The Relationship Between Finite Element

Analysis and Modal Analysis

Neville F. Rieger, Stress Technology Incorporated, Rochester, New York

The properties and techniques of Modal Analysis and of Finite principles so as not to re-introduce the other modes of the rotor
Element Analysis are identified, together with the present advantages system.
and shortcomings of both methods. The interrelationship between The above modal procedures have the following items in
these techniques is described, and the contributions of modal analysis common:
to efficient finite element analysis are reviewed. It is noted that the a) Identification of structural modes and frequencies for further
term modal analysis is used to describe, a) a test procedure for analysis.
obtaining structural data, b) an analytical procedure for efficient b) The theory of each procedure is based on an analytical
solution of structural dynamics problems, and c) the same solution technique known as modal analysis, which uncouples the
procedure for rotordynamics analysis. Four case histories are equations of motion to make possible their efficient solution.
included which describe the joint use of modal analysis and finite c) The orthogonal properties of structural dynamics matrices are
element analysis to diagnose and confirm the results obtained in utilized either directly in the analysis, or implicitly in (he
selected practical problems of structural analysis. practical test procedure.
During the past ten years, the rapid development of specialized
test equipment and efficient numerical methods for modal calculation Notation
of structures has revolutionized vibration analysis. The purpose of A1 = First Axial Mode
this article is to discuss the interrelationship between the various [C] = Damping Matrix
modal methods and finite element analysis. Certain limitations, which [C∗] = Modal Damping Matrix
affect the results attained by each procedure, are identified, and the c = Modal Damping Coefficient
restrictions, which these limitations impose on modal analysis and its [D] = Dynamical Matrix, [D] = [K] -ω2 [M] + iω [C]
application are discussed. The extent to which modal analysis and E = Young’s Modulus
finite element analysis can be coordinated into an effective diagnostic {F} = Force Vector
procedure for vibration analysis is demonstrated by several case [I] = Unity Matrix
histories. Some definitions to clarify the terminology of this subject [K] = Stiffness Matrix
are discussed in the following section. [K*] = Modal Stiffness Matrix
k = Modal Stiffness
Types of Modal Analysis [M] = Mass Matrix
As used in the general literature of vibration analysis, modal [M*] = Modal Mass Matrix
analysis may refer to either: m = Modal Mass
a) A formalized test procedure for identifying the dynamical N = Normal Force
properties of structures. P = Applied Force
b) A mathematical procedure for increasing the efficiency of R1 = First Torsional Mode
structural dynamics calculations. {S} = State Vector of Displacements
c) A technique for rotor balancing. T1 = First Tangential Mode
Y = Displacement
Modal testing is a formalized method for identification of b = Distance
natural frequencies and mode shapes of structures. It utilizes e = 2.71828…
dedicated modal test equipment, and requires a formalized procedure h = Distance
for disturbing, e.g., rapping, the structure into motion, and then
recording the distribution of the resulting motions throughout the i = −1

structure. The end results of a modal test are the various natural r = Applied Force Location in Modal Test
frequencies, mode shapes, and impedance data of the structure. These s = Displacement Location in Modal Test
data are identified from the digitized input signals using efficient t = Time
curve-fitting routines. The results are subsequently displayed as u = Displacement
impedance plots and mode shapes (possibly animated). u& = Velocity
Mathematical modal analysis is an analytical procedure used &u& = Acceleration
to uncouple the structural equations of motion by use of a known a = Real Part of λ (Damping Term)
transformation, as outlined in the following section. Details are given γ = Phase Angle
in standard textbooks such as Hurty and Rubinstein.1 The resulting δ = Modal Force
analysis is then readily achieved by solution of the uncoupled η = Modal Displacement
equations. The modal response of the structure is then found through θ = Angular Displacement
a reverse transformation, followed by a summing of the respective λ = Complex Eigenvalue (a + i ω)
modal responses, in accordance with their degree of participation in µ = Coefficient of Friction
the structural motion. ω = Circular Frequency - Rad/Sec – Imaginary Part of λ
Modal balancing is a rotor balancing procedure in which the
[ϕ] = Modal Displacement Matrix
respective modes of a rotor system are first isolated and then
corrected for residual unbalance in sequence. The balance corrections
used for one mode are carefully arranged in accordance with modal
Practical Modal Analysis Procedures
Practical modal analysis, or modal testing, involves the
following operations:
a) The structural response amplitude is acquired in digital format
throughout a prescribed frequency domain, at a given
displacement point r for excitation applied at a point s.
b) The modal mini-computer automatically develops and stores
this digitized frequency response data in a designated memory
for subsequent processing.
c) Curve-fit routines are applied to the frequency response data to
identify the natural frequencies within the given frequency
range. The corresponding mode shapes are extracted from the
digitized amplitude data at the natural frequencies.
d) The mode shapes may be animated in terms of the simplified
structural model, corresponding to those locations at which the
response has been determined.
e) The modal damping is estimated from the magnitude of the
response at each natural frequency. This is often the most
approximate structural parameter obtained by modal testing.
f) Modal matrix data are identified for the structure. Output is
developed for mass, stiffness, and damping matrices suitable
for further computations, based on the structural modal
properties. These data are printed out for subsequent use.
g) Some software packages permit modifications to be made to the
matrix data, to evaluate the influence of possible changes on the
natural frequencies and mode shapes. These packages can be run
on certain commercially available modal analyzers.
Finite Element Analysis
Finite element analysis is a computerized procedure for the
analysis of structures and other continua. Rapid engineering analyses
can be performed because the structure is represented (modeled)
using the known properties of standard geometric shapes, i.e., finite
elements. Efficient, large, general-purpose computer codes now exist
with appropriate matrix assembler routines and equation solvers for
calculation of the following structural properties:
a) Static displacement and static stress.
b) Natural frequencies and mode shapes.
c) Forced harmonic response amplitude and dynamic stress
d) Transient dynamic response and transient stress.
e) Random forced response, random dynamic stress.
Finite element analysis used in this manner provides the dynamic
properties of structures, including mode shapes and corresponding
natural frequencies.
General purpose finite element codes such as NASTRAN,
ANSYS, SAP, ADINA, etc., are programmed to develop and solve
the matrix equation of motion for the structure, viz:
[M]{&u&} + [C]{u& } + [K]{u} ={F cos (? t + ?)} (1)
where the terms used are defined in the Notation section above.
The model details are entered by the analyst in a standardized
format. The computer then assembles the matrix equation of the
structure. The first part of the solution to a given problem is to solve
the matrix equation:
[M]{&u&} + [K]{u} = 0 (2)
for the free vibrations of the structure. The solution to Equation (2)
gives the natural frequencies (eigenvalues) and the undamped mode
shapes (eigenvectors). These parameters are the basic dynamical
properties of the structure, and they are needed for use in subsequent
analysis for dynamic displacements and stresses. For harmonic
motions, {ü} = -ω2{u}. Substituting gives the matrix eigenvalue
expression:
−1
[K] [M] {u} = [I] {u} (3)
where [I] is the unity matrix. Standard procedures (Jacobi, QR, Sub-
Space iteration) exist for extracting the eigenvalues: see Bathe and
Wilson.2 The corresponding matrix of eigenvectors, [ϕ] are obtained
by back substitution.
Typically the matrix equations of motion for the structure
contain off-diagonal terms. The matrix equation may be de-coupled
by introducing the transformation:
{u} = [ϕ ] {?} (4)
and writing the following expressions:
[ϕ]T [M] [ϕ] = [M*] (5)
ϕ] [K] [ϕ] = [K ]
T *
(6)
T *
[ϕ] [C] [ϕ] = [C ] (7)
which contain only diagonal terms.
The damping matrix may be uncoupled on the condition that the
damping terms are proportional to either the corresponding stiffness
matrix terms and/or the corresponding mass matrix terms. The
uncoupled matrix expressions are:
[M* ]{&?&} + [C* ]{?& } + [K* ]{? } = [ϕ ]T {F cos (? t + ?)} (8)
Each equation in this expression then has the form:
m r&?&r + cr ?& r + k r ? r = dr cos (? t + ? r ) (9)
To which the solution is:
dr cos(? t + ? r )
nr = (10)
(k r − m r ? 2 ) 2 + (cr ? )2
The dynamic displacements, u at frequency ω may then be obtained
from the transformation {u} = [ϕ] {η}.
Modal testing complements finite element analysis, both by
obtaining the natural frequencies and mode shapes directly by
measurement, and by providing the matrix data [M] [C] and [K] for
response analysis. Modal test results can be used to confirm the mode
shapes and natural frequencies predicted by finite element analysis
and the test data for the natural modes may be used to obtain the
modal mass matrix and the modal stiffness matrix for the structure.
To improve the efficiency of finite element calculations, a so-
called ‘eigenvalue economizer’ routine (Guyan reduction) is often
used. These routines reduce the size of the dynamical matrix:
[D] = [K] − ? 2 [M] + i ? [C] (11)
by ‘condensing’ it around selected ‘master’ nodes having ‘master’
degrees of freedom (DOF), for which the modal displacements are
needed. These master DOFs, are critical locations whose
displacements participate strongly in the modes of interest for a given
case. For example, the tip of a cantilever beam would be a typical
master DOF location for most modes of a beam system. Guidance in
the selection of such nodes for analysis can be obtained from the
results of modal testing, where the response of the structure to
dynamic forcing at such locations has been determined by test.
Advantages of Modal Analysis
The mode shapes and natural frequencies of a structure are its
basic dynamic properties. Modal testing is used to rapidly identify
these modes and their natural frequencies, and to provide the
structural matrices, which govern the modes and natural frequencies.
Thus the basic structural dynamic data, when obtained accurately
from a valid test also provides a true identification of the structural
properties for the modes of interest. These derived matrices are based
on the measured participation of the mass, stiffness and damping
properties in the modes of interest, for the actual boundary
conditions, which the structure is experiencing. These data can then
be used directly in a finite element model for the structure or
component, for subsequent problem solving, or re-designing the
equipment for more optimum dynamic response.
Modern modal analysis test equipment has been developed to
provide the maximum convenience in testing and data reduction, and
to provide the above-mentioned dynamic properties of the structure.
All modal analyzers contain dedicated mini-computers for efficient
high-speed data processing, performed in a prescribed manner in
accordance with a specialized test routine. In the hands of an
experienced modal analyst, this leads to economical extraction of the
data mentioned above.
The advantages of modal analysis are, first, that a modal test
provides the most rapid and effective procedure available for the
acquisition of data on the dynamic properties of a structure. Such
testing can often be performed by a skilled technician for later
interpretation by a dynamics engineer. Second, modal analysis is an
effective analytical procedure for the solution of large sets of
structural dynamics equations because it reduces coupled matrix
equations (which must otherwise be solved by some iterative
procedure) to a set of independent linear equations, each with the
well-known closed-form solution given above. Modal solutions can
therefore be obtained directly, without further numerical operations.
These solutions are then re-combined to form the complete solution
to the structural response problem in question. It should here be
noted that solutions to harmonic, transient, and random forced
vibration problems can all be obtained using this modal analytical
procedure, by means of simple extensions to the theoretical
procedure outlined above: see Reference [1] for details.
Shortcomings of Modal Analysis
The output from modal testing consists of natural frequencies,
mode shapes, modal stiffness, modal damping, and modal mass
matrices. The main assumption involved in the acquisition of this
information is that the structural system is linear, i.e., structural
displacements are directly proportional to applied loads. In practical
structures this condition is not always met. Structural systems may be
non-linear to some degree, due to those causes listed below. Non-
linearities complicate the extraction of modal data and, where their
effect is strong, they may invalidate the results obtained by linear
analysis. Non-linear effects may be present in a structural system due
to several causes:
a) The material properties may be non-linear, e.g., composite
structures, viscoelastic materials, elastic-plastic materials, where
displacement is non-linearly related to force.
b) Where large amplitudes are involved, the geometry may result in
displacements, which are non-linearly related to load, e.g., large
deflections of plate and shell-type structures.
c) The structural boundary conditions may introduce non-
linearities, e.g., structures where the number of support points
changes, or where the structure is a rotor mounted in fluid-film
bearings experiencing relatively large whirl amplitudes.
Such non-linear effects complicate the analysis and tend to
introduce errors into the data reduction and curve-fitting estimates of
natural frequencies. Such results cannot always be adequately
represented by a linear analysis, because the properties change
according to the magnitude of the applied load. Errors can range from
small errors where minor non-linearities are present to large errors
where the non-linear effects are substantial, such as in multiple
support structural contact problems (load-dependent indeterminacy).
A further limitation to modal testing is that it does not directly
address the forced response problem, nor problems of transient response
nor of random response. For problems in which the response to such
loadings is of interest, modal amplitude data can be obtained by
testing to formulate an efficient structural model for finite element
analysis. Once the structural model is available in matrix form, the
forcing data can be loaded into a finite element program, and the
response to dynamic loading (harmonic, transient, or random) can
then be obtained by calculation. The accuracy of such analyses
depends of course on the validity of the model, which is generated
from the modal test data. It is good practice to make a preliminary
natural frequency/mode shape calculation with such data, to verify
that the test modal data is consistent with the structural modes and
frequencies upon which it is based.
Another limitation of modal testing is that it cannot, by itself,
predict threshold conditions for structural stability problems, such as
structural buckling, and rotor whirl stability in fluid-film bearings.
Again, the modal test structural matrix data from such problems can
be developed for subsequent (linear) finite element analysis, such as
the prediction of stability threshold conditions. However, the non-
linear limitation again applies to the post- threshold behavior of such
structures. Following the development of an unstable condition, e.g.,
buckling or rotor whirl, the structure characteristically undergoes
large displacements until a new equilibrium condition is found. Such
behavior may be highly non-linear, and so beyond the capabilities of
modal analysis, and of the structural matrices developed by modal
testing.
Advantages of Finite Element Analysis
Finite element analysis in conjunction with the high-speed
digital computer permits the efficient solution of large, complex
structural dynamics problems. As the majority of structural dynamics
problems are linear they can be solved in the frequency domain using
a modal transformation as noted above, subject to certain simplifying
assumptions concerning the nature of damping.*
Many efficient and comprehensive finite element computer
codes are now available to perform structural dynamics response
calculations involving harmonic response, transient response, and
random response of complex structures. Provision is made in many
large codes for storing specific solutions on tape and using these
solutions as input to a second related problem, involving the same
structure. For example dynamics problems where high temperatures
cause changes in the elastic properties of the structure may be
addressed by solving for the temperature distribution prior to the
natural frequency calculations. The temperature distribution is first
obtained for known input conditions, and this solution is used to
solve the structural dynamics problem with temperature-dependent
elasticity. Similar comments apply to fluid/structural interactions,
where the equivalent mass properties of the fluid must be
incorporated within the structural mass matrix.
The finite element method therefore offers a very efficient
procedure for the calculation of complex linear structures under a
variety of dynamic excitation conditions, and under environmental
conditions, which may include temperature effects and entrained
fluid effects. Where the structure is nonlinear, modal testing may still
be used (with caution) to estimate initial values for mass, stiffness,
and damping parameters, which can then be modified to suit more
advanced structural models.
Shortcomings of Finite Element Analysis
Although most linear structural dynamics problems may now be
solved accurately and economically, it is still costly to solve most
non-linear problems. For such cases a solution strategy must usually
be developed on a case-by-case basis. In such instances the structural
geometry and elasticity may be needed in considerable detail in the
input data, and the formulation time for such cases may be significant
unless suitable pre-processors are available within the code.
The finite element analysis of recurrent structures, i.e., where a
specific segment of the structure geometry is repeated a number of
times, are still costly to solve. No general-purpose codes (or pre-
processors) are yet in use, which specifically address this problem.
Problems of recurrent geometry are relatively common, e.g., bladed
turbomachine structures, axisymmetric structures, building structures,
and many types of rotating machinery. The geometry of such
structures often closes on itself ('ring' structures). The total structural
matrix is still symmetrical and tri-diagonal, but the dynamical matrix
contains off-diagonal elements, which may substantially increase the
local matrix bandwidth. This causes a corresponding increase in
computation time. Efficient computation of such recurrent
components has been undertaken by special finite difference
procedures,3 but sub-routines to undertake such computations are not
yet in widespread use.
*
So-called Rayleigh (or proportional) damping conditions must be used for
the simple modal transformation to apply. Other Techniques are available
when the damping matrix is non-symmetrical.
Case History 1 - Vibrations of a Three Blade Group Table 1. Natural frequencies of three-blade group.
Purpose. Vibrations of a group of three turbine blades were Closest Mode Modal Finite Finite
studied to determine whether resonance was likely between a natural Per-Rev Frequency, Element Element
frequency of the group and some per-rev harmonic of running speed Frequency, Hz Hz Frequency Frequency
in the machine. (no CF), Hz (with CF), Hz
Procedure. A modal test was made on the three-blade group 180 (3x) + 6% 1 170.2 175.4 190.3
shown in Figure 1. The group was welded to a massive steel block 300 (5x) + 5% 2 263.5 270.7 286.4
attached to a concrete floor slab at the level of the first hook contact, 420 (7x) + 2% 3 369.7 393.1 413.1
to simulate the rim attachment flexibility. The blades were also
welded together at their cover sections. The cover was attached to the
blades by a single large rivet. The structure had no tiewire.
The measured natural frequencies of the group were obtained
without centrifugal stiffening, but with some root flexibility. A finite
element calculation was then made of the blade group natural
frequencies, without centrifugal stiffening, and then with centrifugal
effect.
The modal test natural frequencies confirmed the finite element
natural frequencies, as shown in Table 1. This indicated that the finite
element model was appropriately scaled. Natural frequency values
were then calculated with stress stiffening added, corresponding to
3600 rpm, as shown in Table 1. The influence of the centrifugal rise
on the natural frequencies is evident.
Mode Shapes. The first three test mode shapes are shown in
Figure 2. These were obtained with Structural Measurement Systems,
Inc. (SMS) Modal Analysis System. The first mode is a sideways, or
tangential, motion of the group, al T1 = 170.2 Hz. Viewed from the
top (not shown) the motion occurs at about 45° to the tangential. The
second mode occurred at AI = 263.5 Hz, mostly in the axial direction,
i.e., normal to the tangential direction.
The third mode RI occurred at 369.7 Hz, and is mostly a group
torsional motion, in which the cover lends to rotate as a rigid body
around the tenon of the middle blade.

Figure 2. First three-mode shapes for three-blade groups.

Comments. The results show that the frequency margins for T1

Figure 1. Three blade group for frequency testing.
and A1 are 6% and 5% respectively from the closest excitation
harmonics. This difference is adequate for effective detuning from
either resonance condition.
The apparent frequency margin for R1 is only 2%, which in
practice would be less than desirable to ensure safe operation,
although the present detuning from resonance is still very significant.
Also the attachment boundary conditions at the welded root
attachment and at the welded rivet, as used to calculate this mode are
thought to be somewhat stiffer than with actual blades in practice. In
practice this would tend to lower the R1 mode further away form any
third mode resonance.
The correlation between modal results and finite element results
for the first two modes is typical for such blade structures with
complex airfoil shapes and imprecise boundary conditions. Potential
improvements in correlation through improved knowledge of
boundary conditions are often offset by the statistical variance of
frequencies between actual blades, and by the specific boundary
conditions of each attachment under rotating conditions. Having
verified the blade group model, the next step in such studies would be
to determine the group response to specified per-rev steam stimulus.
Case History 2 – Vibrations of Sewage Pump and Piping
System
Problem Description. Excessive rotor vibrations were reported
for the sewage pump and piping system shown in Figure 3. These
vibrations were the suspected cause of rapid gland seal wear and
frequent seal replacement, which led to unacceptable restriction of
the operating speed and pump discharge range. A program of
vibration tests and modal tests, supported by rotor system
calculations was made to determine the reasons for this problem.4
b) Modal tests were made to determine the natural frequencies and
mode shapes of the pump and piping system. These tests were
made with and without fluid in the pump, but not with the pump
rotating.
c) Displacement sensor tests were made near the gland seal,
between the rotor shaft and the pump casing, to determine the
conditions under which the shaft vibrations were worst, for the
test matrix.
d) Strain gage telemetry tests were made to determine the location
of the torsional natural frequencies of the motor drive and pump
rotor. Strain gages were placed on the pump shaft between the
bearings. Induced-power radio telemetry was used to bring out
the shaft torsional signals.

Figure 4. Rotor and support model details.

Figure 3. Sewage pump and piping system.

Pumping and Piping System. The pump and piping system

shown in Figure 3 raises sewage from a wet well sump through a
vertical riser pipe into a treatment tank. The pump inlet and outlet
pipes both have a 30 inch I.D., and the vertical pipe has a 42 inch I.D.
A check valve is situated 65 ft. above the outlet pipe centerline. The
horizontal pipe to the treatment tank is 165 ft. above the pump
centerline. The pump is driven by an 850 Hp motor mounted on a 30
ft. vertical pipe column supported from the pump volute casing. The
motor drives the pump through a vertical shaft. The pump rotor also
has a casing with cantilever bearing supports and a gland packing
seal above the rotor, which experienced the wear and sewage leakage. Figure 5. Amplitude vs. frequency response for drive system.
The pump impeller is overhung, with two outlet flow passages (two-
vane impeller). The volute casing surrounds the impeller. Calculations. The forced response properties of the pump and
Test Program. A series of tests to determine the cause of the casing structure were investigated using a multi-level rotordynamics
pump system vibrations was undertaken as follows: code. The rotor system model details for the pump and casing are
a) Accelerometer tests were made on the motor casing, on the shown in Figure 4. An arbitrary unbalance of 1 oz. in. was added to
gland seal casing and pump outlet flange, and at various the impeller to provide unbalance excitation at once per-rev. The
locations on the pipes, including the vertical bend and the check model also contained a small amount of viscous damping in each of
valve flange. Data were recorded throughout a matrix of test the rolling element bearings in the drive system. This calculation was
conditions relating to pump head and operating speeds. performed to determine the location of the natural frequencies of the
pump structure, including those of the cantilevered motor, drive
coupling and cantilevered pump rotor (multi-level system). The
frequency response of the system in its first mode is shown in Figure Table 2. Calculated and test natural frequencies.
5. The mode shape is shown in Figure 6. These natural frequencies Mode Calculated Modal Accelerometer
and mode shapes are compared with the modal test natural Frequency, Hz Frequency, Hz Frequency, Hz
frequencies and mode shapes in Table 2, and with the system
resonances from he accelerometer tests. Torsional drive system Reed 1 24 24.5 -
calculations were also made to determine the torsional natural Reed 2 28 28.1 28.0
Shaft Bending 1 (32)* 32.8 30.5
frequencies of the drive rotating components. Calculated torsional Shaft Bending 2 35.5 35.2 -
results are compared with the telemetry test results in Table 2. Torsional 44.5 44.8 46.3
Modal Test Results. The first mode of the pump and piping Structural 1 - 53.1 54.8
system is shown in Figure 7. In this mode, the pump structure Structural 2 - 82.4 81.5
vibrates against the riser pipe, in the direction of the outlet pipe axis, Structural 3 - 88.1 86.5
at 24.5 Hz. The drive rotor system also vibrates against the motor Structural 4 - 96.6 98.0
support structure. The second mode at 28 Hz is similar. The pump
structure and riser pipe again vibrate against each other, but this time *Depends on assumed casing support stiffness
in a direction transverse to the outlet pipe axis. The rotating
components again vibrate against the motor support structure. Other Table 3. System resonance frequencies
pump and piping system modes were found at frequencies given in Mode Natural Excited By Speed, rpm
Table 2. Frequency, Hz

Drive Shaft 32.0 2x 960

(Lateral Mode 1) 3x 640 Op. Range
4x 480
Drive Shaft 35.5 2x 1050
(Lateral Mode 2) 3x 690 Op. Range
4x 510
Reed Mode 2 28.0 2x 840 Op. Range
3x 560
4x 420

Figure 6. Mode shape of drive shaft and pump casing at ƒ1 = 35.5 Hz

(rotordynamic calculation).

Figure 8. Typical accelerometer response spectrum (bump test at motor).

Vibration Test Results. Resonant frequencies found during

Figure 7. Mode shape of piping and drive at ƒ2 = 24.5 Hz (modal test).
operation of the pump are listed in Table 3. These data were obtained
and confirmed at a number of locations. The results indicate the
frequency of the excitation (1×, 2×, etc.) related to pump speed of
rotation. A typical accelerometer response spectrum is shown in
Figure 8, which indicates the characteristically strong 2× excitation,
which was consistently observed in the accelerometer and
displacement sensor results. The maximum relative shaft vibratory
displacements occurred around 700 rpm and especially above 800
rpm. Similar results were found for the impeller displacements.
Comments on Test Results. Resonance frequencies are
summarized in Table 3. At 736 rpm the 2× impeller frequency
coincides with the motor support reed frequency of 24.54 Hz, and the
3× coincides with the shaft lateral natural frequency at 35 Hz when
the impeller speed is 700 rpm. The occurrence of these two lightly-
damped resonances within this speed range is thought to be the cause
of the observed strong vibrations around 700-740 rpm. At 795 rpm
the 4× harmonic coincides with the system structural mode 1 at 53
Hz. At 840 rpm the 2× harmonic coincides with the second-motor
support reed mode at 28 Hz. This response was observed strongly in
several readings. The shaft torsional mode at 45 Hz is also
approached at 885 rpm. Torsional resonance would occur at 900 rpm, Modal Test. A total of 68 nodal test sites were selected to
which was beyond the test speed range. provide modal rap test data (selectively) in the x, y, z directions
Each of the above resonances appear to have been excited by the shown. Analysis of the modal test data led to the identification of 20
impeller jet transient loadings on the casing and pipe system. These modes between 3.88 Hz (fundamental, x-longitudinal) and 229 Hz
resonances appear to have been the cause of the observed structural (complex platform bending torsion).
vibrations of the pump and piping. It is noted that the system has little Finite Element Calculation. A finite element calculation was
inherent damping, and the resulting transient vibrations will thus be also made for the foundation based on the construction drawing, and
sustained by the recurring impeller jet impacts as rotation occurs, assuming that the concrete columns were elastic for 3 ft. below the
especially under resonant conditions. concrete floor, and were rigidly secured below this depth. The
The conclusions are as follows: calculated natural frequencies are compared with the measured
• The measured structural, lateral and torsional responses of the frequencies in Table 4.
pump and piping system are all caused by forced vibration. The
primary cause of this forced vibration is the rotating impeller jet Table 4. Frequencies of natural modes, modal analysis and finite element
discharge, which impacts on the pump structure at twice per calculations.
impeller revolution. Measured Calculated Measured Calculated
• The time-variation of each jet discharge forcing resembles a saw Frequency, Frequency, Frequency, Frequency,
tooth shape. Two saw tooth loadings correspond to a single Mode Hz Hz Mode Hz Hz
rotation of the impeller. 1 3.88 3.41 7 27.30 29.62
• This saw tooth forcing is the cause of the observed structural 2 4.12 4.27 8 35.61 40.33
vibration and the shaft lateral and torsional vibration. The saw 3 5.05 5.36 9 40.19 45.87
tooth Fourier spectrum contains the 1×, 2×, 3×, and 4× and 4 9.52 9.89 10 55.22 56.21
higher components. 5 15.86 17.44 11 73.71 79.68
• The strongest source of excitation is the two-per-rev harmonic 6 19.11 20.61 12 90.23 99.64
of pump rotational speed. This excitation causes large vibrations
to develop when it becomes resonant with any of the natural
frequencies of the pump piping structure.
• The 24.5 Hz reed frequencies can be resonated by the strong
two-per-rev forcing at 720 rpm.
• The 28 Hz reed frequency can be resonated by the strong two-
per-rev forcing at 840 rpm.
• The 32.8 Hz lateral mode was excited but not resonated by the
2× pump harmonic. It could be resonated by the 3× at 656 rpm.
• The 45 Hz torsional mode was excited but not resonated by the
2× impeller harmonic. It could be resonated by the 4× at 675
rpm, which is close to the operating speed range of the pump.
These modal tests and calculations identified and explained the cause
of the pump-system vibrations, and allowed replacement
modifications to be specified which are expected to overcome this
problem, through a generally stiffer system with a five-vane impeller.

Case History 3 – Modal Analysis of a Turbine Generator

Foundation
Description of Foundation. A 330 MW turbine generator is
mounted on the massive reinforced concrete foundation shown in
Figure 9. The total weight of the turbine foundation is 2180 tons. The
foundation is supported on 50 ft. concrete piles which extend down to
bedrock. The natural frequencies and mode shapes of the unit were
obtained by modal test, and by finite element analysis to satisfy
seismic requirements.5

Figure 9. Turbine generator concrete foundation. Figure 10. A-Mode 1, 3.88 Hz, x-translational, in-phase, rigid platform.
B-Mode 2, 4.12Hz, y-lateral, in-phase, rigid platform. C-Mode 3, 5.05 Hz, y-
torsional, platform warping. D-Mode 4, 9.52 Hz, y-lateral, platform bending.
 Foundation Modes. The first four calculated modes of the Table 5. Modal parameters identified for disk.
structure are shown in Figure 10. Mode 1 is a lateral translation of the Frequency Kd1, Kdr,
structure in the x-direction at 3.88 Hz. Mode 2 is the y-translation of Mode Hz Md, Kg 108N/m Id, Kgm2 106Nm/rad
the structure at 4.12 Hz. Mode 3 is rigid torsion of the platform on its
columns at 5.05 Hz, and mode 4 is platform free-free bending at 9.52 1 272 52.78 1.55 0.2457 0.7226
Hz. Higher modes show further platform warping and column vs. 2 754 11.29 2.55 0.1215 2.7443
3 1414 5.48 4.35 0.0289 2.2919
column bending. 4 1689 7.25 8.22 0.0173 1.9563
Significance of Modes. For seismic considerations the most 5 2495 12.43 30.70 0.0126 3.1073
significant vibration responses are expected to occur in modes 1 and 6 2628 5.25 14.40 0.0298 8.1733
2, because these modes can most readily couple with the strongest 7 3158 733.80 2906.60 0.4929 19.5214
earthquake spectral components in the 2 to 5 Hz domain; see the 8 3376 38509.00 174000.00 2.4352 1101.8000
typical earthquake spectrum in Figure 11. Above this frequency range 9 3388 124.76 564.40 0.0101 4.5733
the earthquake excitation strength is less, and the modal forms are 10 4194 104.84 731.30 0.0383 26.6830
also less likely to couple with the ground motions, e.g., column vs.
column modes are unlikely with ground vibration, as are platform
warping modes, and turbine generator vertical modes.
Discussion of Results. The correlation obtained between the
frequencies shown in Table 4 confirms both analyses (modal and
F.E.), plus the column fixity assumption. The finite element model
was formed from solid elements with reinforcement rods situated
along element interfaces. The turbine generator was modeled with
discrete masses. The contribution of the turbine generator is expected
to be minor below 30 Hz, at which frequency any excessive rotating
unbalance may couple with mode 7.
The results of this study identify and confirm the location of the
natural frequencies of the foundation structure, and reveal the
associated mode shapes. Further calculations concerning possible
response to earthquake excitation can next be made, using the now-
confirmed finite element models.

Figure 12. Brake and wheel arrangement.

Figure 11. El Centro, CA earthquake, May 18, 1940, NS ground acceleration,

velocity, and displacement.5

Case History 4 – Brake Squeal in Subway Trains

Problem Description. An unpleasant squeal problem developed
in the braking system of subway cars in the new Washington, DC
transit system. Sharp squealing occurred as the cars were brought to
rest. An investigation of the braking system arrangement was made to
determine the cause of this squealing and to seek a remedy.6
Analysis Procedure. Detailed modal tests were made on a
typical brake assembly to identify potential natural frequency
components in the squeal spectrum. A series of operational tests were
made to determine the brake assembly natural frequencies, and to
provide spectrum data for confirming the squeal model, for which a
Figure 13. Modal response.
special computer code was developed for parametric studies.
Modal Tests. The brake and wheel arrangement shown in
Figure 12 was tested to determine its modal properties. A total of 26 Finite Element Calculations. A finite element model of the
modal test locations were used. A typical response spectrum for the brake disk was made to calculate the disk natural frequencies, and to
brake pad is shown in Figure 13. The mode at 268 Hz shown in this confirm the disk modal parameters obtained from the modal tests. A
spectrum is plotted in Figure 15. These tests identified the principal 180° segment of this disk model is shown in Figure 14. The 360° disk
modes of the brake structure, and the modal parameters associated was made from 462 plate elements, 126 solid elements and 142 beam
with them. These parameters are listed in Table 5. They were used elements. The one diameter finite element mode shape for this disk
later in this study for the parametric model studies. (180° segment) is shown in Figure 15. The correlation obtained
between modal frequencies and finite element frequencies is given in
Table 6.
 This leads to the system of equations {&S&} = [D]{S} where {S}is a
state vector of displacements, and [D] is a matrix of stiffness mass
and damping coefficients. The solution for {S}is obtained by writing:
{S}={S0 }e ?t (18)

which leads to the standard eigenvalue problem [D]{S0 } = ? 2 {S0 } .

When the brake system is stable the real part of the eigenvalues λ is
negative. When the mode in question is unstable the real part is
positive. In general:
? 1,2 = a ± i ? (19)

where a represents system damping (positive, unstable; negative,

stable) and ω is the circular frequency of the mode in question. A
computer program EIGRDISK was written and used to find
instability threshold conditions for specified conditions of the brake
Figure 14. Finite element model of disk. system.

Table 6. Correlation between modal and finite element natural frequencies.

Mode Frequency Element, Hz Modal Rap Tests, Hz

1 268.45 225
2 950.76 750
3 1679.78 1362
4 1984 - 2260 1875 - 1937
5 2582 - 2599 2462 - 2500
6 - 3050 -3225
7 - 3737
8 - 4400

Figure 15. Mode 1, 268 Hz, finite element calculation.

Squeal Model. The modal data in Table 6 as confirmed by the

finite element calculations were used to prepare the squeal model
shown in Figure 16. This model had six degrees of freedom, i.e., a
lateral and a translatory DOF for the disk, caliper, and wheel.
Writing M, K, and I for mass, stiffness and inertia; Y, θ for
displacement and rotation; µ, N, h, b for friction coefficient, normal
force, and distance; and l, r for linear and rotational direction leads to
the following equations of motion for the system:
Figure 16. Squeal model of brake system.
&& + K (Y − Y ) + K Y − µ N? = 0
MdY (12)
d pe d p de d d
Discussion of Theoretical Results. Young’s modulus of the pad
Disk friction material and the coefficient of friction of the pad were varied
I d&?&d + K dr ? d + K pr (? d − ? p ) + µ hK pe (Yd − Yp ) = 0 (13) in the analysis as these values change from time to time depending on
brake pressure, temperature and wear of the pad. The distance
&& + K (Y − Y ) + P = 0 between pad center and cylinder centerline was also varied. This
M pY p pe p d (14) parameter was found to exert a strong effect on the squeal propensity.
Three different groups of squeal frequencies were found in the
Pad
analysis: the first around 3000 Hz for large values of Young’s
I p&?&p + K pr (? p − ? d ) + 2µ dK pe (Yd − Yp ) + Pa = 0 (15) modulus from 0.5 to 3.0 × 108 N/m2, the second was 400 Hz for a
narrow range of Young’s modulus around 0.2 × 108 N/m2 and the
&& + K Y − P = 0
M cY (16) third around 4000 Hz for lower values of Young’s modulus around
c cl c
0.1 × 107 N/m2.
Caliper 3000 Hz Squeal Frequency. This squeal frequency was
observed with the 6th natural mode of the disk, 2628 Hz. Figure 17
Ic&?&c + K cr? c − Pa + µ b bP = 0 (17) shows the squeal propensity and squeal frequency of one brake
system as a function of pad Young’s modulus, for four values of
friction coefficient. The squeal frequency is independent of the
coefficient of friction and increases with Young’s modulus in a linear
manner in the instability zone. For a large value of friction coefficient
the instability regime covers a wide range of Young’s modulus of the
pad. This range decreases with reduction in the coefficient of friction.
The intensity of squeal, characterized by the squeal propensity, is
high with large values of coefficient of friction.
Figure 17. Squeal instability regimes for disk brake system.
Figure 18. Schematic of field test instrumentation.
400 Hz Squeal Frequency. Squeal frequency was observed
with the 10th mode of the disk at 4194 Hz, for a pad Young’s
modulus of 0.1 × 108 N/m2. An interesting feature observed for this
instability was that the disk coupled frequencies are also very close
together which could result in another squeal frequency, 4200 Hz.
The natural frequencies obtained for the coupled system with E (pad)
= 0.1 × 108 N/m2 were 4204.8, 4114.0, 436.2, 436.2 (squeal
frequency) and 442.2 Hz. The squeal propensity for the 436.2 Hz
frequency was only 21.24 as compared to three digit values for the
3000 Hz squeal frequency considered before. However, because this
is near to a possible second squeal frequency (4210 Hz), and further
that the caliper frequency of 442.2 Hz is also near the 436.2 Hz
squeal frequency, this system instability could clearly be a dangerous
condition, in terms of generating loud unpleasant noise around 400
and 4000 Hz. Figure 17 also shows the effect of friction coefficient
on the squeal instability.
Figure 19. Disk frequency spectrum during squeal initiation.
Figure 20. Disk frequency spectrum after initiation of squeal.
Field Test Instrumentation. Figure 18 shows the
instrumentation used to collect the field data. PCB Series 303A
quartz accelerometers were used to convert the shock and vibratory
motion into high level, low impedance signals used in these tests.
303A02 PCB accelerometers were stud mounted on the disk and on
stationary parts. 302A03 PCB accelerometers were also used with
adhesive mounts. Coaxial shielded cables were used to eliminate
cable noise.
AB&K type 2203 precision sound level meter with one inch
condenser microphone was used to record the noise signature. The
system was mounted on a portable floor stand, with the microphone
pointing downwards near the front open window of the rail car used
for testing.
The brake pressure and truck speed was obtained from the car
brake system directly. Two tape recorders, Racal Store 4 and Store 7
were used to store the data on magnetic tapes. A special bracket was
used to accommodate slip rings, thermocouple amplifiers,
accelerometer amplifiers and connecting leads from the rotating
section. This bracket was clamped onto the axle using three dust
cover bolts. A Rockland Scientific 444A Mini-Ubiquitous FFT
computing spectrum analyzer was used to analyze the vibration and
noise signatures, along with a Tektronix 4622 interactive digital
plotter to obtain a permanent graphic record.
 The two tape recorders and noise measuring equipment were
located inside the car along with the spectrum analyzer, oscilloscope,
and a plotter. The brake pressure and speed signals were taken from
the circuits in the driving car.
Field Test Results. The disk modal analysis indicated that
squeal would occur mostly in the range of 2800-3300 Hz.
Occasionally squeal was observed around 4250 Hz. In every case, the
squeal frequency was first observed in the vibration signals of disk,
pad and caliper limb, and in the noise signal, as the brakes were
applied and the train began to slow down. After the squeal frequency
appeared in the real time spectra, the amplitudes of vibration around
500 Hz grew rapidly as shown in the vibration signals, and in the
noise signals. Two typical sets of the frequency spectra are discussed
below.
As soon as squeal appeared, the disk vibration was almost a
harmonic motion as shown in Figure 19. Immediately following the
appearance of the squeal at frequency 2825 Hz, the disk vibration
levels increased strongly. The corresponding frequency spectrum is
shown in Figure 20. The main frequency components in this
spectrum are in the 250-350 Hz band, which is at the fundamental
frequency of the disk, as determined by calculation and modal test.
Higher mode components of the disk vibration are also present.
The pad response during the initiation of squeal is shown in
Figure 21 and the response after squeal started in Figure 22 shows the
frequency spectrum of noise when the squeal began to appear with a
frequency component of 2950 Hz. The noise spectrum then spread
rapidly to a lower frequency range, which contains lower disk modes
and lower system modes. The maximum temperature at the outer
radius of the disk front face is 460°F, decreasing to 335°F at the inner
radius.
During these tests, it was observed that squeal was present for
one direction of train motion but not in the reverse direction. This
was also validated by the mathematical model; no instability occurred
when the kinematic constraint of pad-piston contact point was
reversed.
Another brake system was also calculated and found that no
squeal occurred for a wide range of Young’s modulus values of the
pad. Field tests with this system also produced no squeal. This further
confirms the analysis and the squeal model.
Figure 21. Pad frequency spectrum during signal initiation.
Comments of the Test Results.
• Based on the theoretical results and field data diagnosis, the
mechanism of squeal in disk brakes has been confirmed, and
defined in detail.
• The instability of the brake system was found to initiate in the
higher disk modes (frequencies), typically in the 6th and 10th
modes in the present analysis.
• The squeal instability in the system is dependent on the
coefficient of friction of the pad, Young’s modulus of the pad,
and the point of application of brake pressure.
• The coefficient of friction of the pad is a function of
temperature, wear, relative speed, and humidity conditions. The
Young’s modulus of the pad is a function of brake pressure and
temperature. These conditions vary quite randomly during
operation and may give rise to different squeal behavior under
apparently similar conditions of operation.
• The coefficient of friction exerts a dominant influence on squeal
and it should be kept as low as possible. The squeal frequency is
not significantly affected by any changes in coefficient of
friction.
• For a given set a parameters of the system, squeal instability
occurs over certain ranges of Young’s modulus of pad. The
squeal frequency increases with Young’s modulus of pad in a
given zone.
• For a given system, squeal can be eliminated by reducing the
distance between pad center and cylinder centerline.
• The observations of squeal from the field data are substantiated
by the mathematical model.
The guidance provided by this study established the cause and the
mechanism of the squeal problem, and provided several alternative
paths for its solution. Washington Metro is now squeal-free.
Figure 22. Pad frequency spectrum after initiation of squeal.
References
1. Hurty, W. C., and Rubinstein, M. F., Dynamics of Structures,
Prentice-Hall, Inc., Englewood Cliffs, NJ, 1964.
2. Bathe, K. J., Wilson, E. L., Numerical Methods in Finite
Element Analysis, Prentice-Hall, Inc., Englewood Cliffs, NJ,
1976.
3. Salama, A. M., Petyt, M., and Mota Soares, C. A., “Dynamic
Analysis of Bladed Disks by Wave Propagation and Matrix
Difference Techniques,” ASME Monograph, Structural
Dynamic Aspects of Bladed Disk Assemblies, presented at the
Winter Annual Meeting of the ASME, December 5-10, 1976.
4. Rieger, N. F., and Kimber, A. W., “Dynamic Interaction
Between a Vertical Pump and Its Piping System,” Proceedings
of International Conference on the Hydraulics of Pumping
Stations, BHRA, The Fluid Engineering Center, Manchester,
England, pp. 253-266, September 17-19, 1985.
5. Newmark, N. M., Fundamentals of Earthquake Engineering,
Prentice-Hall Inc., Englewood Cliffs, NJ, 1971.
6. Rao, J. S., and Rieger, N. F., “Brake Squeal Problems in
Underground Trains,” Inst. Mech. Engrs. (London) Third Intern.
Conf. Vibrations of Rotating Machinery, York, England,
September 11-13, 1984.