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Case History and Analysis of the Spiral Vibration of a Large Turbogenerator

Using Three Different Heat Input Models

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Lothar Eckert
ALSTOM,
Zentralstrasse 40,
5242 Birr, Switzerland
Joachim Schmied
DELTA JS AG,
Technoparkstrasse 1,
8005 Zurich, Switzerland
Spiral Vibration of a
Turbogenerator Set: Case History,
Stability Analysis, Measurements
and Operational Experience
A hydrogen-cooled turbogenerator operating at 3600 rpm showed the phenomenon of
spiral vibration with a forward rotating unbalance vector. The relative shaft vibration
measured at the non-driven end-bearing was close to the trip level. Spiral vibration is
observed at various types of rotating machinery with both rotation directions of the
unbalance vector, i.e., forward and backward. Spiral vibration is caused by a vibration-
induced hot spot on the shaft surface generated by friction. The turbogenerator has three
bearings: two main bearings and the brush gear bearing. The carbon brushes sliding on
the slip rings were identified as the hot spot location. Potential modifications were stud-
ied using hot spot stability analyses with a rotor dynamic model of the generator rotor on
three journal bearings. The applied method, introduced by Schmied (1987, “Spiral Vi-
brations of Rotors” Proc. 11th Biennial ASME Design Engineering Div. Conf., Vib.
Noise, DE-Vol. 2, Rotating Machinery Dynamics, Boston, MA, ASME H0400B, pp. 449–
456), allows the handling of general systems. The hot spot model is based on the theory
of Kellenberger (1978, Ingenieur-Archiv, 47, pp. 223–229; 1980, Journal of Mechanical
Design, 102, pp. 177–184) using a thermal equation between the shaft’s thermal deflec-
tion and the shaft displacement at the hot spot location. Three different relations between
the heat input and the shaft vibration were modeled: heat input proportional to the shaft
displacement, to the shaft velocity, and to the shaft acceleration. The model, in which the
heat input is proportional to the velocity, is the most suitable variant for slip rings. This
was confirmed by comparison with the measured vibration behavior. A modification of the
shaft line was selected based on the calculation results and was successfully imple-
mented. This generator and other generators with the same modified brush gear unit have
been in operation for more than four years. 关DOI: 10.1115/1.2747645兴

Keywords: Newkirk effect, vector turning, rotating unbalance vector, rub, hot spot
phenomenon

Introduction cycle - vector turning - with low amplitude is acceptable if the

Spiral vibration is a phenomenon that is observed in various
types of rotating machinery, e.g., compressors, water turbines,
steam turbines, and turbogenerators. It is caused by a vibration-
induced hot spot on the shaft surface generated by friction due to
“soft” rubbing of the shaft to stationary 共non-rotating兲 parts, e.g.,
labyrinth seals, seal rings, oil film of journal bearings, hydrogen
seals, or brushes on slip rings. Spiral vibration is characterized by
circular loops of the measured unbalance response vector on a
polar plot 共Fig. 1共a兲兲 or by sinusoidal variation in amplitude ver-
sus time plots 共Fig. 1共b兲兲.
The phenomenon is also referred to as Newkirk-effect 关1兴 and
rotating vectors or vector turning 关2兴. The mechanism for the case
of a hot spot caused by viscous shearing with the lubricant of a
journal bearing is often referred to as the Morton effect 关3–7兴.
Various rub-related phenomena are described in the literature sur-
vey of Muszynska 关8兴.
An increasing magnitude of the spiral, which does not end in a
limit cycle, leads to an unacceptable high level of vibration and
enforces a shutdown of the machine. Spiral vibration on a limit
Contributed by the International Gas Turbine Institute of ASME for publication in
the JOURNAL OF ENGINEERING FOR GAS TURBINES AND POWER. Manuscript received April
30, 2007; final manuscript received May 6, 2007; published online January 11, 2008.
Review conducted by Dilip R Ballal. Paper presented at the ASME Turbo Expo
2007: Land, Sea and Air 共GT2007兲, Montreal, Quebec, Canada, May 14–17, 2007.
Paper No. GT2007-27314.
cause of the heat input is known and is of no concern for any
machine component. The rotation of the unbalance vector is slow
with periods T for one 360 deg turn of the vector between 20 min
and several hours 共Table 1兲. On turbogenerators, both rotation
directions were observed: backward and forward rotation of the
unbalance response vector. The classic case of a backward rotat-
ing vector due to heat input proportional to the shaft displacement
is well described in textbooks 关2,9兴. The forward rotating vector is
explained with a simplified two-degrees-of-freedom system in
关2兴 by inertia modulated heat input proportional to the shaft
acceleration.
This paper describes the case history of a 450 MVA, 3600 rpm
hydrogen-cooled turbogenerator equipped with a brush gear unit,
which showed the phenomenon of spiral vibration with a forward
rotating unbalance vector. This case could only be described with
a model where the heat input was proportional to the shaft veloc-
ity. According to the authors’ knowledge, this case has not yet
been studied in the literature. The root cause analysis, the hot spot
stability analyses using three different heat input models, and fi-
nally the successful modification, are described further below. The
operational experience of other turbogenerators that were deliv-
ered with the modification is described.
Case History
Prior to release of turbogenerator up rates, the machine is tested
to verify all electrical and performance data. The turbogenerator is

Journal of Engineering for Gas Turbines and Power JANUARY 2008, Vol. 130 / 012509-1
Copyright © 2008 by ALSTOM

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 Fig. 1 Measured displacement p-p „peak-to-peak… amplitudes
showing spiral vibration: „a… polar plot of bearing pedestal vi-
bration; „b… amplitude versus time plot of relative shaft
vibration
Fig. 3 Polar plots of measured vibration at different rotor
speeds n and period T for one 360 deg turn: „a… relative shaft
vibration at NDE-bearing; „b… horizontal DE-bearing pedestal
mounted on a test stand in the factory and driven by a synchro- vibration
nous motor 共Fig. 2兲. The generator is operated at its rated speed.
The drive motor only needs to deliver the losses of the generator
共around 1% of the machine’s rated power兲. Various tests with the running generator were performed in order
During the running test of a hydrogen-cooled turbogenerator to identify the location of the hot spot. In parallel, a hot spot
with three bearings, spiral vibration with increasing magnitude calculation model was set up.
occurred. In the text below, the three bearings will be referred to Measured Vibrational Behavior. The generator was run at
as DE- 共driven end兲, NDE- 共non-driven end兲, and end bearings speeds below rated speed in order to find out the speed range
共Fig. 7兲. The spiral vibration with increasing magnitude would during which the spiral vibration occurs. Figure 3 shows the mea-
limit the duration of continuous running in the power plant. Im- sured vibrations for 3200, 3500, and 3600 rpm. At 3200 rpm, the
mediately, a root cause analysis was started to solve the problem. magnitude of the spiral was stable and the spiral became a limit
circle. Above 3200 rpm, the spiral vibration has increasing mag-
nitude in a wide speed range of more than 400 rpm. At all three
speeds, a forward 共co-rotational兲 rotating vector was observed.
Table 1 Cases of spiral vibration, machine types: Compressor
„COM…, Steam Turbine „ST…, Turbogenerator „GEN… Potential Hot Spot Locations
Speed Rotation Period T The vibration-induced hot spots may be generated at various
in direction for locations of hydrogen-cooled turbogenerators, such as:
Type Power rpm of vector (2) 360 deg turn Ref.
1. labyrinth seals at the hydrogen seals, bearing pedestals and
COM Not given 11,500 共+兲 Forward Not given 关6兴 the brush gear housing
⬎11,500 共−兲 Backward 2. oil film in journal bearings
ST HP rotor Rated 共−兲 Backward 0.5 to 2 h 关10兴 3. seal ring of the hydrogen seals
speed 4. carbon brushes sliding on the two slip rings.
GEN 100 MW 3000 共−兲 Backward 20 min 关11兴
GEN 650 MW 3600 共−兲 Backward 3.5 h 关11兴 The labyrinth seals were excluded by inspection of the clear-
GEN 722 MVA 3600 共−兲 Backward 3.2 h 关12兴 ances. The journal bearings and the hydrogen seal ring were ex-
GEN 600 MVA 3000 共−兲 Backward Not given 关13兴 cluded by variation of the lube oil temperatures and lube oil flows,
GEN 760 MW 3600 共+兲 Forward 3h 关2兴 which did not change the vibrational behavior. A test without car-
GEN 450 MVA 3600 共+兲 Forward 60 to 关14兴
bon brushes revealed that the carbon brushes sliding on the slip
100 min
关14兴 rings were the location of the hot spot.
GEN 1180 MVA 3000 共−兲 Backward 70 to
100 min The generator was brought to rated speed without brushes and
GEN 1180 MVA 2350 共+兲 Forward 关14兴 operated for about 1 h. No spiral vibration occurred. Immediately
(1) after insertion of the brushes, which can be done under opera-
(1): below rated (2): 共−兲: backward 共counter-rotational兲 tional conditions 共Fig. 5兲, spiral vibration appeared with increas-
speed of 3000 rpm 共+兲: forward 共co-rotational兲 ing magnitude. After brush removal, the spiral vibration promptly
stopped and the vibration vector returned straight to its original
position as when the test was started. Figure 4 shows the polar
plot of the relative shaft vibration measured at the NDE-bearing
during this run.
Brush Gear and Carbon Brushes. The brush gear unit sup-
plies the DC current to the field winding of the generator rotor.
The field current of hydrogen-cooled generators is in the range
from 3000 A to 7000 A. The slip ring shaft 共SR兲 with two slip
rings and a radial fan for cooling is supported by the NDE- and
the end-bearing. Carbon brushes sliding on the slip rings transfer
the current from the stationary brush holders 共Fig. 5兲 to the rotat-
Fig. 2 Turbogenerator during running test in factory ing slip rings. The slip rings are shrunk on the shaft via soft

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 Fig. 4 Measured relative shaft vibration at NDE-bearing. Rotor speed n = 3600 rpm.
insulation material for electrical insulation. Nevertheless, the ther-
mal bow of the slip rings is transmitted to the shaft to some extent.
Slip ring shafts may be particularly prone to the spiral vibration
phenomenon due to the friction heat that is inevitably generated
by the brushes. During operation the generated friction heat may
increase due to humidity being too low 共below
4.5 grams/ m3 H2O abs.兲 or current density being too low 共below
5.5 to 8 A / cm2兲.
Hot Spot Stability Analyses
With a hot spot stability analysis using a rotor dynamic model
of the generator rotor, potential modifications were studied. The
modeling of the hot spot phenomenon is based on the theory of
Kellenberger 关11,12兴 using a thermal equation between the shaft’s
thermal deflection and the shaft displacement at the location of a
hot spot. In case of slip rings, the friction between brushes and
shaft causes the hot spot. The contact forces of the brushes around
the circumference may vary due to the shaft vibration and cause a
thermal bend of the slip ring shaft due to the differential heat
input. The stability threshold is determined as a function of the
rotor speed and the ratio of the added heat to the dissipated heat at
the slip rings. A threshold at low ratio indicates that the shaft is
sensitive to hot spots, i.e., little heat input is necessary to destabi-
lize the system.
The calculation method for generalized shaft systems according
to Schmied 关13兴 is described in Appendix A.
Three Different Heat Input Models. In the case of slip rings,
the friction between the carbon brushes and the slip ring causes
(a) (b)
Fig. 5 Brush gear unit: „a… view on removable brush carriers;
„b… brush carrier with three brushes
Journal of Engineering for Gas Turbines and Power
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the hot spot. The brushes are pressed against the slip ring by roller
springs 共Fig. 5共b兲兲. The pressure around the circumference may
vary due to the shaft vibration. In the case of a synchronous vi-
bration, it is always at the same point on the shaft, which is sub-
mitted to an increased heat input. The pressure can vary due to the
following three mechanisms 共Fig. 6, cases a to c兲. The brush con-
tact force varies:
共a兲 due to the stiffness of the roller springs
共b兲 due to the friction in the brush holder, which inhibits the
movement of the brush in radial direction
共c兲 due to the inertia effects of the brushes.
Thus three different relations between the added heat and the
shaft vibration were modeled:
共a兲 heat input proportional to the shaft displacement
共b兲 heat input proportional to the shaft velocity
共c兲 heat input proportional to the shaft acceleration.
The calculation method for these three different relations is
described in Appendix A 共cases a to c兲.
The most suitable case will be selected by comparison of the
analytical results to the practical experience.
Case a: Heat Input Proportional to Shaft Displacement. For a
rub with a spring-contact force, this would be the appropriate
relation. It is a good approximation for the effect in a journal
bearing or labyrinth seals. Kirk’s method 关5兴 to estimate the sta-
bility is limited to the effect in a journal bearing. A stability cri-
terion is given, although it does not provide a clear stability
Fig. 6 Three heat input mechanisms of brushes
JANUARY 2008, Vol. 130 / 012509-3
 Fig. 7 Rotor model of the turbogenerator with slip ring shaft
between the NDE- and the end-bearings

threshold.
However, roller springs 共Fig. 5共b兲兲 are designed to provide a
constant force not dependent on spring displacement or brush
wear and thus have very low spring stiffness. Therefore, it is
highly likely that one of the other two mechanisms prevails.
Case b: Heat Input Proportional to Shaft Velocity. For a rub
with a contact force varying due to Coulomb friction, this would
be the appropriate relation. This may be a good approximation for
the brushes sliding within the brush holders. It is assumed that the
heat input is proportional to the shaft velocity instead of the shaft
displacement, since a friction force changes its direction with the
direction of the velocity.
Case c: Heat Input Proportional to Shaft Acceleration. For a
rub with a contact force varying due to inertia effects, this would
be the appropriate relation, e.g., in case the inertia forces of the
brush masses themselves would play a role. The heat input is
assumed to be proportional to the shaft acceleration.
Rotor Dynamic Model. Figure 7 shows the rotor dynamic
model of the turbogenerator.
The model of the turbogenerator with brush gear unit consists
of the generator rotor 共GEN兲 and the slip ring shaft 共SR兲, sup-
ported on three journal bearings in free-standing pedestals, which
are modeled as equivalent mass-spring-damper systems with rep-
resentative parameters for the horizontal and vertical direction. In
Fig. 7, the locations of the slip ring 1 and 2 and the three bearings
共DE-, NDE-, and end-bearing兲 are indicated.
Natural Frequencies and Damping Ratios. Table 2 summa-
rizes the natural frequencies and corresponding damping ratios at
rated speed.
The generator rotor has four critical speeds nk up to a rated
speed of 3600 rpm. The first bending modes of the generator
共GEN兲 and the slip ring shaft 共SR兲 have a U-shape. The second
bending modes of the GEN rotor have an S-shape.
The natural frequencies of the generator 共k = 1 to 4兲 are well
below rated speed and have a minor influence on the hot spot
stability. The modes with largest influence on the hot spot behav-
ior are the two slip ring shaft modes 共SR first bending horizontal/
Fig. 8 Slip ring shaft „SR… modes at rated speed: „a… horizon-
tal; „b… vertical
vertical兲 shown in Fig. 8. For these two SR modes the natural
frequency and damping ratio as functions of speed are plotted in a
Campbell diagram 共Fig. 11共a兲, original design兲.
The rated speed is between the critical speeds of the horizontal
and vertical slip ring shaft mode. The natural frequency of the
horizontal SR mode 共3310 cpm兲 is close to rated speed. This
mode is highly damped, with a damping ratio of 22.5% at its
critical speed of 3210 rpm.
Thermal Bow of Shaft. The thermal deformations of the shaft
for a temperature difference of 1 K across the section over the
seat length of slip ring 1 are shown in Fig. 9. The maximum
deflection occurs at slip ring 1 with 2.8 ␮m / K in horizontal di-
rection and with 2.9 ␮m / K in vertical direction. For the tempera-
ture difference at slip ring 2, the maximum defection are
3.2 ␮m / K in the horizontal direction and 3.3 ␮m / K in the verti-
cal direction.
Hot Spot Stability Charts. The hot spot stability analysis as
described in Appendix A yields additional natural modes—the
so-called hot spot modes. The hot spot modes are the rotor re-
sponse to the thermal bent shaft, basically an unbalance response.
The assessment of the hot spot stability is carried out in two
steps:
1. Determination of the threshold as a ratio of the added to
dissipated heat at the slip rings, as a function of the rotor
speed. For heat input below the threshold, the vibration am-

Table 2 Natural frequencies and damping ratios at rated

speed „six modes…

Natural
frequency Damping ratio
Mode shape description,
k f k, Hz f k, cpm D k, % main vibration direction

1 9.99 600 0.5 GEN first-bending, hor.

2 10.75 650 0.3 GEN first-bending, vert.
3 26.57 1590 3.8 GEN second-bending, hor.
4 30.02 1800 0.2 GEN second-bending, vert.
5 55.19 3310 15.4 SR first-bending, hor.
8 82.35 4940 2.5 SR first-bending, vert. Fig. 9 Thermal deflection due to hot spot at slip ring 1: „a…
horizontal deflection; „b… vertical deflection

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Fig. 10 Stability charts for the three different heat input mod-
els: „a… case a: heat input È shaft displacement; „b… case b:
heat input È shaft velocity; „c… case c: heat input È shaft
acceleration
plitude decays to a value corresponding to the residual un-
balance; in the case in which it is above the threshold, the
vibration amplitude theoretically increases to infinity. In
practice, it will stabilize at a high level due to nonlinearity,
which is not considered in the model. The stability threshold
primarily is a property of the rotor bearing system and its
natural modes.
2. Estimation of the ratio p / q of the added to dissipated heat as
done in 关13兴 for heat input proportional to shaft displace-
ment in a journal bearing and heat input proportional to shaft
acceleration for brushes on slip rings. In Appendix B, the
ratio p / q of the added to dissipated heat as estimated for
heat input proportional to shaft velocity.
Figure 10 shows the stability charts for the three different heat
input models 共Fig. 6兲. The dimensionless heat ratios for the cases
b and c are p⍀2 / q and p⍀3 / q, respectively. The “±” signs indi-
cate the direction of the unbalance vector turning due to the hot
spot: “共+兲” for forward 共co-rotational兲 and “共−兲” for backward
共counter-rotational兲.
For case b, the ratio p⍀2 / q for the added to dissipated heat at
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rated speed is estimated for different radius of the shaft orbit at the
slip ring 共see Table 3, Appendix B兲. For small shaft orbits, the
estimated p⍀2 / q ratio lies above the stability threshold in the
unstable region. The ratio decreases with increasing vibration
level due to nonlinear friction and thus stabilizes at a high vibra-
tion level.
Since the model has two hot spot locations, two “thermal”
modes appear. One thermal mode is a kind of first bending of the
slip ring shaft 共temperature differences in phase兲, and the second
mode is a kind of second bending 共temperature differences out of
phase兲. The second thermal mode has the higher stability thresh-
old, i.e., the stability is determined by the first mode. In the case
of the acceleration heat input model, the second thermal mode is
always stable 共no threshold exists for this mode兲. One would have
obtained similar results using only one hot spot location for the
two slip rings.
The shape of the stability threshold lines are determined mainly
by the horizontal and vertical SR resonances:
Case a (Fig. 10(a)). For the displacement heat input model, the
threshold is low in the whole speed range below the horizontal SR
resonance 共3310 rpm兲. Above this resonance, the threshold in-
creases steeply. Close to the vertical SR resonance, only a small
spike with a lower threshold appears. Only backward rotating vec-
tors 共−兲 occur in the whole speed range.
Case b (Fig. 10(b)). For the velocity model, the threshold de-
creases from low speeds toward the horizontal SR resonance and
then remains at a low level for higher speeds. A forward rotating
vector 共+兲 occurs below 4950 rpm 共vertical SR resonance兲 and
backward 共−兲 above 4950 rpm.
Case c (Fig. 10(c)). The acceleration model is unstable above
the vertical SR resonance 共4950 rpm兲 with a forward rotating vec-
tor 共+兲 only.
These behaviors can be explained with the simplified two-
degrees-of-freedom system used by Adams 关2兴 by the phase angle
␸ of the response to an unbalance or thermal bending of the slip
ring shaft. In case of a small angle ␸, i.e., in the subcritical region,
the displacement model yields a heat input in the same direction
as an unbalance and thus can amplify an initial thermal bending
共→ low threshold兲. For the velocity model, this situation occurs
for a phase angle ␸ around −90 deg, since the velocity is 90 deg
ahead of the displacement. For the acceleration model, this situa-
tion occurs only in the supercritical region with phase angles be-
tween −90 deg and −180 deg. Thus, the six cases given in Table 3
of 关14兴 may be distinguished.
Selection of the Adequate Heat Input Model. As shown in
Figs. 3 and 5, only the forward rotating vector was observed in the
speed range from 3200 rpm to 3600 rpm. With the acceleration
model 共case c兲, no unstable behavior was calculated at 3600 rpm
below the vertical SR resonance. The displacement model 共case a兲
does not show a forward rotating vector at 3600 rpm or at speeds
below the vertical SR resonance. This model is also questionable
regarding the design of the springs in the brush holder. Roller
springs have very low stiffness.
Only the hot spot modes, calculated for case b with the heat
input proportional to the shaft velocity, match the observed spiral
vibration behavior with forward rotating vector. The stability
threshold of case b is low enough at rated speed to explain the
increasing magnitude due to the hot spot phenomenon. Therefore,
the case b model is used to investigate potential modifications.
The calculated behavior of case b also matches the case of an
1180 MVA, 3000 rpm turbogenerator 共Table 1兲, which showed
spiral vibration with a backward rotating vector at 3000 rpm, a
forward rotating vector at 2350 rpm and no spiral vibration at
3200 rpm. The slip ring shaft critical speed with 2830 rpm was
JANUARY 2008, Vol. 130 / 012509-5

Fig. 11 Campbell diagram of horizontal and vertical slip ring
shaft mode: „a… original design; „b… selected modification: five
tilting-pad bearings at NDE- and end-bearings
initially too close to rated speed and was shifted to lower speeds
by increasing the bearing span of the slip ring shaft to solve the
problem.
Potential Modifications and Selected Modification. The fol-
lowing three options were considered:
1. use carbon brushes with low friction coefficient 共of 0.14
instead of 0.26 for standard brush兲;
2. shift the horizontal SR critical speed above rated speed by
increased horizontal stiffness of the journal bearings using
other journal bearing types;
3. shift both the horizontal and vertical SR-critical speed below
rated speed by increasing the bearing span between the
NDE- and end-bearing.
The use of low friction brushes 共option 1兲 will reduce the vi-
bration level through the reduction in heat input, however, this
will not eliminate the sensitivity of the shaft line to spiral vibra-
tion behavior. Option 2 is promising, because the highly damped
horizontal SR mode has the main influence on the hot spot behav-
ior. It was studied together with option 3 by calculating Campbell
diagrams and hot spot stability charts.
Option 3 would require an increase of the bearing span by more
than 1 m and a large effort to implement within the power plant.
With option 2, finally an appropriate bearing configuration was
found to shift the horizontal SR mode well above rated speed.
This bearing modification was selected to overcome the spiral
vibration with increasing magnitude. The modification consists of
five tilting-pad bearings 共“load between pads”兲 at both the NDE-
and end-bearings.
Figure 11 compares the natural frequency nk and damping ratio
Dk of the horizontal SR mode for the original and the modified
bearing configuration. In Fig. 12 the calculated hot spot stability
charts of the original and the modification are shown. The hot spot
stability chart of the modified configuration clearly shows that the
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Fig. 12 Hot spot stability chart before and after modification.
Heat input proportional to shaft velocity.
unstable region is shifted to higher rotor speeds as the horizontal
slip ring shaft mode is shifted to higher frequencies. The heat ratio
at the stability threshold at 3600 rpm increases by a factor of 4.5
from 0.39 to 1.75. The vibration level is expected to drop to 22%
共=1 / 4.5兲 of the original value. This can be estimated using Eq.
共B11兲 and Table 3.
Modification on Site
During the initial commissioning in the power plant, low fric-
tion brushes were used to reduce the vibration levels. Standard
brushes replaced them when five tilting-pad bearings were in-
stalled at the NDE- and end-bearings. With the bearing modifica-
tion, the spiral vibration is reduced to small magnitude even with
higher friction. Figure 13 shows the relative shaft vibration at the
NDE-bearing before and after the modification.
Before the modification the unit could be operated with shaft
vibration level of up to 250 ␮m p-p 共peak-to-peak amplitude兲 just
below the trip limit. After the modification the relative shaft vi-
bration levels at the DE- and NDE-bearings were well within zone
A of ISO 7919-2 for newly commissioned machines. At the NDE-
bearing, the shaft vibration level reduced to 16 ␮m p-p. This large
improvement is not only caused by the increased stability thresh-
old, but also to some extent by the increased horizontal stiffness
of the five tilting-pad bearings.
Operational Experience
The same brush gear unit is used with two other types of
3600 rpm turbogenerator with higher rating. In total, 13 units are
in operation in Mexico, USA, and the Middle East. The first few
of them were modified on site during the erection and commis-
sioning phase. Later units were delivered with the modified bear-
ings. These 13 generators accumulated more than 200,000 operat-
ing hours.
Stable spiral vibration 共vector turning兲 is observed at measured
relative shaft vibration. The maximum levels of shaft vibration at
the DE- and NDE-bearings are well within zone A of ISO 7919-2
Fig. 13 Polar plot of measured relative shaft vibration at NDE:
„a… before modification; „b… after modification
Transactions of the ASME
 cause of the heat input is known and is of no concern for any
machine component, as in the case of carbon brushes sliding on
slip rings.

Acknowledgment
The authors acknowledge the efforts of Alfred Ziegler, ALS-
TOM, for leading the additional tests for identification of the hot
spot location, and Jean-Claude Pradetto, DELTA JS AG, for the
performance of the hot spot stability analysis, and thank ALS-
TOM for allowing publication of this document.

Nomenclature
Ra ⫽ outer radius of the slip ring
Ri ⫽ inner radius of the slip ring
␥ ⫽ Ri / Ra, ratio of inner to outer radius
B ⫽ width of the slip ring seat
c ⫽ specific heat capacity of the shaft material
␳ ⫽ density of the slip ring material
Fig. 14 Typical measured relative shaft vibration at NDE: „a… p ⫽ proportionality factor for the added heat
polar plot; „b… amplitude versus time plot q ⫽ proportionality factor for the eliminated heat
F ⫽ contact force of brushes
␮s ⫽ friction coefficient between brush and shaft
共⬍75 ␮m p-p for rotational speed of 3600 rpm兲. Figure 14共a兲 ␮h ⫽ friction coefficient between brush and holder
shows a typical polar plot of the shaft vibration at the NDE- u ⫽ circumferential speed of the shaft
bearing recorded during operation at full load. Figure 14共b兲 shows ⍀ ⫽ shaft speed in rad/s
the same time period as amplitude versus time plot. The sinusoidal ⌰ ⫽ cross-sectional temperature difference
variation of the shaft displacement between 10 and 20 ␮m p-p has ␬ ⫽ factor for heat dissipation
a period of 48 min. K ⫽ factor for heat input
Increased shaft vibrations levels were observed at one unit. ⌬Q̇ ⫽ added heat due to the vibration
However, the shaft vibration levels at the DE- and NDE-bearings ␺ ⫽ circumferential angle on the shaft surface
were still within zone A of ISO 7919-2 关15兴, close to the zone ␣ ⫽ heat transfer coefficient of the slip ring to
boundary A/B. During an inspection, the vibration levels were ambience
reduced by:
x ⫽ shaft displacement
• ensuring proper operation of the air humidifier x̂ ⫽ radius of the circular shaft orbit
• more symmetric arrangement of the brushes. xT ⫽ thermal deflection
␤ ⫽ ratio of the thermal deflection at the slip ring
to the cross-sectional temperature difference
Conclusions 共Fig. 9兲
A 450 MVA, 3600 rpm hydrogen-cooled turbogenerator
equipped with a brush gear unit showed the phenomenon of spiral
vibration with a forward rotating vector. After tests with the run- Appendix A: Hot Spot Stability Analysis
ning turbogenerator, the carbon brushes sliding on the slip rings
were identified as the hot spot location.
With the help of hot spot stability analyses using a rotor dy- Calculation Method
namic model of the generator rotor on three bearings, potential The equation of motion of the finite element model of a multi
modifications were studied. In the case of slip rings, the friction bearing turbine generator set has the form:
between brushes and shaft causes the hot spot. The stability
threshold is determined as a function of the rotor speed and the Mẍ + 共D + G兲ẋ + Kx = f共t兲 共A1兲
ratio of the added heat to the dissipated heat at the slip rings. A with the mass matrix M, the damping matrix D, the gyroscopic
threshold at low ratio indicates that the shaft is sensitive to hot matrix G, and the stiffness matrix K.
spots, i.e., little heat input is necessary to destabilize the system. Due to the damping and stiffness coefficients of the journal
Three different relations between the heat input and the shaft vi- bearing the matrices D and K are non-symmetric and dependent
bration were modeled: heat input proportional to the shaft dis- on rotor speed.
placement, to the shaft velocity, and to the shaft acceleration. The If the rotor is thermally deformed, the equation of motion for
model, in which the heat input is proportional to the velocity, was coordinates x relative to the static position of the rotor not de-
found to be the most suitable variant for brushes on slip rings, formed is
which was confirmed by comparison with the measured vibration.
Finally, a modification of the generator shaft line was selected Mẍ + 共D + G兲ẋ + Kx − KRxT = f共t兲 共A2兲
based on the calculation results: both slip ring shaft critical speeds where K is the stiffness matrix of the rotor alone 共without ped-
R
were shifted well above rated speed by using five tilting-pad bear- estals and journal bearings兲 and xT is the vector describing the
ings at the NDE- and end-bearings. The modification was success- thermal deformation.
fully implemented within the power plant. In total, thirteen The thermal deformation xT is assumed to depend linearly on
3600 rpm generators with this modified design are in operation
the thermal deflections xT,HS of the shaft at the location of the hot
and accumulated more than 200,000 operating hours. The shaft
spot 共HS兲:
vibration levels are within zone A of ISO 7919-2. Stable spiral
vibration 共vector turning兲 with low amplitude is acceptable if the xT = TxT,HS 共A3兲

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 xT,HS = 共xT,h,xT,v兲T
where xT,h and xT,v are the thermal translatory deflections in hori-
zontal and vertical directions, respectively, at the location of the
hot spot. The matrix T is derived from the thermal deformation of
the rotor 共see Fig. 9兲, which is determined by a static calculation
with thermal loads: for the first column of T for a temperature
gradient in horizontal direction and for the second column for a
temperature gradient in vertical direction.
Three Different Heat Input Models
. coordinates xHS of the hot spot. Equation 共A8兲 is valid for the heat
Case a: Heat Input Proportional to Shaft Displacement. The
modeling of the hot spot phenomenon according to the theory of
Kellenberger is based on the following thermal equation:
with x̃T,HS as the thermal deflection at the location of a hot spot
and x̃HS = 共x̃h , x̃v兲T as the vector of the translatory shaft displace-
ments at the location of the hot spot. Q̇+ is the added heating
efficiency and Q̇− is the dissipated heating efficiency.
Equation 共A5a兲 was derived in detail by Kellenberger 关11,12兴.
The coordinates in Eq. 共A5a兲 are rotating in contrast to the coor-
dinates in Eqs. 共A1兲–共A3兲, which are stationary 共Fig. 6兲.
Equation 共A5a兲 implies the following:
• The change of cross-sectional temperature difference is pro-
portional to the change of thermal deflection.
• The differential heat input across the shaft cross section is
proportional to the shaft displacement and the speed.
• The differential dissipated heat across the shaft cross section
is proportional to the thermal deflection.
The proportionality factors for the added and dissipated heat are
p and q. Kellenberger has applied the method to simplified shaft
models. The method was extended for the use on general shaft
systems 共see 关13兴兲. In Eq. 共A5a兲, the heat input is proportional to
the displacement of the shaft at the location of the hot spot.
Case b: Heat Input Proportional to Shaft Velocity. It is assumed
that the heat input is proportional to the shaft velocity instead of
the shaft displacement, since a friction force changes its direction
with the direction of the velocity. This yields the following ther-
mal equation:
x̃˙T,HS = p⍀x̃˙HS − qx̃T,HS
Case c: Heat Input Proportional to Shaft Acceleration. The heat
input is assumed to be proportional to the shaft acceleration, i.e.,
the following thermal equation applies:
x̃˙T,HS = p⍀x̃¨HS − qx̃T,HS
Hot Spot Stability. Transforming Eq. 共A5a兲 into stationary co-
ordinates xT,h, xT,v, xh, xv yields:
冋 册冋 册 冋
1 0
0 1
ẋT,h
ẋT,v
+
− p⍀
0
0
− p⍀
册冋 册 冋
xh
xv
+
q
−⍀ q
⍀
册冋 册
xT,h
xT,v
冋册 =
0
0
or by using matrices and vectors
IẋT,HS + PxHS + QxT,HS = 0
Substituting 共A3兲 into 共A2兲 and extending 共A2兲 by 共A7兲 yields
012509-8 / Vol. 130, JANUARY 2008
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共A4兲
共A8兲
where P is a 2 ⫻ N matrix 共with N as the dimension of Eq. 共A2兲兲,
which has the coefficients of P at the columns of the translatory
input proportional to the shaft displacement according Eq. 共A5a兲.
For the other two models with heat input proportional to shaft
velocity 共Eq. 共A5b兲兲 and shaft acceleration 共Eq. 共A5c兲兲, respec-
tively, the parameter matrix P appears in matrix B and A respec-
tively, instead of C.
To receive Eq. 共A8兲, the original finite element model of the
共A5a兲 rotor represented by Equation 共A1兲 must be extended by introduc-
ing the two extra degrees of freedom xT,h and xT,v. The additional
coefficients must be added to the global matrices. This possibility
is provided for the input of the program MADYN 关16兴.
From Eq. 共A8兲, one could calculate the time history of x by a
time step method. The polar plot of the time history of each co-
ordinate would be a spiral either increasing or decreasing in mag-
nitude. This calculation, however, would require larger computa-
tional effort, since the period of a spiral to complete a 360 deg
turn is very long for realistic examples 共see Table 1兲. That is why
the computation would require the simulation of quite a long pe-
riod of time until one could judge whether a spiral increases or
decreases in magnitude.
As described in 关13兴, this information could be extracted more
easily from the complex eigenvalues of Eq. 共A8兲. Their calcula-
tion requires little computational effort.
Equation 共A8兲 has 2共N + 1兲 eigenvalues. Since realistic values
for p and q are very small—p is in the order of magnitude of 10−4
and q is in the range of 10−3␻0, where ␻0 is a representative
natural frequency of the rotor system 关11,13兴—a set of 2N eigen-
values is practically the same as those of Eq. 共A1兲 representing the
rotor system.
Thermal Eigenvalues. The additional two eigenvalues are a
conjugate complex pair
␭T = ␣ ± i␯ 共A9兲
and will be called “thermal” eigenvalue in the following. The
imaginary part ␯ of the thermal eigenvalue is almost equal to ⍀.
The interpretation of the thermal eigenvector 共so-called hot spot
共A5b兲 mode兲 is derived in 关13兴.
The difference 兩␯ − ⍀兩 indicates the circular frequency of the hot
spot moving around the circumference of the shaft surface. This is
the circular frequency at which the spiral is traced. The period to
complete a 360 deg turn of the spiral is
T = 2␲/兩␯ − ⍀兩 共A10兲
共A5c兲
The direction of the revolution of the unbalance response vector
is as follows:
␯ ⬎ ⍀ Forward 共A11a兲
共co-rotational, same direction as the rotor spin兲
␯ ⬍ ⍀ Backward 共A11b兲
共A6兲 共counter-rotational, opposite direction of the rotor spin兲.
The real part of the thermal eigenvalue ␭T indicates whether the
spiral increases or decreases in magnitude:
␣ ⬎ 0 Increasing magnitude 共unstable behavior兲 共A12a兲
共A7兲
␣ ⬍ 0 Decreasing magnitude 共stable behavior兲 共A12b兲
Transactions of the ASME
 Table 3 Estimated heat ratio p⍀2 / q as a function of radius x̂ of
shaft orbit at the slip ring

x̂, ␮m 10 20 40 80 160
x̂, ␮m p-p 20 40 80 160 320
p⍀2 / q 6.64 3.32 1.66 0.83 0.415

The effective heat capacity of a hollow cylinder and the heat

dissipation on the cylinder surface for a temperature distribution
according to Fig. 16 with the above assumptions yields:
6␣
␬= 共B2兲
␳Rac共1 − ␥3兲

3
K= ⌬Q̇ 共B3兲
Fig. 15 Circular orbit of the shaft center at the slip rings 2␳BR2ac共1 − ␥3兲
The thermal equation for the thermal bending of the slip ring
for the case of a heat input proportional to the vibration velocity
共see Eq. 共A5b兲 of Appendix A兲 is:
ẋT = p⍀ẋ − qxT 共B4兲
The relation between xT and ⌰ is:
xT = ␤⌰ 共B5兲
Equation 共B5兲 substituted into 共B4兲 yields:

˙ + q⌰ = p⍀ ẋ
⌰ 共B6兲
␤
Comparing 共B6兲 and 共B1兲 considering 共B2兲 and 共B3兲 yields:
6␣
q= 共B7兲
␳Rac共1 − ␥3兲

p⍀ 3
ẋ = ⌬Q̇ 共B8兲
␤ 2␳BRac共1 − ␥3兲
2

Fig. 16 Circumferential distribution of added and eliminated Equations 共B7兲 and 共B8兲 yield:
heating efficiency
p⍀ ⌬Q̇␤
= 共B9兲
Appendix B: Estimation of the Ratio Between Added to q 4BRa␣ẋ
Eliminated Heat at the Slip Rings The heat input ⌬Q̇ caused by the variation of the contact force
due to the friction in the brush holder can be expressed as follows:
Assumptions for the Estimation
ẋ
The analytical estimation is done with the following assump- ⌬Q̇ = F ␮s2␮hu 共B10兲
tions: ⍀x̂
Substituting 共B10兲 into 共B9兲 with u = ⍀Ra yields
1. The slip ring orbit is a synchronous circle 共Fig. 15兲. The
orbit at the slip rings is circular. p⍀2 F␮s2␮h␤⍀
2. The circumferential distribution of the added heat due to the = 共B11兲
q 4B␣x̂
vibration is a sinus shape 共Fig. 16兲. The maximum is at the
high spot of the shaft. The resulting contact force for a continuous distribution of the
3. For the eliminated heat distribution, the same applies as for brushes 共Fig. 15兲 is:

the added heat.
4. The axial distribution of the temperature in the slip ring is
constant.
5. The slip ring is adiabatic.
6. The complete sinusoidal shaped friction power due to the
vibration enters the ring.
7. The thermal bow of the slip ring is fully transmitted to the
shaft. This assumption is probably too extreme due to the
soft insulation material between the slip rings and the shaft.
The thermal equation for the cross-sectional temperature differ-
ence ⌰ in the journal is
˙ + ␬⌰ = K
⌰ 共B1兲
冕
␲
F = 2BpRa sin ␺ d␺ = 4BRa p 共B12兲
0
with p as the substitute pressure 共sum of contact forces from all
carbon brushes homogeneously distributed on the whole slip ring
surface兲.
As can be seen from Eq. 共B11兲, the estimated ratio p⍀2 / q of
added to eliminated heat decreases with increasing radius of the
shaft orbit. With realistic parameters for the brush arrangement
one gets the estimated ratio of added to eliminated heat according
to Table 3.
The data of Table 3 indicate that the magnitude of the spiral
vibration ends in a limit cycle when the ratio of added to elimi-

Journal of Engineering for Gas Turbines and Power JANUARY 2008, Vol. 130 / 012509-9

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 nated heat reduces to a value at the stability threshold. Note that
the displacement at the NDE-bearing is significantly smaller than
at the location of the slip ring.
Equation 共B11兲 and the numbers in Table 3 explain that in the
case of slip rings, the spiral vibration stabilizes at increased am-
plitude. A slip ring shaft with an increased residual unbalance will
show a lower tendency to spiral vibration, because the increased
orbit will result in a low heat ratio p⍀2 / q and thus may already be
in the stable region below the stability threshold 共Fig. 12兲.
References
关1兴 Newkirk, B. L., 1926, “Shaft Rubbing. Relative Freedom of Rotor Shafts From
Sensitiveness to Rubbing Contact When Running Above Their Critical
Speeds,” Mech. Eng. 共Am. Soc. Mech. Eng.兲, 48共8兲, pp. 830–832.
关2兴 Adams, M. L., 2001, “Vector Turning From Synchronously Modulated Rubs,”
in Rotating Machinery Vibration from Analysis to Troubleshooting, Marcel
Dekker, Inc., New York, Chap. 12.3, pp. 312–318.
关3兴 Balbahadur, A. C., 2001, “A Thermoelastohydrodynamic Model of the Morton
Effect Operating in Overhung Rotors Supported by Plain or Tilting Pad Jour-
nal Bearings,” Ph.D. thesis, Faculty of the Virginia Polytechnic Institute and
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关4兴 Balbahadur, A. C., and Kirk, R. G., 2004, “Part I—Theoretical Model for a
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Eng. Gas Turbines Power, 118, pp. 816–824.
012509-10 / Vol. 130, JANUARY 2008
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关7兴 Keogh, P. S., and Morton, P. G., 1993, “Journal Bearing Differential Heating
Evaluation With Influence on Rotor Dynamic Behaviour,” Proc. R. Soc. Lon-
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关9兴 Gasch, R., Nordmann, R., and Pfützer, H., 2002, “Der sanft anstreifende Ro-
tor,” in Rotordynamik, 2nd ed., Springer-Verlag, Berlin, Chap. 26, pp. 537–
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erators Thermally Induced Interaction Between Rotor and Stator,” ASME J.
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Design Engineering Div. Conf., Vib. Noise, DE-Vol. 2, Rotating Machinery
Dynamics, Boston MA, ASME H0400B, pp. 449–456.
关14兴 Eckert, L., Schmied, J., and Ziegler, A., 2006, “Case History and Analysis of
the Spiral Vibration of a Large Turbogenerator Using Three Different Heat
Input Models,” 7th IFToMM International Conference on Rotor Dynamics,
Vienna, Austria, September 25–28, Paper-ID 161, pp. 1–10.
关15兴 ISO 7919-2, 2001, “Mechanical Vibration—Evaluation of Machine Vibration
by Measurements on Rotating Shafts. Part2: Land-Based Steam Turbines and
Generators in Excess of 50 MW With Normal Operation Speeds of
1500 r / min, 1800 r / min, 3000 r / min, and 3600 r / min,” 2nd ed., ISO 共Inter-
national Organization for Standardization兲, pp. 11–15.
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Machine Dynamics, Ingenieur-Büro Klement, Troyesstr. 4, Darmstadt, Ger-
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Transactions of the ASME