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Dynamic modeling and analysis of the high-speed ball screw feed system

Article  in  Proceedings of the Institution of Mechanical Engineers Part B Journal of Engineering Manufacture · April 2014
DOI: 10.1177/0954405414534641

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Original Article

Proc IMechE Part B:

J Engineering Manufacture
2015, Vol. 229(5) 870–877
Dynamic modeling and analysis of the Ó IMechE 2014
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DOI: 10.1177/0954405414534641
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Huijie Zhang, Jun Zhang, Hui Liu, Tao Liang and Wanhua Zhao

Abstract
As for the machine tool with high-speed ball screw feed system, the quite large friction force may change the real con-
tact state of kinematic joints, which would further affect the dynamic characteristics of the whole system. In this article,
an equivalent dynamic model of high-speed ball screw feed system was established using hybrid element method. The
equivalent axial stiffness of individual kinematic joint and system transmission stiffness were all derived considering the
influence of feed rate. The variation in the system natural frequency with feed rates was analyzed using the model pro-
posed and also verified by experiments. The results show that the system natural frequency in motion state is larger than
that in static state and behaves differently in different feed rates. The equivalent axial stiffness of the rear-end support
bearing unit can reduce to 0 as the feed rate increases, which further leads to a critical value for system natural fre-
quency. In the high-speed motion of the feed system, resonance may occur when the system natural frequency is almost
same to the torque ripple harmonic frequency of the servo motor.

Keywords
High-speed machine tool, ball screw feed system, kinematic joint, stiffness, dynamic characteristics

Date received: 11 January 2014; accepted: 14 April 2014

Introduction systems. In 2001, Van Brussel et al.14 studied the

Feed system is one of the most important subsystems
of a typical machine tool1 and its dynamic characteris-
tics play a significant role in control performance,2–4
machining accuracy1,5–7 and the stability of cutting
process.8 Ball screws, popular transmission compo-
nents, are widely used in feed systems. A volume of
research, therefore, has been conducted on dynamic
characteristics of the ball screw feed system.
As a result of the flexibility of ball screws,
Timoshenko beam was always used because it consid-
ers the effects of shear and also of rotational inertia in
the beam equation, for example, Pislaru et al.,9
Whalley et al.10 and Okwudire and Altintas.11 On the
other hand, solid model was also adopted for ball
screws and other components in machine tool. Mi
et al.12 established a finite element model of a horizon-
tal machining center including kinematic joints in the
feed system and analyzed the influence of preloads on
ball screws and linear guides. Their results indicate that
the preloads have significant effects on the dynamic
stiffness in the transmission direction. In 1999, Tlusty
et al.13 studied the serial and parallel kinematics for
machine tools and concluded that the stiffness behaves
great difference owing to the position variation in feed
dynamics of a three-axis machine tool at 27 positions
(three positions of each axis) by using finite element
method and found that its dynamics are also different.
Based on the conclusions by Tlusty et al., Henninger
and Eberhard15 further performed the computation of
stability diagrams owing to the position-varying
dynamics of the machine tool, which limits the achiev-
able productivity and performance in the whole work-
ing range of the machine. Law et al.16,17 modeled the
dynamics of a machine tool by synthesizing its sub-
structures’ reduced order finite element models and the
results indicate that the machine tool possessed
position-dependent dynamics and stability. In 2010,
Verl and Frey18 experimentally found that the preloads
of the screw nut joint varied with the system feed rates.
All these researches above made great contributions to
State Key Laboratory for Manufacturing Systems Engineering, Xi’an
Jiaotong University, Xi’an, China
Corresponding author:
Wanhua Zhao, State Key Laboratory for Manufacturing Systems
Engineering, North A315, west of 5 Building, 99 Yanxiang Road, Xi’an
Jiaotong University, Xi’an, Shaanxi 710049, China.
Email: whzhao@mail.xjtu.edu.cn

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Zhang et al.
the understanding of the dynamic characteristics of a
ball screw feed system.
Nowadays, machine tools with high feed rate are
popularly used and the associated friction force also
increases to a considerable value.19–21 The force can
change the real contact state of kinematic joints, result-
ing in the changes in the contact stiffness and the trans-
mission stiffness, which would further affect the system
dynamic characteristics. In this article, therefore, an
equivalent dynamic model was established using hybrid
element method for a high-speed ball screw feed system.
A variable-coefficient motion equation was derived
considering the influence of the feed rate. The variation
in the system natural frequency with feed rates was also
discussed.
Dynamic model of a ball screw feed
system considering the influence of
feed rate
Equivalent dynamic model
A typical ball screw feed system of computer numerical
control (CNC) machine tool is mainly composed of
worktable, screw shaft, screw nut, bearing units, linear
guide and slider, as shown in Figure 1. The worktable
in transmission direction is constrained by the screw
shaft, screw nut and bearing units. Compared with that
in other directions, the stiffness in the transmission
direction is smaller because of those kinematic joints
and flexible components, and the associated dynamic
characteristics of the system in the transmission direc-
tion affecting the machining quality will be discussed
here.
Figure 1. The structure schematic diagram of a ball screw feed system.
y is the distance between the screw nut and the rear-end support bearing units; L is the screw length between the two support bearing units; Fas, f(v)
and P are the screw tension force, the friction force and the pretension force of the screw nut joints, respectively. (a) Ball screw feed system; (b)
Screw-nut joints; (c) Support bearing units.
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871
In the equivalent model, therefore, the screw shafts
on both sides of the nut are equivalent to Timoshenko
beam elements with two nodes and 4 degrees of free-
dom (DOFs) (displacement and rotations at both the
ends). The bearing joints and the screw nut joints are
both equivalent to lumped spring elements and their
stiffness can be determined by multiplying a coefficient
of 0.9 considering the flexibility of the bearing housing
and nut bracket and the tangential stiffness of the fixed
joints. The worktable is treated as a lumped mass ele-
ment. Neglecting the influence of the servo stiffness, we
can establish the equivalent dynamic model in trans-
mission direction considering the influence of the feed
rate, as shown in Figure 2.
Model’s equation of motion
According to the equivalent dynamic model and
D’Alembert principle, a variable-coefficient motion
equation of the ball screw feed system can be estab-
lished as equation (1) considering the influence of feed
rate
 
qg + Csy fqg
½M(y)f€ _ + ½Kðf(v), y, p, Fas Þfqg = ½F
ð1Þ
where M(y), Csy and K(f(v), y, p, Fas) are the system
mass, damping and stiffness matrix, respectively. The
total stiffness is calculated by individual part stiffness
including the axial stiffness of the screw nut joints and
bearing joints, and the tension/compression and torque
stiffness of the screw shaft. It depends on the friction
force, worktable position, screw pitch and screw ten-
sion force. Friction force f(v) can be determined by the
model19 as follows
872 Proc IMechE Part B: J Engineering Manufacture 229(5)

Figure 2. The equivalent dynamic model of the ball screw feed system.
m is the total mass of the worktable; y is the distance between the screw nut and the rear-end support bearing units; L is the screw length between
the two support bearing units; Fas, f(v) and P are the screw tension force, the friction force and the pretension force of the screw nut joints,
respectively; k1by(Fas, f(v)), k2by(Fas, f(v)) and knut(P, f(v)) are the equivalent axial stiffness of the rear-end and front-end support bearing unit joints and
the equivalent axial stiffness of the screw nut joints, respectively; Csy is the equivalent damping in the transmission direction; kz and cz are the
equivalent nominal stiffness and damping of the slider block joints; kx and cx are the equivalent tangential stiffness and damping of the slider block
joints; ffi and ffl are the equivalent Timoshenko beam elements of the screw shaft; 1–4 are the node numbers. The screw shaft length on both sides
of the nut varies with the worktable position, which would affect the stiffness and mass matrix of the element. Therefore, Node 2 representing the
position of the nut can move along the Y-direction.

8
< f(v) = s0jzvj + s1 z_ + delt  v
> assuming an elastic deformation only for the balls
z_ = v  gðvÞ z ð2Þ between screw shaft and nut, we can derive the equiva-
>
: 2 lent axial stiffness of the screw nut joints by equation
s0 gðvÞ = Fc + ðFs  Fc Þeðv=vs Þ
(4) using the Hertz contact model22
8 
<  2 1=3
2=3
knut ðP, f(v)Þ = 32 Kh  ðP + f(v)Þ  sin5 a  cos5 u  dbipd0
cos u  cwn ð4Þ
:
P = Pd  Cp

where z is the average deformation of the mane; v and
vs are the feed rate and the Stribeck velocity; s0 and s1
are the stiffness and the damping coefficient; Fc and Fs
are the Coulomb friction and the maximum static fric-
tion force and delt is the viscous friction coefficient.
When the feed system moves in a uniform speed, and
then z_ = 0, equation (2) can be simplified as follows
h i
2
f(v) = Fc + ðFs  Fc Þeðv=vs Þ sgnðvÞ + delt  v ð3Þ
Equation (3) describes the relationship between friction
force and feed rate, where the coefficients can be
acquired by using the nonlinear identification method.
where Pd and Cd are the rated dynamic load of the
screw nut joints and the coefficient of the rated dynamic
load, respectively; a and f are the contact angle of the
screw nut joints and the lead angle of the screw, respec-
tively; i is the total number of load-bearing ring of the
single nut; d0 and db are the nominal diameter of the
screw and the diameter of the ball in screw nut joints,
respectively; cwn is a weight coefficient of equivalent
axial stiffness of the screw nut joints, and cwn = 0.9;
f(v), friction force, is the function of the feed rate and
Kh is the Hertz contact coefficient and is determined by
the contact shape of the screw nuts and the material
properties.23,24

Calculation of the system stiffness and mass matrix
1. Equivalent axial stiffness of the screw nut joints
Figure 1(b) shows the cross section of the screw nut
joints for a typical gasket-type double-nut ball screw.
Considering the influence of the system feed rate and
2. Equivalent axial stiffness of bearing joints
Figure 1(c) depicts the assembly structure of the sup-
porting bearing units in the feed system as well as the
applied force in motion state. Supposing the friction
force equivalently applied on both bearings with same

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Zhang et al. 873
2 3
1 1

------------
value but opposite direction, we can obtain the equiva- 0 0 7
lent axial stiffness of the rear-end and front-end support 63 6
6 Ir 7
" # 6 I 7
bearing (type: angular contact bearing) by equations (5) M2 M223 6 0 3Ar 0 7

----
6
and (6) 2
M = - - 22
2- -
- - - - -e -
- -2 - = rAe (L  y)6 -1 - - - -7
6A e
7
M32 M33 61 7
6 0 0 7
3 2=3 66 3 7
k1by ðFas , f(v)Þ = Kh  4 Ir Ir 5
2 0 6Ae 0
 1=3 ð5Þ 3Ae
f(v) ð10Þ
Fas 6  sin5=3 ab  (N  n)2=3  cwb
2
  where r is the material density and Ae is the cross-
3 2=3 f(v) 1=3 sectional area of the equivalent Timoshenko beam
k2by ðFas , f(v)Þ = Kh  Fas 7 
2 2 ð6Þ element.
5=3 2=3
sin ab  (N  n)  cwb
4. Total stiffness and mass matrix of the feed system
where Fas and ab are the screw tension force and the
contact angle of bearing, respectively; N and n are the According to the stiffness matrix of each element, the
number of single-ended load-bearing and the ball num- expression of total stiffness matrix can be derived using
ber of a bearing, respectively, and cwb is the coefficient the finite element method25
of equivalent stiffness of bearing joints, and cwb = 0.9. 2 3

--------

--------

--------
K111 + K1by K112 0 0
6- - - -1 - - - - -1 - - - 2- - - -nut- - - - - 2- - - - - nut
- -7
11
6 K 7
3. Stiffness and mass matrix of the equivalent K = 6- - -K-21- - - -K-22-+ K +K
- - 22-2 - - -22-
K23
- - 2- - - -2by- - - 24- -75
Timoshenko beam element 4 0 K32 K +K 0
- - - -0 - - - - - - - K- nut
----- - - 33- -0- -33- - K- nut
--
42 44

The stiffness matrix of the equivalent Timoshenko ð11Þ

beam element ffi can be expressed as equation (7)25
where
2 EA 3

-------

" # 0
0  EA 0
0

----
k1by ðFas , f(v)Þ 0
-----

y y
K1 K112 6 0 7 K1by = - - - - - - - - - - -
K1 = - -11
1- - - -
1 -
=6
4 - -0 - -0 - - EA
- - EA -0-0 - - 0- 7
5 ð7Þ 11
0 0
K21 K22  y 0 y 0 

----
0 0 0 0 nut nut knut ðP, f(v)Þ 0
K22 = K44 = - - - - - - - - - -
0 0
where E is the Young’s elastic modulus and A0 is the  ð12Þ
k2by ðFas , f(v)Þ 0
----

cross-sectional area of the bottom diameter of the K2by

33 = - - - - - - - - - - -
screw shaft. For element ffl, the stiffness matrix can be 0 0

k ð f(v)Þ 0
----

derived as equation (8) considering the influence of the nut nut nut P,
K24 = K42 = - - - - - - - - - - -
screw pitch 0 0
" #
K2 K223 In the same way, the total mass matrix of the feed
----

K = - - 22
2
- - - 2- - system is
K232 K33
2 3 2 1 3
------------

--------

--------
--------

1
+
1
1 0  1
+
1
1 0 M11 M112 0 0
6
6
EA0
ð Þ 2p 2 GIr
EA0
ð Þ2p 2 GIr 7
7 6- - 1- - - -1- - - - 2- - - - 2- - - - - 7
6
Ly p Ly Ly p Ly
6M M22 + M22 M23 0 7
GI 7 M = 6- - 21 - 2- - - - - - 2- - - - - 7 ð13Þ
4 0 - - - - -M
6 GIr
6 0 Ly 0  Lyr 7
7 M 0 5
32 33
= 6- - - - -1 - - - - - - - -
6 1
- - - - -1 - - - - - - - - 7
7
- -0 - - - - - -0 - - - - - -0 - - -M-t -
6 EA0 + 2p 12 GIr 0 1
+ 1 0 7 44
EA0
6 Ly ð p Þ Ly ð2pp Þ
2 GIr
 7
4 Ly Ly
5 where
0
GI
 Lyr 0
GIr 
----

Ly m 0
Mt44 = - - - - ð14Þ
ð8Þ 0 0
where G is the shear modulus, p is the screw pitch and
Ir is the polar moment of inertia for beam element. Experimental testing of the feed system
The mass matrices of the equivalent Timoshenko
beam element ffi and ffl vary with the worktable posi-
in static and motion state
tion and are given by equations (9) and (10)25 A gantry-type machine tool with a ball screw feed sys-
21 3 tem was used to do the experimental testing, as shown
0 16 0
--------

" # 3 in Figure 3. The worktable was mounted on the bed

-----

M1 M112 6 0 Ir 0 Ir 7
6 6Ae 7 with a pair of linear guides and driven by a ball screw
M1 = - - 11 ----- = rA y 3Ae
e 6- 1- - - - - 1- - - - 7 ð9Þ
M121 M122 46 0 3 0 5 with a nominal diameter of 40 mm, a pitch of 12 mm
I I and a rated dynamic load Pd of 28.8 kN. The initial pre-
0 6Ar e 0 3Ar e
load of the screw nut joints was set as 0.05Pd according

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874 Proc IMechE Part B: J Engineering Manufacture 229(5)

Table 1. Experimental parameter.

Parameter Value Parameter Value Parameter Value

A0 (m2) 0.93 3 1023 L (m) 1.4 m (kg) 216

Ae (m2) 1.1 3 1023 Pd (kN) 28.8 p (mm) 12
E (N/m2) 2.1 3 1011 Tr (N m) 10 a (°) 60
Fa (kN) 1.8 d0 (mm) 40 ab (°) 30
G (N/m2) 0.8 3 1011 db (mm) 6.35 r (kg/m3) 7.85 3 103
Ir (m4) 1.9 3 1027 i 2.0 f (°) 5.455

Table 2. Output torques of servo motor at different feed rates.

Velocity (m/min) 0.05 0.1 0.2 0.3 0.4 0.5 1 2 3

Mean value (N m) 1.73 1.57 1.48 1.44 1.50 1.55 1.65 1.74 1.81
Velocity (m/min) 4 5 6 7 8 9 10 11
Mean value (N m) 1.93 2.03 2.09 2.16 2.24 2.31 2.36 2.50

Figure 4. The tested system frequency response in static state.

Figure 3. Frequency response testing setup of the ball screw
feed system.
to the production manual. The ball screw support bear-
ing units (model: NSK 30TAC 62B) were used at both
ends of the screw shaft in the form of DT structure. The
linear guides have four ball grooves with a circular arc
profile. The parameters of the experimental setup are
listed in Table 1.
The dynamic characteristics of the feed system at dif-
ferent feed rates were tested using LMS Test.Lab. The
acceleration sensors with three directions (model: PCB
356A16) were set on the four corners of the worktable
and their sensitivities were calibrated around 100 mV/g,
very small difference between each of them. The ham-
mer with a weight of 0.32 kg (model: PCB 086D05) was
exerted on one side of the worktable along positive
Y-direction and its sensitivity is 0.21 mV/N. The fre-
quency bandwidth is 512 Hz and the number of spectral
line is 1024. The acceleration vibration response was
acquired and stored by the data acquisition system
(model: SCM05). For the test in the static state, the nut
was located in the middle of screw shaft and five tests
were performed. In motion state, however, the
worktable was limited to move in the range of y = [0.5
0.9] in order to reduce the influence of the variation in
the tension/compression and torque stiffness. The out-
put torques of servo motor at different feed rates were
measured using the module SigmaWinPlus embedded
in NC, and the data are listed in Table 2. Meanwhile,
the dynamic characteristics of the system were also
tested using the spectral testing module of LMS
Test.Lab at the feed rates ranging from 1 to 11 m/min
with an interval of 1 m/min.
Results and discussion
The system natural frequency in static state
Figure 4 plots the average acceleration vibration
response for the five tests. The mode shape correspond-
ing to the marked natural frequency (103 Hz) in Figure
4 is shown as the translation along the transmission
direction and the natural frequency is determined by
both the mass and the transmission stiffness of the sys-
tem. Therefore, the variation in the system transmission
stiffness directly affects its natural frequency.

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Zhang et al. 875

Figure 5. The friction force testing data and fitting curve of the Figure 6. The variation in the equivalent stiffness of kinematic
feed system. joints with feed rates.

Table 3. Coefficient of the friction model.

Coefficient Fc (N) Fs (N) delt vs (m/min)

Value 658.89 815.75 40.17 0.071

The system natural frequency in uniform speed state

1. Friction force identification of the feed system

The friction force of the feed system is equal to the out-

put driven force of the servo motor when the worktable
moves with a uniform speed. Therefore, it can be
Figure 7. The variation in the frequency with feed rates.
expressed as26
2p
Tr  PT   f(v) = 0 ð15Þ
p feed rate is equal to the pretension force applied on the
rear-end support bearing unit joints.
where Tr and PT are the rated torque of servo motor
and the output percentage of servo motor rated torque; 3. The variation in the system natural frequency with
p is the screw pitch and f(v) is the feed system friction feed rate
force.
The friction forces calculated by equation (15) at dif-
According to the variation in the equivalent axial
ferent feed rates are plotted in Figure 5, and then fitted
stiffness of the kinematic joints with feed rate above,
by the model expressed as equation (3). Table 3 lists the
the system natural frequency can be calculated by equa-
associated coefficients of the model.
tion (1), as shown in Figure 7. The torque ripple har-
monic frequency of the servo motor can be obtained by
2. The variation in the equivalent axial stiffness of the
equation (16)27 at different feed rates, and the results
kinematic joints with feed rate
are also plotted in Figure 7
Based on equations (4)–(6), we can calculate the equiv- Pn  v
alent stiffness of the screw nut joints and bearing joints fT = N P  ð16Þ
60  p
at different feed rates, as shown in Figure 6. It can be
seen that knut(P, f(v)) and k2by(Fas, f(v)) both increase where NP and Pn are the coefficient and pole pair,
with the increase in the feed rate, while k1by(Fas, f(v)) respectively.
decreases with the increase in the feed rate, and it will From Figure 7, it can be seen that the system natural
reduce to 0 when the feed rate of the system reaches frequency increases suddenly from 108 to 117.5 Hz at
64.65 m/min. This is because the friction force at this the beginning of movement due to the sudden change in

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876
Figure 8. The tested system frequency response at different
feed rates.
Table 4. Comparison of the theoretical and experimental
results.
State fthe (Hz) fexp (Hz)
Statics 108 103
Resonance 119 122
the friction force. Then the frequency increases slightly
with the increase in feed rate and reaches the maximum
at the feed rate of 33.50 m/min. After that, the natural
frequency rapidly decreases to the minimum at the feed
rate of 64.65 m/min owing to the decrease in k1by(Fas,
f(v)).
Figure 8 depicts the tested system frequency response
at different feed rates. It can be seen that the vibration
amplitude of the system is relatively small when the feed
rate is less than 10 m/min. A sudden increase of vibra-
tion occurs at the feed rate of 11 m/min, which is also
called resonance. This is because the harmonic fre-
quency of the torque ripple reaches the same value with
the system natural frequency at the feed rate of 10.80
m/min as shown in Figure 7. Table 4 lists the theoretical
results (fthe) and the experimental results (fexp) of the
system natural frequency in static and resonance state,
which indicates an acceptable accuracy of the model
proposed.
Conclusion
In this article, an equivalent dynamic model of a ball
screw feed system was established using hybrid element
method considering the influence of the feed rate. The
variation in the system natural frequency with different
feed rates was analyzed and verified by experiments.
The main conclusions are as follows:
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Proc IMechE Part B: J Engineering Manufacture 229(5)
1. The equivalent axial stiffness of the rear-end sup-
port bearing unit joints would reduce to 0 when
the feed rate of the system reaches 64.65 m/min as
a result that the friction force here is equal to the
pretension force applied on the rear-end support
bearing unit joints.
2. The system natural frequency increases suddenly
from 108 to 117.5 Hz at the beginning of move-
ment. Then the frequency increases slowly with the
increase in feed rate and it reaches the maximum
at the feed rate of 33.50 m/min. Once the equiva-
lent axial stiffness of the rear-end support bearing
unit joints is 0, the system natural frequency would
reach the minimum.
3. Resonance may occur when the system natural fre-
quency is equal to the torque ripple harmonic fre-
quency of the servo motor at the feed rate of 10.80
m/min, which will further affect the system motion
accuracy.
4. The dynamics variation in the feed system with
feed rate can provide guidance for the design of
the kinematic joints and the feed rate selection of
Error (%)
the system.
4.85
22.46
Declaration of conflicting interests
The authors declare that there is no conflict of interest.
Funding
This work was financially supported by the key project of
National Natural Science Foundation of China (Grant
No. 51235009) and National Science and Technology
Major Project of the Ministry of Science and Technology
of China (Grant No. 2011ZX04016-031).
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