechanism 241 Half-wave resonance 267

Creeping 16 Heavy spot 205

Crest factor 17, 62 Helmholtz resonator 271

Cylinder-manifold system 256 High spot 205

Cylinder stretch forces 259 Hydraulic machines 172, 181

Demodulation 63 Indentations 14

Denting 15 Industrial buildings 187

Diagnosis process 120 Inertia torque 239

288 DYNAMICS OF MACHINERY

ISO 1940 225 machines 174, 237

ISO 7919 176 Residual unbalance 227

ISO 10816 168 Reverse dial indicator method 156

Rigid rotors 226

Kurtosis 22, 61

Rolling element bearings 1

Laser alignment 159 Root mean square 17, 61

Looseness 135, 137 Rotor-bearing clearance 136

Lumped acoustic elements 269 Rubbing 130

Run-to-failure maintenance 117

M6A 66

M8A 66 Scoring 55

Machine deterioration 115 Scuffing 55

Maintenance strategies 117 Shaft alignment 155

Mass unbalance 204 Shock pulse method 30

Misalignment 123 Shaking forces 260

Modal balancing 232 Sieberts construction 215

Mode shape plots 106 Single cylinder engines 237

Modulation plane balancing 208

amplitude 49 Skewness 21

effects 48 Skidding 2

frequency 51 Smearing 14

Multi cylinder engines 246 Spalling 14, 57

Multiplane balancing 229 Spike energy 25

Spinning 16

NA4 65 Standard deviation 21

NB4 67

Standing waves 265

Oil debris analysis 67 Static unbalance 205, 223

Oil whip 128 Statistical moments 21

whirl 128 Steam turbines 146, 169, 177

Orbits 101 Surge volume 271

Orifice plate 274 Tapered roller bearings 7

Piping vibration 274 Three-trial-mass method 215

Pitting 56 Time base plots 101

Plots 101 Time-frequency analysis 72

polar 108 Time synchronous averaging 59

Predictive maintenance 118 Tooth deflection 46

Preventive maintenance 117 engagement 45

Proximity probes 88, 97 fracture 58

P-V card 263 wear 47

Pulsation analysis 261 Transducers 85

control 270 Trend plots 107

excitation mechanism 261 Two-plane balancing 217

Quarter-wave resonance 267 Unbalance 121

Quasi-static unbalance 206 couples 244, 246

force 243, 246

Radial preload 123 tolerances 225

Rathbone Chart 164

Reactive acoustic filters 272 VDI 2056 166

INDEX 289

Vector balancing 208

Velocity pickups 91, 97

Vibration intensity 188

limits 163

magnitude 80

measurement 75

peak-to-peak 83

severity 81, 195

charts 164

Volume-choke-volume filter 272

Wear 56

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