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Modelling and vibration analysis of machine tool spindle system with bearing
defects

Article  in  International Journal of Mechatronics and Manufacturing Systems · January 2015

DOI: 10.1504/IJMMS.2015.071686

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Int. J. Mechatronics and Manufacturing Systems, Vol. X, No. Y, xxxx 1

Modelling and vibration analysis of machine tool

spindle system with bearing defects

Yamin Li, Hongrui Cao* and Xuefeng Chen

State Key Laboratory for Manufacturing Systems Engineering,
Xi’an Jiaotong University,
Xi’an 710049, China
Email: huishita.liyamin@stu.xjtu.edu.cn
Email: chr@mail.xjtu.edu.cn
Email: chenxf@mail.xjtu.edu.cn
*Corresponding author

Abstract: A finite element (FE) model of spindle system with defect bearings
is proposed. The drawbar, shaft, housing and other beam structures are
modelled as Timoshenko’s beams, while the pulley, sleeve and other disk
components are modelled as disk elements. All the components’ models are
integrated together to obtain the FE model of the spindle system. The FE model
is verified by carrying out modal tests on a motorised high speed spindle and
the frequency response functions are measured. Good agreements between the
simulation and experiment show the accuracy of the FE model. A bearing
model for raceway defects is presented by considering the geometric relation
between ball and raceways. The bearing model is then integrated into the FE
model of spindle. Vibration responses of spindle system with different kinds of
defect bearings are simulated and their vibration characteristics are analysed
and discussed in both time domain and frequency domain, which may provide
useful proofs for condition monitoring and fault diagnosis of spindles.

Keywords: spindle; rolling bearing; dynamic modelling; localised defect;

vibration response.

Reference to this paper should be made as follows: Li, Y., Cao, H. and
Chen, X. (xxxx) ‘Modelling and vibration analysis of machine tool spindle
system with bearing defects’, Int. J. Mechatronics and Manufacturing Systems,
Vol. X, No. Y, pp.000–000.

Biographical notes: Yamin Li is a Research Assistant at Xi’an Jiaotong

University. He is working on dynamic modelling of rotor-bearing systems.

Hongrui Cao is an Associate Professor in the School of Mechanical

Engineering, Xi’an Jiaotong University, Xi’an, China. He received his BSc in
Mechanical Engineering from Harbin Institute of Technology in 2004, and PhD
in Mechanical Engineering from Xi’an Jiaotong University in 2010. From 2008
to 2010, he was a visiting PhD student at The University of British Columbia,
Canada. His current research interests include dynamic modelling and fault
mechanism analysis, and operational reliability assessment of mechanical
equipment.

Xuefeng Chen received his PhD degree from Xi’an Jiaotong University,
Xi’an, China in 2004. He is a Professor of Mechanical Engineering with Xi’an
Jiaotong University. His current research interests include finite-element
method, machinery condition monitoring, and prognostics. Dr. Chen was a
recipient of the National Excellent Doctoral Dissertation of China in 2007, the

Copyright © 20XX Inderscience Enterprises Ltd.

2 Y. Li et al.

Second Awards of Technology Invention of China in 2009, and National

Science Fund for Distinguished Young Scholars in 2012; and he was also the
prizewinner of 13th National Award for Youth in Science and Technology of
China in 2013.

This paper is a revised and expanded version of a paper entitled ‘Study on

vibration response of high-speed spindle with bearing defects’ presented at the
11th International Conference on High Speed Machining HSM 2014, Prague,
Czech Republic, 11–12 September 2014.

1 Introduction

Spindles are the key components of machine tools, which have significant influences on
the dynamic behaviour of system. Modelling of spindle systems is necessary to provide
guidance for the structural optimisation, fault diagnosis and other applications. The finite
element method enables the modelling of the spindle systems involving the flexible rotor
and complex structure and it is widely used. Young et al. (2007) applied the finite
element method to model a spinning disk-shaft system supported by a pair of ball
bearings whose stiffness is considered as constant. Gupta et al. (2008, 2011) and Gupta
and Gupta (2013) developed a model for an unbalanced flexible rotor supported by ball
bearings with radial internal clearances. The finite element method and a 2-DOF bearing
model were applied. Matthew et al. (2014) combined the explicit finite element method
and the discrete element method to study dynamic behaviours of flexible rotor systems
supported by deep-groove ball bearings. Lin et al. (2003) developed an integrated
dynamic thermo-mechanical model for high speed spindles using the finite element
method. Cao and Altintas (2004) and Cao (2006) proposed a general finite element model
for spindle systems. The stiffness matrixes of bearings were calculated by improved
Jones’ model. Zahedi and Movahhedy (2012) studied the thermo-mechanical behaviour
of machine-tool spindles by developing a finite element model. Holkup et al. (2010)
proposed a finite-element-method-based thermo-mechanical model of spindles with
rolling bearings, which can predict temperature distribution, thermal growth, bearing
stiffness and other significant parameters of spindles. Cao et al. (2010, 2012a) developed
a finite element model for spindle systems and studied the preload mechanisms and the
centrifugal expansion deformations. Zhao and Guan (2012) used the finite element
method to make the thermal analysis and the thermal-structure coupling analysis.
Zbigniew and Jerzy (2013) modelled a propagating shaft crack using finite element
approach. In addition, similar finite element models of spindle system can be found in
Gagno et al. (2007) and Li and Shin (2004, 2009).
Rolling bearing plays a significant role in spindle systems, which affects both the
static and dynamic properties of the system considerably. Meanwhile, it is usually the
weakest part in a spindle as surface defects often occur on the inner raceway or outer
raceway. Bearing defect is one of the most common root causes of vibration and noise in
spindles. Many models of bearing with defects have been proposed. Choudhury and
Tandon (2006) developed a lumped mass model of a bearing-rotor system with bearing
defects, which considered the damping effects and oil films. Sadok and Bechir (2007)
studied the defects on the outer raceway, inner raceway, and ball by developing a
dynamic model. Ashtekar et al. (2008, 2010) proposed a defect model for bearings by
 Modelling and vibration analysis of machine tool spindle system 3

considering the variation of Hertizan contact relationships. Patel et al. (2010) studied
vibration responses of deep groove ball bearings with single or multiple defects.
Nakhaeinejad and Bryant (2011) proposed a dynamic model of rolling bearing with
surface defects using bond graph method. Behzad et al. (2011) assumed a stochastic
source of vibration excitation and proposed a new model for vibration generation in the
rolling element bearings. Kankar et al. (2012) used Hertzian contact theory to calculate
the contact force and proposed a dynamic model to study the localised defects. Cao et al.
(2012b) proposed an integrated finite element model for a spindle system with localised
bearing defects and studied the sensor placement optimisation. Bogdevicius and Skrickij
(2013) used Lagrange method to model ball bearings with defects, and studied different
kinds of defects, including single and multiple cases. Yuan et al. (2014) studied the single
and multi-defects of a bearing by developing a multi-DOF model of a rotor system
supported by two bearings considering the elastic deformation of the rotor. Niu el al.
(2014) proposed a defect model based on Gupta’s bearing model and studied the
vibration characteristics of the raceway defects.
However, few researches have been done in modelling of spindle systems with
bearing defects. In this paper, a finite element model for spindle systems was proposed.
An experiment was conducted on a test spindle. Good agreements of experiment and
simulation show the validation of the proposed model. A bearing model for outer
raceway defects and inner raceway defects is proposed by adding additional deflection
into the distance between the ball centre and the raceway groove centre when the ball
rolls over the defect. The proposed defect model is integrated into the FE model of
spindle. Then the vibration responses of spindle system with different kinds of defect
bearings (including outer raceway defect, inner raceway defect and multiple defects) are
simulated, and their vibration characteristics are analysed and discussed in both time
domain and frequency domain, which may provide useful proofs for condition
monitoring and fault diagnosis of spindle systems.

2 Modelling of spindle-bearing system

2.1 Stiffness matrix of the bearing

The distance between the curvature centres of the raceways changes when the external
forces are applied on the bearing, as shown in Figure 1. As the outer raceway is fixed on
the housing, the curvature centre of the outer raceway groove can be regarded as being
fixed. Under rotational speed the centrifugal forces increase the contact angle of the inner
raceway but decrease the contact angle of the outer raceway. The distances between the
curvature centre of the inner raceway groove and the bearing ball centre, the centre of the
outer raceway groove and the bearing ball centre are:
D ⎫
Δ ik = ri − + δik = ( f i − 0.5 ) D + δik ⎪
2 ⎪
⎬ (1)
D
Δ ok = ro − + δok = ( f o − 0.5 ) D + δok ⎪
2 ⎪⎭

where ri and ro are the curve radius of the inner raceway and the outer raceway
respectively, D is the diameter of the ball, fi and fo are the ratio of the radius of the inner
4 Y. Li et al.

raceway and outer raceway to the diameter of the ball respectively, δik and δok are the
contact deformation displacements of the ball at the inner raceway and the outer raceway
respectively.

Figure 1 Displacement relations between curvature centres

U ik
Δ icu

Uk Δ icv
Δ ik
θik

Vik
θ ok
θ
k
Δo

Vk

Source: Cao (2010)

From Figure 1, displacement equations of geometric relations can be obtained by using
Pythagorean theorem, namely:

(U ik − U k )2 + (Vik − Vk )2 − Δik 2 = 0 ⎪⎫ (2)

⎬
U k 2 + Vk 2 − Δ ok 2 = 0 ⎪⎭

Figure 2 The forces acting on the bearing ball

Source: Cao and Altintas (2004)

Figure 2 shows the forces acting on a bearing ball in high speed state, equilibrium
equations for the ball can be given (Cao, 2010):
 Modelling and vibration analysis of machine tool spindle system 5

M gk ⎫
Qik sin θik − Qok sin θok − ( λik cos θik − λok cos θok ) = 0 ⎪
D ⎪
⎬ (3)
M gk
Qik cos θik − Qok cos θok − ( λik sin θik − λok cos θok ) + Fck = 0⎪
D ⎪⎭

where λik = λok = 1, θik and θok are the inner and outer raceway contact angles respectively.
Qik and Qok are the contact forces between the ball and the raceways which are calculated
by using Hertz contact theory, Fck is the centrifugal force, and Mgk is the gyroscopic
moment. Equation (2) and equation (3), as well as the force equilibrium equation of the
inner raceway can be solved by using the Newton-Raphson method. Then the values of
Uik, Uk, Vik, Vk, Δok and Δik can be obtained.
By adding all the contact forces between the balls and the inner raceway or the outer
raceway, the tatal force vector Fi acted on the inner raceway and Fi acted on the outer
raceway can be obtained. Assuming that δi and δo are the displacement vectors of the
inner raceway and the outer raceway respectively, then the stiffness matrix of the bearing
can be obtained by finding the derivatives of forces with respect to displacements,
namely:
∂Fi ∂Fo
KB = = (4)
∂δ i ∂δo
Each term of stiffness matrix KB can be simplified as the formula incorporating Uik, Uk,
Vik, Vk, Δok, Δik and φk, where φk is the azimuth angle of the kth ball.

2.2 Finite element model of spindle system

In the finite element model, pulley, sleeve, and other disk components are modelled as
disk elements, while the drawbar, rotor, housing and other beam structures are modelled
as Timoshenko elements. By assembling all the components’ models, the following
dynamic equation for spindle systems is obtained (Cao and Altintas, 2004):

Mx + Cx + ( K b + K Pb + K B − ωr 2 M Cb ) x = F (t ) (5)

where mass matrix M = Mb + Md, damping matrix C = Cb + Cd = –ωrGb – ωrGd, Gb and

Gd are gyroscopic matrixes, M Cb is the mass matrix used for computing the centrifugal
forces, Kb is the stiffness matrix, K Pb is the stiffness matrix due to axial force, KB is the
bearing stiffness matrix which varies with the variation of displacement x, F(t) is the
external forces, superscript b and d denote beam and disk respectively, ωr is the angular
velocity of the spindle. Equation (5) can be solved by using the Newmark-β numerical
integration method, and then the vibration response of the spindle system is obtained.

3 Verification of model

The test spindle is shown in Figure 3(a), its finite element model is shown in Figure 3(b),
the spindle is supported by four bearings, the first and the second bearing are mounted in
O-arrangement (back-to-back), the third and the fourth bearing are mounted in
T-arrangement (tandem arrangement). The impact forces were applied by a hammer on
6 Y. Li et al.

the spindle nose in the radial direction and the vibration responses at the opposite part of
the nose were measured by an accelerometer. Figure 4 shows the simulated and
experimentally measured frequency response function (FRF) at the spindle nose. It can be
seen that the simulated and experimental FRFs are in reasonable agreement, which
indicates the validity of the proposed spindle-bearing model.

Figure 3 The test motorised spindle, (a) experiment setup (b) finite element model of the spindle
system (see online version for colours)

Accelerometer

Hammer position

(a)

(b)

Figure 4 Simulated and experimentally measured FRFs at the spindle nose, (a) experiment
(b) simulation (see online version for colours)
-8
-8 x 10
x 10
15 Second order frequency 1520 Hz
Magnitude (m/N)
Magnitude (m/N)

Second order frequency 1580 Hz 6

10
4

5 First order frequency: 810 Hz

First order frequency 760 Hz 2

0 0
500 1000 1500 2000 500 1000 1500 2000
Frequency (Hz) Frequency (Hz)

(a) (b)
 Modelling and vibration analysis of machine tool spindle system 7

4 Modelling of bearing defects

The bearing model for raceway defects is proposed based on Jones’ (1960) bearing
theory. When the ball rolls into the defect on the outer raceway or the inner raceway, the
distance between the ball centre and the raceway groove centre will change (i.e., Δik and
Δok in Figure 1), which leads to the decrease of the bearing stiffness.

4.1 Outer raceway defect

When the ball contacts with the defect on the outer raceway, the distances between the
ball and the groove centres can be given as:
D
Δik = ri − + δik = ( fi − 0.5 ) D + δik
2 (6)
D
Δ ok = ro − + δok = ( f o − 0.5 ) D + δok + Δ so
2
where Δso is the additional deflection due to the outer raceway defect.
The geometric relationship between the ball and the outer raceway defect is shown in
Figure 5, Or is the centre of outer raceway, Ob is the centre of the ball, A is the left end of
the defect and B is the right end of the defect. ∠AOrOb = φ, which is determined by the
azimuth angle of the ball. The azimuth angle of the ball changes with the angular velocity
of cage ωc, it can be calculated by
ωr ⎛ d ⎞
ωc = ⎜1 − cos α ⎟ (7)
2 ⎝ D ⎠
where d is the diameter of the ball, D is the pitch diameter, α is the initial contact angle.

Figure 5 Geometric relationship between the ball and the outer raceway defect (see online
version for colours)

∠AOrB = φ, which can be calculated by the length of the defect and the radius of
θ
raceway. We assume that the ball contact with the left end A when 0 ≤ φ ≤ d , and the
2
8 Y. Li et al.

θd
ball contact with the right end B when ≤ φ ≤ θd . OrOb can be calculated by using law
2
of cosines, then the defection Δso is obtained.

4.2 Inner raceway defect

Similarly, when the ball contacts with the defect on the inner raceway, the distances
between the ball centre and the groove centres can be given as:
D
Δik = ri − + δik = ( fi − 0.5 ) D + δik + Δ si
2 (8)
D
Δ ok = ro − + δok = ( f o − 0.5 ) D + δok
2
where Δsi is the additional deflection due to the inner raceway defect.
Figure 6 shows the geometric relationship between the ball and the inner raceway
defect. The calculation of Δsi is similar with the calculation of Δso.

Figure 6 Geometric relationship between the ball and the inner raceway defect (see online
version for colours)

When the ball contacts with the defects both on outer raceway and inner raceway, the
distances between the ball centre and the groove centres can be given as:
D
Δik = ri − + δik = ( fi − 0.5 ) D + δik + Δ si
2 (9)
D
Δ ok = ro − + δok = ( f o − 0.5 ) D + δok + Δ so
2

5 Simulation and analysis

The spindle system used in simulation is shown in Figure 3(b), the preload mechanism of
the first and second bearings (B7010C) on the left is rigid style and the preload
displacement value is set as 10 μm, while the preload mechanism of the third and fourth
bearings (B7007C) on the right is constant style and the preload force value is set as
 Modelling and vibration analysis of machine tool spindle system 9

500N. The parameters of bearing B7010C and bearing B7007C are shown in Table 1.
Out-of-balance effect of spindle is considered by applying two unbalanced forces (Fy and
Fz) on the spindle nose in Y and Z directions respectively, namely:
Fy = 300sin ( ωr t )
(10)
Fz = 300 cos ( ωr t )
Table 1 Parameters of bearing B7010C and bearing B7007C

Parameter B7010C B7007C

Diameter of ball (mm) 7.5 6.5
Number of balls 21 17
Contact angle (deg) 15 15
Pitch diameter (mm) 65 49
fi for inner raceway 0.52 0.52
fo for outer raceway 0.52 0.52
Elasticity modulus of balls (GPa) 320 210
Elasticity modulus of raceways (GPa) 210 210
Poisson ratio of balls 0.26 0.3
Poisson ratio of raceways 0.3 0.3

5.1 Outer raceway defect

We assume that the first bearing on the left end has a defect of 1 mm on the outer
raceway, and its position is shown in Figure 7, and the rotating speed is 1,000 r/min.

Figure 7 Position of the defect on the outer raceway (see online version for colours)

Figure 8 shows the acceleration response of the spindle nose in Y direction and Figure 9
shows its envelope spectrum. The ball passing frequency of outer raceway (BPFO) fo
(152 Hz) and its harmonics can be found in Figure 9, rotating frequency fr (16.7 Hz) due
10 Y. Li et al.

to out-of-balance effect is also extracted. Figure 10 shows the change of radial stiffness in
Y direction of the first bearing, it can be seen that the stiffness decreases when the ball
rolls over the defect.

Figure 8 The acceleration response of the spindle nose when there is a defect on the outer
raceway (see online version for colours)

10
Acceleration (m/s2)
5

-5

-10

0.05 0.1 0.15 0.2

Time (s)

Figure 9 The envelope spectrum of the vibration response (see online version for colours)

1.4
fo
1.2
Amplitude (m/s2)

1
0.8
0.6 2f o
0.4 3f o
0.2 fr

0 100 200 300 400 500

Frequency (Hz)

Figure 10 The variation of the radial stiffness in Y direction (see online version for colours)
8
x 10

1.25
Stiffness (N/m)

1.2

1.15

1.1

1.05
0.05 0.1 0.15 0.2
Time (s)

5.2 Inner raceway defect

Assume that the first bearing on the left end has a defect of 1 mm on the inner raceway,
and the rotating speed is 1,000 r/min.
Figure 11 shows the acceleration response of the spindle nose in Y direction and
Figure 12 shows its envelope spectrum. The ball passing frequency of inner raceway
(BPFI) fi (198 Hz) and its harmonics are extracted in Figure 12. In addition, the
 Modelling and vibration analysis of machine tool spindle system 11

harmonics of rotating frequency fr can also be found. Figure 13 shows the change of
radial stiffness in Y direction of the first bearing. Because the defect position varies with
the rotating of the inner raceway, it can be seen that the decrease of stiffness when the
ball contact with the defect does not maintain same.

Figure 11 The acceleration response of the spindle nose when there is a defect on the inner
raceway (see online version for colours)
Acceleration (m/s2) 10

-5

-10
0.05 0.1 0.15 0.2
Time (s)

Figure 12 The envelop spectrum of the vibration response (see online version for colours)

1
Amplitude (m/s2)

0.8 2f r fi
0.6
0.4 f i-2f r
f i+2f r 2f i
0.2 3f i

0
100 200 300 400 500 600
Frequency (Hz)

Figure 13 The variation of the radial stiffness in Y direction (see online version for colours)
8
x 10

1.3
Stiffness (N/m)

1.2

1.1

0.05 0.1 0.15 0.2

Time (s)

5.3 Multiple defects

Assume that there are two defects of 1 mm on the outer raceway of the first bearing on
the left end, and their positions are shown in Figure 14, the branch angle between the two
defects is 72°, the rotating speed is 1,000 r/min. Figure 15 shows the acceleration
12 Y. Li et al.

response of the spindle nose in Y direction and Figure 16 shows its envelop spectrum. It
can be found from Figure 16 that the envelop spectra of double defects and single defect
match with each other, which indicates that the vibration characteristic of double defects
on the outer raceway is similar with that of single defect on the outer raceway.

Figure 14 Positions of the defects on the outer raceway (see online version for colours)

Figure 15 The acceleration response of the spindle nose (see online version for colours)
Acceleration (m/s2)

-5

0.05 0.1 0.15 0.2

Time (s)

Figure 16 The envelope spectra of the vibration responses (see online version for colours)

1.5
fo Double defects
Amplitude (m/s2)

Single defect
1

2f o 3f o
0.5
fr

0 100 200 300 400 500 600

Frequency (Hz)
 Modelling and vibration analysis of machine tool spindle system 13

Assume that there are two defects of 1 mm on the inner raceway of the first bearing on
the left end, the branch angle between the two defects is 72°, the rotating speed is
1,000 r/min. Figure 17 shows the acceleration response of the spindle nose in Y direction
and Figure 18 shows its envelope spectrum and the envelop spectrum of single inner
raceway defect. It can be found from Figure 18 that the envelop spectra of double defects
and single defect match with each other, which indicates that the vibration characteristic
of double defects on the inner raceway is similar with that of single defect on the inner
raceway.

Figure 17 The acceleration response of the spindle nose (see online version for colours)
Acceleration (m/s2)

-5

0.05 0.1 0.15 0.2

Time (s)

Figure 18 The envelope spectra of the vibration responses (see online version for colours)

1 Double defects
fi
Amplitude (m/s2)

Single defect
0.8 2f
r
0.6
0.4 f i-2f r f i+2f r 2f i
2f -2f 2f +2f
i r i r 3f i
0.2
0
100 200 300 400 500 600
Frequency (Hz)

Figure 19 Position of the defects on the outer raceway and inner raceway (see online version
for colours)
14 Y. Li et al.

Assume that the outer raceway and the inner raceway of the first bearing on the left end
all have defects of 1 mm, the positions of defects are shown in Figure 19, and the rotating
speed is 1,000 r/min. Figure 20 shows the acceleration response of the spindle nose in
Y direction and Figure 21 shows its envelop spectrum and the envelop spectrum of single
inner raceway defect. It can be found that the BPFO and the BPFI are included in
Figure 21, which indicates that there are defects on both the outer raceway and the inner
raceway. In addition, rotating frequency and its harmonics are extracted as well.

Figure 20 The acceleration response of the spindle nose (see online version for colours)
10
Acceleration (m/s2)

-5

-10
0.05 0.1 0.15 0.2
Time (s)

Figure 21 The envelope spectra of the vibration responses (see online version for colours)

fo
1
Amplitude (m/s2)

0.8

0.6 2f r f
7f r i 2f o
0.4 5f r
f -2f f i+2f r 3f
2f o
0.2 f r i r i

0
100 200 300 400 500
Frequency (Hz)

6 Summary

A finite element model of spindle system with localised defects of bearing is proposed.
The finite element model of the spindle-bearing system was verified by conducting
dynamic tests on an experimental spindle. Good agreements of the experiment and the
simulation show the accuracy of the proposed model. A bearing model for outer raceway
defects and inner raceway defects is proposed and is integrated into the FE model of
spindle. Then the vibration responses of spindle system with different kinds of defect
bearings (including outer raceway defect, inner raceway defect and multiple defects) are
simulated, and their vibration characteristics are analysed and discussed in both time
domain and frequency domain, which may provide useful proofs for condition
monitoring and fault diagnosis of high-speed spindles.
 Modelling and vibration analysis of machine tool spindle system 15

Simulation results show that the vibration characteristic of double defects on the
raceway is similar with that of single defect on the raceway, the vibration response
envelop spectra of two cases match with each other. When there are defects on both inner
raceway and outer raceway, the BPFO and the BPFI, as well as their harmonics can be all
extracted from the vibration response envelop spectra.

Acknowledgements

This work is supported by the National Science and Technology Major Project
National (2014ZX04001-191-01), National Basic Research Program of China (No.
2011CB706606), and the Fundamental Research Funds for the Central University.

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