Original Article

Proc IMechE Part J:

J Engineering Tribology
An improved thermo-mechanical model 0(0) 1–14
! IMechE 2019

for spindle transient preload analysis Article reuse guidelines:

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DOI: 10.1177/1350650119841761
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Jiandong Li, Yongsheng Zhu , Ke Yan , Jun Hong and

Xiaoyun Yan

Abstract
Preload has a significant effect on the precision of machine tool spindle, and it changes transiently in different operating
conditions. In this paper, the transient feature of spindle preload under multi-factor coupled effect was discussed the-
oretically and experimentally. By adopting the transient network method and the time-discrete approach, the integrated
thermo-mechanical model of a spindle was established. The axial and radial deformations of spindle system, induced by
centrifugal force, thermal, and assembly stresses, were all discussed. The effects of the various factors on the transient
preload were analyzed, and results show that speed and temperature contribute the most to the transient preload,
followed by the bearing deflection. Finally, experimental results indicate the correctness of the improved model.

Keywords
Spindle transient preload, integrated thermo-mechanical model, machine tool spindle, components deformation

Date received: 19 June 2018; accepted: 11 March 2019

Tu, the thermally induced load can be predicted.14

Introduction
Preload plays a key role in the application of precision
machine tool spindle.1,2 A proper preload helps to
reduce bearing vibration, heat build-up, and noise
so as to increase the stiffness, accuracy, and lifetime
of machine tool spindle.3,4 Many research contribu-
tions for spindle preload were focused on the steady-
state preload analysis. Jiang and Mao5 proposed a
method for determining preload based on the service
life of bearings at a low-speed range and the tempera-
ture rise of bearings at a high-speed range. Similarly,
the work by Hagiu6 suggested the optimum preload
according to the relationship of bearing preload and
spindle reliability. Besides, based on the analysis of the
relationship between spindle load and displacement,
the steady-state preload of the spindle can be mea-
sured.7 However, for a certain structured spindle, its
preload changes transiently due to the complex and
diverse operating conditions.4,8 That is, once the oper-
ating condition changes, spindle preload will be
affected by load, temperature, and speed, thus spindle
performance greatly reduced.4,9 Therefore, it is neces-
sary to carry out the research on the transient behavior
of spindle preload, especially for the precision spindle.
For spindle transient preload analysis, Tu and cow-
orkers10–13 found that thermally induced load affects
spindle preload and conducted an extensive investiga-
tion of the thermally induced load. Based on the
transient thermal analysis model first proposed by
In addition to the thermally induced load, the centri-
fugal force-induced load was also found to affect the
spindle preload by Yan et al.15 Similarly, Cao16 stu-
died the effect of centrifugal force-induced load on the
spindle preload. From the above analysis, either the
thermally induced load or the centrifugal force-
induced load was individually discussed. Actually,
both thermally induced load and centrifugal force-
induced load will affect the spindle preload by chan-
ging the deformation of spindle components.8,17
Furthermore, the centrifugal force-induced load can
affect the thermally induced load by changing the tem-
perature distribution of the spindle.11,15 The thermally
induced load also in turn affects the centrifugal force-
induced load by changing the component deform-
ation.18 That is, the relationship between thermally
induced load and centrifugal force-induced load is
coupled. Thus, in the analysis of spindle transient pre-
load, the influence of multi-factor such as thermally
induced load and centrifugal force-induced load
should be taken into consideration at the same time.
Key Laboratory of Education Ministry for Modern Design and Rotor-
Bearing System, Xi’an Jiaotong University, Xi’an, China
Corresponding author:
Yongsheng Zhu, No. 28 Xianning West Road, Xi’an, Shannxi 710049,
China.
Email: yszhu@mail.xjtu.edu.cn
2 Proc IMechE Part J: J Engineering Tribology 0(0)
In order to prove this, Kim19 used the finite elem-
ent method to study the radial deformation of bearing
under the influence of different speed and tempera-
ture. Similarly, the radial deformation caused by ther-
mal extension and the centrifugal effect was discussed
by Yan et al.15 But it is worth noting that the axial
deformation of the component caused by the stress
(thermal, centrifugal, and assembly stresses) is one
of the factors that directly affect the preload,20
which has been ignored in all of the above studies.
Besides, during the thermo-mechanical coupling ana-
lysis, bearing deformation was almost ignored, which
will cause a large calculation tolerance.15 In addition
to this, an integrated thermo-mechanical model is an
option for analyzing the coupled relationship between
the speed, load, and temperature, but it is very hard to
avoid the non-convergence problem in the calculation
process by adopting the Newton–Raphson iteration
method. Above all, spindle transient preload analysis
under coupled multi-factor is crucial but absent.
Aiming to precisely investigate the transient behav-
ior of spindle preload, this paper proposed an
improved thermo-mechanical model considering the
component deformations caused by multi-factors in
spindle real operating conditions. The axial and
radial deformations of spindle system, induced by
centrifugal force, thermal and assembly stresses,
were all discussed. Meantime, bearing internal load
distribution under the influence of speed and tempera-
ture was also analyzed. In order to avoid the non-
convergence problem in the calculation process, the
time-discrete method was introduced into the transi-
ent preload analysis. Finally, the effects of the various
factors on the transient preload were revealed by
adopting the transient network method. For valid-
ation purpose, the dedicated spindle preload test rig
equipped with special pressure sensor was built up.
The spindle transient preload behavior was monitored
and compared with the simulation results.
Spindle component deformation
During the operation of the spindle, the influence of
the spindle component deformation on the spindle
Figure 1. Spindle structure and main components.
performance cannot be neglected. For a rotating
spindle, the centrifugal force, thermal and assembly
stresses will cause the deformation of the spindle com-
ponent. What’s more, the component deformation
will occur in both axial and radial directions.
Especially, the spacer axial deformation has a direct
effect on the spindle preload behavior. The spindle
structure and main components are shown in
Figure 1.
Spacer and bearing ring
The deformation of spindle components, such as
spacers, bearing ring, shaft, cooling jacket and other
hollow cylindrical components, can be treated as the
axisymmetric and thermoelastic problem based on the
thermal stress theory.21,22 As shown in Figure 2, it is
assumed that radial displacement u and temperature
difference t are only a function of r, and the axial
displacement w is only a function of z.
Under static equilibrium conditions, the radial
resultant force acting on the area element rdr d’
in Figure 2 is zero. At the same time, since the tem-
perature difference t is only a function of r and
is irrelevant to the axial coordinate, the shear stress
is zero. Therefore, the equilibrium equation is as
follows
( @
r
@r þ r  2
r þ ! r ¼ 0

@z
ð1Þ
@z ¼0
where  indicates material density and ! means angu-
lar velocity.
According to the generalized Hooke’s law of cylin-
drical coordinate system, the strain is expressed as a
function of stress and temperature difference
8
>
> r ¼ ð12EÞð1þÞ ½ð1  Þ"r þ ð" þ "z Þ  12
Et
<
 ¼ ð12EÞð1þÞ ½ð1  Þ" þ ð"z þ "r Þ  12
Et
>
>
: ¼ E Et
z ð12Þð1þÞ ½ð1  Þ"z þ ð"r þ " Þ  12
ð2Þ
Li et al. 3

Figure 2. The load applied to microelement in the hollow cylinder.

where the subscripts r, , and z represent polar radius, 3  2 E C2 E

polar angle, and axial displacement, respectively; E  !2 r2  þ t
8ð1  Þ 1 þ  r2 1  2
means Young’s modulus of material,  indicates
Poisson’s ratio of the material,  is linear expansion E dw Et
þ  ð7Þ
coefficient, and t denotes temperature difference. ð1  2Þð1 þ Þ dz 1  2
The stress–strain equations are
8 At the boundaries, the pressure applied to the
@u internal and external surfaces is directly equal to
< "r ¼ @r
>
" ¼ ur ð3Þ the radial stress in a compressive manner
>
: (i.e., r ¼ ri , ri ¼ pi ; r ¼ ro , ro ¼ po ). So substitut-
"z ¼ @w
@z ing the boundary conditions into the equation
(7) yield
substituting equation (3) into equation (2) yields
8    8
> r ¼ ð12EÞð1þÞ ð1  Þ @u þ  ur þ @w Et
 12 > E 3  2 E C2
>
< @r @z >
> pi ¼ C1  !2 r2i 
   >
> ð 1  2Þ ð 1 þ  Þ 8 ð 1   Þ 1 þ  r2i
 ¼ ð12EÞð1þÞ ð1  Þ ur þ  @w @u Et >
>
@z þ @r  12 >
>
>
>     >
> E E dw Et
: ¼ E @w @u u Et >
> þ t þ 
z ð12Þð1þÞ ð1  Þ @z þ  @r þ r  12 >
>
> 1  2 ð 1  2 Þ ð 1 þ  Þ dz 1  2
>
> Z ro
ð4Þ < E E
po ¼  trdr þ C1
>
> ð1  Þr2o ri ð1  2Þð1 þ Þ
Substituting equation (4) into the first equation in >
>
>
>
equation (1) gives >
> 3  2 E C2 E
>
>  !2 r2o þ t
>
> 8 ð1   Þ 1 þ  r 2 1  2
>
> o
>
>
d2 u 1 du u 1 þ  dt ð1  2Þð1 þ Þ 2 >
> E dw Et
þ  ¼   ! r : þ 
dr2 r dr r2 1   dr Eð1  Þ ð1  2Þð1 þ Þ dz 1  2
ð5Þ ð8Þ
Equation (6) can be obtained by integrating
equation (5) twice Next, C1 and C2 will be calculated. For the con-
Z venience of expression, the auxiliary variables mi and
r
1 þ  ð1  2Þð1 þ Þ 2 3 C2 mo are used to replace the variables in the equation (8)
u¼ trdr þ C1 r  ! r þ
1r ri 8Eð1  Þ r that are not related to C1 and C2. The expression is as
ð6Þ follows

where u denotes radial displacement, ri means the 8

> E E C2
cylinder inside radius, and r indicates cylinder radius. >
< pi ¼ mi þ ð1  2Þð1 þ Þ C1  1 þ  r2
Substituting equation (6) into the first equation in i

equation (4) yields >

> E E C2
: po ¼ mo þ C1 
ð1  2Þð1 þ Þ 1 þ  r2o
Z r
E E ð9Þ
r ¼  trdr þ C1
ð1  Þr2 ri ð1  2Þð1 þ Þ
4 Proc IMechE Part J: J Engineering Tribology 0(0)

where As the hollow cylinder may withstand the axial

8 load, so
>
> 3  2 E Z
>
> mi ¼  !2 r2i þ t ro
>
> 8ð1  Þ 1  2
>
> z ð2rÞdr ¼ F ð16Þ
>
> E dw Et ri
>
> þ 
< ð1  2Þð1 þ Þ dz 1  2
Z ro where F denotes the axial load applied to the hollow
>
> E 3  2
>
> mo ¼  trdr  !2 r2o cylinder.
>
> ð 1   Þr 2 8 ð1  Þ
>
> o ri Third, substituting equation (15) into equation (16)
>
> E Et E dw
>
> gives
: þ t  þ
1  2 1  2 ð1  2Þð1 þ Þ dz
Z ro
ð10Þ dw F 2
¼  2  þ   trdr
dz E ro  r2i r2o  r2i ri
Therefore,   ð17Þ
2 pi r2i þ po r2o !2  2 
8   þ    r þ r2i
E r2o  r2i 2E o
>
> C1 ¼ ð12
 Þð1þ  Þ  p2i þ p2o  m2i þ m2o
>
> r r r r
< E 12  12
r r
o i o i
o i
ð11Þ Finally, the axial displacement w can be gained
>
> C2 ¼ ð1þÞðpo þpi þm
 i mo Þ
>
> Z Z
: E 12  12 w z
r ro dw dw
i
w¼ dw ¼ dz ¼ z ð18Þ
0 0 dz dz
Based on the analytical solution of cylinder ther-
mal conduction temperature field,23 equation (12) can where z means the axial length of the hollow cylinder.
be obtained

lnðr=ri Þ
Bearing balls
t ¼ ti þ ðto  ti Þ ð12Þ
lnðro =ri Þ Under the influence of the centrifugal force, thermal
and assembly stresses, the bearing ball begins to
And therefore deform, which will change the bearing inner load dis-
Z tribution and ball-raceway contact angle. It is
r
ti  2  to  ti ln ri  2  assumed that the bearing ball temperature field
trdr ¼ r  r2i  r  r2i
ri 2 lnðro =ri Þ 2 is symmetrical to the center of the ball. The load
 applied to microelement in the sphere is shown
to  ti r2 r2 r2 r2
þ ln r   i ln ri þ i in Figure 3. Due to the symmetry, the radial and tan-
lnðro =ri Þ 2 4 2 4
gential normal stresses on the microelement are
ð13Þ not equal to zero, while the shear stresses are equal
to zero. The equilibrium equation for the microele-
The axial displacement w can be solved according ment gives,
to the following steps
First, substituting equation (6) into the third equa- dr 2ðr   Þ
þ þ !2 r ¼ 0 ð19Þ
tion in equation (4) gives dr r

2EC1 Et
z ¼ 
ð1  2Þð1 þ Þ 1   The strain is expressed as a function of stress and
ð14Þ temperature difference
Eð1  Þ dw !2 r2
þ 
ð1  2Þð1 þ Þ dz 2ð1  Þ 8
> E
>
< r ¼ ð1 þ Þð1  2Þ ½ð1  Þ"r þ 2"  ð1 þ Þt
Second, substituting equation (10) into the first
equation in equation (11) yields the complete expres- >
> E
:  ¼ ½" þ "r  ð1 þ Þt
sion of C1. And then equation (15) can be obtained by ð1 þ Þð1  2Þ
substituting C1 into equation (14) ð20Þ
Z
ro
dw 2E The stress–strain equations are
z ¼ E þ 2
trdr
dz ð1  Þðr2o  ri Þ ri 8
> du
ð3  2Þ 2  2  !2 r2 < "r ¼
þ ! ro þ r2i  dr ð21Þ
4ð1  Þ 2 ð 1  Þ
: " ¼ u
>
2  2 2
 Et r
 2 pi ri þ po ro  ð15Þ
ro  r2i 1
Li et al. 5

Figure 3. The load applied to microelement in the sphere.

Substituting equation (21) into equation (20) ri ¼ pi ; r ¼ ro , ro ¼ po ), and therefore,
gives 8

>
> 12 ð3Þðr5o r5i Þ 2
8
 >
> C1 ¼ 10ð1Þ !
>
> E ðr 3 r3
o i Þ
>
> E du u >
> 
>
< r ¼ ð1  Þ þ 2  ð1 þ Þt >
> R
ð1 þ Þð1  2Þ dr r >
> þ 2E ro 2
tr dr  p r 3
þ p r 3

 >
< 1 ri o o i i
>
> E u du
>
:  ¼ þ   ð1 þ Þt h  
ð1 þ Þð1  2Þ r dr >
> C2 ¼ 1þ pi þ po  10ð1Þ 3
!2 r2o  r2i
>
>
ð22Þ >
> 2E 13  13
>
>
>
>
ro r
i
>
> R i
Substituting equation (22) into equation (19) >
: 2E  ro 2
1 r3 ri
tr dr
o
yields
ð26Þ

d2 u 2 du u
þ 2 2 As the bearing balls are usually solid balls, so the
dr2 r dr r ð23Þ following calculations are treated as the solid ball
1 þ  dt ð1 þ Þð1  2Þ 2 problem.
¼   ! r
1   dr Eð1  Þ According to the analytical solution of ball shell
thermal conduction temperature field23, equation
equation (24) can be gained by integrating equation (27) can be obtained,
(23) twice,
1=r  1=ri
Z r t ¼ ti þ ðto  ti Þ ð27Þ
1þ ð1 þ Þð1  2Þ 2 3 1=ro  1=ri
u¼ tr2 dr  ! r
1   r2 ri 10Eð1  Þ
C2 Therefore,
þ C1 r þ 2
r Z r 
2 1 ðto  ti Þro  3 
ð24Þ tr dr ¼ ti  r  r3i
ri 3 ri  ro
Substituting equation (24) into the first equation in ð28Þ
1 ðto  ti Þri ro  2 
equation (22) gives þ r  r2i
2 ri  ro

Z For solid balls, since ri ¼ 0 and pi ¼ 0, the fol-

2E  r 2 3 lowing equations can be gained
r ¼  tr dr  !2 r2
1   r3 ri 10ð1  Þ
ð25Þ Z r
EC1 2EC2 1 t o r3
þ  tr2 dr¼ ð29Þ
1  2 1 þ  r3 0 3
( h i
ð3Þ
C1 ¼ 12
E
2 2
10ð1Þ ! ro þ 32Et
ð1Þ  po
o

At the boundaries, the pressure applied to the ð30Þ

internal and external surfaces is directly equal to the C2 ¼ 0
radial stress in a compressive manner (i.e., r ¼ ri ,
6 Proc IMechE Part J: J Engineering Tribology 0(0)

Therefore, the bearing solid ball deformation,

under the influence of the centrifugal force, thermal
and assembly stresses, can be gained

ð1 þ Þto r ð1 þ Þð1  2Þ 2 3

u¼  ! r þ C1 r
3ð1  Þ 10Eð1  Þ
ð31Þ

Bearing load distribution

For a rotating spindle bearing, the high centrifugal
force, huge thermal and assembly stresses substan-
tially modify bearing component dimensions, which
accounts for the variation of bearing ball-raceway
contact state and load distribution (illustrated in
Figure 4). So it is necessary to analyze the variation
of bearing load distribution. As the preload is essen-
tially the external axial load applied to bearings, the Figure 4. Dynamic state of the bearing under the rotating
conditions.
study of bearing preload should be more focused on
the impact of axial external loads. Therefore, the
operating conditions discussed in this section are in
case of a purely axial load.
As the bearing dimensional parameters changes,
the bearing inner load distribution should be recalcu-
lated. The bearing inner load distribution18 is shown
in Figure 5. The calculation of ball-raceway contact
deformations is on the basis of Hertzian contact
model,20 and deformation laws are given by the fol-
lowing nonlinear contact laws.24

2 3 3
 2=  2= 2
1 3 1 3
Kf ¼ 4 þ 5 ð32Þ
ko ki

where Kf means the normal deflection constant; ko

and ki indicate the load-deflection constant at contact
points A and B, respectively. The values of the load-
deflection constants are obtained as follows.
 0:345
2i Figure 5. Bearing inner load distribution.
ki ¼ 0:5973 0:5
2i Ei

ð33Þ
1i
 0:345 for both contacts by equations (39) and (40). E
2o
ko ¼ 0:5973 0:5
2o Eo

ð34Þ denotes Young’s modulus of elasticity and  is the
1o
Poisson’s ratio. The subscripts ir, or, and b, respect-
ively, concern inner ring, outer ring, and ball materials.
1 and 2 are the principal curvatures and can be
calculated for the inner or outer contacts by formulas 2 1
1i ¼  ð35Þ
(35) and (37) or by formulas (36)and (38), respect- db þ
db Ri þ
Ri
ively. db denotes the ball diameter, dm means the bear-
ing pitch diameter, Ri and Ro indicate the raceway 2 2 cos 0i
2i ¼ þ
groove curvature radius, the prefix
indicates the db þ
db ðdm þ
dm Þ  ðdb þ
db Þ cos 0i
dimensional variation under the influence of centrifu- ð36Þ
gal force, thermal and assembly stresses, 0i is the
ball-inner raceway operating contact angle, 0o is the 2 1
ball-outer raceway operating contact angle, Ei and Eo 1o ¼  ð37Þ
db þ
db Ro þ
Ro
are called equivalent Young’s moduli and are defined
Li et al. 7

2 2 cos 0o dm þ
dm

2o ¼  Fc ¼ mb !2c ð44Þ
db þ
db ðdm þ
dm Þ þ ðdb þ
db Þ cos 0o 2
ð38Þ 1 1 7 ZFc
 0
 0 ¼ ð45Þ
tan o tan i 5 Fp
1 1 1  2b 1  2ir
¼ þ ð39Þ
Ei 2 Eb Eir ðao þ o Þ cos 0o þ ðai þ i Þ cos 0i ¼ ðao þ ai Þ cos p
 ð46Þ
1 1 1  2b 1  2or
¼ þ ð40Þ
Eo 2 Eb Eor
Q0i ¼ ki 1:5
i ð47Þ

The static contact angle f can be calculated based Q0o ¼ ko 1:5

o ð48Þ
on the formulas (41) and (42). Fp means the bearing
preload, Z denotes the number of balls, and p indi-
cates the initial contact angle. Spindle transient preload behavior
Fp The integrated thermo-mechanical model
¼ ð41Þ
ZKf 1:5
p Due to the coupled relationship between preload,
cos f speed, and temperature, the integrated thermos-
cos p mechanical model needs to be established in order
¼  h
 0:1174 i2 1=3
1 þ 2=3 1  cos2 p 1 þ 0:80370:5388 sin p
ð42Þ
When the bearing rotates, the balls will be sub-
jected to the centrifugal force and gyroscopic
moment. Based on explicit angle calculation method
in angular contact ball bearing,24 the ball-inner race-
way and ball-outer raceway contact angles can be
calculated. The centrifugal force is defined by equa-
tions (43) and (44). The system of equations (45) and
(46) is finally used to solve the dynamic angle prob-
lem. The solving method for equations (45) and (46)
has been proposed by Antoine et al.24 The normal
forces Q0i and Q0o can be gained by the formulas (47)
and (48). The bearing load distribution and the rela-
tionship between bearing load and deflection under
operating conditions can be obtained accordingly.
d þ
d 0 tion mainly consists of several modules: model of
!c 1  dmb þ
dbm cos i
¼  0  ð43Þ
! 1 þ cos i  0o
Figure 6. Flowchart of the transient preload behavior analysis.
to analyze the spindle transient preload based on the
thermal network method. Moreover, the time-discrete
method is introduced into the transient preload ana-
lysis in order to solve the non-convergence problem in
the calculation process.
The transient preload behavior can be analyzed by
the following steps (illustrated in Figure 6). First, the
continuous time is discretized into a sequence of short
time series according to a certain iteration step. Since
the iteration step size is small enough and the tem-
perature changes slowly over time, it can be assumed
that the boundary conditions are constant during
each iteration process, and the calculation result of
the previous iteration is used as the initial condition
for the next iteration calculation. Therefore, based on
the time-discrete method, the transient analysis pro-
cess is transformed into the combination of multiple
steady-state analysis processes without affecting the
calculation accuracy. Second, each iteration calcula-
power loss, model of heat transfer, temperature field
calculation, component deformation calculation, and
8 Proc IMechE Part J: J Engineering Tribology 0(0)

bearing load distribution calculation. The main heat
source in the mechanical spindle is derived from fric-
tion within the bearings, and the bearing heat gener-
ation is mainly affected by the spindle speed, the
external load, the lubricant viscosity, and bearing
dimensional parameters.14 Moreover, there are two
types of heat transfer during the spindle operating:
heat conduction and heat convection. The heat trans-
fer coefficients are determined by the spindle speed,
the components temperatures, and the dimensional
parameters.11,23 The thermal balance equations are
then established in order to calculate the component
temperature field. Afterward, the component axial
and radial deformations under the influence of the
speed, external load, and temperature are calculated.
The bearing load distribution is recalculated on the
basis of the updated operating conditions, and then
the transient preload for this iteration process can be
determined. Third, the boundary conditions of the
next iteration should be updated based on the result
of the previous iteration. Finally, the spindle transient
preload curve can be gained, which will be used to
study the variation mechanism of spindle transient
preload in the following.
self-temperature-compensated strain gages, which
form a full Wheatstone bridge. Furthermore, the
experimental spindle bearings were back-to-back
mounted (illustrated in Figure 8), so the preload
sensor should be mounted against the spindle outer
spacer in order to perceive changes in preload. The
spindle preload can be adjusted by controlling the
width difference between the inner and outer spacers.
The spindle speed was measured by the photoelectric
tachometric transducer, and the temperatures of spin-
dle components were measured by the thermocouple
transducer.
Result and discussion
The integrated thermo-mechanical model
verification
In order to verify the above integrated thermo-
mechanical model, the spindle transient preloads at
different speeds were measured by the dedicated test
rig (illustrated in Figure 7). The comparisons of
experimental results with simulation results are

Experimental testing of spindle transient preload

In order to verify the above calculation, the spindle
transient preload test rig was built up. The structure
diagram of the test rig and the experimental spindle
are shown in Figures 7 and 8, respectively. The experi-
mental spindle was a motor-driven mechanical spindle
equipped with a special pressure sensor. Since the
preload essentially means a permanent thrust
load applied to the bearing to eliminate the axial
clearance, the special pressure sensor can accurately
measure and display the value of the experimental
spindle preload. The pressure transducer consists of Figure 8. The structure diagram of the experimental spindle.

Figure 7. Experimental testing of the spindle transient preload.

Li et al.
Figure 9. Comparison of transient preload and experimental
data.
Figure 10. Comparison of bearing outer ring temperature
and experimental data.
Table 1. The structural parameters of experimental bearing (7014C).
Parameters
Number of balls
Ball diameter
Bearing pitch diameter
Table 2. The material parameters of experimental spindle.
Parameters
Destiny of steel
The specific heat capacity of steel
Thermal conductivity of steel
Thermal conductivity of air (20  C)
Thermal conductivity of air (30  C)
Thermal conductivity of air (40  )
Grease viscosity (40  C)
9
shown in Figures 9 and 10. The structural parameters
of experimental bearing and the material parameters
of the experimental spindle are shown in Tables 1
and 2, respectively.
As shown in Figures 9 and 10, the trend of the
experimental result is in agreement with that of the
simulation result, which indicates the correctness of
the above theoretical model. However, there is an
inconsistency between the simulation results and the
experimental results. There are three main reasons for
the error. First, the experimental data after filtering
are distorted, and the filtering algorithm can be
further improved to reduce the error. Second, the
bearing heat generation and heat transfer coefficients
are calculated based on the empirical formula, but the
empirical formula is usually obtained by fitting, which
is not precise enough. Finally, the spindle material
parameters used in the calculation model may be dif-
ferent from the actual parameters of the experimental
spindle. In particular, the physical parameters of the
dry air are obtained by the interpolation algorithm,
which results in a certain calculation error.
The variation mechanism of spindle transient
preload
As shown in Figure 11, the variation of spindle tran-
sient preload can be divided into four stages: initial
preload, preload after mounted, preload when the
spindle speed changes, and final preload when the
spindle reaches an equilibrium state.
Essentially, the preload is the axial load acting on
the bearing, so the preload can be obtained by calcu-
lating the bearing load distribution. Generally, bear-
ing deflection, bearing material and dimensional
parameters directly affect the value of the spindle
Values Parameters Values
20 Inner raceway groove curvature radius 6.19112 mm
11.906 mm Outer raceway groove curvature radius 6.19112 mm
90 mm Initial contact angle of bearing 15
Values Parameters Values
7800 kg/m3 Kinematic viscosity of air (20  C) 15.06  106 m2/s
460 J/(kgK) Kinematic viscosity of air (30  C) 16  106 m2/s
49.8 W/(mK) Kinematic viscosity of air (40  C) 16.96  106 m2/s
0.0259 W/(mK) Young’s modulus of steel 2.06  105 Mpa
0.0267 W/(mK) Poisson’s ratio of steel 0.3
0.0276 W/(mK) Linear expansion coefficient of steel 11.7  106 mm/mm/ C
20 Cst Gravitational acceleration 9.8 m/s2
10 Proc IMechE Part J: J Engineering Tribology 0(0)

Figure 11. The variation mechanism of spindle transient preload.

preload. Meantime, the centrifugal force, thermal and

assembly stresses also affect the spindle preload
through changing the values of the bearing deflection
and bearing parameters. Furthermore, the spindle
speed also has a direct impact on the preload by chan-
ging the bearing load distribution. In the spindle
assembly stage, the influence of the assembly stress
on the preload will be dominant. Once the spindle
speed changes, the centrifugal force becomes the pri-
mary factor affecting the spindle preload at this time
since the spindle temperature field has not changed in
a few seconds. Afterward, the spindle temperature
field eventually tends to be in thermal equilibrium
under the influence of the centrifugal force, thermal
and assembly stresses. Finally, the spindle preload will
gradually become constant.

Axial and radial deformations

In order to understand the coupled effects of the cen-
trifugal force, thermal and assembly stresses on spin-
dle component deformations, the bearing inner ring
and ball deformations were calculated at different
operating conditions. The axial and radial deform-
ations of the inner ring under the coupled effects of
the three stresses are shown in Figures 12 and 13.
Meantime, the coupled effect of the three stresses on
the bearing ball deformation is shown in Figure 14.
From Figure 12, the influence of assembly stress on Figure 12. The coupled effect of the assembly stress and
bearing radial deformation is far greater than its effect speed on the inner ring deformation.
on bearing axial deformation, which is determined by
the Poisson’s ratio of the bearing material. The assem- condition, it directly affects the spindle preload, and
bly stress here means the stress caused by the interfer- the small axial deformation will cause great preload
ence fit between the shaft and the bearing inner ring. variation (see Figure 16). Furthermore, centrifugal
Although the axial deformation is smaller than the force at high speed has a greater effect on deformation
radial deformation under the same operating than at low speed. The bearing inner ring extends in
Li et al.
Figure 13. The coupled effect of the thermal stress and
speed on the inner ring deformation.
Figure 14. The coupled effect of the thermal stress and speed on the bearing ball deformation.
11
the radial direction and compresses in the axial direc-
tion under the impact of centrifugal force, which is
consistent with the effect of assembly stress.
However, under the influence of thermal stress in
Figure 13, the bearing inner ring will expand axially
and radially at the same time. Therefore, the total
deformation of bearing inner ring, especially the
axial deformation, depends on the proportion of
each stress effect on the deformation.
From Figure 14, compared to the centrifugal force,
thermal stress contributes more to the total deform-
ation of bearing ball. That’s because the ball size is
very small compared to the other parts of bearing, the
centrifugal effect on the ball is not obvious based on
equation (19). Therefore, the thermal extension is the
major factor for bearing ball deformation.
Bearing deflection variation
During the continuous operating, the spindle tem-
perature field and other boundary conditions change
over time, which will cause the deformation of the
spindle components. The bearing deflection, as one
of the main factors affecting the spindle transient pre-
load, changes with the variation of inner/outer spacer
width difference. The variation of bearing deflection
for continuous operation is shown in Figure 15. It can
be derived that, at relatively higher rotation speed, the
bearing deflection variation is more obvious due to
the greater speed and temperature rise. In the initial
stage of continuous operation, centrifugal force effect
contributes the most to the bearing deflection vari-
ation, because the spindle temperature field has not
changed in a few seconds. Afterward, the thermal
12
Figure 15. The variation of bearing deflection for continuous
operation.
Figure 16. The effect of bearing deflection on the preload
(bearing 7014C).
stress effect becomes the major factor for bearing
deflection variation with the spindle temperature
increasing (illustrated in Figure 10).
Factors affecting preload
In order to study the influence of single factor such as
bearing deflection and spindle speed on the spindle
preload, according to the calculation method of bear-
ing load distribution introduced in section ‘‘Bearing
load distribution,’’ the effects of bearing deflection
and spindle speed on the spindle preload are simu-
lated, and the results are shown in Figures 16 and 17.
From Figure 16, the relationship between bearing
deflection and preload is non-linear. In the case of
larger bearing deflection, the small axial deformation
will cause great preload variation. For different spin-
dle speed in Figure 17, the centrifugal force has a
direct effect on the preload by redistributing the
Proc IMechE Part J: J Engineering Tribology 0(0)
Figure 17. Preload variation caused by centrifugal force on
balls.
Figure 18. The effects of the various factors on the transient
preload (4200 r/min).
bearing inner load. What’s more, the higher the
speed is, the more obvious the centrifugal effect on
the preload becomes.
According to the section ‘‘The variation mechan-
ism of spindle transient preload,’’ the factors that dir-
ectly affect the spindle transient preload are as
follows: bearing deflection, spindle speed, bearing
dimensional and material parameters, and the influ-
ence of various factors on the spindle transient pre-
load is coupled. In order to further analyze the
influence of each factor on the spindle transient
preload during the coupling process, the simulation
calculation is executed based on the integrated
thermo-mechanical model proposed in section ‘‘The
integrated thermo-mechanical model,’’ and the results
are shown in Figure 18.
As shown in Figure 18, the speed and temperature
contribute the most to the transient preload, followed
by the bearing deflection. According to the result
calculated without the effect of bearing deflection
variation, it can be derived that the centrifugal effect
Li et al.
is the major factor for preload variation in the initial
stage of continuous operation. Similarly, for the
middle and later stages of continuous operation, the
thermal effect plays the most important role in pre-
load variation based on the result calculated without
the effect of centrifugal force. Furthermore, the effect
of the bearing dimensional variation on the transient
preload cannot be ignored.
Conclusion
In this paper, the spindle transient preload behavior
was studied based on the integrated thermo-mechan-
ical model. The axial and radial deformations of spin-
dle components were studied. Based on experimental
verification, the integrated thermo-mechanical model
was proved to be correct and effective. And the
effects of the various factors on the transient preload
were analyzed. The conclusions of the article are as
follows:
(1) The axial and radial deformations of spindle
system, induced by centrifugal force, thermal and
assembly stresses, were discussed. The axial
deformation of spindle component has a decisive
influence on spindle preload, which is an indis-
pensable factor in the study of preload.
(2) The time-discrete method was adopted into the
transient preload analysis, which successfully
solves the non-convergence problem in the calcu-
lation process. Meantime, this method is proved to
be feasible and correct by comparing the experi-
mental results with the simulation results.
(3) The centrifugal effect is the major factor for preload
variation in the initial stage of continuous operation.
Similarly, for the middle and later stages of continu-
ous operation, the thermal effect plays the most
important role in preload variation. Furthermore,
the effect of the bearing dimensional variation on
the transient preload cannot be ignored.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with
respect to the research, authorship, and/or publication of
this article.
Funding
The author(s) disclosed receipt of the following financial
support for the research, authorship, and/or publication
of this article: The research work was financially supported
by the National Natural Science Foundation of China
(Grant No.51675410), the National Science and
Technology Major Project of the Ministry of Science and
Technology of China (Grant No.2017ZX04013001).
ORCID iD
Yongsheng Zhu http://orcid.org/0000-0002-9256-2427
Ke Yan http://orcid.org/0000-0002-5264-9587
13
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0i ball-inner raceway operating contact
Appendix angle
0o ball-outer raceway operating contact
Notation angle
a distance between a groove curvature p initial contact angle
center and the ball center ball-race deformation
db ball diameter " strain
dm bearing pitch diameter  polar angle
E Young’s modulus of material l Poisson’s ratio of the material
E* equivalent Young’s modulus  material density
F axial load 1 principal curvature in lateral
Fc centrifugal force direction
Kf normal deflection constant 2 principal curvature in rolling
ko load-deflection constant at contact direction
point B  stress
ki load-deflection constant at contact x angular velocity
xc cage rotational speed
point A
Pi pressure applied to the internal
surface
Po pressure applied to the external
Subscripts
surface b ball
Q0i normal contact load between ball ir inner ring motion or material
and inner raceway or outer ring motion or material
Q0o normal contact load between ball r polar radius
and outer raceway z axial displacement