Mechanism and Machine Theory 46 (2011) 618–631

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Mechanism and Machine Theory

j o u r n a l h o m e p a g e : w w w. e l s ev i e r. c o m / l o c a t e / m e c h m t

A novel nonlinear model of rotor/bearing/seal system and

numerical analysis
Wei Li ⁎, Yi Yang, Deren Sheng, Jianhong Chen

a r t i c l e i n f o a b s t r a c t

Article history: A novel nonlinear model of rotor/bearing/seal system based on the Hamilton principle is proposed
Received 20 January 2010 for steam turbine systems in power plants. The Musznyska model and unsteady bearing oil-film
Received in revised form 2 January 2011 force model were applied to describe the nonlinear steam excitation force and oil-film force. The
Accepted 7 January 2011
Runge–Kutta method was used to solve the motion equation of the rotor/seal/bearing system. The
dynamic characteristics of the rotor/bearing/seal system were analyzed with bifurcation diagrams,
Keywords: time-history diagrams, trajectory diagrams, Poincare maps and frequency spectrums. The
Steam excitation numerical analysis indicates that the seal force and the oil-film force influence the nonlinear
Hamilton principle dynamic characteristics of the rotor system. With the increase of rotation speed, the rotor system
Rotor exhibits rich forms of periodic, double-periodic, multi-periodic, quasi-periodic and chaotic
Dynamic characteristics
motion. The combined impact of steam excitation force and bearing oil-film force may cause a
severe vibration which seriously affects the safety and stability of the rotor. The presented model
provides a theoretic foundation for further research on the ultra-supercritical steam turbines.
© 2011 Elsevier Ltd. All rights reserved.

1. Introduction

With the expansion of the thermal power plants, carbon dioxide emission and global warming problem have become more and
more critical. The manufacture, production and development of ultra-supercritical steam turbine are significant for energy
economization and environment protection. It also helps to improve efficiency and reduce generating cost in thermal power
plants. The steam excitation is known to be an important factor that affects the safety and stability of rotary machinery such as
ultra-supercritical steam turbine, large-scale nuclear power plant and heavy-duty gas turbine [1,2].
The rotor/bearing/seal system is a complicated multi-factor system. An accurate model of the rotor assembly is essential to help
us understand the effect of the steam excitation. The model must taken into account many nonlinear factors, such as the rotor
mass, moment inertia, bending and torsion vibration coupling effects, inner damping, the oil-film force and the steam excitation
force.
Many studies and numerical calculations have been carried out to analyze the dynamic response of the rotor system considering the
effect of the seal force and oil film force. Ding et al. investigated a symmetric rotor/seal system, where Muszynska nonlinear model was
used to describe the steam excitation force and the Hopf bifurcation of the system was analyzed [3]. Al-Nahwi et al. investigated the
principle and interaction of steam excitation on Jeffcott rotor system combining the Moore-Greitzer flow field model [4]. Li et al. employed
Muszynska model to describe steam excitation force in labyrinth seals, calculated periodic solutions of Jeffcott rotor system based on
shooting procedure and analyzed its stability [5]. Akhmetkhanov et al. studied the steam excitation of an unbalanced rotor and analyzed
the dynamic behaviors for both non-impact and impact regimes [6]. Hua et al. built the nonlinear model of the rotor/seal system with
Muszynska's seal forces. The nonlinear phenomena in the unbalanced rotor/seal system were investigated and the effect of the seal on the
rotor system was analyzed [7]. Huang et al. considered the combined effect of steam excitation force in blade tip and bearing oil-film force,
and calculated the response of system by solving the dimensionless dynamic equation [8]. Cheng et al. investigated the nonlinear dynamic

⁎ Corresponding author. Dept. of Energy Engineering, Zhejiang University, Hangzhou, 310027, China. Tel.: + 86 571 87951492.
E-mail address: Energy@zju.edu.cn (W. Li).

0094-114X/$ – see front matter © 2011 Elsevier Ltd. All rights reserved.
doi:10.1016/j.mechmachtheory.2011.01.002
 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 619

Nomenclature

A Sectional area of shaft unit (m2)

bd Width of the disk (m)
C Damping matrix of rotor system
Co Damping matrix of oil-film
cs Average clearance of seal (m)
co Average clearance of bearing (m)
D Rotation displacement shape function matrix
Df Equivalent damping of fluid (N ⋅ s ⋅ m− 1)
d Diameter of shaft (m)
dd Diameter of disk (m)
E Young's modulus of elasticity (Pa)
Fsx Steam excitation force in the x direction (N)
Fsy Steam excitation force in the y direction (N)
Fox Oil-film force in the x direction (N)
Foy Oil-film force in the y direction (N)
F Vectors of forces acting on the rotor system
Fd Vectors of forces acting on the disk
Fe Vectors of forces acting on the shaft unit
fox Dimensionless bearing oil-film force in the x direction (dimensionless)
foy Dimensionless bearing oil-film force in the y direction (dimensionless)
G Shear modulus (Pa)
GΩ Gyroscope matrix of rotor system
Gd Gyroscope matrix of disk
Ge Gyroscope matrix of shaft unit
Gg Gravitation vectors of rotor system
Gge Gravitation vectors of shaft unit
Ggd Gravitation vectors of disk
I Area rotary inertia of shaft unit (m4)
Id Diametric moment of inertia of shaft unit (m4)
Ip Polar inertia moment of shaft unit (m4)
Jd Diametric moment of inertia of disk (kg ⋅ m2)
Jp Polar inertia moment of disk (kg m2)
k Shear factor
K Stiffness matrix of rotor system
Ke Stiffness matrix of shaft unit
Ko Stiffness matrix of oil-film
Kf Equivalent stiffness of fluid (N m− 1)
L the Lagrangian function
LR Length of rotor (m)
Lo Length of bearing (m)
l Length of shaft unit (m)
md Disk mass (kg)
mf Equivalent mass of fluid (kg)
M Mass matrix of rotor system
Md Mass matrix of disk
Me Mass matrix of shaft unit
N Translation displacement shape function matrix
n Seal factor (dimensionless)
b Seal factor (dimensionless)
τ0 Seal factor (dimensionless)
q Nodal displacement vector of rotor system
qd Nodal displacement vector of disk
qe Nodal displacement vector of shaft unit
Ro Radius of bearing (m)
rd Interior mass eccentricity of disk (m)
T Kinetic energy of the system (J)
Td Kinetic energy of disk (J)
620 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

t0, t1 Time at the beginning and the end of a time step

Te Kinetic energy of shaft unit (J)
U Potential energy of rotor system (J)
Ue Potential energy of shaft unit (J)
W the work done by non-conservative forces
X Dimensionless translation displacement in the x direction X = x/co
Y Dimensionless translation displacement in the y direction Y = y/co
x Translation displacement in the x direction (m)
y Translation displacement in the y direction (m)
θx Rotation displacements in the x direction (rad)
θy Rotation displacements in the y direction (rad)
ρ Material density of shaft unit (kg ⋅ m− 3)
μ Sectional shear correction factor
τ Dimensionless time, τ = Ωt
τf Average circumferential velocity ratio of fluid
Ω Rotation speed of rotor (rad ⋅ s− 1)
σ Sommerfeld coefficient

behaviors of a rotor/bearing/seal coupled system using Muszynska's seal forces and Capone's oil-film forces. The effect of parameters, such
as the rotation speed, seal clearance and eccentricity of rotor were analyzed [9]. Li et al. studied the influence of steam excitation on the
dynamic characteristics of rotor/seal system and used Floquet theory to investigate the periodic stability [10]. Though the previous studies
emphasized the dynamic behavior of the rotor system, the nonlinear model of the rotor/bearing/seal system based on Hamilton principle
was not found. This paper proposes a novel nonlinear model of rotor/bearing/seal system based on the Hamilton principle considering the
couple effect of nonlinear oil-film force and nonlinear seal force.
Typically the dynamical equations of a multi-degree-of freedom system are established based on the first kind of the Lagrange's
Equation (Lagrange Equation (I)). Lagrange Equation (I) is the rectangular differential equation, which can be used to describe the
particle movement. It can not only describe the law of the system motion and derive the constrained force, but also be
programmed easily. But the functions will be very difficult to solve if the number of the functions increases. Since the Hamilton
principle based dynamical equation describes the system with the energy term, it is easier for comprehension and numerical
solution. Moreover, Hamilton principle is superior to the processing of the symmetrical question comparison. In this paper, the
established dynamical model based on Hamilton principle is more accurate than the simple model and easier for numerical
solution using the Fourth-order Runge–Kutta method. The dynamic characteristics of the rotor/bearing/seal system are analyzed
with the bifurcation diagrams, time-history diagrams, trajectory diagrams, Poincare maps and frequency spectrum.
The rest of the paper is organized as follows. The next two sections describe the Hamilton principle, the nonlinear model of the
steam excitation force and the oil-film force. In Section 4 the proposed rotor/bearing/seal model based on Hamilton principle is
derived in details. An example for illustrating the nonlinear model solution can be found in Section 5. The last section concludes
the paper with the summary.

Seal
Bearing Bearing
dd bd Disk
d
y
z
LR x

Fig. 1. The structural diagram of a rotor system.

Bearing Disk Bearing

Foy m d Fsy Foy

Fox 1 2 Fsx 3 y 4 Fox 5

z
x
Fig. 2. The finite element model of the rotor system.
 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 621

Table 1
Parameters list in numerical calculation.

Structural parameters Values Characteristic parameters Values

LR 1 ρ 7810
l 0.25 E 1.97 × 011
d 0.05 G 8 × 1010
dd 0.5 k 0.65
bd 0.08
rd 0.00006
co 0.0002
Lo 0.0252
Ro 0.0252
cs 0.001

2. Hamilton principle

According to the variational integral principle, during the true evolution of a mechanical system, the definite integral of certain
dynamic function is stationary, that is to say, the variation of the definite integral equals 0.
The following definite integral

t1
S = ∫ Ldt ð1Þ
t0
is defined as the Hamilton action in time zone (t0, t1), where L = T − U is the Lagrangian function.

Fig. 3. Bifurcation diagram.

622 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

Hamilton principle states that, during the true evolution of conservative holonomic system, the variation of the Hamilton
action equals 0 [11]. And it can be described as:

t1 t1
δS = δ∫ Ldt = δ∫ ðT−U Þdt = 0: ð2Þ
t0 t0

For general holonomic system, extended Hamilton principle can be expressed as:

t1
δ∫ ðT−U + W Þdt = 0: ð3Þ
t0

Fig. 4. Numerical analysis results at Ω = 300 rad/s.

 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 623

Fig. 4 (continued).

A general dynamic problem with N degrees of freedom should be expressed by N differential equations while Hamilton
principle only uses δS = 0 to conclude the problem. Therefore, Hamilton principle is highly recapitulative for dynamics problems.
In addition, Hamilton principle is independent of the choice of coordinate systems and can be applied to the high-dimensional
dynamic system.

3. The models of the steam excitation force and the oil-film force

Fig. 1 is a simplified geometric model for a continuous symmetrical rotor/bearing/seal system. In this figure, the rotor system is
modeled as a Jeffcott rotor system, in which the steam excitation force acts on the disk equivalently and two oil bearings act on
both ends of the rotor.

3.1. Nonlinear steam excitation force model

The traditional eight characteristics model of steam excitation force is established based on the linear assumption. Therefore its
application in nonlinear systems is limited. Among various computing models, Muszynska model [12,13,15] is widely recognized
because it is able to describe the nonlinear characteristic of steam excitation force well. The expression of the model can be
described as follows:

 " #
  
  
::
Fsx Kf −mf τ2f Ω2 τf ΩDf x Df 2τf Ωmf ẋ mf 0 x
=− − − :: ð4Þ
Fsy −τf ΩDf
2 2
Kf −mf τf Ω y 2τf Ωmf Df ẏ 0 mf y

where Kf, Df and τf are the nonlinear functions of translation displacements x and y at the disk [14,15]. They can be written
as:

 −n  −n
Kf = K0 1−e2 ; Df = D0 1−e2 ðn = 0:5–3Þ
ð5Þ
b
τf = τ0 ð1−eÞ ð0 bbb1Þðτ0 b 0:5Þ
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
where e = x2 + y2 = cs is the relative eccentricity at the seal; n, b and τ0 vary from different types of seals; characteristic factors
K0, D0 and mf can be obtained from Childs equation [16].

3.2. Nonlinear oil-film force model

The expression of the short bearing unsteady oil-film force model [17] is:





Fox fox X
=σ = −σ K o + C o Ẋ ð6Þ
Foy foy Y Ẏ
624 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

Ro 2 Lo 2
∂X ∂Y ẏ
where σ = μΩRo Lo ; Ẋ = ∂τ
= ẋ
Ωco ; Ẏ = ∂τ
= Ωco ; Ko and Co can be written as:
co 2Ro
" # " #
1 −C2 C3 C11 C12
Ko = ; Co = : ð7Þ
2 −C3 −C2 C21 C22

The detailed expressions of C1, C2, C3, C11, C12, C21, and C22 can be found in this article[17].

Fig. 5. Numerical analysis results at Ω = 400 rad/s.

 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 625

Fig. 5 (continued).

The nonlinear models of steam excitation force and oil-film force introduced above will be used in the derivation of the
nonlinear model of the rotor/bearing seal system in the next section.

4. The nonlinear model of rotor/bearing/seal System based on Hamilton principle

Based on the Timoshenko theory [18], the finite element model of the rotor/bearing/seal system can be established as follows.
As shown in Fig. 2, there are four shaft units and five nodes altogether. Each node has four Degrees of Freedom (DOF) including two
rotation displacements and two translation displacements. The disk mass acts at Node 3 as a concentrated mass, Nodes 1 and 5 are
bearing journals. Nodes 2 and 4 are at points one quarter and three quarters of the length of the rotor respectively.
Taking the bending and shearing effect into consideration, the kinetic energy and potential energy of the shaft unit can be
obtained as follows:

l
  h  i
∫0 12 ρ 2 2 2 2 2
Te = A ẋ +ẏ + Id θ̇x + θ̇y + Ip Ω + Ω θ̇x θy − θ̇y θx ds ð8Þ

l
  i  2 
1
Ue = ∫ EI θx′ Þ + θy′ Þ + kGA θy −x′ + θx + y′
2 2 2
ds: ð9Þ
02

The kinetic energy of the disk can be written as:

1 2 2
 1 2 2 1 h 2  i
Td = md ẋ + ẏ + Jd θ̇x + θ̇y + Jp Ω + Ω θ̇x θy −θ̇y θx : ð10Þ
2 2 2

The work caused by the mass eccentricity of the disk is:

2
Wd = md rd Ω ðx cosΩt + y sinΩt Þ ð11Þ

According to the finite element method, the translation displacements and rotation displacements of a typical cross section of
the shaft unit can be approximated by the following equations:

  
x N1 0 0 N2 N3 0 0 N4
= Nqe = qe ð12Þ
y 0 N1 −N2 0 0 N3 −N4 0

  
θx 0 −D1 D2 0 0 −D3 D4 0
= Dqe = q ð13Þ
θy D1 0 0 D2 D3 0 0 D4 e
626 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

where  
1  2 3
 l ϕ 4+ϕ 2 3
N1 = 1 + ϕ−ϕξ−3ξ + 2ξ ; N2 = 1+ ξ− ξ +ξ
1+ϕ 1+ϕ 2 2
   
1 2 3 l ϕ ϕ−2 2 3
N3 = ϕξ + 3ξ −2ξ ; N4 = − ξ− ξ +ξ
1+ϕ 1+ϕ 2 2
6   1 h i
2 2
D1 = −D3 = − ξ−ξ ; D2 = 1 + ϕ−ð4 + ϕÞξ + 3ξ
ð1 + ϕÞl 1+ϕ
1 h 2
i 12EI s
D4 = ðϕ−2Þξ + 3ξ ; ϕ = ; ξ= :
1+ϕ kAGl2 l

Fig. 6. Numerical analysis results at Ω = 500 rad/s.

 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 627

Fig. 6 (continued).

The shaft unit energy and work functions can be achieved by substituting Eqs. (12) and (13) into Eqs. (8)–(11). Meanwhile,
considering the combined work done by oil-film force and steam excitation force, the application of Hamilton principle, Eq. (3),
with the energy and work functions, the following matrix equations of motion for shaft unit and disk can be generated.

::
M e q e + ΩGe q̇e + K e qe = F e + Gge ð14Þ

Fig. 7. Numerical analysis results at Ω = 600 rad/s.

628 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

Fig. 7 (continued).

::
M d q d + ΩGd q̇d = F d + Ggd ð15Þ
where
l l
M e = ∫ ρAN T Nds + ∫ ρId DT Dds;
0 0
" #
l 0 1
Ge = ∫ ρIp DT Dds;
0 −1 0
( " # )
l l 0 −1
K e = ∫ EID′ D′ ds + ∫ kGA N ′ N ′ + D D + 2N ′
T T T T
D ds;
0 0 1 0
2 3 2 3
md 0
6 7 6 7
6 md 7 6 0 7
Md = 6
6
7;
7 Gd = 6
6
7:
4 Jd 5 4 0 Jp 7
5
Jd −Jp 0

Considering the damp effect on rotor, the matrix equation of motion for the whole rotor system can be described as follows:
::
Mq + ðC + ΩGΩ Þ q̇ + Kq = F + Gg ð16Þ

where:

q = ½ x1 y1 x2 y2 x3 y3 x4 y4 x5 y5 T ;
T
F = Fox Foy 0 0 Fsx + Fdx Fsy + Fdy 0 0 Fox Foy ;
2 2
Fdx = md rd Ω cosΩt; Fdy = md rd Ω sinΩt :
 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631 629

Eq. (16) describes a nonlinear dynamic rotor/bearing/seal system. The numerical solutions of this nonlinear equation can be
obtained by applying the numerical method.

5. Numerical analysis and discussion

With the combined effect of steam excitation force and bearing oil-film force, the differential equations of motion for rotor
system, Eq. (16), are strong nonlinear. In this study, the motion equation of the rotor system is solved using Runge–Kutta method
and implemented in MATLAB.
The structural parameters and characteristic parameters of the rotor system in numerical simulation are listed in Table 1. The
bifurcation diagrams at the bearing and disk are plotted as in Fig. 3. Trajectory diagrams, time-history diagrams, Poincare maps and
frequency spectrums of the disk and bearing at different rotation speeds are also listed to illustrate the dynamic characteristics of
the rotor system. For convenience, only the data of the dimensionless translation displacement in the x direction were used to
generate the diagrams.
The first-order and second-order natural frequencies of the rotor system are 153.3 and 616.7 rad/s, respectively. Fig. 3 shows the
bifurcation diagram at the bearing and the disk. It can be seen that the motion is synchronous to period-one when Ω b 343 rad/s.
Then the dynamics of the system changes and bifurcates at Ω = 342 rad/s. It indicates that the motion of the system transits among
periodic, double-periodic, multi-periodic and quasi-periodic motion in the range of 343 rad/s ≤ Ω ≤ 708 rad/s. When Ω N 708 rad/s,
the motions shift between quasi-periodic and multi-periodic.
Fig. 4 presents the dynamic characteristics of the rotor system at Ω = 300 rad/s. The motion of the rotor system is synchronous
to period-one. When the increasing rotation speed reaches 342 rad/s, which is about double the value of the first-order natural
frequency, the half-speed oil whip appears. Oil whip has a constant frequency, which remains close to the first natural frequency of
the rotor. And the amplitudes of oil whip are much higher than those of synchronous vibrations. In Fig. 5, a half frequency part
occurs in the frequency spectrum and there are two isolated points in the Poincare maps which collectively represents the double-
periodic motion. Fig. 6 is the numerical analysis results at Ω = 500 rad/s representing the quasi-periodic motion. The trajectory
diagram shows irregular motion. There is a closed curve in the Poincare maps and some frequency parts are unable to be common
divided in the spectrum of frequency. Fig. 7 is the numerical analysis results at Ω = 600 rad/s also representing the quasi-periodic

Fig. 8. Numerical analysis results at Ω = 700 rad/s.

630 W. Li et al. / Mechanism and Machine Theory 46 (2011) 618–631

Fig. 8 (continued).

motion with two isolated closed curves in the Poincare maps. In Fig. 8, there are five isolated points in the Poincare maps and five
obvious frequency parts in the frequency spectrum at Ω = 700 rad/s. The trajectory diagrams show the quintuple-periodic motion.

6. Conclusion

With the application of supercritical steam turbines and ultra-supercritical steam turbines, the steam excitation vibration has
drawn more and more attention due to the increase of steam parameters and unit loads. Besides searching solution with experiments,
it is critical to investigate the principle of steam excitation vibration and its effects on the motion stability of the rotor system.
This paper presents the modeling method based on Hamilton principle for rotor/bearing/seal system and conducted numerical
analysis. The results indicate that the seal and bearing have a great effect on the motion stability of rotor. With the increase of
rotation speed, the rotor system exhibits rich forms of periodic, double-periodic, multi-periodic, quasi-periodic and chaotic
motion. The combined impact of steam excitation force and bearing oil-film force may cause severe vibration which seriously
affects the safety and stability of rotor. Proper measures must be taken to prevent the severe vibration and avoid the accident. Also
the presented model takes into account several nonlinear factors and provides a theoretic foundation for the further research on
ultra-supercritical steam turbines.

Acknowledgements

This work is supported by the Zhejiang Provincial Natural Science Foundation (No. Y107356). Their support is greatly
appreciated.

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