Cambridge University Press

978-0-521-85016-2 - Dynamics of Rotating Machines

Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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DYNAMICS OF ROTATING MACHINES

This book equips the reader to understand every important aspect of the dynamics of rotating machines.
Will the vibration be large? What influences machine stability? How can the vibration be reduced? Which
sorts of rotor vibration are the worst? The book develops this understanding initially using extremely sim-
ple models for each phenomenon, in which (at most) four equations capture the behavior. More detailed
models are then developed based on finite element (FE) analysis, to enable the accurate simulation of
the relevant phenomena for real machines. Analysis software compatible with MATLAB R
is available
for download from the book’s Web site, www.cambridge.org/friswell, and novices to rotordynamics can
expect to make good predictions of critical speeds and rotating mode shapes within days. The book is
structured more for self-study than as a reference handbook and, as such, provides readers with more
than 100 worked examples and more than 100 problems and solutions.

Professor Michael I. Friswell joined Aston University as a Lecturer in 1987, after five years with the
Admiralty Research Establishment in Portland. He moved to Swansea in 1993 and was promoted to a
personal chair in 2000. Between 2002 and 2008, he was the Sir George White Professor of Aerospace
Engineering at Bristol University before returning to Swansea in 2009 as Professor of Aerospace Struc-
tures. He received an EPSRC Advanced Research Fellowship (1996–2001), a Royal Society–Wolfson
Research Merit Award (2002–2007), and an EC Marie Curie Excellence Grant (2005–2008). Professor
Friswell has a wide range of research interests, primarily involving rotordynamics and structural dynam-
ics, including inverse methods, condition monitoring, damping, nonlinear dynamics, and model-reduction
methods. Professor Friswell’s recent associate editorships include the Journal of Intelligent Material Sys-
tems and Structures, Structural Health Monitoring, and the Journal of Vibration and Acoustics. He is a
Fellow of the Institute of Mathematics and Its Applications and the Institute of Physics and a Member
of the American Society of Mechanical Engineers.

Professor John E. T. Penny served an apprenticeship with the English Electric Co. and worked for that
company as a development engineer for three years. He then joined the staff at Aston University, initially
as a Research Fellow, then as a Lecturer and Senior Lecturer, and became Head of the Mechanical and
Electrical Engineering Department. Following this, Professor Penny became Director of Research at
the School of Engineering and Applied Science. He has taught bachelor- and master’s-level students
in vibration and rotordynamics and related topics, such as numerical analysis and instrumentation. His
research interests include topics in structural dynamics and rotordynamics. He has published in journals
including the Journal of Sound and Vibration, Mechanical Systems and Signal Processing, and AIAA
Journal. He is now an Emeritus Professor at Aston University but is still teaching and doing research.
Professor Penny is a Fellow of the Institute of Mathematics and Its Applications.

Professor Seamus D. Garvey began his career with six years at GEC Large Electrical Machines Ltd.,
Rugby, and his first rotordynamics experience was acquired there. When he left the company in 1990,
he was Principal Engineer for Mechanical Analysis and had written the computer program that has been
used ever since for rotordynamics analysis. He then spent 10 years at Aston University, after which he
joined Nottingham University as a Professor of Dynamics. He remains active in rotordynamics research –
especially in the areas of active control and developing control forces through the airgaps of electrical
machines – and serves on the organizing committees of both the IFToMM Rotordynamics conference
and the IMechE Conference on Vibrations in Rotating Machines. He is currently Director of the Rolls-
Royce University Technology Centre in Gas Turbine Transmissions at Nottingham University. Professor
Garvey is a Fellow of the Institution of Mechanical Engineers and a Member of the Institute of Engi-
neering and Technology.

Professor Arthur W. Lees has spent most of his career in the power-generation industry. After complet-
ing his PhD in physics, he joined the Central Electricity Generating Board, initially developing FE codes
and later resolving plant problems. After a sequence of positions, he was appointed head of the Turbine
Group for Nuclear Electric Plc. He moved to Swansea University in 1995, where his position was jointly
funded by British Energy Plc and BNFL until August 2000. He was then appointed to a permanent chair
within Swansea University. He is a regular reviewer of many technical journals and is currently on the
editorial boards of the Journal of Sound and Vibration and Communications on Numerical Methods in
Engineering. His research interests include structural dynamics, rotordynamics, and heat transfer. Pro-
fessor Lees is a Fellow of the Institution of Mechanical Engineers and a Fellow of the Institute of Physics.

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Cambridge University Press
978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
Frontmatter
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Cambridge University Press
978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Cambridge Aerospace Series

Editors: Wei Shyy and Michael J. Rycroft

1. J. M. Rolfe and K. J. Staples (eds.): Flight Simulation

2. P. Berlin: The Geostationary Applications Satellite
3. M. J. T. Smith: Aircraft Noise
4. N. X. Vinh: Flight Mechanics of High-Performance Aircraft
5. W. A. Mair and D. L. Birdsall: Aircraft Performance
6. M. J. Abzug and E. E. Larrabee: Airplane Stability and Control
7. M. J. Sidi: Spacecraft Dynamics and Control
8. J. D. Anderson: A History of Aerodynamics
9. A. M. Cruise, J. A. Bowles, C. V. Goodall, and T. J. Patrick: Principles of Space
Instrument Design
10. G. A. Khoury and J. D. Gillett (eds.): Airship Technology
11. J. Fielding: Introduction to Aircraft Design
12. J. G. Leishman: Principles of Helicopter Aerodynamics, 2nd Edition
13. J. Katz and A. Plotkin: Low-Speed Aerodynamics, 2nd Edition
14. M. J. Abzug and E. E. Larrabee: Airplane Stability and Control: A History of the
Technologies that Made Aviation Possible, 2nd Edition
15. D. H. Hodges and G. A. Pierce: Introduction to Structural Dynamics and Aeroelasticity
16. W. Fehse: Automatic Rendezvous and Docking of Spacecraft
17. R. D. Flack: Fundamentals of Jet Propulsion with Applications
18. E. A. Baskharone: Principles of Turbomachinery in Air-Breathing Engines
19. D. D. Knight: Numerical Methods for High-Speed Flows
20. C. Wagner, T. Hüttl, and P. Sagaut: Large-Eddy Simulation for Acoustics
21. D. Joseph, T. Funada, and J. Wang: Potential Flows of Viscous and Viscoelastic Fluids
22. W. Shyy, Y. Lian, H. Liu, J. Tang, and D. Viieru: Aerodynamics of Low Reynolds
Number Flyers
23. J. H. Saleh: Analyses for Durability and System Design Lifetime
24. B. K. Donaldson: Analysis of Aircraft Structures, 2nd Edition
25. C. Segal: The Scramjet Engine: Processes and Characteristics
26. M. I. Friswell, J. E. T. Penny, S. D. Garvey, and A. W. Lees: Dynamics of Rotating
Machines

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Cambridge University Press
978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
Frontmatter
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© in this web service Cambridge University Press www.cambridge.org

Cambridge University Press
978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Dynamics of Rotating Machines

Michael I. Friswell
Swansea University

John E. T. Penny
Aston University

Seamus D. Garvey
Nottingham University

Arthur W. Lees
Swansea University

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Cambridge University Press
978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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cambridge university press

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C Michael I. Friswell, John E. T. Penny, Seamus D. Garvey, and Arthur W. Lees 2010

This publication is in copyright. Subject to statutory exception

and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.

First published 2010

Printed in the United States of America

A catalog record for this publication is available from the British Library.

Library of Congress Cataloging in Publication data

Fundamentals of rotor dynamics / Michael Friswell . . . [et al.].
p. cm. – (Cambridge aerospace series ; 26)
Includes bibliographical references and index.
ISBN 978-0-521-85016-2 (hardback)
1. Rotors – Dynamics. 2. Rotors – Vibration. I. Friswell, M. I. Title. II. Series.
TJ1058.F86 2010
621.8 2 – dc22 2009042020

ISBN 978-0-521-85016-2 Hardback

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Web sites referred to in this publication and does not guarantee that
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appropriate.

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978-0-521-85016-2 - Dynamics of Rotating Machines
Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Contents

Preface page xiii

Acronyms xv

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Overview 1
1.2 Rotating Machine Components 2
1.2.1 Features of Rotors 3
1.2.2 Features of Bearings and Rotor–Stator Interactions 3
1.2.3 Stators and Foundations 4
1.3 Aspects of Rotating Machine Behavior 5
1.3.1 Lateral Vibrations 5
1.3.2 Axial Vibrations 6
1.3.3 Torsional Vibrations 6
1.4 Examples of Rotating Machines 7
1.4.1 Electrical Machines 7
1.4.2 Turbo-Generator Sets 10
1.4.3 Gas Turbines 11
1.4.4 Vacuum Pumps 11
1.4.5 Vertical-Axis Pumps 13
1.5 Scope and Structure of the Book 13
1.6 Required Background Knowledge 15
1.7 Developing a Course of Instruction Using this Book 15
1.8 Software 15

2 Introduction to Vibration Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.1 Introduction 17
2.2 Linear Systems 18
2.3 Single Degree of Freedom Systems 19
2.3.1 The Equation of Motion 20
2.3.2 Free Vibrations of a Single Degree of Freedom System 22
2.3.3 Forced Vibrations 25

vii

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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viii CONTENTS

2.3.4 Nonviscous Damping 28

2.3.5 Forced Vibration: Periodic Excitation 30
2.3.6 Forced Vibration: Arbitrary Excitation 31
2.4 Multiple Degrees of Freedom Systems 32
2.4.1 System Equations 32
2.4.2 Free Vibrations of a Multiple Degrees of Freedom System 34
2.4.3 The Influence of Damping on the Free Response 38
2.4.4 Forced Vibrations of a Multiple Degrees of Freedom System 41
2.4.5 Computing the Receptance of an Undamped System
by Modal Decomposition 43
2.4.6 Computing the Receptance of a Damped System
by Modal Decomposition 45
2.4.7 Modal and Proportional Damping 49
2.4.8 Operating Deflection Shapes 51
2.5 Imposing Constraints and Model Reduction 51
2.5.1 Model Reduction 52
2.5.2 Component Mode Synthesis 55
2.6 Time Series Analysis 58
2.6.1 Simulation of a System Response 58
2.6.2 The Fourier Transform 60
2.6.3 The Discrete Fourier Transform 61
2.7 Nonlinear Systems 64
2.8 Summary 70
2.9 Problems 70

3 Free Lateral Response of Simple Rotor Models . . . . . . . . . . . . . . . . 76

3.1 Introduction 76
3.2 Coordinate Systems 77
3.3 Gyroscopic Couples 78
3.4 Dynamics of a Rigid Rotor on Flexible Supports 80
3.5 A Rigid Rotor on Isotropic Flexible Supports 83
3.5.1 Neglecting Gyroscopic Effects and Elastic Coupling 84
3.5.2 Neglecting Gyroscopic Effects but Including Elastic Coupling 87
3.5.3 Including Gyroscopic Effects 90
3.5.4 Complex Coordinates 95
3.6 A Rigid Rotor on Anisotropic Flexible Supports 96
3.6.1 Forward and Backward Whirl 98
3.7 Natural Frequency Maps 103
3.8 The Effect of Damping in the Supports 107
3.8.1 Rigid Rotor on Isotropic Supports with Damping 108
3.8.2 Anisotropic Support Damping 109
3.9 Simple Model of a Flexible Rotor 112
3.10 Summary 116
3.11 Problems 117

4 Finite Element Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124

4.1 Introduction 124

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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CONTENTS ix

4.2 Defining Generalized Coordinates 126

4.3 Finite Element Modeling of Discrete Components 127
4.4 Axial Deflection in a Bar 129
4.5 Lateral Deflection of a Beam 134
4.6 Developing General Element Matrices 137
4.6.1 Axial Bar Element 138
4.6.2 Torsion Element 140
4.7 Assembling Global Matrices 142
4.8 General Finite Element Models 143
4.9 Summary 151
4.10 Problems 151

5 Free Lateral Response of Complex Systems . . . . . . . . . . . . . . . . . . 155

5.1 Introduction 155
5.2 Coordinate Systems 155
5.3 Disk Elements 156
5.4 Shaft Elements 158
5.4.1 Euler-Bernoulli Beam Theory 159
5.4.2 Including Shear and Rotary Inertia Effects 162
5.4.3 The Effect of Axial Loading 166
5.4.4 Mass and Stiffness Matrices for Shaft Elements 167
5.4.5 Gyroscopic Effects 169
5.4.6 The Effect of Torque 171
5.4.7 Tapered-Shaft Elements 172
5.4.8 Rotor Couplings 174
5.5 Bearings, Seals, and Rotor–Stator Interactions 175
5.5.1 Hydrodynamic Journal Bearings 176
5.5.2 Hydrostatic Journal Bearings 182
5.5.3 Rolling-Element Bearings 182
5.5.4 Magnetic Bearings 185
5.5.5 Rigid Bearings 187
5.5.6 Seals 188
5.5.7 Alford’s Force 189
5.5.8 Squeeze-Film Dampers 189
5.5.9 Unbalanced Magnetic Pull 191
5.6 Modeling Foundations and Stators 194
5.7 Assembly of the Full Equations of Motion 195
5.7.1 Speed Dependence of the System Matrices 196
5.7.2 Branching 197
5.8 Free Response of Complex Systems 198
5.8.1 Features of Eigenvalues and Eigenvectors 199
5.8.2 Number of Degrees of Freedom Required in a Model 200
5.8.3 The Effect of Shear and Rotary Inertia 202
5.8.4 Modeling the Shaft and Disk Interface 204
5.9 Modeling Examples 205
5.10 Summary 221
5.11 Problems 221

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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x CONTENTS

6 Forced Lateral Response and Critical Speeds . . . . . . . . . . . . . . . . . 228

6.1 Introduction 228
6.2 Simple Models of Rotors 230
6.2.1 Modeling Out-of-Balance Forces and Moments 230
6.2.2 Response of a Rigid Rotor on Isotropic Supports
to Out-of-Balance Forces 234
6.2.3 Response of a Jeffcott Rotor to Out-of-Balance Forces 241
6.2.4 Response of an Isotropic Rotor System to Out-of-Balance
Moments 242
6.2.5 Response of a Rigid Rotor on Anisotropic Supports
to Out-of-Balance Forces and Moments 245
6.2.6 Forward- and Backward-Whirl Orbits 246
6.2.7 Response of Bent Rotors 248
6.3 Complex Rotor Models 251
6.3.1 Response of Rotors to Out-of-Balance Forces and Moments 251
6.3.2 Harmonic or Sub-Harmonic Response of Rotors to
Sinusoidal Forces 258
6.3.3 Response of Bent Rotors 259
6.3.4 Response to Forces Applied through Auxiliary Bearings 263
6.4 Forces on the Supports due to Rotor Vibration 266
6.5 Response to Ground Vibration 267
6.6 Co-axial Rotors 271
6.7 Formal Definitions of Critical Speeds 275
6.8 Computing Critical Speeds 276
6.8.1 A Direct Approach 277
6.8.2 An Iterative Approach 278
6.8.3 Features of Critical Speeds 278
6.9 Mode Shapes Associated with Critical Speeds 281
6.10 Maps of Critical Speeds and Mode Shapes 281
6.11 Running through Critical Speeds 282
6.12 Stresses in a Rotor 288
6.12.1 Radial and Hoop Stresses due to Spin 288
6.12.2 Axial Stresses due to Lateral Deformation of the Rotor 289
6.13 Summary 291
6.14 Problems 291

7 Asymmetric Rotors and Other Sources of Instability . . . . . . . . . . . . 296

7.1 Introduction 296
7.2 Rotating Coordinate Systems 297
7.3 Rotor Asymmetry with Isotropic Supports: Simple Rotors 299
7.3.1 Relating Frequencies in the Stationary and Rotating
Coordinate Systems 301
7.3.2 Stability of Asymmetric Rotors 303
7.3.3 The Effect of External Damping on the Asymmetric Rotor 305
7.3.4 Unbalance Response 307
7.3.5 The Gravity Critical Speed 311

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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CONTENTS xi

7.3.6 Response to Sinusoidal Excitation in the Stationary Frame 312

7.3.7 Response to General Excitation in the Stationary Frame 313
7.4 Asymmetric Rotors Supported by Anisotropic Bearing:
Simple Rotors 315
7.5 Internal Rotor Damping: Simple Rotors 318
7.6 Rotor Asymmetry with Isotropic Supports: Complex Rotors 321
7.6.1 Disks 322
7.6.2 Shaft Elements 323
7.6.3 Bearings and Foundations 325
7.6.4 The Equations of Motion 326
7.7 Internal Rotor Damping: Complex Rotors 330
7.8 Internal Cross-Coupling in the Bearing: Simple Rotors 334
7.9 Internal Cross-Coupling in the Bearing: Complex Rotors 335
7.10 Summary 336
7.11 Problems 336

8 Balancing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
8.1 Introduction 339
8.2 Balancing Rigid Rotors at the Design Stage 340
8.3 The Shaft Marker and the Phase of Response Signals 342
8.4 Field Balancing of Rigid Rotors 343
8.4.1 Single-Plane Balancing 345
8.4.2 Two-Plane Balancing 347
8.5 Field Balancing of Flexible Rotors 351
8.5.1 The Influence-Coefficient Method 351
8.5.2 Modal Balancing 363
8.6 Balancing Machines without a Phase Reference 369
8.7 Automatic Balancing Methods 372
8.8 Issues in Balancing Real Machines 373
8.9 Summary 376
8.10 Problems 376

9 Axial and Torsional Vibration . . . . . . . . . . . . . . . . . . . . . . . . . . . 383

9.1 Introduction 383
9.2 Simple System Models for Axial Vibrations 384
9.3 Shaft-Line Finite Element Models for Axial Vibrations 386
9.4 Simple System Models for Torsional Vibrations 387
9.5 Shaft-Line Finite Element Analysis of Torsional Motion 389
9.6 Geared and Branched Systems 390
9.6.1 Applying Constraints for Geared Systems 390
9.6.2 A More Formal Approach to Geared Systems 392
9.6.3 Developing a Transformation to Effect Constraints 398
9.7 Axial and Torsional Vibration with External Excitation 400
9.7.1 Force-Driven Excitation of Torsional Vibration 401
9.7.2 Force-Driven Excitation of Axial Vibration 409
9.7.3 Displacement-Driven Excitation of Torsional Vibration 410
9.8 Parametric Excitation of Torsional Systems 413

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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xii CONTENTS

9.9 Summary 415

9.10 Problems 415

10 More Complex Rotordynamic Models . . . . . . . . . . . . . . . . . . . . . . 420

10.1 Introduction 420
10.2 Simple Rotating Elastic Systems 421
10.2.1 Stress and Geometric Stiffening 424
10.2.2 Damping in a Spinning Rotor 430
10.3 Finite Element Analysis of Rotors with Deformable
Cross Sections 431
10.3.1 General Finite Element Models 431
10.3.2 Axisymmetric Finite Element Rotor Models 436
10.4 Rotor with Flexible Disks 440
10.4.1 Analysis of a Single Flexible Disk 440
10.4.2 Analysis of Rotor–Disk Assemblies 442
10.5 Detailed Models for Axial Vibration 446
10.6 Detailed Models for Torsional Vibration 448
10.7 Rotors Consisting of a Flexible Cylinder 449
10.8 Bending Vibrations of Blades Attached to Rotors 453
10.9 Coupled Systems 456
10.10 Rotor–Stator Contact in Rotating Machinery 459
10.11 Alignment 466
10.12 Nonlinear Bearings, Oil Whirl, and Oil Whip 472
10.12.1 Oil Whirl 473
10.12.2 Nonlinear Bearing Models and Oil Whip 477
10.13 The Morton Effect 481
10.14 Cracked Rotors 481
10.15 Summary 489

Solutions to Problems 491

Appendix 1 Properties of Solids 499
Appendix 2 Stiffness and Mass Coefficients for Certain Beam Systems 500
Appendix 3 Torsional Constants for Shaft Sections 505
Bibliography 507
Index 519

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Preface

This book addresses the dynamics of rotating machines, and its purpose may be con-
sidered threefold: (1) to inform readers of the various dynamic phenomena that may
occur during the operation of machines; (2) to provide an intuitive understanding
of these phenomena at the most basic level using the simplest possible mathemat-
ical models; and (3) to elucidate how detailed modeling may be achieved. This is
an engineering textbook written for engineers and students studying engineering at
undergraduate and postgraduate levels. Its aim is to allow readers to learn and gain
a comprehensive understanding of the dynamics of rotating machines by reading,
problem solving, and experimenting with rotor models in software.
The book deliberately eschews any detailed historical accounts of the develop-
ment of thinking within the dynamic analysis of rotating machines, focusing exclu-
sively on modern matrix-based methods of numerical modeling and analysis. The
structure of the book (described in Chapter 1) is driven largely by the desire to in-
troduce the subject in terms of matrix formulations, beginning with the exposition of
the necessary matrix algebra. All of the authors are avid devotees of matrix-based
approaches to dynamics problems and all are constantly inspired by the intricacy
and detail that emerge from even relatively simple numerical models. The emer-
gence of software packages such as MATLAB that enable what would once have
been considered large matrix computations to be conducted easily on a personal
computer is one of the most exciting and important innovations in dynamics in the
past two decades. With such a package, sophisticated models of machines can be
assembled “from scratch” using only a few prewritten functions, which are available
from the Web site associated with this book.
This book was written in a period of several years and, during that time, the
single remark that emerged most often among the authors is this: “There is always
more to discover about the dynamics of rotating machines”; this remark is usually
exclaimed in wonder. It has been a pleasure to write this book and we hope that
this pleasure is visible to and shared by readers. We thank our respective wives,
Wendy, Wendy, Antonia, and Rita, for their patience, and the publishers for their
considerable forbearance. During the preparation of the manuscript, we drew on
the knowledge and insight of many other seasoned practitioners in the field – too
many to thank individually – but a collective acknowledgment is entirely appropri-
ate because it is heartfelt.

xiii

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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Michael I. Friswell, John E. T. Penny, Seamus D. Garvey and Arthur W. Lees
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Acronyms

BSF ball spin frequency

DFT discrete Fourier transform

FE finite element

FEA finite element analysis

FEM finite element method

FFT fast Fourier transform

FRF frequency response function

FTF fundamental train frequency

IRS Improved Reduced System

ISO International Organization for Standardization

MMF magneto-motive force

ODE ordinary differential equation

ODS operating deflection shape

SEREP System Equivalent Reduction Expansion Process

UMP unbalanced magnetic pull

xv

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