ANALYSIS AND IDENTIFICATION IN

ROTOR-BEARING SYSTEMS
A Text Book

Developed under the

Curriculum Development Scheme of
Quality Improvement Programme at IIT Guwahati

Sponsored by

All India Council of Technical Education

Dr Rajiv Tiwari

Department of Mechanical Engineering

Indian Institute of Technology Guwahati 781039

April 2010

PREFACE
The present book materials is the outcome of an elective course on Rotor Dynamics offered by me
to undergraduate, graduate and post-graduate students at IIT Guwahati over last ten years. Moreover,
it contains materials of some of the research works done by me with my graduate students.
The modeling and analysis of rotor-bearing dynamics are now reached a mature state. In broad sense
this area covers several categories namely modeling, analysis, identification and condition monitoring
of rotor-bearing systems. The finite element (FE) method has been used extensively for modeling and
analyses of rotors. Till today, the condition monitoring of rotor-bearing systems based on vibrations
mainly concerned with the feature based fault detection and diagnostics. As a result of this the
methods available so far are not reliable and fail-safe up to the expectation of fellow engineers
working in the fields. For model-based condition monitoring of the rotor-bearing systems,
identification methods for system parameters are under development. For the identification of rotor
system parameters the literature available is not so rich and a lot of possibilities have been appeared in
the literature. The very purpose of this course material is to give a basic understanding of the rotor
dynamics phenomena with the help of simple rotor models and subsequently the modern analysis
methods for real life rotor systems. This background will be helpful in the identification of rotorbearing system parameters and its use in futuristic model-based condition monitoring and fault
diagnostic and prognostics.
The present course material compiles review of some of the available literatures in a systematic and
lucid form so as to boost research in the developing area of the rotor dynamics. Throughout the book
materials are supplemented by numerical examples both by the hand calculation and computation
extensive methods. It is expected that with this course material, students will get sufficient exposure
and motivation for applying FEM in rotor dynamics and allied areas. We sincerely acknowledge the
Quality Improvement Programme at IIT Guwahati sponsored by AICTE, New Delhi for funding
towards the development of the course. Our heartfelt thanks to the help offered by the graduate
students, research scholars and project, technical and office staffs at IIT Guwahati. This work is
dedicated to my daughter Ranu, son Antariksha, and wife Vibha for their patience.

(R. Tiwari)

CONTENTS
Preface
Content
Nomenclature
Chapter 1 A Brief History of Rotor Dynamics

ii
iv
viii
1-23

1.1 From the Rakine to Jeffcott Rotor Models

1.2 Rotor Dynamics Phenomena Studies from Stodola to Lund
1.3 Development of Rotor Dynamics Analysis Tools
1.4 Softwares for Rotor Dynamics Analysis
1.5 Dynamic Balancing of Rotors
1.6 Condition Monitoring of Rotating Machineries
Concluding Remarks
Exercise Problems
References
Chapter 2 Transverse Vibrations-I: Simple Rotor Systems

2
5
11
12
12
13
15
16
16
24-84

2.1 Single-DOF Undamped Rotor Model

2.1.1 Unbalance force model
2.1.2 Equations of motion
2.1.3 Free vibrations
2.1.4 Forced vibrations
2.1.5 Attenuation of vibrations
2.2 A Single-DOF Damped Rotor Model
2.3 Rankine Rotor Model
2.4 Jeffcott Rotor Model
2.4.1 Steady state response (Approach 1)
2.4.2 Steady state response (Approach 2)
2.4.3 Steady state response (Approach 3)
2.5 A Jeffcott Rotor Model with an Offset Disc
2.5.1 Calculation of natural frequencies
2.5.2 Unbalance forced response
2.5.3 Bearing reaction forces
2.6 Suppression of Critical Speeds
Concluding Remarks
Exercise Problems
References
Chapter 3 Bearing and Seal Systems

25
26
28
28
28
31
35
39
40
43
44
48
51
56
56
57
69
75
76
83
84-161

3.1 Rolling Element Bearings

3.1.1 Linear radial stiffness of rolling bearing
3.1.2 Nonlinear stiffness of rolling bearings

86
91
100

3.1.4 Radial stiffness at high-speed conditions

115

3.1.3 Linear stiffness determination under combined loadings

113

3.2 Hydrodynamic Oil-Lubricated Journal Bearings

3.2.1 Types of hydrodynamic bearings
3.2.2 Reynolds equation and its basic assumptions
3.2.3 Basic concepts and assumptions of oil-film bearing models
3.2.4 Short and long hydrodynamic radial bearings
3.2.5 Numerical analysis procedure of finite radial bearings
3.2.6 Friction force and lubricant flow rate
3.2.8 Dynamic characteristics of fluid-film bearings
3.3 Dynamic Seals
6.3.1 Classification of Seals
6.3.2 Theoretical estimation of dynamic coefficients of seals
6.3.3 Fluid-film dynamic force equations
3.4 Squeeze-film Dampers
Concluding Remarks
Exercise Problems
References
Chapter 4 Transverse Vibrations-II: Simple Rotor-Bearing-Foundation Systems
4.1 Symmetrical Long Rigid Shaft in Flexible Anisotropic Bearings
4.2 A Symmetrical Long Rigid Shaft on Anisotropic Bearings
4.2.1 Unbalance response
4.2.2 Bearing forces
4.3 A Symmetrical Flexible Shaft on Anisotropic Bearings
4.4 A Rotor on Flexible Bearings and Foundations
Concluding Remarks
Exercise Problems
References

117
119
121
123
126
131
134
136
138
139
142
151
152
157
158
159
162-205
162
173
175
181
183
190
195
196
204

Chapter 5 Transverse Vibrations-III: Simple Rotor Systems with Gyroscopic Effects 206-269
5.1 Angular Momentum
5.2 Gyroscopic Moments in Rotating Systems
5.2.1 Motion of a rotor mounted on two bearings
5.2.2 Gyroscopic moments though Coriolis component of accelerations
5.2.3 Gyroscopic moments in a rotating thin blade
5.2.4 Gyroscopic moments in a multi-bladed propeller
5.3 Synchronous Motion
5.3.1 A cantilever rotor with a thin disc
5.2.2 A cantilever rotor with a long stick
5.4 Asynchronous Rotational Motion
5.5 Asynchronous General Motion
5.6 Gyroscopic Effects by the Dynamics Approach
5.7 Analysis of Gyroscopic effects with Energy Methods
Concluding Remarks
Exercise Problems
References

207
209
209
210
212
214
216
216
221
228
234
251
256
262
263
269

Chapter 6 Torsional Vibrations of Rotors-I: The Direct and Transfer Matrix Methods 271-360
6.1 A Simple Rotor System with a Single Disc Mass
6.2 A Two-Disc Torsional Rotor System
6.3 A Two-Disc Rotor System with a Stepped Shaft
6.4 A Three-Disc Rotor System
6.4.1 A direct approach
6.4.2 An indirect approach
6.5 Transfer Matrix Methods
6.5.1 A point matrix
6.5.2 A field matrix
6.6 Geared Systems
6.7 Branched Systems
6.8 TMM for Damped Torsional Vibrations
6.9 Modelling of Reciprocating Machine Systems
6.9.1 An equivalent polar moment of inertia
6.9.2 An equivalent torsional stiffness of crack shafts
6.9.3 Torque variations in a reciprocating machinery
Concluding Remarks
Exercise Problems
References

272
275
280
285
285
291
296
297
299
320
330
341
344
345
347
348
351
352
360

Chapter 7 Torsional Vibrations of Rotors-II: The Continuous System and FE Methods 361-419
7.1 Torsional Vibrations of Continuous Shaft Systems
7.1.1 The Hamiltons principle
7.1.2 Lagranges equation
7.1.3 Governing differential equations
7.2 Applications of Finite Element Methods
7.2.1 Galerkin method
7.2.2 Rayleigh-Ritz Method

7.2.3 Assembled System Equations

7.2.4 Application of Boundary Conditions

7.2.5 Free Torsional Vibrations
7.3 Development of Geared Element for Branched Systems
Concluding Remarks
Exercise Problems
References

Chapter 8 Transverse Vibrations-IV: Multi-DOF Rotors

8.1 Influence Coefficient Method
8.1.1 A static case
8.1.2 A dynamic case
8.2 Transfer Matrix Methods
8.2.1 A field matrix
8.2.2 A point matrix
8.2.3 An overall transfer matrix
8.2.4 Free vibrations
8.2.5 Forced response
8.2.6 Gyroscopic effects

361
362
365
367
377
378
384

386

388
389
402
413
414
419

420-504
420
421
423
441
441
444
446
448
450
451

8.3 Dunkerleys Formula

Concluding Remarks
Appendix 8.1 Load deflection relations for various boundary conditions of the shaft
Exercise Problems
References

485
490
491
495
504

Chapter 9 The Continuous and Finite Element Transverse Vibration Analyses of Simple Rotor
Systems
505-591
9.1 Governing Equations in Continuous Systems
9.2 Natural Frequencies and Mode Shapes
9.3 Forced Vibrations
9.4 A Brief Review on Application of FEM in Rotor-Bearing Systems
9.5 A Finite Element Formulation
9.5.1 FE Formulation in a weak form
9.5.2 Derivations of Shape functions
9.5.3 Satisfaction of the compatibility and completeness conditions
9.5.4 Finite element governing equations
9.5.5 The consistent load matrix
9.5.6 System equations of motion
9.5.7 Eigen value problems
9.6 Proportional Damping
9.7 The Static and Dynamic Condensations
9.7.1 Static (Guyan) reduction
9.7.2 The dynamic reduction
Concluding Remarks
Exercise Problems
References

505
511
516
519
521
522
523
526
528
531
535
538
567
569
570
575
580
581
588

Chapter 10 Transverse Vibrations-VI: Finite Element Analysis of Rotors with Gyroscopic

Effects
592-652
10.1 Rotor Systems with a Single Disc
10.2 Timoshenko Beam Theory
10.3 Finite Element formulations of the Timoshenko beam
10.3.1 Weak formulations of the Timoshenko beam element for the static case
10.3.2 Derivation of shape functions
10.3.3 Weak formulation of the Timoshenko beam element for the dynamic case
10.4 Whirling of Timoshenko Shafts
10.4.1 Equations of motion of a spinning Timoshenko shaft
10.4.2 Finite element formulation
10.4.3 The weak form finite element formulations
10.4.4 Rigid disc element
10.4.5 System equations of motion
10.4.6 Eigen value problem
Appendix 10.1 Timoshenko beam model
Appendix 10.2 Rotating Timoshenko beam model
Concluding Remarks
Exercise Problems
References

592
606
614
615
617
623
629
629
635
636
637
638
638
643
648
648
652

Chapter 11 Instability in Rotating Machines

11.1 Oil Whirl
11.2 Stability Analysis using Linearized Stiffness and Damping Coefficients
11.3 Stability Analysis with Fluid-Film Non-Linearity
11.4 Resonant Whip
11.5 Internal Friction
11.6 Effect of Rotor Polar Asymmetry
11.7 An Asymmetric Rotor with Uniformly Distributed Mass
11.8 Self Excited Vibrations
11.9 System with Variable or Nonlinear Characteristics
11.9.1 A Rotor with Variable Elasticity
11.9.2 Physical analysis of a horizontal symmetric shaft with gravity effects
11.9.3 Analytical Solution of the Equation of Motion of asymmetric rotor
11.10 Sub-Critical Vibrations of a Jeffcott Rotor
11.10.1 Equations of Motion
11.10.2 Unbalance Response
11.11 Stream Whirl
11.12 Instability due to Seals
11.13 Non-linear Equations of Motion of the Jeffcott Rotor (Run-up and run-down)
Concluding Remarks
Exercise Problems
References
Appendix 11A Newmark Method

Chapter 12 Instability of Multi-DOF Rotors Mounted On Flexible Bearings

12.1 Rotors Mounted on Flexible Bearings
12.1.1 Fluid Film Bearing Characteristics for Short Bearing Approximation
12.1.2 FEM Formulation for Bearings
Concluding Remarks
References
Exercise Problems
Chapter 13 Dynamic Balancing of Rotors
13.1 Unbalances in the Rigid and Flexible Rotors
13.2 Principle of Rigid Rotor Balancing
13.2.1 Static Balancing (Single plane balancing)
13.2.2 Static Balancing (Two plane balancing)
13.2.3 Couple unbalance
13.2.4 Dynamic unbalance
13.2.5 Various expressions of unbalance
13.3 Balancing of Practical Rigid Rotor
13.3.1 Single plane balancing
13.3.2 Two plane balancing (Cradle balancing machines)
13.3.3 Two plane balancing (The influence coefficient method)
13.4 Balancing of Flexible Rotors
13.4.1 Modal Balancing Method
13.4.2 Influence Coefficient Methods
Concluding Remarks
Exercise Problems
References

653-739
653
656
662
664
666
677
681
700
703
705
707
708
714
714
716
720
724
726
732
733
735
737

740-767
740
741
744
762
762
763
766-810
767
769
769
769
770
771
771
777
777
778
785
790
792
801
805
806
810

Chapter 14 Experimental Estimation of Dynamic Parameters of Bearings Dampers and Seals

811-897
14.1 Previous Literature Reviews and Surveys
14.2 Basic Concepts and Assumptions of Bearing Models
14.3 Abstract definition of the Identification
14.4 Static force method
14.5 Methods Using Dynamic Loads
14.6 Development of a General Identification Algorithm in Rotor-Bearing Systems
14.7 Use of Electromagnetic Vibrators
14.7.1 Complex Receptance Method
14.7.2 Estimation using the Direct Complex Impedance
14.7.3 Estimation by Multi-Frequency Testing
14.8 Use of Centrifugal Forces
14.9 Transient methods
14.10 Methods using Unknown Excitation
14.11 Special Methods of Estimation of Dynamic Parameter of Seals
14.11.1 Experimental Estimation Procedures
14.11.2 Previous Seal Rotor Dynamic Data and Resources
14.12 Accuracy of Estimated Bearing Coefficients
14.13 General Remarks and Future Directions on Bearings
14.13.1 General Remarks on Bearings
14.13.2 Future Directions on Bearings
14.14 General Remarks and Future Directions on Seals
14.15 Conditioning of Regression Matrices for Simultaneous Estimation of the Residual
Unbalance and Bearing Dynamic Parameters
14.16 Simultaneous Identification of Residual Unbalances and Bearing Dynamic
Parameters from Impulse Responses of Flexible Rotor-Bearing Systems
Concluding Remarks
Exercise Problems
References
Chapter 15 Measurements in Rotating Machineries
15.1 Specifications of Measuring Instruments
15.2 Uncertainty Analysis of Estimated Parameters
15.3 Transducers
15.3.1 Displacement Sensors
15.3.2 Accelerometers
15.4 Signal Conditioning & Analysis Equipments
15.4.1 Filters
15.4.2 Measurement amplifier
15.4.3 Oscilloscope, Spectrum analyzer and Data Acquisition System
15.5 Vibration Exciter Systems
15.5.1 Electromagnetic Systems
15.5.2 Mechanical-Type Exciters
15.5.3 Hydraulic and Pneumatic Systems
15.5.4 Impact hammer
15.6 Sound Measurements
Concluding Remarks
Exercise Problems
References

813
816
820
821
827
831
833
833
839
843
846
855
860
862
863
865
866
867
868
870
873
875
887
890
891
894
898-944
899
904
910
911
921
928
928
929
929
930
931
932
932
933
936
941
941
944

Chapter 16 Signal Processing in Rotating Machineries

945-1006

16.1 Display of Vibration Measurements

16.2 Accuracy of Vibration Measurements
16.3 Fourier Series
16.4 Fourier Transform and Fourier Integral
16.5 Discrete Fourier Transform
16.6 Fast Fourier Transform
16.7 Leakage Error and Countermeasures
16.8 Applications of FFT to Rotor Vibrations
16.9 Properties of Random Discrete Signals
16.9.1 Probability, Probability Distribution Function, and Probability Density Function
16.9.2 Random Process, Ensemble, and Sample Function
16.9.3 Stationary and Ergodic Process
16.9.4 Probability Distribution and Probability Distribution Function
16.9.5 Ensemble Average, Temporal Average, Mean, Variance
16.9.6 Auto-correlation Function and Covariance
16.9.7 Cross-correlation Function
16.9.8 Coherence Function
16.10 Protection against spurious signals
16.10.1 Electrical noise
16.10.2 Runout
16.10.3 Removing runout from a vibration signal
16.10.4 Electronic differentiation and integration
Concluding Remarks
References
Exercise Problems

Chapter 17 Vibration Based Condition Monitoring in Rotating Machineries

17.1 Rotor unbalance
17.2 Shaft Bow or Thermal Bow
17.3 Misalignment
17.4 Rubs
17.5 Mechanical Looseness of Components
17.6 Shaft Cracks
17.7 Rolling Element Bearing Faults
17.8 Faults in Gears
Concluding Remarks
Exercise Problems
Appendix: 17.A Discrete Wavelet Transform
References

945
951
961
967
970
978
979
986
988
988
992
992
994
995
997
998
999
999
999
1000
1001
1002
1003
1004
1005

1007-1053
1008
1012
1015
1019
1024
1027
1031
1040
1044
1044
1045
1046

Chapter 18 Active Magnetic Bearings In Rotors

18.1 Introduction
18.1.1 Classification and Properties of Active Magnetic Bearings
18.1.2 Advantages and Limitations of Active Magnetic Bearings
18.2 Literature Survey on Design and Analysis of AMBs
18.3 Basics of Active Magnetic Bearings
18.3.1 Operating Principle of an AMB
18.3.2 Fundamental Relations
18.3.3 Dynamics of Active Magnetic Bearings
18.3.4 Differential driving mode
18.3.5 PID Controller
18.4 Block Diagrams and Transfer Functions
18.4.1 Block diagrams and transfer functions of magnetic bearing systems
18.4.2 The PID Controller and Its Transfer function
18.4.3 Transfer function and block diagram of the overall active magnetic
bearing system
18.5 Tuning of the Controller Parameters
18.5.1 Stability Criteria
18.5.2 PID Controller
18.5.3 PD Controller
18.6 A Single-DOF Rotor System
18.7 Two-DOF Rotor Systems
18.8 Four-DOFs Rigid-Rotor Flexible-Bearing Systems
18.9 Flexible Rotor-Bearing Systems
18.9.1 Flexible Rotor-bearing System and Formulations
18.9.2 Modeling of Rotor-bearings system
18.9.3 Shaft model
18.9.4 Rigid disc model
18.9.5 Bearing model
18.9.6 Active magnetic bearing model
18.9.7 Equations of motion of the rotor substructure
18.9.8 Natural whirl frequency of the system
18.9.9 Plots of unbalance response obtained for flexible rotor-bearing system
18.9.10 Campbell Diagram
Concluding Remarks
References

1054-1144
1054
1055
1059
1059
1067
1068
1069
1070
1073
1076
1077
1077
1078
1079
1082
1083
1083
1085
1088
1097
1105
1117
1117
1117
1118
1119
1119
1120
1120
1122
1126
1129
1130
1132

Nomenclature
c
[C]
d
e
E
f(t)
F
[F]
G
[G]
I
Id
Ip
j
J
k
[K]
l
m
M(t)
[M]
n
[P]
S
{S}
U
[U]
x
{x}
X
y
Y
z
Z
T
T(t)
[T]

x(t)
x
y(t)
y
z(t)
z

damping coefficient
damping matrix
diameter
eccentricity
Youngs modulus
time dependent force
amplitude of the force
field matrix for TMM
modulus of rigidity
gyroscopic matrix
diametral second moment of area (for the circular shaft = d4/64)
diametral mass moment of inertia
polar mass moment of inertia
1 , imaginary number
polar second moment of area (for the circular shaft = d4/32)
stiffness
stiffness matrix
length
mass of disc
moment
mass matrix
gear ratio
point matrix for TMM
shear force
state vector for TMM
strain energy
transfer matrix for TMM
linear displacement in the horizontal direction
displacement matrix
amplitude of the linear displacement in the horizontal direction
linear displacement in the vertical direction
amplitude of the linear displacement in the vertical direction
linear displacement in the axial direction
mechanical impedance
kinetic energy
toque
overall transfer matrix for TMM
phase between the force and the displacement
angular displacement about x-axis
amplitude of x
angular displacement about y-axis
amplitude of y
angular displacement about z-axis
amplitude of z
whirl frequency
density
angular position of the unbalance with x-axis
spin (or angular) speed of the rotor
damping ratio

Subscripts:
b
c
d
E
i
L
nf
NL
p
r
f

bearing
critical
diametral
external
imaginary
linear
natural frequency
non-linear
polar
rotor/real
foundation

Back subscript
R
L

right
left

Superscripts:
i
r

imaginary
real

Units:
cm
G
Hz
m
mm
M
N
Pa
rad
rpm
sec
m

centimeter
giga (109)
cycle per sec (Hertz)
meter
millimeter
mega (106)
Newton
Pascal (N/m2)
radian
revolution per minute
second
micrometer (10-6m)

Abbreviations:
AMB
DOF
EOM
FEM
SHM
TMM

active magnetic bearing

degree of freedom
equation of motion
finite element method
simple harmonic motion
transfer matrix method