Chapter 1

A Brief History of Rotor Dynamics and Recent Trends

A brief history of rotor dynamics field has been documented in the present review. It reviews early
development of simple rotor models starting from the Rankine to Jeffcott rotor models and physical
interpretations of various kinds of instabilities in rotor-bearing systems. It also reviews developments
of analysis methods for the continuous and multi-degrees-of freedom systems to allow practicing
engineers to apply these methods to real turbo-machineries. It also summaries work on conditioning
monitoring and the recent trends in the area of rotor dynamics.

A rotor is a body suspended through a set of cylindrical hinges or bearings that allow it to rotate
freely about an axis fixed in space (Figs. 1.1 and 1.2). Engineering components concerned with the
subject of rotor dynamics are rotors of machines, especially of turbines, generators, motors,
compressors, blowers and the like. The parts of the machine that do not rotate are referred to with
general definition of the stator. Rotors of machines have, while in operation, a great deal of rotational
energy, and a small amount of vibrational energy. It is very evident from the fact that a relatively
small turbine propels a huge aircraft. The purpose of rotor dynamics as a subject is to keep the
vibrational energy as small as possible. In operation rotors undergoes the transverse (bending),
longitudinal (axial), and torsional vibrations; individually or in combination.

Fluid-film bearing Discs Bush bearing Motor

Shaft Coupling

Figure 1.1(a) A typical rotor bearing test rig

 2

Figure 1.1(b) A close view of a rotor consists of two discs mounted on a flexible shaft

Fig 1.2(a) A rigid rotor mounted on flexible Fig 1.2(b) A flexible rotor mounted on
bearings rigid bearings

1.1 From the Rakine to Jeffcott Rotor Models: Rotor dynamics has a remarkable history of
developments, largely due to the interplay between its theory and its practice (Nelson, 2003). Rotor
dynamics has been driven more by its practice than by its theory. This statement is particularly
relevant to the early history of rotor dynamics. Research on rotor dynamics spans at least 14 decades
of history.

Rankine (1869) performed the first analysis of a spinning shaft (see Fig. 1.3a). He predicted that
beyond a certain spin speed ". . . the shaft is considerably bent and whirls around in this bent form."
He defined this certain speed as the whirling speed of the shaft. In fact, it can be shown that beyond
this whirling speed the radial deflection of Rankine's model increases without limit, which is not true
in actaul case. However, Rankine did add the term whirling to the rotor dynamics vocabulary.
Whirling refers to the movement of the center of mass of the deflected disc (rotor) in a plane
perpendicular to the bearing axis (see Fig. 1.3b). In general, the frequency of whirl, , depends on the
stiffness and damping of the rotor (except for the synchornous whirl in which case it is equal to the
unbalnce excitaion force frequency, , i.e., the spin speed of the rotor), and the amplitude is a
function of the excitation forces frequency, , and magnitude. A critical speed, cr , occurs when

the excitation frequency coincides with a natural frequency, nf ; and can lead to excessive vibration
 3

amplitudes. Rankines neglected of the Coriolis acceleration in his analysis, which led to erroneous
conclusions that confused engineers for one-half century.

Fig. 1.3(a) Rankine rotor model (Two Fig. 1.3(b) A Jeffcott (or Laval or Fppl) rotor model in
degree of freedom spring-mass rotor general motion

The turbine built by Parsons in 1884 (Parsons, 1948) operated at speeds of around 18 000 rpm, which
was fifty times faster than the existing reciprocating engine at that time. In 1883 Swedish engineer de
Laval (Fig. 1.3b) developed a single-stage steam impulse turbine (named after him) for marine
applications and succeeded in its operation at 42 000 rpm. He aimed at the self-centering of the disc
above the critical speed, a phenomenon which he instinctively recognized. He first used a rigid rotor,
but later used a flexible rotor and showed that it was possible to operate above critical speed by
operating at a rotational speed about seven times the critical speed (Stodola, 1924).

(a) Heavy side flying out (b) Heavy side flying in

Figure 1.4 Synchronous whirls
 4

In order to calculate the critical speeds of cylindrical shafts with several discs and bearings the general
theory of Reynolds (Dunkerley, 1895) was applied. The gyroscopic effect was also considered,
together with its dependence on speed (i.e., a Campbell diagram see Fig. 1.5) . Dunkerley found, as a
result of numerous measurements, the relationship known today by that of Southwell, by which the
first critical speed can be calculated, even for complicated cases. The first sentence of Dunkerleys
paper reads, "It is well known that every shaft, however nearly balanced, when driven at a particular
speed, bends, and, unless the amount of deflection be limited, might even break, although at higher
speeds the shaft again runs true. This particular speed or critical speed depends on the manner in
which the shaft is supported, its size and modulus of elasticity, and the sizes, weights, and positions of
any pulleys it carries. This was the first use of the term critical speed for the resonance rotational
speed. Even with the general knowledge of critical speeds, the shaft behaviour at any general speed
was still unclear but more was learnt from the calculation of unbalance vibrations, as given by Fppl
(1895). He used an undamped model to show that an unbalanced disc would whirl synchronously with
the heavy side (shown as black spot) flying out (Fig. 1.4a) when the rotation was subcritical and with
the heavy side flying in (Fig. 1.4b) when the rotation was supercritical. Also the behaviour of Laval
rotors at high speed was confirmed by his theory.

Forward

Backward

Figure 1.5 The natural frequency, , variation with the spin speed, , (a typical Campbell diagram)

It was unfortunate that engineers of those days were under a confusion of concepts by equating the
Rankine's whirling speed with the Dunkerley's critical speed. This was particularly frustating since
Rankine was far more well known than Dunkerley and, as a result, his predictions were widely
accepted and became responsible for discouraging the development of high speed rotors for almost 50
years. It was in England in 1916 that things came to the end. Kerr published experimental evidence
 5

that a second critical speed existed, and it was obvious to all that a second critical speed could only be
attained by the safe traversal of the first critical speed.

The first recorded fundamental theory of rotor dynamics can be found in a classic paper of Jeffcott in
1919. Jeffcott confirmed Fppl's prediction that a stable supercritical solution existed and he extended
Foppl's analysis by including external damping (i.e., damping forces that depend upon only the
absolute velocity of the rotor, whereas the internal damping comes from rate of deformation of the
shaft) and showed that the phase of the heavy spot varies continuously as the rotation rate passes
through the critical speed. We can appreciate Jeffcotts great contributions if we recall that a flexible
shaft of negligible mass with a rigid disc at the midspan is called a Jeffcott rotor (Fig. 1.3b). The
bearings are rigidly supported, and viscous damping acts to oppose absolute motion of the disc. This
simplified model is also called the Laval rotor, named after de Laval.

1.2 Rotor Dynamics Phenomena Studies from Stodola to Lund: Developments made in rotor
dynamics up to the beginning of the twentieth century are detailed in the masterpiece book written by
Stodola (1924). Among other things, this book includes the dynamics of elastic shaft with discs, the
dynamics of continuous rotors without considering gyroscopic moment, the secondary resonance
phenomenon due to gravity effect, the balancing of rotors, and methods of determining approximate
values of critical speeds of rotors with variable cross sections. He presented a graphical procedure to
calculate critical speeds, which was widely used. He showed that these supercritical solutions were
stabilized by Coriolis accelerations (which eventually gives gyroscopic moments). The constraint of
these accelerations was the defect in Rankine's model.

(elliptical orbit due

to rotor unbalance)

Static equilibrium
Static equilibrium
position

(a) Stable (b) Unstable

Fig. 1.6 Journal center path due to perturbation
 6

(a) A simply supported shaft with a disc near the (b) A cantilever shaft with a rigid disc at the
bearing free end
Fig. 1.7 Wobbling of a disc in a rotor system

It is interesting to note that Rankine's model is a sensible one for a rotor whose stiffness in one
direction is much greater than its stiffness in the quadrature (perpendicular) direction. Indeed, it is
now well known that such a rotor will have regions of divergent instability (Fig. 1.6). It is less well
known that Prandtl (1918) was the first to study a Jeffcott rotor with a non-circular cross-section (i.e.,
elastic asymmetry in the shaft). In Jeffcott's analytical model the disc did not wobble or precess (Fig.
1.7). As a result, the angular velocity vector and the angular momentum vector were collinear and no
gyroscopic moments were generated. This restriction was removed by Stodola.

About a decade latter, the study of asymmetrical shaft systems and asymmetrical rotor systems began.
The former are systems with a directional in the shaft stiffness (Fig. 1.8a) and the latter are those with
a directional difference in rotor inertia (Fig. 1.8b). Two-pole generator rotors and propeller rotors are
examples of such systems. As these directional differences rotate with the shaft, terms with time-
varying coefficients appear in the governing equations. These systems therefore fall into the category
of parametrically excited systems (in which vibrations depend on the motion itself, howevre, it may
occur in a linear or a nonlinear system). The most characteristic property of asymmetrical system is
the appearance of unstable vibrations in some rotational speed ranges. In 1933 Smith obtained a
pioneer work in the form of simple formulas that predicted the threshold spin speed for the super-
critical instability varied with bearing stiffness and with the ratio of external to internal viscous
damping. To quote from Smith's paper " . . . (the) increase of dissymmetry of the bearing stiffness and
in the intensity of (external) damping relative to (internal) damping raises the (threshold) speed . . .
and [this threshold) speed is always higher than either critical speed." The formula for damping was
obtained independently by Crandall (1961) some 30 years later.
 7

(a) A generator rotor

(b) A three-bladed propeller
Fig. 1.8 Asymmetry of the shaft and the rotor

In the early 1920s a supercritical instability in built-up rotors was encountered and, shortly thereafter,
first shown by Newkirk (1924) and Kimball (1924) to be a manifestation of rotor internal damping
(i.e., damping between rotor components). Then, Newkirk and Taylor (1925) described an instability
caused by the nonlinear action of the oil wedge in a journal bearing, which was named as the oil whip.
Baker (1933) described self-excited vibrations due to contact between the rotor and the stator. The
Soviet scientist Nikolai (1937) examined the stability of transverse and torsional vibrations in a shaft
with a disc mounted in the center and the stability of a shaft with a disc attached to the free end.
Kapitsa (1939) pointed out that a flexible shaft could become unstable due to friction conditions in its
sliding bearings. In the middle of the twentieth century, Hori (1959) succeeded in explaining various
fundamental characteristics of oil whip by investigating the stability of shaft motion and considering
pressure forces due to oil films. The mechanism of vibrations due to the steam whirl in turbines was
explained by Thomas (1958) and that in compressors was explained by Alford (1965). The vibration
of hollow rotor containing the fluid was the problem of flow-induced vibrations. Instability due to
liquids partially filling interior cavities of rotors was demonstrated by Kollmann (1962), and in 1967
Ehrich reported that fluid trapped in engine-shafts induced asynchronous vibration and also changed
the shape of resonance curves. Kuipers (1964), and Wolf (1968) independently successed in
explaining the appearance of an unstable speed range in a postcritical region of a rotor system
containing inviscid fluid. In 1980s the rotor dynamic effects of seals in fluid handling machines
received a great deal of attention. Rotor destabilization due to seals was predicted and demonstrated in
an operational compressor by Jenny (1980).
 8

As rotors became lighter and rotational speeds higher, the occurrence of nonlinear resonances such as
subharmonics became a serious problem. Yamamoto (1955, 1957) studied various kinds of nonlinear
resonances after he reported on the subharmonic resonance due to ball bearings in 1955. He also
investigated combination resonances. Tondl (1965) studied nonlinear resonances due to oil films in
journal bearings. Ehrich (1966) reported subharmonic resonances observed in an aircraft gas turbine
due to strong nonlinearity produced by the radial clearance of squeeze-film dampers.

The non-stationary phenomena during passage through critical speeds have been studied since, Lewis
(1932) reported his investigation on the Jeffcott rotor. Non-stationary phenomena that occur are one in
a process with a constant acceleration (unlimited driving toque) and another with variable acceleration
(limited driving toque). Natanzon (1952) studied shaft vibrations at critical speeds, and Grobov (1953,
1955) investigated in general form the shaft vibrations resulting from varying rotational speeds. The
development of asymptotic method by Mitropolskii (1965) for nonlinear problems considerably
boosted the research on this subject.

Beginning in the early 1960s, most attention focused on hydrodynamic bearings, this was largely
stimulated by Lund (1964). Gunters work (1966) related to rotor dynamic stability problems,
combined with Ruhl and Bookers (1972), and Lunds (1974) methods for calculating damped critical
speeds, stimulated a great deal of interest in rotor-bearing stability problems. Lund (1987) gave an
overview of the field. In the mid 1970s, rotor dynamic instability experiences with various high-
pressure compressors and the high-pressure fuel turbo-pump of the Space Shuttle main engine focused
a great deal of attention on the influence of fluid-structure-interaction forces, particularly forces due to
the liquid and gas seals, in pumps and turbines. Shaft seals have similar effect as fluid-film bearings.
They influence the critical speeds, can provide damping or on the other hand cause instability. Shaft
seals have acquired a significant role in their effect on rotor dynamics. Someya (1989), and Tiwari et
al. (2004, 2005) complied extensive numerical and experimental results, and literatures related to
identification of rotor dynamic parameters of bearings and seals.

Self-excited vibrations, which occurs due to non-conservative forces, in general lead to large vibration
amplitudes which may ultimately damage or even destroy rotating machinery (Childs, 1993; Gasch et
al., 2002; Tondl, 1965; Yamamoto and Ishida, 2001). Therefore, it is essential during the design stage
of a new machine to consider the possibility of self-excitation and take measures against it. A strategy
to suppress self-excited vibrations, which is based on an anti-resonance phenomenon (two
neighbouring modes having opposite effects) that can occur in parametrically excited systems (Tondl,
1978, 1991, and 1998) was described by Ecker and Tondl (2004). The basic idea of parametric
stabilization was adopted by introducing a time-dependent variable stiffness located at the bearing
 9

mounts. The non-conservative forces were generated through by the bearings of the rotor. They
showed the cancellation of the self excited vibrations through the parametric excitation.

Recently, Shaw and Balachandran (2008) provided a comprehensive review of nonlinear dynamics of
mechanical systems including the rotating machineries. For rotating machineries they considered both
the ideal and non-ideal excitations. In ideal excitation case, it is assumed that the rotor speed is a
specified function of time, which is a classical problem in the theory of non-stationary problem in
dynamics, extensively covered in the book by Mitropolskii (1965). The problem of passage through
resonance of non-ideal vibrating systems has obtained special attention of the engineering researchers
in the last years but unfortunately little literature on this subject is available (Balthazar et al., 2003).
Generally, non-ideal vibrating systems are those for which the power supply is limited. Probably,
Laval was the first one to work with non-ideal problems via an experiment. He built, in 1889, a
single-stage turbine and demonstrated that in the case of rapid passage through resonance with enough
power, the maximum vibration amplitude may be reduced significantly compared with that obtained
in the steady state resonant vibration. Simultaneously, it was also known that sometimes the passage
through resonance required more input power than the excitation source had available. The
consequence is the so-called the Sommerfeld effect that the vibrating system cannot pass the
resonance or requires an intensive interaction between the dynamical system and the motor to do it.
The worst case is that of a dynamical system constructed for an overcritical operation to become stuck
just before resonance conditions are reached. A strong interaction results with fluctuating motor speed
and fairly large vibration amplitudes. This phenomenon was studied intensively by (Sommerfeld,
1902). Balthazar et al., (2003) provided an excellent review on the topic of the limited power source,
in which case the system is called the non-ideal vibrating system.

Instability from fluid-film bearings and shaft seals arises from the fact that, during radial displacement
of a rotor, a restoring force is produced, which has a component at right angles to this displacement.
The phenomenon of instability was described in detail by Newkirk (1924), whose interest was in
turbo machineries. The cause of this instability, in fact, lay in the oil-film bearings. Notwithstanding,
in the following years it was established that in a few cases, internal friction or damping could indeed
be a cause of instability. The designer must thus be aware of these possibilities. Some of the important
phenomena in rotor-bearing systems, its main causes, and investigators details are summarized in
Table 1.1.
 10

Table 1.1 Summary of various rotor dynamics phenomena

S. N. Phenomena Caused by Reported/ Interpreted Remarks
by (Theoretical /
Experimental)
1 Whirling Unbalance Rankine (1869) General motion
(Th)
2 Self centering of Unbalance De Laval (1983) Unbalance
rotor response (Exp)
3 Synchronous Unbalance Fppl (1895)
whirling
4 Critical speed Unbalance Dunkerley (1895) Resonance (Th)
5 Second critical speed Unbalance Kerr (1916) Resonance (Exp)

6 Stable supercritical Unbalance Jeffcott (1919)

response
7 Secondary resonance Gravity Stodola (1924) Unbalance
response (Th)
8 Instability Shaft asymmetry Prandtl (1918) Instability
analysis (Th)
9 Gyroscopic effect Rotor wobbling Stodola (1924) Free vibrations
(Th)
10 Threshold spin speed Internal damping Newkirk (1924), Instability
for instability Kimball (1924), Smith analysis (Th)
(1933), Crandall (1961)
11 Threshold spin speed Dissymmetry of Smith (1933)
for instability bearing stiffness
12 Oil whip Nonlinear action of the Newkirk and Taylor Instability
oil wedge in a journal (1925) analysis (Th)
bearing
13 Self-excited vibration Contact between rotor Baker (1933)
and stator
14 Oil whip Hydrodynamic bearing Hori (1959) (Th)
15 Steam whirl Steam injection on Thomas (1958) (Th)
turbine blades
16 Flow induced Hollow rotor Kollmann (1962), Ehrich (1965),
vibrations containing fluid Kuipers (1964),
Wolf (1968)
17 Instability Seals Jenny (1980) (Exp)

18 Subharmonics/ Combination resonance Nonlinearity (ball Yamamoto (1955,

bearing) 1957)
19 Nonlinear resonance Oil films in journal Tondl (1965) (Th)
bearings
20 Subhamonic Squeeze film dampers Ehrich (1966) (Exp)
resonances
21 Nonstationary Constant/variable Lewis (1932) (Th)
response accelerations of rotor
22 Shaft vibrations at Varying spin speeds Natanzon (1952) (Th)
critical speeds
23 Shaft general motion Varying spin speeds Grobov (1953, 1955) (Th)
24 Damped critical Hydrodynamic bearings Ruhl and Bookers FEM (Th)
speeds (1972), and Lunds
(1974)
 11

1.3 Development of Rotor Dynamics Analysis Tools: In rotor dynamics a remarkable amount can
be explained by the dynamics of a single mass Jeffcott rotor model. This model, introduced in 1895
by Fppl, was named after Jeffcott, because in 1919 he explained the science of rotor dynamics in a
graphic and illuminating way. Gradually, the Jeffcott rotor model, in its many variations, came closer
to the practical needs of the rotor dynamicists of those days.

Figure 1.9 A rotor-bearing-foundation system

Many practical rotors, especially those being designed for steam/gas tubines for power stations (Fig.
1.9) or for aircraft gas turbines, were not suitable for a Jeffcott model. For one thing, the distinction
between the disc and the shaft is blurred in the typical aircraft gas turbine (Dimentberg, 1961). In the
practical design of rotating machinery, it is necessary to know accurately the natural frequencies,
mode shapes and forced responses to unbalances in complex-shaped rotor systems. The technique for
this was supplied by Prohl in the late 1930s and published in 1945 for the critical speed evaluation of
turbine shaft. It is similar to the method published about the same time by Myklestad (1944) for the
natural frequencies of aircraft wings but was developed independently. Together, Prohl's and
Myklestad's work led to a broader method, now called the Transfer Matrix Method (TMM). This
method is particular useful for multirotor-bearing systems and has developed rapidly since 1960s by
the contribution of many researchers such as Lund et al. (1965, 1967, 1974) and Rao (1996). The
TMM for rotors remains viable; indeed, it seems still to be the method of choice for most industrial
rotor dynamic analyses. Another representative technique used for this purpose is the finite element
method. The name finite element method first appeared in the title of a paper by Clough (1960). The
first application of the finite element method to a rotor system was made by Ruhl and Booker (1972).
Then Nelson and McVaugh (1976) generalised it by considering the rotary inertia, gyroscopic
moment, and axial force. It was soon recognised that the large number of nodes necessary to provide
accurate stress distribution created dynamic systems too large for economical calculation.
Condensation of the number of degrees of freedom by division into the master and slave degrees of
freedom was introduced by Guyan (1965). Other dynamic condensation techniques were described by
 12

Uhrig (1966), Friswell and Mottershead (1996), and Tiwari and Dharmaraju (2006). A related
technique for the dynamic analysis of structure assembled from distinct components or substructures
in the component mode synthesis introduced by Hurty (1960) and applied to rotor dynamics by
Glasgow and Nelson (1980), Geradin and Kill (1984), and Crandall and Yeh (1986). Each
substructure interacts only through their constraint modes. In subsequent section, a brief summary of
softwares for rotor dynamics analysis is given.

1.4 Softwares for Rotor Dynamics Analysis: World War II can be considered as the demarcation
between the early stages of rotor dynamics and what might be called modern rotor dynamics. In the
1960s there was a coalescence of numerical methods applied to structural dynamics and of digital
computer capacity that fostered the development of a series of general purpose computer codes. The
initial application of these codes to rotor dynamics was based on the TMM method but in the 1970s
another underlying algorithm, the FEM, became available for the solution of the prevailing beam-
based models. Now, in the beginning of the 21st century, rotor dynamicists are combining the FEM
and solid modeling techniques to generate simulations that accommodate the coupled behavior of
flexible disks, flexible shafts and flexible support structures into a single, massive, multidimensional
model. Crandall (1992) gave an overview of the rotor dynamic computer codes (e.g. ANSYS, ARMD,
CADENSE, ComboRotor, DYNAMICS R4, DyRoBeS, iSTRDYN, MADYN, NASTRAN
ROTORDYNAMICS, RAPPID-RDA, RODYN, ROMAC, ROTECH, RSR, SAMCEF, TURBINE-
PAK, VT-FAST, XLRotor, XLTRC4, etc.). He also concluded that with regards to quality and
quantity of software the specialised area of rotor dynamics still lags behind the broader field of non-
rotating structural dynamics. Modern computer models have been commented on in a quote attributed
to Dara Childs, "the quality of predictions from a computer code has more to do with the soundness of
the basic model and the physical insight of the analyst. ... Superior algorithms or computer codes
will not cure bad models or a lack of engineering judgment."

1.5 Dynamic Balancing of Rotors: The most important and fundamental procedure to reduce
unfavourable vibrations is to eliminate geometric unbalance in the rotor. The balancing procedure for
a rigid rotor was established relatively early. The arrival of high-speed rotating machines made it
necessary to develop a balancing technique for flexible rotors. Two representative theories were
proposed for flexible rotors. One was the modal balancing method proposed in the 1950s by Federn
(1957), and Bishop and Gladwell (1959). The other is the influence coefficient method proposed in
late 1930s by Rathbone (1929), and later by Thearle (1932) and developed mainly in the Unites States
along with the progress of computers and instruments for vibration measurements (Wowk, 1995;
Darlow, 1989). Modern methods based on FEM requires good model of the rotor-bearing-foundation
systems along with startup/rundown data, and hence the trend is to couple the estimation of unbalnce
 13

along with the bearing and foundation dynamic parameters (in which the modelling error is large)
subject to minimum number of rundowns (Edwards, et al., 1998; Tiwari et al., 2004).

1.6 Condition Monitoring of Rotating Machineries: Another area in which lot of development took
place is on assessment of turbomachinery condition monitoring and failure prognosis technology
(Mitchell, 1993). High-performance turbomachines are now extremely important elements of
worldwide industry. The electric power, petrochemical, mining, marine, and aircraft industries are
prime examples for which turbomachinery is crucial to business success (Fig. 1.10). Condition
monitoring involves the continuous or periodic assessment of the condition of a plant or a machinery
component while it is running. Basically condition monitoring is the process of monitoring some
parameters from the machinery, such that a significant change in the parameter can give information
about the health of the machinery. Noise and vibration signal from machine can contain vital
information about the internal process and can provide valuable information about a machine running
condition. Noise signal are measured in a reason proximity to the external surface of the machine
while vibration signals are measured on the surface of the machine. Most noise and vibration analysis
instruments utilize a Fast Fourier Transform (FFT) which is a special case of the generalized Discrete
Fourier Transform (DFT).

Fig. 1.10 A typical turbomacchinery in a power plant

According to Eshleman (1990), over the past several years, instrumentation and monitoring
capabilities have increased dramatically, but techniques for fault diagnosis have evolved slowly. The
tools are therefore still more advanced than the techniques. Edward et al. (1998) provided a broad
review of the state of the art in fault diagnosis techniques, with particular regard to rotating
machinery. Special treatment was given to the areas of mass unbalance, bowed shafts, misalignments,
and cracked shafts, these being amongst the most common rotor-dynamic faults.

Vibration response measurements yield a great deal of information concerning any faults within a
rotating machine. Cracks in shafts have long been identified as factors limiting the safe and reliable
operation of turbomachines. They can sometimes result in catastrophic failure of equipment (rotor
bursts) and, more often, in costly process upsets, repairs and premature scrapping and replacement of
equipment. In the past two decades, much research and many resources have gone into developing
 14

various on-line (Fig. 1.11) and off-line (Fig. 1.12) diagnostic techniques (expert systems) to effectively
detect faults before they cause serious damage (e.g., Bently Nevada, ozWatch, SV3X). The expert
system uses the probability table such as compiled by Sohre (1991).

Fig. 1.11 On-site model of a condition monitoring system

Fig. 1.12 Off-site model of a condition monitoring system

With acoustics condition monitoring, a machine running in a good condition has a stable noise
spectrum. Spectrum changes when the condition changes. Identification of noise sources and
comparing their spectrum with that of a stable spectrum of a machine or plant in good condition can
prove to be an important tool for condition monitoring. One of the earliest documented applications of
acoustic emission technology (AET) to rotating machinery monitoring was in the late 1960s. Since
then, there has been an explosion in research- and application-based studies covering bearings, pumps,
 15

gearboxes, engines, and rotating structures (Robert, et al., 1993; Sato, 1990; Norton, 1989, Hall and
Mba, 2004).

Concluding Remarks: Research in rotor dynamics is aimed at improving the understanding of rotor
dynamic phenomena and improving the performance of rotating machinery. In most rotordynamic
systems the vibratory amplitudes are sufficiently small that the linear analysis of the rotor and stator
deformations is satisfactory. In rotor dynamics the structural modeling is generally adequate and most
research is centered on fluid-structure interactions: bearings, seals, blade forces, squeeze-film
dampers, active support elements, etc. It is here that the nonlinearities are concentrated. The equations
of motion of such systems consist of a great many linear equations coupled to a small handful of
nonlinear equations (Yamamoto and Ishida, 2001). Several efforts have been put on developing
intelligent condition monitoring systems with advanced practicability, sensitivity, reliability and
automation (Han and Song, 2003).

Fig. 1.13 Smart (active) fluid-film dampers Fig. 1.14 Operating principle of active magnetic
bearings (AMBs)

The most promising area of the research for performance improvement is the active control (Figs.
1.13 and 1.14). The latest topic in rotor dynamics is a study of magnetic bearings (a mechtronics
product), which support a rotor without contacting it and active dampers (Schweitzer et al., 2003;
Chiba, et al., 2005). This study has received considerable attention since Schweitzer reported his work
in 1975. Now the trend is to perform the condition monitoring of rotating machineries with the help of
active magnetic bearings. We are now a long way from the approaches of Jeffcott and Prohl, a journey
that deserves its own history sometime. A brief bibliography in the field of rotor dynamics and the
allied area is also added in references. At end it would be worth quoting from Prof. Tondls remark
Of course, I believe that it is not an easy matter to present a good and enough complete history of
rotor dynamics because there exists an enormous number of publications in different languages.
 16

Exercise Problems

1. Who was the person first analysed rotor dynamics problem, however, wrongly predicted that
it is impossible to operate rotors at very high speeds?
2. Define the natural frequency and the critical speed of a rotor system?
3. How to distinguish the rigid and flexible rotors?
4. How many critical speeds would be for a two-disc massless-flexible shaft rotor system?
5. Who first experimentally reported that it was possible to rotate the rotor safely at very high
speed?
6. Who clarified theoretically the confusion that it is possible to rotate the rotor safely at very
high speed?
7. Who were the first to use the terms the whirling motion and the critical speed?
8. Whether the natural frequency could be dependent on the spin speed of the rotor? If yes then
when?
9. What is the most common fault causes a synchronous in a rotor system?
10. In a synchronous whirl of a rotor what would be the whirl frequency?
11. For a perfectly balanced rotor rotating at a speed, what would be the frequency of whirl when
it is perturbed from its equilibrium?
12. In a general motion of a rotor what would be the whirl frequency?
13. Whether bearings and foundations have any effect on the critical speed of a rotor?
14. What is the internal and external damping in a rotor system?
15. Is there any difference between the rigid and flexible rotor dynamic balancing?
16. What is a Campbell diagram?
17. Explain the inertia asymmetry and a shaft asymmetry in a rotor system? What are the effects
of these asymmetries in rotor behaviour?
18. What are the different active control mechanisms, which can be applied in rotor systems?

References
Adams M. L. Jr, 2001, Rotating Machinery Vibration: From Analysis To Troubleshooting, Marcel
Dekker, Inc., New York.
Alford, J.S.,1965, Protecting turbomachinery from self-excited rotor whirl, Trans ASME, J of Eng.
Power, 86(2), 141-148.
ANSYS: Version 11 workbench and classic is capable of solving the rotordynamic equations (3-D/2-
D and beam element). (http://www.ansys.com/assets/brochures/mechanical-11.pdf)
ARMD: (Rotor Bearing Technology & Software, Inc.) - Commercial 1-D beam element solver,
(http://www.rbts.com).
Baker, J.G., 1933, Self-induced vibrations, Journal of Applied Mechanics, 1(1), 5-12.
 17

Balthazar, J.M., Mook, D. T., Weber, H. I., Brasil, R.M.L.R.F.,. Fenili, A., Belato, D., and Felix,
J.L.P., 2003, An overview on non-ideal vibrations. Meccanica 38, 613621.
Bently Nevada: Asset Condition Monitoring. (http://www.ge-energy.com/prod_serv/
products/oc/en/bently_nevada.htm).
Biezeno, C. and Grammel, R, 1959, Engineering Dynamics, Vol III. of Steam Turbines, D. Van
Nostrand Co., Inc., New York.
Bishop, R.E.D. and Gladwell, G.M.L., 1959, The vibration and balancing of an unbalanced flexible
rotor, J. Mech. Eng. Sci., 1(1), 66-77.
Chen, W. J., and Gunter, E. J. (2005). Introduction to Dynamics of Rotor-Bearing Systems. ISBN 1-
4120-5190-8. (Uses DyRoBeS).
Chiba A., Fukao T., Ichikawa O., Oshima, M., Takemoto M. and Dorrell D.G. (2005): Magnetic
Bearings & Bearingless Drives. Newnes, Elsevier.
Childs, D., 1991, Turbomachinery Rotordyanmics, Wiley Interscience, New York.
Clough, R.W., 1960, The finite element method in plane stress analysis, Proc. 2nd ASCE Conf. on
Electronic Computation, Pittsburgh, 345-378.
ComboRotor: (University of Virginia) - Combined finite element lateral, torsional, axial solver for
multiple rotors evaluating critical speeds, stability and unbalance response extensively verified by
industrial use.
Collacott, R.A., 1977, Mechanical Fault Diagnosis and Condition Monitoring, Chapman & Hall,
London.
Crandall, S.H., 1992, Rotordynamic Software. Rotating Machinery, Transport Phenomena, editors:
J.H. Kim, W.J. Yang. Hemisphere Publishing Corporation, Washington, Philadelphia, London
(1992), pp. 3-21.
Crandall, S.H. and Brosens, P.J., 1961, On the stability of rotation of a rotor with unsymmetric inertia
and stiffness properties, J. Appl. Mechanics, 28, 567-570.
Crandall, S.H. and Yeh, N.A., 1986, Component mode synthesis of multi-rotor system. Refined
Dynamical Theories of Beams, Plates and Shells and their Applicatrions, Proc. Euromech
Colloquium 219, Springer, Berlin, 44-55.
Davies, A., 1998, Handbook of Condition Monitoring: Techniques and Methodology, Chapman &
Hall, London.
Dimentberg, F.M., 1961, Flexural Vibrations of Rotating Shafts, Butterworths, London; originally
published in Russian (1959).
Darlow M.S., 1989, Balancing of High-Speed Machinery, Springer-Verlag.
Den Hartog, J.P, 1956, Mechanical Vibration, 4th edition, MeGraw-Hill, New York.
Dimarogonas A.D. and Paipetis S.A., 1983, Analytical Methods in Rotor Dynamics, Applied Science
Publications, London.
 18

Dunkerley, S., 1895, On the whirling and vibrations of shafts, Phil. Trans. of the Royal Soc., A, 185, I,
279-360.
DYNAMICS R4: (Alfa-Tranzit Co. Ltd) - Commercial software developed for design and analysis of
spatial systems. http://www.alfatran.com.
DyRoBeS: (Eigen Technologies, Inc.) - Commercial 1-D beam element solver.
(http://www.etiturbo.com/htm_Software.htm).
Ecker, H. and Tondl, A., 2004, Stabilization of a rigid rotor by a time-varying stiffness of the bearing
mounts. Eighth International Conference on Vibrations in Rotating machinery, IMechE, 7-9
September, University of Wales, Swansea, UK, pp 45-54 (C623/014/004). .
Edwards, S., Lees, A.W. and Friswell, M.I., 1998, Fault diagnosis of rotating machinery. Shock and
Vibration Digest, 30(1), 4-13.
Ehrich, F.F., 1966, Subharmonic vibration of rotors in bearing clearance, ASME paper 66-MD-1,
American Society of Mechanical Engineers, New York.
Ehrich, F.F., 1967, The influence of trapped fluids on high speed rotor vibration, Trans ASME, J. Eng.
Ind., 91(4), 806-812.
Ehrich(ed.), F.F., 1992, Handbook of Rotordynamics, McGraw-Hill.
Eshleman, R.L., 1990, Detection, diagnosis and prognosis: An evaluation of current technology, in
Proceedings of MFPG 44, Vibration Institute.
Federn, K., 1957, Grunlagen einer systematischen schwingungsentstrung Wellenelastischer rotoren,
VDI Ber. Bd., pp 9-25.
Friswell, M.I. and Mottershead, J.E., 1996, Finite Element Model Updating in Structural Dynamics.
Kluwer Academic Publishe.
Fppl, A., 1895, Das Problem der Lavalschen Turbinenwelle, Der Civillingerenieur, 4, 335-342.
Gasch, R., Nordmann, R., and Pftzner, H., 2002, Rotordynamik. 2nd ed., Springer Verlag: Berlin.
Genta, G., 1999, Vibration of Structures and Machines, 3rd edition, Springer, NY.
Genta, G., 2005, Dynamics of Rotating Systems, Springer, NY.
Geradin, M. and Kill, N., 1984, A new approach to finite element modeling of flexible rotors, Engng.
Computation, 1, 52-64.
Glasgow, D.A. and Nelson, H.D., 1980, Stability analysis of rotor-bearing systems using component
mode synthesis. J. Mechanical Design, Trans. ASME, 102, 352-359.
Goodwin M.J., 1989, Dynamics of Rotor-Bearing Systems, Unwin Hyman, Sydney.
Grobov, V.A., 1953, O poperechnykh kolebaniyakh vraschchayushchegosya vala pri peremennoi
skorosti vrashcheniya, Sbornik Voprosy dinamiki I dinamicheskoi prochnosti, Izdatelstvo AN
Latv. SSR, Vypusk 1. (Transverse vibrations of a shaft rotating with variable angular velocity,
Symposium Problems of Dynamics and Dynamics Stability, Publishing House of the Latvian SSR,
Academy of Sciences, No. 1).
 19

Grobov, V.A., 1955, Poperechnye kolebaniya rotora s raspredelennoi po dline massoi pri peremennoi
skorosti vrashcheniya, Izvestiya AN Latv. SSR, Vypusk 5. (Transverse vibrations at variable speed
of a rotor carrying an axial distributed mass, Journal of the Latvian SSR Academy of Sciences, No.
5).
Gunter, E., 1966, Dynamic stability of rotor bearing systems, NASA paper No. SP-113, 29.
Guyan, R.J., 1965, Reduction of stiffness and mass matrices, AIAA Journal, 3, p. 380.
Hall, L.D., and Mba, D., 2004, Diagnosis of continuous rotorstator rubbing in large scale turbine
units using acoustic emissions. Ultrasonic, 41(9), 765-773.
Han, Y. Song, Y.H., 2003, Condition monitoring techniques for electrical equipment-a literature
survey. IEEE Transactions on Power Delivery, 18(1), 4- 13
Hori, Y., 1959, A theory of oil whip, Trans. ASME, Journal of Applied Mechanics, 26(2), 189-198.
Hurty, W.C., 1960, Vibrations of structural systems by component mode synthesis, J. Engrg. Mechs.
Div. Proc. ASCE, 86, EM4, 51-69.
iSTRDYN: (DynaTech Software LLC) - Commercial 2-D Axis-symmetric finite element solver.
(http://www.istrdyn.com).
Jeffcott, H.H., 1919, The lateral vibration of loaded shafts in neighbourhood of a whirling speed: the
effect of want of balance. Philosophical Magazine, Ser. 6, 37, 304-314.
Jenny, R., 1980, Labyrinths as a cause of self-excited rotor oscillations in centrifugal compressors.
Sulzer Technical Review, 4, 149-156.
Kapitsa, P.L., 1939, Ustoichivost I perekhod cherez kriticheskie oboroty bistro vrash-
chayushchikhsya rotorov pri nalichii treniya, Zhurnal Technicheskoi fiziki, IX, Vypusk 2.
(Stability and transition through critical speeds of high-speed rotors sunject to friction, J. Tech.
Phys., IX, No. 2.
Kimball, A. L., 1924, Internal friction theory of shaft whirling, General Electric Review, 27(4), 244-
251.
Kollmann, F.G., 1962, Experimentelle und theoretische Untersuchen ber die Kritischen drezahlen
flssigkeits-gefullter Hohlkrper, Forschung auf dem Gebiete des Ingerieurwesens, 28(4), 115-123
and (5), 147-153.
Krmer E., 1993, Dynamics of Rotors and Foundations, Springer-Verlag, New York.
Kuipers, M., 1964, On the stability of a flexibly mounted rotating cylinder partially filled with liquid.
Applied Scientific Research, A13, 121-137.
Lalanne, M., and Ferraris, G., 1998, Rotordynamics Prediction In Engineering, Wiley: NY.
Lee C.-W., 1993, Vibration Analysis of Rotors, Kluwer Academic Publishers, London.
Lewis, F. M., 1932, Vibrations during acceleration through a critical speed, Trans. ASME, 54(3), 253-
261.
Lipovszky, G., Solyomvari, K. and Varga, G., Vibration Testing of Machines and their Maintenance,
Elsevier, 1990
 20

Loewy R.G. and Piarulli, V.T., Dynamics of Rotating Shafts, The Shock and Vibration Information
Center, 1969
Lund, J.W., 1964, Spring and damping coefficients for the tilting pad journal bearing, ASLE
Transations, 7, 342-352.
Lund, J.W., 1974, Stability and damped critical speed of a flexible rotor in fluid-film bearings, Trans.
ASME, J. Eng. Ind., 96(2), 509-517.
Lund, J.W., 1987, Review of the concept of dynamic coefficients for fluid film journal bearings.
Journal of Tribology, 109, 37-41.
Lund, J.W. and Orcutt, F.K., 1967, Calculation and experiments on the unbalance response of a
flexible rotor, Trans. ASME, J. Eng. Ind., 89(4), 785-795.
Mahrenholtz O. (editor), 1984, Dynamics of Rotors; Stability and System Identification, International
Center for Mechanical Science, NY.
Mitchell, J.S., 1993, An Introduction to Machinery Analysis and Monitoring, PannWell Books, Tulsa,
Oklahoma.
Mitropolskii, Y.A., 1965, Problems of Asymptotic Theory of Nonstationary Vibrations, Israel Program
for Science Translation, Jerusalem.
Muszynska, A, 2005, Rotordynamics, Series: Dekker Mechanical Engineering, Vol. 188, CRC Press.
Myklestad, N. O., 1944, A new method of calculating natural modes of uncoupled bending vibrations.
Journal of. Aeronautical Science, 11(2), 153-162.
NASTRAN ROTORDYNAMICS: Simulates the effects of rotating components for design and
analysis. (http://www.mscsoftware.com/assets/3064_NA2004NOVZROTDZLTDAT.pdf).
Natanzon, V.Ya., 1952, Dvizhenie gibkogo vala na kriticheskoi skotosti, Sbornik Dinamika
aviadvigatelei, Oborongiz, No. 8. (Movement of a flexible shaft at critical speed, Symposium on
Aircraft Engine Dynamics, Oborongiz, No. 8.
Nelson, F.C. and McVaugh J.M., 1976, The dynamics of rotor bearing systems using finite elements,
Trans. ASME, J. Eng. Ind., 98(2), 593-600.
Nelson, H.D., 2003, A brief history of early rotor dynamics, Sound and Vibration, June.
Newkirk, B.L., 1924, Shaft whipping, General Electric Review, 27(3), 169-178.
Newkirk, B.L., and Taylor, H.D., 1925, Shaft whirling due to oil action in journal bearings, Gen.
Electric Rev., 28(7), 559-568.
Nikolai, E.L., 1937, K teorii gibkogo vala, Trud Leningr. Ind. Inst., No. 6, Razdelenie Fiziko-
Matematicheskikh Nauk, Vypusk 3. (The theory of a flexible shaft, Trans. Leningr. Industr. Inst.,
No. 6, Department of Physico-Mathematical Sciences, No.3.
Norton, M.P., 1989. Fundamentals of Noise and Vibration Analysis for Engineers, Cambridge
University Press, London.
OzWatch: Condition based management of rotating machinery. (http://www.tuiindustries.com.au).
 21

Parsons, R.H., 1948, The Steam Turbine and other Inventions of Sir Charles Parsons, OM. Lomgman,
Green and Co.
Prabhu B.S., and Sekhar A.S., 2008, Dynamic Analysis of Rotating Systems and Applications, Multi-
Science, Essex, UK.
Prandtl, L., 1918, Beitrage zur Frage der Kritischen Drehzahlen, Dinglers Polytechn. Journal, 333,
179-182.
Prohl, M.A., 1945, A general method for calculating the critical speeds of flexible rotors, J. Appl.
Mech., 12(3), 142-148.
Rankine, W. J. M., 1869, On the centrifugal force of rotating shaft. The Engineer, 27, p. 249.
Rao J.S., 1996, Rotor Dynamics, Third edition, New Age, New Delhi.
Rao, J. S., 2007, Vibratory Condition Monitoring of Machines, Narosa Publishing House, New Delhi.
Rathbone, T.C., 1929, Turbine vibration and balancing, ASME Trans., 51, Paper APM-51-23.
Rieger N.F., 1977, Vibrations of Rotating Machinery, The Vibration Institute, Clarendon Hills,
Illionis.
Rieger N.F., 1982, Vibrations of Rotating Machinery, Pt. I: Rotor-Bearing Dynamics, The Vibration
Institute, Clarendon Hills, IL, Sec. 16.
Rieger N.F., 1986, Balancing of Rigid and Flexible Rotors, Shock and Vibration Information Center.
Robert B.M., 2003, Rotating Machinery: Practical Solutions to Unbalance and Misalignment, CRC
Press.
Robert D. Finch and Ben H. Jansen, 1993, Acoustic signatures: From natural to systems science (A),
The Journal of the Acoustical Society of America, 93(4), p. 2279.
ROTECH: Engineering design and analysis in lateral and torsional rotordynamics,
hydrodynamic bearings and seals, finite element analysis, and rotor-bearing system
optimization. (http://www.rotechconsulting.com).
RSR: Rotordynamic analysis. (http://www.rsr.com/pages/rda.htm).
Ruhl, R.L. and Booker, J.F., 1972, A finite element model for distributed paramter turbogenerator
system, Trans. ASME, J. Eng. Ind., 94(1), 126-132.
SAMCEF: Rotor dynamic analysis. (http://www.samcef.com/DB/brochures_files/
SAMCEF_for_Rotors.pdf).
Sato, I., 1990, Rotating machinery diagnosis with acoustic emission techniques. Electrical.
Engineering Japan 2, p. 110.
Schneider, H., 1991, Balancing Technology, 4th ed., Carl Schenck Ag.,
Schweitzer, G., 1975, Stabilization of self-excited rotor vibrations by an active damper, in Dynamics
of Rotors, Springer-Verlag, New York, pp. 472-493.
Schweitzer G, Bleuler, H, and Traxler, A., 2003, Active Magnetic Bearings, VDF Hochschulverlag
AGan der ETH, Zurich.
 22

Schweitzer G., Bleuler H. and Traxler A., 2003, Active Magnetic Bearings: Basics, Properties and
Applications of Active Magnetic Bearings. Authors Reprint: Zrich.
Shaw, S.W., and Balachandran, B., 2008, A review of the nonlinear dynamics of mechanical systems
in year 2008, The Japan Society of Mechanical Engineers, Journal of System Design and
Dynamics, 2(3), 611-640.
Smith, D. M., 1933, The motion of a rotor carried by a flexible shaft in flexible bearings, Proc. R.
Soc. London, Ser. A, 142, pp. 92-118.
Sohre, J.S., 1991, Turbomachinery Problems and their Correction, Standardization and Condition
Monitoring, Workshop, March 11-13, (Chapter 7), Houston.
Someya, T., 1989, Journal Bearing Hand Book. Berlin Tokyo: Springer.
Sommerfeld, A., 1927, Beitrge zum dynamischen ausbau der festigkeitslehe, Physikal Zeitschr 3,
266 and 286.
Spectra Quest: Training and diagnosis in machine vibration analysis. (http://www.spectraquest.com).
Stodola, A., 1924, Dampf- und Gasturbinen, 4, Aufl., Berlin: Springer. English translation (1927),
Steam and Gas Turbines, McGraw-Hill, New York.
SV3X: Remote Machinery Monitor. (http://www.vib.com/prod-Remote-Machinery-Monitor.html).
Thearle, E.L., 1932, Dynamic balancing of rotating machinery in the field, ASME Trans., Paper APM-
56-19.
Tiwari, R. and Dharmaraju, N., 2006, Mechanical Systems and Signal Processing, Development of a
condensation scheme for transverse rotational degrees of freedom elimination in identification of
beam crack parameters (In press).
Tiwari, R., Lees, A.W. and Friswell, M.I., 2004, Identification of dynamic bearing parameters: a
review, The Shock & Vibration Digest, 36(2), 99-124.
Tiwari, R., Manikandan, S. and Dwivedy, S.K., 2005, A review on experimental estimation of the
rotor dynamic parameters of seals, The Shock & Vibration Digest, 37(3), 261-284.
Thomas, J.J., 1958, Instabile eigenschwingungen von turbinenlaufern, Angefacht durch die
spaltstromungen, in stopfbuchsen and beschauflungen, AEG-Sonderdruck, pp. 1039-1063.

Tondl, A., 1965, Some Problems of Rotor Dynamics, Czechoslovak Academy of Sciences, Prague,
Czechoslovakia.
Tondl, A., 1991, Quenching of Self-excited Vibrations, Academia: Praha.
Tondl, A., 1998, To the Problem of Quenching Self-excited Vibrations, Acta Technica CSAV 43,
109-116.
TURBINE-PAK: A scientific software for vibration analysis of non-linear multi-bearing Rotor-
Bearing-Foundation (RBF) systems. (http://sci-e-research.com/tpak.html).
Uhrig, R., 1966, Reduction of the number of unknown in the displacement method applied to kinetic
problems, J. Sound and Vibration, 4, 149-155.
 23

Vance J.M., 1988, Rotordynamics of Turbomachinery, John Wiley & Sons, Inc., NY.
Wolf, J.A., 1968, Whirl dynamics of a rotor partially filled with liquid, Trans. ASME, J. Appl. Mech.,
35(4), 676-682.
Wowk, V., 1995, Machinery Vibration: Balancing, McGraw-Hill, New York.
Wowk, V., 1991, Machinery Vibration: Measurement and Analysis, McGraw-Hill, New York.
XLRotor: (Rotating Machinery Analysis, Inc.) - Commercial 1-D beam element solver.
(http://www.xlrotor.com/index.shtml).
XLTRC4: (Texas A&M) - Academic 1-D beam element solver. (http://turbolab.tamu.edu/home/
default.aspx).
Yamamoto, T., 1955, On the critical speed of a shaft of sub-harmonic oscillation, Trans JSME,
21(111), 853-858 (in Japanese).
Yamamoto, T., 1957, On the vibrations of a rotating shaft, Mem. Fac. Eng. Nagoya Univ., 9(1), 25-
40.
Yamamoto, T., and Ishida, Y., Linear and Nonlinear Rotordynamics, Wiley & Sons: New York,
2001.
-----------------+++-----------------