Rotor Casing Contact Phenomenon in Rotor

Dynamics – Literature Survey

SAGHEER AHMAD
Department of Mechanical Engineering, University of Engineering and Technology, Taxila,
Pakistan (engr_sagheer@hotmail.com)
(Received 25 July 20071 accepted 18 May 2009)

Abstract: Rubbing between a rotor and its casing has long been recognized as a major contributor to excessive
maintenance and in general to machinery failure. During contact, the high energy of the rotor, dissipated by
the frictional force, can severely damage both parts, and can lead to total destruction of the machine. The
purpose of this article is to provide an overview of the state of the art on the rotor-casing contact phenomenon
in rotor dynamics, describing aspects of different physical parameters such as stiffness, damping, Coulomb
friction, acceleration of rotor, support structure asymmetry, thermal effects and disk flexibility etc. The
intention is to summarize the results presented in literature which are beneficial for the designers of rotating
machines and also a source of research inspiration for the scientists and technologists working in this field.

Keywords: Clearance, contact, rotor, rubbing, vibrations.

1. INTRODUCTION

Many high performance rotating machines have the thermal efficiency strongly dependent
upon the clearances between the stationery and rotating parts. Efficiency and high fuel sav-
ings can be achieved if the radial clearances are reduced. In certain cases, the rotor and
its stator are in danger of coming in contact if the machine is not operating under normal
conditions i.e. due to malfunctioning, rub occurs between the two elements.
Primary causes of malfunction can originate from various sources such as unbalance,
thermal gradients, looseness of parts and misalignment, self-excited vibrations due to work-
ing fluid, turbine or compressor blade failure/loss, cracked shafts etc. The physical events
experienced during a period of contact between rotor and stator are: initial impacting stage,
frictional behavior of the surfaces and reduction in the flexibility of the rotating parts. The
behavior of the system during this period is highly nonlinear causing very complicated vibra-
tions to the system. At worst, it may lead to the failure and instability of the machine. Serious
accidents can be avoided by taking precautionary measures in the light of conclusions drawn
by the researchers.
To date, research in rotor/casing rubbing events has progressed along two main streams
of investigations, namely, (a) the localized thermal/stress effects in machinery components
during rub interaction and (b) the global vibration of the rotor-casing system.

Journal of Vibration and Control, 16(9): 1369–1377, 2010 DOI: 10.1177/1077546309341605

1 2010 SAGE Publications Los Angeles, London, New Delhi, Singapore
1

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1370 S. AHMAD

Due to the complicated nature of this phenomenon, quantitative research in this area
is relatively rare, especially in the rubbing of practical machinery. In recent years the re-
searchers have tried to develop and refine some mathematical models in order to understand
clearly the phenomenon of rubbing. Available published work in these areas is summarized
in the following paragraphs.

2. PHYSICAL PHENOMENA OCCURRING DURING RUBBING

2.1. Response due to Out-of-balance

Imbalance of rotor is concerned with an eccentricity of the disk. In high speed turbo-
machines, sudden loss of blade results in an imbalance causing rubbing between rotor and
stator. Many researchers used an out-of-balance mass as an excitation in their test rigs to
produce the contact between rotor and stator for investigating the contact phenomenon. It
was reported by Choy and Padovan (1987) that increasing the imbalance of the rotor tends
to increase rub forces. In an extensive work by Dai et al. (2001) it was shown that with the
increase of the amplitudes of the excitation, the partial rubbing will expand to full rubbing
in which the rotor keeps contact with the stop thus forcing the stop to lose its effectiveness.
Karpenko et al. (2002a,b) presented the effect of mass imbalance on the vibration behav-
ior of a nonlinear rotor system with bearing clearances. During operation the rotor makes
intermittent contact with the outer ring resulting in complex dynamic behavior which was
studied with the help of bifurcation diagrams, constructed in the form of x and y displace-
ments of the rotor as function of forcing frequency, stiffness and viscous damping. They
discussed the complexity of the response resulting from the mass imbalance. Tariq et al.
(2002) showed that by improving the rotor imbalance, the rotor rub can be delayed. A Jef-
fcott rotor surrounded by a preloaded snubber ring was used by Karpenko et al. (2003) to
study the influence of out-of-balance on the response of the rotor when it comes in contact
with the outer ring. Numerical simulation was used to study the effects on the dynamics
of rotor. It was shown that increased intensity of out-of-balance generates full annular rub.
A chaotic response was observed by Qin et al. (2004), with the variation of imbalance,
i.e., with the increase in eccentricity, the response becomes from periodic to quasi-periodic,
non-periodic and then chaotic.

2.2. Coulomb Friction

During the period of contact of rotor with its casing, there exists a relative motion between
the two elements due to dry or Coulomb friction. Reverse or backward whirl of the rotor is
possible when the frictional force becomes greater than the driving force. A simple method-
ology for analyzing the steady-state vibrations of linear structures containing friction inter-
faces was presented by Bazen et al. (1986). A structural system consisting of several elastic
substructures connected by friction interfaces and subjected to prescribed harmonic loads
was used. For analytical solution a finite element procedure was adopted. It was shown that
the coefficient of friction and the alignment of contacting bodies severely affect the response
of the system. Choy and Padovan (1987) investigated the nonlinear dynamics of rotor/casing
rub interaction in rotating equipment. They considered the inter-relationships between the

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 ROTOR CASING CONTACT PHENOMENON IN ROTOR DYNAMICS 1371

rub forces histories, energy levels, rub duration and backward whirl initiation. Friction be-
tween the rotor and stator was found to be the major contributor to backward whirl. Zhang
(1988) investigated the response of a multi degree-of-freedom system due to full annular rub.
The effect of the dry friction was considered which drove the rotor to whirl during rubbing
and instability occurred. The instability behavior was shown to be dependent largely on the
initial conditions. The phenomenon of reverse whirl due to dry friction during rotor-to-stator
interaction was considered by Fatarella (1999). Parameters such as coefficient of friction,
initial clearance, natural frequencies, rotational velocity of the shaft, and mass ratios were
all recognized as affecting the behavior of a rotor under rubbing conditions. Dai et al. (2001,
2002) proved the full rubbing to occur earlier if friction becomes larger and continuous.
Feng and Zhang (2002) discussed the phenomena of a rotor rubbing with a stator caused
by an initial perturbation and concluded that in the case of no friction on the contact surface
between the rotor and the stator, the full rubbing behaves as forward whirling. In the presence
of friction, the full rubbing behaves as backward whirling. Isaksson (2002) presented the
dynamic behavior of a rotor interacting with its non-rotating surroundings by using three
different models namely (i) the Jeffcott rotor, (ii) a two-mass rotor and (iii) a finite element
model of a large disc-stack centrifuge. Coulomb friction was taken into account. It was
shown that the stability could be improved by low values of friction.

2.3. Stiffness Effect

Experimental results have been shown by Currami et al. (1986) relating to the heavy rub
which occurred in the high pressure stage during the start up of a 320 MW steam turbo
jet. The mathematical model relates the rub phenomenon to a possible parametric instability
due to a periodic radial stiffness variation of the rotor. Special attention was given by Choy
and Padovan (1987) to investigate the effects of casing stiffness on the nonlinear response
of rotor during interaction with its stator. In their test equipment, the rotor was surrounded
by an outer rigid casing to which four radial springs were attached for varying the stiffness.
Large rub forces were experienced by increasing the casing stiffness. Groll and Ewins (2000)
showed that soft/stiff stator support conditions have an influence on whether the system stays
in contact at higher speeds or not. Chu and Lu (2001) determined the rubbing location in
a multi-disk rotor system by means of dynamic stiffness identification. It was shown that
the dynamic stiffness at the position where the rotor-to-stator rub occurs clearly increases
as the rubbing develops. However, the presented method can only detect the position where
the response of vibration can be measured. Karpenko et al. (2002a) studied the regular and
chaotic dynamics of a discontinuously nonlinear rotor system and showed that increasing the
stiffness ratio of stator to rotor causes an increase in the degree of nonlinearity in the system
which does not necessarily produce chaotic responses. Isaksson (2002) concluded that the
stability of the system could be improved by stator stiffness controlled by the springs. It
was shown by Karpenko et al. (2003) in their numerical simulation, that the dynamics of the
rotor system can effectively be controlled by varying the stiffness of both the rotor and the
outer ring.The dynamic response of a rotor rubbing with an outer casing was investigated by
Qin et al. (2004). The physical model consisted of a horizontal overhung rotor mounted on a
stepped hollow shaft supported by two journal bearings and surrounded by an outer ring. By
applying the transfer matrix method, the investigation ended in a conclusion that by increas-

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1372 S. AHMAD

ing the stiffness of the support, the occurrence of rubbing can be delayed, resulting in high
critical speed. Stiffening effect of the rotor during the rotor-to-stator interaction was investi-
gated by Chu and Lu (2007). It was shown that during the rub-impact, the transient dynamic
change of the natural frequencies of the system appear, reflecting the stiffening effect of the
rotor. The value of the transient stiffness increases with the rub-impact aggravates. The
change trend of the transient stiffness can be used to judge the occurrence and the severity of
the rub-impact in the system.

2.4. Role of External Damping

Increased damping tends to dissipate large quantities of system energy. It was shown by
Choy and Padovan (1987) that increases in damping tend to retard the initiation of backward
whirl. Goldman and Muszynska (1994) presented the chaotic dynamic response of exter-
nally excited mechanical systems with physical discontinuities, such as gaps between the
elements. A loose pedestal machine simulator consisting of a shaft, supported in two rolling
element bearings was used. They showed that increasing the base damping would result in a
decrease of the restitution coefficient thereby decreasing the chaotic vibrations due to rotor-
to-casing interaction. An analytical, numerical, and experimental simulation of unbalanced
rotor/bearing/stator systems with joint looseness or rubbing by Goldman and Muszynska
(1995a) substantiated the fact that chaotic vibration zones decrease with increasing damp-
ing. Karpenko et al. (2002b) demonstrated the damping to be useful for the stability of the
system. Isaksson (2002) identified that high external damping could improve the stability
of the system. Numerical simulation was performed by Karpenko et al. (2003) to study the
influence of viscous damping of the rotor and the snubber ring on the response of the rotor
when it comes in contact with the outer ring. A pair of dampers were attached to the rotor,
one in the horizontal and one in the vertical direction, to provide the system with a variable
damping. Variation in the damping both of the rotor and the snubber ring was proved to
be the deciding factor for attaining the stability of the system. Qin et al. (2004) showed
by applying transfer matrix method that with the increase in the external damping of the
rotor-casing system, the motion loses its stability and goes to chaos. But further increase in
external damping fixes the response to a periodic motion eventually. It was demonstrated by
Zhang and Meng (2006) that changes in the damping coefficient cause the rub-impact ro-
tor system to go through an extraordinary route to chaos and alternates among the periodic,
quasi-periodic and chaotic motions. Popprath and Ecker (2007) reported in a numerical study
on nonlinear dynamics of a rotor contacting an elastically-suspended stator that a decrease
in damping will cause periodic solutions to become non-periodic. They further confirmed
that the damping parameter of the stator suspension has significant influence on the type of
motion obtained for the rotor-stator system. In an interesting research work carried out by
Al-Wedyan et al. (2008), it was investigated that in the absence of damping the rotors cannot
be kept in stable position.

2.5. Effect of Pre-loading

Initially in an analysis of a pre-loaded Jeffcott rotor, it was shown by Karpenko et al. (2003)
that dynamics of a rotor stator system can be effectively controlled by varying the pre-

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 ROTOR CASING CONTACT PHENOMENON IN ROTOR DYNAMICS 1373

loading of the stator and in general pre-loading stabilizes the dynamic response of the sys-
tem. The effect of pre-loading of the casing during the rotor casing interaction was studied
by Pavlovskaia et al. (2004) by developing a two degree-of-freedom model of a Jeffcott ro-
tor with a preloaded snubber ring. The purely impact interactions have been investigated.
The mathematical model neglects frictional and gyroscopic forces. The equations of motion
were solved numerically and the results of the calculations for the system with and without
pre-loading were compared using bifurcation diagrams and phase portraits. The introduc-
tion of pre-loading was found to be equivalent to some additional stiffness applied to the
snubber ring. It was shown that additional jumps of the snubber ring velocities occurred and
amplitude of the snubber ring vibrations changed due to the introduction of the pre-loading.
The dynamic response of nonlinear Jeffcott rotor model with preloaded snubber ring was
investigated experimentally by Karpenko et al. (2006) and verified the results reported by
Pavlovskaia et al. (2004).

2.6. Influence of Acceleration of Rotor

It was first showed by Wu and Flowers (1993) that the occurrence of heavy rub may depend
on some factors such as the lubrication condition of the contact surfaces and the shaft accel-
eration. Responding to this, Tariq et al. (2002) studied rotor-casing interaction while passing
through critical speed and proved that rub interaction can be avoided by having a suitable
acceleration of the rotor.

2.7. Frequency Effect

A comprehensive analysis of rotor/bearing/blade/seal system response under extreme operat-

ing conditions e.g. seismic events, blade losses etc resulting in interactions of rotor with the
casing was presented by Choy et al. (1989). Modal analysis was performed in combination
with the numerical integration to obtain the analytical solution. The experimental test rig
consisted of five rotors mounted on a rigid shaft and at the end of the shaft a bladed rotor
was fitted. The whole assembly was covered by a casing. The response was observed for the
cases of blade loss and varying bearing clearances. It was shown that shifting of frequencies
occurred during rub interaction. Also the phase of the rubbing process tends to be strongly
dependent on the seismic input frequency and its various multiples. Groll and Ewins (2000)
investigated a relatively new problem of “wind milling imbalance” in aero-engines. It falls
into the class of rotor/stator rub problems. In the unlikely event of loss of a fan blade during
operation, the fan becomes unbalanced and it interacts with the outer casing. For the purpose
of investigating the response of the system a simple Jeffcott rotor with a stator ring suspended
on springs was used. A small contact penetration of the rotor and stator was allowed with
the help of external hammer exciter. It was found that for a stator with a natural frequency
lower than the stator, rotor and stator do not lose contact at higher speeds. At certain ratios
of rotor/stator mass, both rotor and stator stay in continuous contact irrespective of the speed
of rotation.

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1374 S. AHMAD

2.8. Reverse Whirl

Dry friction backward whirl has adverse influence on the stability of rotor-casing system.
Lingener (1995) studied the phenomenon of reverse whirl due to contact between rotor
and stator. Two shiftable masses were mounted on a flexible shaft. An elastically supported
brass stator was fitted at the middle of the shaft carrying a plate with a hole surrounding the
shaft with a small gap. The arrangement allowed the investigation of an arbitrary number
of shaft-stator combinations as the foundation assembly could be mounted in different axial
positions. The influence of coefficient of friction was not considered. The experimental
results were verified theoretically and it was shown that it is impossible to run through any
resonance of the joined system, excited by reverse whirl, neither with increasing nor with
decreasing speeds. A higher coefficient of friction was shown by Ghauri et al. (1996),
to cause earlier onset of backward whirl. The investigation of the phenomenon of reverse
whirl due to rotor-stator interaction considered by Fatarella (1999) reported that reverse whirl
is associated with high frequency and an appropriate coefficient of friction is needed for
triggering reverse whirl. Yu et al. (2002) described in their research findings that self-
excited reverse precessional rub with an almost constant frequency can be ensured to occur
in a rotor kit attached with a seal. No outside disturbance or impact is needed to trigger the
reverse precession. It was also investigated that reverse precessional rub can even occur for
small clearance cases without any outside disturbance. An interesting research on the dry
friction backward whirl in rotor-to-stator contact systems was performed by Jiang (2007)
and concluded that dry friction backward whirl may already exist from a very low rotating
speed. It was further confirmed that dry friction backward whirl at its starting point sustains
a backward whirl with pure rolling at a whirl frequency equal to the natural frequency of the
coupled nonlinear rotor/stator system.

2.9. Torsional Load

The effect of torsion has rarely been presented in the literature. Rotor casing system ex-
periences an additional torsional load due to rubbing. Edwards et al. (1999) included the
torsional effects in a rotor/stator contact model and highlighted the importance of its inclu-
sion by way of a numerical example having realistic physical parameters. In a Jeffcott model,
the equations of motion for the system were obtained including lateral and torsional degrees-
of-freedom. Runge-Kutta integration was applied to obtain the numerical solutions of these
equations and simulated results were obtained for varying torsional stiffness. The results
presented showed that, for a realistic physical system, periodic nonlinear and also chaotic
motion can occur.

2.10. Disk Flexibility

Wu and Flowers (1993) experimentally investigated the influences of rubbing on the dynam-
ics of a rigid-disk rotor and a flexible-disk rotor. A rigid and then a flexible steel disk was
mounted on a rigid steel shaft alternately. One end of the shaft was supported on a fixed
support and at the other end a small disk surrounded by a rub surface was attached. For the
results from the flexible-disk rotor and the rigid disk rotor models to be comparable, the dis-

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 ROTOR CASING CONTACT PHENOMENON IN ROTOR DYNAMICS 1375

tances between the left bearing to the disk of the two systems were adjusted. The excitation
source was rotor imbalance. The Lagrange’s equation was used for analytical results. Disk
flexibility was found to have little influence on the occurrence and development of rubbing
responses.

2.11. Thermal Effects

The heat is generated due to friction during the period of rubbing between rotor and its sta-
tor. This causes local thermal expansion resulting in shaft bow and an additional imbalance
is created in the system. Kellenberger (1980) observed the influence of certain parameters
on the flow of heat to and from the system. Effects of rub-related thermally induced vibra-
tions in turbo-machinery have been described by Nathoo and Crenwelge (1983) and Currami
et al. (1986). Muszynska (1993) discussed the thermal effects of rotor-to-stator rubbing
and showed that the rotor responded to the rub thermal effect in an oscillating mode. Gold-
man and Muszynska (1995b) investigated the thermal effects of the rotor-to-stator rub. The
heat generated during rotor-to-stator contact stages was calculated as a function of thermal
conditions and rotor bow modal parameters.
Depending on the system parameters, the resulting vectorial relationship for the thermal
bow exhibits one of the following types of behavior:
(i) Asymptotic approach to the equilibrium state of the thermal bow1
(ii) Increasing spiraling motion of the thermal bow in the direction opposite to rotation1
(iii) Slow oscillations of the thermal bow.
Bachschmid et al. (2007) investigated spiral vibration phenomenon in the synchronous
vibration of rotor-to-stator rub and explained it as due to the combined effect of the contact
forces which introduce heat and of the resulting thermal bow. The phenomenon is also called
vector turning or thermally induced vibrations. Spiral vibration phenomenon was shown to
be a kind of instability of rotor-stator system.

3. CONCLUSIONS

A general overview of rotor/casing contact dynamics and some of the most important ap-
proaches in this area have been presented. The rotor-to-stator contact has been considered
as a secondary phenomenon resulting from machine malfunctioning due to primary faults
such as rotor unbalance, looseness and/or misalignment of coupling, cracked or bent shaft,
thermal gradients etc. The phenomenon has been recognized as highly nonlinear, exhibiting
complicated motions, including periodic, quasi-periodic and even chaotic vibrations of the
system. Continuous rubbing between rotating and stationary elements causes wear of these
parts resulting in low efficiency. For the diagnostics of the rub-impact in rotating machin-
ery, the complicated dynamic phenomenon has been studied by the researchers, taking into
account the rotational speeds, mass eccentricities, dry friction, damping, impact stiffness etc
as control parameters affecting the dynamic characteristics of the system. These researches
have made contributions to the rotor system dynamics with rubbing. The authors intend to
continue their research in this area to come up with a methodology to treat the contact model,

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1376 S. AHMAD

based on the contact forces and using known geometry, material properties and impact ve-
locity to determine the needed parameters for acceptable tolerances.

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