HANDBOOK OF

MACHINRY
DYNAMICS
 MECHANICAL ENGINEERING
A Series of Textbooks and Reference Books

Founding Editor
L. L. Faulkner
Columbus Division, Battelle Memorial Institute
and Departmentof Mechanical Engineering
The Ohio State Universiy
Colurnbus, Ohio

1. Spring Designer's Handbook, Harold Carlson

2. Computer-Aided Graphics and Design, Daniel L. Ryan
3. Lubrication Fundamentals, J. George Wills
4. Solar Engineering for Domestic Buildings, William A. Himmelrnan
5. Applied Engineering Mechanics: Statics and Dynamics, G. Boothroyd and
C. Poli
6. Centrifugal Pump Clinic, lgor J. Karassik
7. Computer-Aided Kinetics for Machine Design, Daniel L. Ryan
8. Plastics Products Design Handbook, Part A: Materials and Components; Part
B: Processes and Design for Processes, edited by Edward Miller
9. Turbomachinery: Basic Theory and Applications, Earl Logan, Jr.
IO. Vibrations of Shells and Plates, Werner Soedel
11. Flat and Corrugated Diaphragm Design Handbook, Mario Di Giovanni
12. Practical Stress Analysis in Engineering Design, Alexander Blake
13. An Introduction to the Design and Behavior of Bolted Joints, John H.
Bickford
14. Optimal Engineering Design: Principles and Applications, James N. Siddall
15. Spring Manufacturing Handbook, Harold Carlson
16. Industrial Noise Control: Fundamentals and Applications, edited by Lewis
H. Bell
17. Gears and Their Vibration: A Basic Approach to Understanding Gear Noise,
J. Derek Smith
18. Chains for Power Transmission and Material Handling: Design and Appli-
cations Handbook, American Chain Association
19. Corrosion and Corrosion Protection Handbook, edited by Philip A.
Schweitzer
20. Gear Drive Systems: Design and Application, Peter Lynwander
21. Controlling In-Plant Airborne Contaminants: Systems Design and Cal-
culations, John D. Constance
22. CAD/CAM Systems Planning and Implementation, Charles S. Knox
23. Probabilistic Engineering Design: Principles and Applications, James N.
Siddall
24. Traction Drives: Selection and Application, Frederick W . Heilich Ill and
Eugene E. Shube
25. Finite Nement Methods: An Introduction. Ronald L. Huston and Chris E.
Passerello
26. Mechanical Fastening of Plastics: An Engineering Handbook, Brayton Lincoln,
Kenneth J. Gomes, and James F. Braden
27. Lubrication in Practice: Second Edition, edited by W . S. Robertson
28. Principles ofAutomated Drafting, Daniel L. Ryan
29. Practical Seal Design, edited by Leonard J. Martini
30. Engineering Documentation for CAD/CAM Applications, Charles S. Knox
31. Design Dimensioning with Computer Graphics Applications, Jerome C.
Lange
32. Mechanism Analysis: Simplified Graphical and Analytical Techniques, Lyndon
0. Barton
33. CAD/CAM Systems: Justification, Implementation, Productivity Measurement,
Edward J. Preston, George W . Crawford,and Mark E. Coticchia
34. Steam Plant Calculations Manual, V. Ganapathy
35. Design Assurance for Engineers and Managers, John A. Burgess
36. Heat Transfer Fluids and Systems for Process and Energy Applications,
Jasbir Singh
37. Potential Flows: Computer Graphic Solutions, Robert H. Kirchhoff
38. Computer-Aided Graphics and Design: Second Edition, Daniel L. Ryan
39. Electronically Controlled Proportional Valves: Selection and Application,
Michael J. Tonyan, edited by Tobi Goldoftas
40. Pressure Gauge Handbook, AMETEK, U.S. Gauge Division, edited by Philip
W . Harland
41. Fabric Filtration for Combustion Sources: Fundamentals and Basic Tech-
nology, R. P. Donovan
42. Design of Mechanical Joints, Alexander Blake
43. CAD/CAM Dictionary, Edward J. Preston, George W . Crawford, and Mark E.
Coticchia
44. Machinery Adhesives for Locking, Retaining, and Sealing, Girard S. Haviland
45. Couplings and Joints: Design, Selection, and Application, Jon R. Mancuso
46. Shaft Alignment Handbook, John Piotrowski
47. BASIC Programs for Steam Plant Engineers: Boilers, Combustion, Fluid
Flow, and Heat Transfer, V. Ganapathy
48. Solving Mechanical Design Problems with Computer Graphics, Jerome C.
Lange
49. Plastics Gearing: Selection and Application, Clifford E. Adams
50. Clutches and Brakes: Design and Selection, William C. Orthwein
51. Transducers in Mechanical and Electronic Design, Hany L. Trietley
52. Metallurgical Applications of Shock-Wave and High-Strain-Rate Phenom-
ena, edited by Lawrence E. Murr, Karl P. Staudhammer, and Marc A.
Meyers
53. Magnesium Products Design, Robert S. Busk
5 4 . How to Integrate CAD/CAM Systems: Management and Technology, William
D. Engelke
55. Cam Design and Manufacture: Second Edition; with cam design software
for the IBM PC and compatibles, disk included, Preben W . Jensen
56. Solid-state AC Motor Controls: Selection and Application, Sylvester Campbell
57. Fundamentals of Robotics, David D. Ardayfio
58. Belt Selection and Application for Engineers, edited by Wallace D. Erickson
59. Developing Three-Dimensional CAD Software with the ISM PC, C. Stan Wei
60. Organizing Data for CIM Applications, Charles S. Knox, with contributions
by Thomas C. Boos, Ross S. Culverhouse, and Paul F. Muchnicki
61. Computer-Aided Simulation in Railway Dynamics, by Rao V, Dukkipati and
Joseph R. Amyot
62. Fiber-Reinforced Composites: Materials, Manufacturing, and Design, P. K.
Mallick
63. Photoelectric Sensors and Controls: Selection and Application, Scott M.
Juds
64. Finite Element Analysis with Personal Computers, EdwardR. Champion,
Jr., and J. Michael Ensminger
65. Ultrasonics: Fundamentals, Technology, Applications: Second Edition,
Revised and Expanded, Dale Ensminger
66. Applied Finite Element Modeling: Practical Problem Solving for Engineers,
Jeffrey M. Steele
67. Measurement and Instrumentation in Engineering: Principles and Basic
Laboratory Experiments, Francis S. Tse and Ivan E. Morse
68. Centrifugal Pump Clinic: Second Edition, Revised and Expanded, lgor J .
Karassik
69. Practical Stress Analysis in Engineering Design: Second Edition, Revised
and Expanded, Alexander Blake
70. An Introduction tothe Design and Behavior of Bolted Joints: Second
Edition, Revised and Expanded, John H. Bickford
71. High Vacuum Technology: A Practical Guide, Marsbed H . Hablanian
72. Pressure Sensors: Selection and Application, Duane Tandeske
73. Zinc Handbook: Properties, Processing, and Use in Design, Frank Porter
74. Thermal Fatigue of Metals, Andrzej Weronski and Tadeusz Hejwowski
75. Classical and Modern Mechanisms for Engineers and Inventors, Preben W .
Jensen
76. Handbook of Electronic Package Design, edited by Michael Pecht
77. Shock-Wave and High-Strain-Rate Phenomena in Materials, edited by Marc
A. Meyers, Lawrence E. Murr, and Karl P. Staudhammer
78. Industrial Refrigeration: Principles, Design and Applications, P. C. Koelet
79. Applied Combustion. Eugene L. Keating
80. Engine Oils and Automotive Lubrication, edited by Wilfried J . Bark
81. Mechanism Analysis: Simplified and Graphical Techniques, Second Edition,
Revised and Expanded, Lyndon 0. Barton
82. Fundamental Fluid Mechanicsfor the Practicing Engineer, James W .
Murdock
83. Fiber-Reinforced Composites: Materials, Manufacturing, and Design, Second
Edition, Revised and Expanded, P. K . Mallick
84. Numerical Methods for Engineering Applications, Edward R. Champion,Jr.
85. Turbomachinery: Basic Theory and Applications, Second Edition, Revised
and Expanded, Earl Logan, J r .
86. Vibrations of Shells and Plates: Second Edition, Revised and Expanded,
Werner Soedel
87. Steam Plant Calculations Manual: Second Edition, Revised and Ex panded,
V. Ganapathy
88. Industrial Noise Control: Fundamentals and Applications, Second Edition,
Revised and Expanded, Lewis H. Bell and Douglas H.Bell
89. Finite Elements: Their Design and Performance, Richard H. MacNeal
90. Mechanical Propedies of Polymers and Composites: Second Edition, Re-
vised and Expanded, Lawrence E. Nielsen and Robert F . Landel
91. Mechanical Wear Prediction and Prevention, Raymond G. Bayer
 92. Mechanical Power Transmission Components, edited byDavid W. South
and Jon R. Mancuso
93. Handbook of Turbomachinery,edited by Earl Logan, Jr.
94. Engineering Documentation Control Practices and Procedures, Ray E.
Monahan
95. Refractory Linings Thermomechanical Design and Applications, Charles A.
Schacht
96. Geometric Dimensioning and Tolerancing: Applications and Techniques for
Use in Design, Manufacturing, and Inspection, James D. Meadows
97. An Introduction to the Design and Behavior of Bolted Joints: Third Edition,
Revised and Expanded, John H. Bickford
98. Shaft Alignment Handbook: Second Edition, Revised and Expanded, John
Piotrowski
99. Computer-Aided Design of Polymer-Matrix Composite Structures. edited by
Suong Van Hoa
100. Friction Science and Technology, Peter J . Blau
101. Introduction to Plastics and Composites: Mechanical Properties and Engi-
neering Applications, Edward Miller
102. Practical Fracture Mechanics in Design. Alexander Blake
103. Pump Characteristics and Applications, Michael W. Volk
104. Optical Principles and Technology for Engineers, James E. Stewart
105. Optimizing the Shape of Mechanical Elements and Structures, A. A. Seireg
and Jorge Rodriguez
106. Kinematics and Dynamics of Machinery, Vladimir Stejskal andMichael
ValaSek
107. Shaft Seals for Dynamic Applications, Les Home
108. Reliability-Based Mechanical Design, edited by Thomas A. Cruse
109. Mechanical Fastening, Joining, and Assembly, James A. Speck
110. Turbomachinery Fluid Dynamics and Heat Transfer, edited by Chunill Hah
11 1. High-Vacuum Technology: A Practical Guide, Second Edition, Revised and
Expanded, Marsbed H. Hablanian
112. Geometric Dimensioning and Tolerancing: Workbook and Answerbook,
James D. Meadows
1 13. Handbook of Materials Selection for Engineering Applications, edited by G.
T. Murray
114. Handbook of Thermoplastic Piping System Design, Thomas Sixsmith and
Reinhard Hanselka
1 15. Practical Guide to Finite Elements: A Solid Mechanics Approach, Steven M.
Lepi
116. Applied Computational Fluid Dynamics, edited by Vijay K. Garg
11 7. Fluid Sealing Technology, Heinz K. Muller and Bernard S. Nau
118. Friction and Lubrication in Mechanical Design, A. A. Seireg
1 19. Influence Functions and Matrices, Yuri A. Melnikov
120. Mechanical Analysis of Electronic Packaging Systems, Stephen A.
McKeown
121. Couplings and Joints: Design, Selection, and Application, Second Edition,
Revised and Expanded, Jon R. Mancuso
122. Thermodynamics: Processes and Applications, Earl Logan, Jr.
123. Gear Noise and Vibration, J . Derek Smith
124. Practical Fluid Mechanics for Engineenng Applictions, John J . Bloomer
125. Handbook of Hydraulic Fluid Technology, edited by George E. Totten
126. Heat Exchanger Design Handbook, T . Kuppan
127. Designing for Product Sound Quality, Richard H. Lyon
128. Probability Applications in Mechanical Design, Franklin E. Fisher and Joy R.
Fisher
129. Nickel Alloys, edited by Ulrich Heubner
130. Rotating Machinery Vibration: Problem Analysis and Troubleshooting,
Maurice L. Adams, Jr.
131. Formulas for Dynamic Analysis, Ronald Huston and C. Q. Liu
132. Handbook of Machinery Dynamics, Lynn L. Faulkner and Earl Logan, Jr.

Additional Volumes in Preparation

Rapid Prototyping Technology: Selection and Application, Ken Cooper

Reliability Verification, Testing, and Analysis of Engineering Design, Gary S.

Wasserman

Maintenance Excellence: Optimizing Equipment Life Cycle Decisions,

edited by John D. Campbell and Andrew K. S. Jardine

Mecharrical E)rguIeerrng SoJware

Spring Design with an ISM PC, AI Dietrich

Mechanical Design Failure Analysis: With Failure Analysis System Software

for the ISM PC, David G. Ullman
 HRNDBOOK OF
MRCHINRY
DYNAMICS

ditd r>u
LYNN 1. FAUlKNR
Battelle Memorial lnstitute
Columbus, Ohio

ERR1 LOGRN, JR.

Arizona State University
Tempe, Arizona

m
M A R C E L

MARCEL INC.
DEKKER, NEWYORK * BASEL
D E K K E R
ISBN: 0-8247-0386-3

This book is printed on acid-free paper.

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Current printing (last digit):

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Preface

The motivation for this book arose when it became evident to us that a
contemporary handbook of engineering mechanics did not exist. Although
there are several excellent handbooks on the subject, some are over 30 years
old. Fundamental information does not become outdated, butwe concluded
that a new book on the subject was needed. It was immediately clear that a
book of this scope would be difficult for a single author oreven two authors
toprepare.Therefore,forthe best coverage of thesubject,it is a
multiauthored work. We were fortunate that highly qualified and capable
authors enthusiastically agreed to provide chapters.
This handbook is intended as a reference work in machinery dynamics
suitable foruse by practicing engineers and graduate students. The goal is to
provide rapid access to basic information on aspectsof machinery dynamics
that is otherwisescatteredamongvariousreferencetextsandtechnical
journals. The contributors are experts in their respective fields, and their
chapters offer the reader thebenefit of their wide experience. The practicing
engineer or student can quickly comprehend the essential principles and
methodscurrently used for analysis and designinthevarious fields of
machinery dynamics treated in this handbook.
The material comprises equations, graphs, and tables, together with
illustrative examples of problems and their solutions to clarify the theory
and demonstrate the use of the basic relations in design and analysis. Line
drawings and photographs of equipment are also presented to enhancevis-
ual comprehension of the design features of machines. Included in each
chapter is an extensive list of references that have been particularly useful
in the authors solution of dynamic problems of machinery.
We want tospecifically acknowledge the lateGraham Garratt,Execu-
tive Vice President of Marcel Dekker, Inc., who encouraged the develop-
ment of this book and who committed the resources of the publisher to

iii
iv Preface

supportthe projectfrom itsconception.Without his encouragement,

support, and confidence in the project, it might not have been undertaken.
In additionto being anastute professional in thetechnicalpublishing
business, Grahamhada keen sense of book subjects and provided
invaluable advice regarding selection ofsuccessful book titles and technical
coverage. As one of the founders of the Marcel Dekker Mechanical Engin-
eeringSeries, Graham providedinvaluableguidance.He willbe missed
as a colleague, friend, and enthusiastic supporter.

Ljwn L. Fuulkner
Eurl Logan, Jr.
Contents

...
PrefL1ce 111

Contributors 111

1 Introduction 1
Errrl Logcrn, Jr.

7 Machine Design 11
Rtrgllu N . Nrrtcrrcljtrn

3 Fundamentals of Vibrations 29
Robert H . Fries

4 Dynamics of Rotating Machinery 97

Paul B. Trdhert

5 Effect of Bearings and Seals on Rotor Response and

Stability 115
Robert David Brorcw

6 Nonlinear Dynamics of Machine Tool-Cutting Process

Interactions 139
M a r i m Wirrcigroch

7 Robotics: An Overview of Applications, Kinematics, and

Dynamics 169
D& E. P a h g r e n
8 Fluid-Structure Interaction 195
Mohclrn~?~edAnu-er

V
vi Contents

9 Structural Dynamics of Flow Control Valves 355

Prapoj Phuturuphruk

10 Axial Loading in Turbomachines 393

Duve Mohr

11 Application of Advanced Optical Techniques to

Turbomachinery 533
Leonard Montenegro, Eric Strang* und Andjelku
Srdic-Mitrovic

12 Troubleshooting and Predictive Maintenance 553

Heinz P. Block

Index 577
Contributors

Mohammed Anwer Department of Applied Mathematics,Independent

University, Dhaka, Bangladesh

HeinzP. Bloch ConsultingEngineer,Montgomery,Texas

Robert
David Brown Department of Mechanical and
Chemical
Engineering, Heriot-Watt University, Edinburgh, Scotland

Lynn L. Faulkner Equipment Development

Department, Battelle
Memorial Institute, Columbus, Ohio

Robert H. Fries Consultant in Vehicular and Dynamic Systems, Phoenix,

Arizona

Earl Logan, Jr. Department of Mechanical and Aerospace Engineering,

Arizona State University, Tempe, Arizona

Dave Mohr D&EPropulsion & PowerSystems,Mims, Florida

Leonard
Montenegro Department of Mechanical and
Aerospace
Engineering, Arizona State University, Tempe, Arizona

Raghu N. Natarajan Department of Orthopedic Surgery,

Rush-
Presbyterian-St. Lukes Medical Center, Chicago, Illinois

Dale E. Palmgren Department of ManufacturingandAeronautical

Engineering Technology, Arizona State University East, Mesa, Arizona

vii
viii Contributors

Prapoj Phataraphruk Turbine Department, Honeywell, Phoenix, Arizona

Andjelka
Srdic-Mitrovic Department of Mechanical and
Aerospace
Engineering, Arizona State University, Tempe, Arizona

Eric Strang Department of MechanicalandAerospace Engineering,

ArizonaState University, andTokyoElectron Phoenix Labs,Tempe,
Arizona

Paul B. Talbert Rotor Dynamics

Group, Honeywell
Engines and
Systems, Phoenix, Arizona

MarianWiercigroch Department of Engineering,AberdeenUniversity,

Aberdeen. Scotland
HANDBQOK OF
MRCHIN(RY
DYNRMICS
This Page Intentionally Left Blank
Introduction

Earl Logan, Jr.

Arizona State University, Tempe, Arizona

1. MACHINES

Primemovers,such as steam, gas, and hydraulic turbines, are machines

which deliver mechanical energy inthe formof work while extracting mech-
anical and/or thermalenergy from apressurized steam, gas, orliquid work-
ing fluid. Pumps and compressors, on the other hand, are machines which do
the reverse (i.e., they absorb work in order to effect a rise of mechanical
and/or thermal energy in a fluid handled by them). Drill presses, lathes,
and milling machines are examplesof machine tools which require a work
input to enable them to accomplish work in removing portions of metal
or other material from unshaped stock.Still another class of machines (e.g.,
speed reducers) simply transfer power between shafts operatingat different
speeds.Ingeneral,there aremanykinds of machines,and all of them
are devices which transfer energy. Because machines always involve work
and energy, terms like force, torque, work, and power are used to discuss
their design and performance, and the analysis of the forces on and motions
of their partsis essential to understanding their operation. Force and motion
analysis of machine components is the major emphasis of this handbook,
and because this kind of analysis, applied to a machine, is an integral part
of the process of design, an overview of machine design is presented first.

2. MACHINE
DESIGN

Chapter 2 shows that the process of machine design begins with the identi-
fication of a need for a new machine, and this is followed by the definition

1
2 Logan

of the properties of the machine which can fulfill the perceived need. This
involvesthespecification of requirementsforpower,speed, flow rate,
machine volume, and machine weight. Then, the designer must conceive
of a machine which has the required properties; this is calledsynthesis,
and it could start with an existing design or it could entail the invention
of a new design. The new design conceives of a group mechanisms which,
collectively, can produce thedesired effectwhile keeping within thespecified
bounds of speed, space, and cost. The motions of the parts of a machine are
transformed by mechanisms which form kinematic chainsbetween its parts.
For example, mechanisms such as linear actuators, rachets, escapements,
rocking mechanisms, reciprocating mechanisms, and reversing mechanisms
are commonly used to create a prescribed motion. The most fundamental
of available mechanism designs have been classified and analyzedby Shigley
and Uicker [l]. Finally, the new design must be analyzed using the principles
of engineering science to assure that it will function as conceived and thatit
will not fail. The kinds of analysis used in machine design usually involve
various sciences (e.g.,kinematics,dynamics,mechanics of materials,
material science, manufacturing,thermodynamics, fluid mechanics, and
heat transfer). It is clear that force and motion analysis plays a significant
role in the design of a new machine.
In summary, the design of machines requires the selection of appro-
priatemechanismsfortransferringthe desired quantity of energy by
executing motions which conform to given constraints. The science of kin-
ematics canbe used to ascertain displacements, velocities, and accelerations
of the mechanisms used in the machine. When accelerations are known, one
can calculate inertia forces on the machine components. A variableforce is
required to accelerate a given part during itscyclic motion, and the science
of dynamics canbe used to calculate the required inertia forces on the parts.
The translational and rotational accelerations of all machine parts, deter-
minedfromkinematics, is thus utilized to evaluate forces and moments
on the parts. In addition to the inertiaforces associated with accelerations,
there is external friction which mustbe overcome, and thework lost in over-
coming friction reappears as internal or thermal energy of the machine
parts, as well as of any fluid that may be in contact with the solid parts.
Because both kinds of forces are transmitted by the machine member, a
variable stress field is set up within the part.
The elasticity of thepartmaterial,actingasaspring,permits
deflection under loading, and when the load is removed, the restoring force
will accelerate the part untilthekineticenergyhas been stored and the
motion halted. A free vibration willbe enhanced if mechanical energy is
fed into the vibrating part by a variable force having a period near that
of the natural vibration. All vibrations entail internal friction associated
Introduction 3

with uneven stressing and consequent heating well as as with the plasticflow
of solids.Bothprocessesdissipatemechanicalenergy,reducethe useful
work of the machine, and create a fluctuating stress which reduces the life
of the part. There is also the probability of unwanted sound generated
by the vibrating parts.
In addition toflexure associated with vibrations, repeated stresses also
accompany the simple rotation of a shaft which is flexed only by its own
weight, andastressreversaloccurs in each fiber witheveryrevolution
of the shaft. Other kinds of machine members may not undergo periodic
stressreversal;instead,thestressmayfluctuate aboutameanwithout
changing sign. For a shaft turning at constant speed, the mean stress is
a constant shear stress, whereas at the same point, the fiber is subjected
alternately to tensile and compressive stresses.
The strength of metals and their resistance to gradual deformation or
creep decreases with increasing temperature; thus, for the operating tem-
perature to which the part is exposed, materials must be selected for the
machineparts whichminimizewear, deformation,andstress.Shapes
and dimensions are chosen toreduce the probability of the failure of a part
which is preceded by the occurrence of a stress which exceeds a limiting
value determined from the ultimate or yield strength of the material for
steadyloading,orfromfatigue-strengthdiagramsfortheparticular
material in the case of variable loading; for example, see Ref. 2. Excessive
creep can also lead to failure in cases where moving parts elongate and
rub against nearby stationary parts.

3. VIBRATION

Because of their elastic nature, all machine parts deflect under load and are
subject to the possibility of vibration, as with a spring and mass system.
This kind of deflection and oscillationis also foundin shafts, where torsional
deflection and oscillation can occur. In othercases, the part maybe attached
to anactual spring (e.g.. avalve in an automotive engine), andit is, in fact, a
springandmasssystem.Whentheforceortorque which startsthe
oscillation is periodic and has a frequency at or near the natural frequency
of vibration of the part or shaft, the oscillations can grown in amplitude,
and stresses can quickly exceed designstresses. Because the natural fre-
quency of vibration is some function of the mass of the part and thestiffness
of the spring, the designer should always utilize the science of vibrations as
part of the design analysis.
4 Logan

A presentation of the fundamentalsof vibrations appearsin Chapter 3.

The subject is covered carefully from the frictionless spring-mass system to
systems with multiple degreesof freedom. Both translational and rotational
systems are analyzed. The effects of various degrees of damping on free
vibration are considered, and the all-important logarithmic decrement is
explained and illustrated. Theeffect of system forcing with dampingis con-
sidered for systems with a single degree of freedom, and rotating imbalance
is used as an example of a forced vibration. Forcing by means of a step
forceandtransientor shockloads arealsoconsidered.BothCoulomb
andstructuraldampingare used i n the analyses. Methods of solutions
of multiple-degrees-of-freedom and nonlinear systems are presented. Meas-
urement systems obtain data for machinery vibrations, which is analyzed by
means of a power spectral density, the PSD. From the PSD analysis, har-
monic components can be determined and related to the frequencies of
rotating parts in the machine.
Thedynamicloadsassociated withmechanicalvibration and that
resulting from shock loads arediscussed in Chapter9, which is an extension
of Chapter 3. Chapter 9 illustrates the practical application of vibration
theory to the design of valves; however, the methods presented there are
generally applicable to machine component design.

4. ROTORDYNAMICS

Rotordynamic analysis supports the design andtroubleshooting of

turbomachineryandotherrotatingmachinery.Accordingto Vance [3],
rotordynamics is used to predict critical speeds, find natural frequencies
of torsional vibrations, find correction masses to balance rotors, and prevent
dynamic instabilities. Kerrebrock [4] showed that a turbomachine rotor can
be modeled asalumpedmassona flexible shaft, and bearings can be
modeled as spring-mass systems. The rotor-bearing system has a natural
frequency and executes vibratory motionsanalogous
to
a simple
spring-mass system. When the speed of rotation coincides with the natural
frequency of the system or some multiple of it. the unbalanced forces of
the rotating system cause a maximum synchronous whirl of the rotor. Such
speeds are so-called critical speeds and are the sources of many vibration
problems in rotating machinery.
In Chapter 4, expressions are developed for the magnitudeof the whirl
and for the corresponding phase angle of a simple rotor-bearing system.
Whirling motion involves thecenter of the deflected shaftdescribinga
circular motion about a point on the bearing centerline. is interesting
It that
the speed of the shaft and the speed of the whirl are not necessarily of the
Introduction 5

same magnitude. The graphical depictionof whirl magnitude as a function

of rotor speed allows easy identification of the primary critical speed, or
the speed of maximum amplification. Inertia, stiffness, damping, and exci-
tation forces are shown to be functions of rotor speed as well.
Gyroscopic effects occur because the whirling motion of a rotor is
accompanied by a continuous change in the rotors angular momentum.
InChapter 4, therelationshipsamongspin speed,whirlspeed, mode,
and whirl ratiofound ina rotor-bearing systemwitha rigid shaft is
explained and illustrated by a numerical example. If the shaft is flexible,
then the mode shapes change with support stiffness. Methods are described
which allow the prediction of critical speeds and unbalance response for
flexible rotating assemblies. Methods aredescribed for the balancingof indi-
vidual components and rotating assemblies.

5. BEARINGANDSEALDYNAMICS

Ball and roller bearings provide elastic support for the shaft and havemini-
mal damping; they are widely used in aircraft turbine engines. Damping
can be obtained via a hydrodynamic film around the outer race known
as a squeeze-film bearing damper. Industrial turbines, on the other hand,
commonly utilize fluid-film bearings in place of rolling-element bearings
because they have a longer life, lower cost, and lower power loss. Fluid
bearings produce bearing supportstiffness as well as damping. Bothstiffness
and damping can produce destabilizing tangential forcesthat arein the same
direction as the instantaneous motion.
The plain journal bearing or a hydrodynamic bearing is a fluid bearing
in which the fluid support pressure is generated by the motionof the journal.
Plain journal bearings can develop oil whip, an instability associated with
higher speeds, with the thresholdspeed for thisinstability occurring at about
twice the first critical speed.
Plainseals are like journal bearings, but they haveamuchlarger
clearance. Greater clearance allows an axial flow through the seal, which
produces a direct stiffness associated with the axial pressure drop, and this
stiffness varies with speed as well. Both plain and labyrinth seals produce
stiffness and damping and affect rotordynamics just as bearings do.
Brown et al. [5] have demonstrated that chaotic behavior is possible
for a rigid rotor supported on journal bearings provided the eccentricity
ratio is greaterthan 0.6 andtheunbalanceforce is alittlelarger than
thegravitationalload.Theseconclusionsare based onthecalculated
response of a rigid rotormountedonjournalbearings. Sucha chaotic
response of a rotor-bearing system would not occur unless there were some
6 Logan

damage to the rotorwhich had created excessive unbalance, but the calcul-
ated results simulate possible conditions and responses with the potential
to produce shaft failure. The presence of chaos is confirmed by the response
of the rotor-bearing system as determined from observed plots of journal
orbits, phase planes, frequency spectra, and fractal dimension.
In Chapter 5 , the theory of hydrodynamic bearings is developed. The
solution of these equations for the case of short bearings yields stiffness
and damping coefficients which are used in the equations of motion for
flexible rotors.The effect of bearing stiffness onrotorcritical speed is
determined, and the author shows that critical speeds can be moved away
from operating conditionsby changing the bearingdesign without changing
therotor design.Instabilitiesoccurwheneigenvaluesarenegatively
damped, and these unstable modes occur at half rotor speed with lightly
loaded,short,circular,hydrodynamicbearings.Nonsynchronousinsta-
bility canbesuppressed throughthe use of backward flow through
tangential nozzles in the walls of oil bearings.
Annular seals are used to prevent leakage in rotating machines where
annular clearances exist between rotors and stators. Although seals can
degrade vibration performance, itis shown in Chapter5 that resonant peaks
can be suppressed by passing fluid through the seals.Seal-related rotor
instabilities, such as those predicted for shuttleengine turbopumps by Dara
Childs in 1975, can also result from improper design. Currently, there is a
need to improve theories for the prediction of damping and stiffness in seals
used in rotating machinery.
Methods for the prediction of axial thrust loads on bearings found in
turbomachinesare presented in Chapter 10. The highly complexcalcu-
lations required in high-speed turbopump design are presented and applied
to the calculationof thrust loads for three existing turbopumps. The chapter
also provides general guidance in machinery design and clearly shows the
roles of the engineering sciences in rotating machine design.

6. MACHINE TOOL DYNAMICS

The removal of material by turning,boring,shaping, milling,drilling,

hobbing,andgrindingoftenproducesvibrationsknownaschatter [6].
Moon [7] has shown that the movement of the tool during chatter affects
thesurface of the workpiece; that is,thesurface topography of the
workpiece is related to the chaotic material removalprocess [8]. In Chapter
6, themachinetool-cuttingprocesssystem is analyzed as anonlinear,
dynamic system with feedback control and a discontinuity related to the
abruptseparationofthecuttingtoolfromthe workpiece.Dynamic
Introduction 7

responses of the system comprising the machine tool and workpiece are cal-
culated and presented graphically as displacement andvelocity as functions
of timeandasphaseplaneportraitswith velocity asafunction of
displacement.
The graphsin Chapter 6 show clearly a lack of periodicity in the system
response. Chaotic states are indicated in bifurcation diagrams wherein dis-
placement is a function of cutting force, with stiffness as the parameter.
Bifurcation diagrams indicate that periodicity can be obtained in certain
ranges of cutting force and that the motion is less chaotic with higher values
of stiffness. The nonhomogeneity of the material comprising the workpiece
produces a variable cutting resistance, the variation of which is taken to
be Gaussian. The results canbe used to infer optimal stiffness and damping.

7. FLUID-STRUCTURE
INTERACTION

Many machines transfer energy to or from fluids which flow through or

aroundtheir movingelements. The fluid may flow relativelysteadily
through the machine, or the flow may pulse, as in piston-type machines.
Even when the flow appears to be steady, forces on rotating blades may
vary with time as the blades move through the wakes of stationary vanes
or struts located upstream of the moving blades.
Blades for steam or gas turbines are often attached at their roots and
vibrate as cantilever beams in bending and torsion. As each blade passes
a jet of fluid fromanupstream nozzle,pressureforcesbend and twist
the blade. Resonant vibrations of the blade are responses to periodic forces,
and moments occur in a variety of modes. Blades are excited mainly by the
interaction between the stationary and the moving blade rows, but dynamic
loads are transmitted to the blades from the rotor as well [g].
According to Lin and Mignolet [IO], the forced response of a blade can
be viewed as the superpositionof waves traveling along thecircumference of
the disk in which the blades are embedded, and thewaves act as thoughthey
are passing through a layered medium. To avoid catastrophic failures, it is
necessary to correctlypredict natural frequencies andmodeshapes of
the blade-disk assemblies [g].
Theamplitudes of thevibrationcan be reduced by changingthe
number of blades in the fluid machinery. Den Hartog[ l l ]describes a violent
vibration in the penstock of a hydraulic power plant. When the number of
vanesintherotor of theFrancisturbine waschangedfrom 17 to 16,
the amplitude of the penstock vibration was reduced to one-third of the
original value. Harman [l21 suggests that blade vibration can be reduced
by changing blade shape, mass, stiffness, or aspect ratio.
8 Logan

Cylinders of various cross sections are used as struts and

guide vanes in
flow machines. Even with circular cylinders, transverse forcesare createdby
flows in which boundary-layerseparationcreatesasymmetry because
vorticesinthedownstreamseparated region areshedalternatelyinto
the wake of the cylinder. The so-called Karman vortex street is formed
by vortices shed periodically at the Strouhal frequency when the cylinder
is stationary; however, when the cylinder oscillates in response to the alter-
nating transverse force created by the changing flow field or other external
forces, the shedding frequency becomes equal to the cylinder vibrational
frequency; shedding frequency is said to lock in to cylinder frequency.
Flow around cylinders and other bluff bodies occur in the flow pass-
ages of machinerysuchaspumpsandturbines.Chapter 8 focuses on
fluid-structureinteractionsinaxial-flowturbomachines.In particular,
the occurrenceof stall or cavitationin fluid machinery can create variations
in forces which can lead to structural damage.
Optical
methods
for
measuring flow fields passages
in of
turbomachines is discussed in Chapter 11. In this chapter, it is suggested
that thenew techniques describedwill command a positionof major import-
anceinthedesignandactivecontrol of complex flows occuringin
turbomachines.

8. PREDICTIVEMAINTENANCE

The practical use of measurement techniques is required in the normal oper-

ation of machinery. The systematic use of such measurements in assessing
maintenance requirements and to avoid damage is elaborated in Chapter
12. This chapter also covers troubleshooting and failure analysis applied
to operating machinery to assure its reliable performance.

REFERENCES

J. E. Shigleyand J. J. Uicker, Theory qf Machines und Mecl~anisnt.~.

McGraw-Hill, New York (1995).
J. E. Shigley and C. R.Mischke (eds.), Standard Handbook ofMachineDesign,
2nd ed.. McGraw-Hill, New York (1996).
J . M. Vance. Rotordynamics of Turbornachinery, John Wiley &L Sons, New York

MA (1977).
Introduction 9

5. R. D. Brown, P. Addison, and A. H. C. Chan, Chaosin the unbalance response

of journal bearings, Nonlineur Dpzun1ic.s. 5:421432 ( I 994).
6. D. B. Welbourn and J. D. Smith, Machine Tool Dynamics: An Introduction.
Cambridge University Press. London (1970).
7. F. C. Moon, Chaotic dynamics and fractals in material removing processes, r n
Nonlineurity und Clmos in Engineering Dynamics (J. M. T. Thompson and
S. R. Bishop, eds.). John Wiley & Sons, New York, pp. 25-37 (1993).
8. F. C. Moon. Chaotic und Fractal DJvzanzic.7: An Introductionf o r AppliedScien-
tists und Enginerrs, John Wiley & Sons, New York ( 1 992).
9.J. S. Rao, Turbotnuchine Blude Vibration. John Wiley & Sons, NewYork
(1991).
IO. C. C. Lin and M. P. Mignolet, Effects of damping and damping mistuning on
the forced vibration response of bladed disks, J . SoundVibr. , 193:525-543
(1996).
1 1 . J . P. Dcn Hartog. Mechanical Vibrations, McGraw-Hill, New York (1956).
12. R. T. C. Harman, Gas TurbrneEngineering, John Wiley & Sons, New York
(1981).
This Page Intentionally Left Blank
2
Machine Design

Raghu N. Natarajan
Rush-Presbyterian-St. Lukes Medical Center, Chicago, Illinois

1. INTRODUCTION

Mechanical engineering design is a means of formulating a specific plan for

the satisfaction of human needs. Sometimes, these needs may affect a large
population,andonotheroccasions, it may be too specific that it may
gounnoticed.Thedesign need may bewelldefined or vaguelydefined.
If it is a well-defined problem, the solution process may take a somewhat
defined route. On the other hand.if the need is nebulous and not well con-
ditioned, the first process in the design will be to devote a considerable
amount oftime tostatetheproblemclearly so that asolutioncan be
attempted. Irrespective of whether the need is well defined or ill-defined,
there are an endless number of possible solutions. Thus, the design process
may lead to an open-ended solution. Almost everyone is involved with
theconceptual design one way ortheother.Inadditiontothosewho
aredirectly involved in thedesignprocess,thepeople who benefit by
the design are also part of the team. For example, let us take the design
ofa communitywatertankthat suppliesdailywaterneeds to the
community.Asexpected, in additiontothe designengineerswhoare
directly involved, the community also becomes the part of the design needs.
The residents in the community may have an mean ofage 35 years and their
needs for running water may be different from acommunity whose mean age
is 60 years, for a community with a younger age group may require a dif-
ferent amount of water during summerwhen the childrenare at home during
other periodsin a year. Thedesign ofthe water tower should be good enough
for a certain period of time; this means that the community which had a

11
12 Natarajan

mean age of 35 years will become a population of older people. Thus, the
needs of the design are related to time, money, requirements of end users,
location, and so forth. It can thusbe seen that there arereally a rather large
group of interrelated complex factors involved in arriving at one of the sol-
utions to the design of a community water tank.
A design problem has adefinite purpose: thecreation of a product that
has a physical meaning. Depending on whom we talk to, the word design
conveysdifferentmeanings to different people.Engineersthink thata
designer means a person who sits before a workstation and creates a product
using available software. Others think of the designer as a creator of a
complex network system. These designers are also called system engineers.
No matter what onecalls the design engineers, they still work with a process
in which scientific ideas and tools of engineering are used to produce a
methodology, which, when carried out, will satisfy a specific need.
We will now discuss briefly the different phases of mechanical design.
It involves recognition and identification, definition of the design problem,
synthesis, and evaluation and presentation. Recognition and identification
more likely means torecognize the need for a product and to make the prob-
lem more specific. The definition of the problem includes specifications for
the thing that is to be designed. Important specifications include cost, life
expectancy, number of components to be manufactured, and reliability.
The next step in the designprocessissynthesis. This includesanalysis
and optimization of the design. If the synthesis of the design shows that
the design has not met the needs specified, the entireprocess of design should
start again. Thus, the design is an iterative process in which we proceed
through several steps, evaluate the results, and then return to an earlier
process if necessary.
Usually, a large number of characteristics affect the design, such a s
strength, reliability, corrosion, wear, utility, cost, safety, life, flexibility, sur-
face finish, and volume, to name few. a Some of these items may be import-
antforaparticularproduct design andarethus fully takeninto
consideration during the design process. Codes and standards are other
factors that should be considered. Currently, most of the products that
are designed have to satisfy certain codes and standards. These are kept
so that they meet certain uniformity, efficiency, specific quality, specified
degree of safety, efficiency and performance and quality. There are many
organizations that impose the codes and standards on the products designed
and manufactured. ASME, ASTM, ASM, and ANSI are some of the organ-
izations that are of interest to mechanical engineers.
Mechanical design most often relates to strength of materials, which
cannot be defined accurately. This indefiniteness is taken care of in the
design process by a factor called factor of safety. By including this factor,
Machine 13

the designer can choose the approximate values of the strength and still
produce a design that is safe and satisfy all other requirements. Most of
thestandardmechanicalengineeringhandbooksprovidevaluesforthis
factor which vary from one component design to the other.
In these days of an increasing number of liability lawsuits and increas-
ing demands to adhere to regulations imposed by governmental agencies
such as EPA and OSHA, it isvery important for the product developer
and manufacturer to know the reliability of their product. The reliability
method of design is one in which the distribution of stress and distribution
of strengtharerelated so thatan acceptabledesigncan be produced.
The statistical or reliability approach to design is relativelynew. It can
be used only when all the necessary stochastic data are available.
Economics plays an important part in the design. Determining the cost
of a product is complex. Materials and labor might show an increasing
trend,butthe processingmightbecome less expensivebecause of the
involvement of more and more automation. The cost may also vary from
one city to another because of laborcost,taxes,overhead,andfreight
differentials. Use of standard sizes is one method of reducing costs. Some-
times, these standard parts may not be readily available and the designer
should tryto choose those standard parts that are readily availableto reduce
the cost. Tolerances of the manufactured parts is another factor that can
influence thecost.Parts withlargetolerancescan be producedwith
machines that have higher production rates,use less skilled labor, and have
fewer parts rejected at the inspection. There are many ways of obtaining
relative cost figures so that two or more designs can be roughly compared.
One method is the dollar cost per pound of weight. Another method is
to simply count the number of parts. Obviously, the smaller the number
of parts to be made, the greater the cost will be.
The product liability concept has to be kept in mind as well. This con-
cept states thatif, as aresult of a faulty part, the consumer suffers a damage,
it then becomes the responsibility of the product producerto bear the costof
damage. Under this concept, the consumer only needs to prove that the
articlewasdefectiveandthatthedefectcausedthedamage.The best
approach to the preventionof product liability is good engineering, quality
control, and comprehensive testing procedures.
Thus, the mechanical engineering design is a complex procedure, not
just producing drawings sitting before a computer terminal. Design is an
iterativeprocessandhas to go through the need analysis,definitionof
theproblem,synthesisoftheproduct,analysis andoptimization,and,
finally, evaluation forseveral cycles. In addition tousing general mechanical
engineering, designers have to understand relevantcodes and standards,
cost analysis. reliability and safety analyses, and product liability.
14 Natarajan

In the next few sections, the basic design theory relevant to design of
machinery will be discussed. The first section will deal with theories of fail-
ure which arenormallyadopted in engineeringpractice.Followingthis
section, design criteria that have to be followed for steady and variable
loadingconditions will bediscussed. As examples of specific design
principles for shafts and axles, belt drives and bearings willbe discussed
next. Finally, a brief outline regarding the use of machine design in the
design of machinery will be discussed.

2. FAILURE THEORIES

Uniaxial loaded components are designed based on a single stress value in

thecomponentandonestrength value forthematerial.Thematerial
strength could be taken in the form of yield strength, ultimate strength,
shear strength, or any appropriate combinations of these strength values.
Thus, the design of apartloaded i n onedirection is notcomplex. On
the other hand, multidirectional loading on a component makes thedesign
complex. This is because there are three components of principal stresses
andassociatedstrainsanddeformationsthat will occurintheproduct
as a result of the external loading. How does one decide which component
of stress or strain touse for design purposes? It is common knowledge that
use of all the three principal stresses will produce the best design of the
product. So, the next question that arisesis, how does one combine the elTect
of these three principal stresses and formulate abasic design failure theory?
The answer is provided in the form of failure theories. In the following
subsections, brief descriptions of the theories that are commonly used in
engineering design practiceare discussed. Also, how the most useful theories
are used in analysis and design will also be given.

2.1. MaximumNormal Stress Theory

if in a component one
This theory states that of the threeprincipal stresses at
any point equals or exceeds the strength of the material, then failure is
deemed to have occurred. If the three principalstresses are arranged in
an ordered form such as
61 > 62 > 63
then, according to this theory, failure occurs when
cl = S, or c3 = -S(.
where S, and S,. are tensilecompressive strengths (yield orultimate
strength), respectively.
Machine Design 15

2.2. Maximum Normal Strain Theory or Saint-Venants Theory

This theory states that when at any point in a component the largest of the
three principal strains becomes equal to or greater than strain corresponding
to the yield strength of the material, then the failure is deemed to have
occurred.Thistheory is applicableonlyintheelasticrange of stresses
and assumes that the yield strengths in compression andin tension are equal.
According to this theory, failure occurs when
1 - v(az + 3) = *S,,

2.3. MaximumShearStressTheory

This theory states that failure begins whenever the maximum shear stress
at any point in the continuum becomes equal to the maximum shear stress
in a tension test specimen of the same material when that specimen begins
to yield. Failure is predictedwhenanyone of thefollowing conditions
exists:
Absolutevalue of cl - > S,
Absolute value of CJ? - u3 2 S,,

Absolutevaluc of o3 - 2 S,.

2.4. Distortion Energy Theory or Von Mises Theory

According to this theory, failureis predicted whenever the distortion energy

in a unit volume of the continuum equals the distortion energyin the same
volume when uniaxially stressed to the yield strength. Thus, failure is pre-
dicted when

The quantity in square brackets is conventionally called the effective stress

or von Mises stress.
16 Natarajan

2.5. CoulombMohrTheory

This theory is basedon three Mohr's circles: one for the uniaxial com-
pression test, one for pure shear, and one for the uniaxial tension test. Once
again assuming that CJI > C T ~> q , the theory can be expressed as

Thestrengths S, and S,. arethetensileandcompressivestrengths,

respectively. Either yield or ultimate strength can be used.

2.6. Failure Theories Commonly Applied to Ductile Material

For the biaxial stress state, Shigley and Mishke [ l ] found that both maxi-
mum shear stress theory and distortionenergy theory agreed very well with
the experimental data. As far as choosing one of the two theories, the maxi-
mum shear stress theory is easy and quick to use. On the other hand, the
distortion energy theory predicts the failure moreclosely but involves more
calculations.

2.7. Failure Theories Commonly Applied to Brittle Materials

For a biaxial stress system, when the two stresses are positive, both the
maximumnormalstresstheoryandtheMohrtheorypredictfailure
accurately. When both the stresses are negative (compressive), the Mohr
theory is better for design purposes.

3. VARIABLELOADING:FATIGUESTRENGTHAND
ENDURANCE LIMIT

Frequently,components in amechanicalsystemundergofluctuating
stresses; thus, it is important from the mechanical design point ofview
to look at the behavior of components under variable-loading conditions.
Aninterestingexample is that of arotatingshafttransmittingpower
and supported at the ends. As we know, the maximum bending stress in
a circular shaft as a result of its own weight occurs near the surface of
the shaft. At the instant when a point near the surface is at the top, maxi-
mum compressive stress is induced because of the bending moment. When
this point rotates1 SO", the same element which was under compressive stress
is now subjected to tensile stress. Thus, as the shaft rotates, the bending
stress fluctuates from a maximum compressive value to a maximum tensile
value. Most of the time. these maximum fluctuating stresses are well below
Machine 17

the ultimate stress, and,in some cases, they may be below the yield stress of
the material. Even then, failure has been observed under those conditions
because of the fluctuating nature of the stress; the failure is called jiutigue
.fuilure.
Most of the time, fatigue failure starts as a crack at placeswhere
there is a stressconcentrationor a materialdefect.Often it remains
unnoticed by visual examination. This iswhy components such as pipes
carryingradiation fluids in nuclearpowerstationregularlygothrough
acousticas well as x-rayscanningformicrocracks.Oncethesecracks
are developed, they themselves become points where stress concentration
occurs. As thecomponent is loaded,these stresses atthetip ofthe
microcracks grow in size, and finally, stresses at the cross section become
so high that failure of the component occurs suddenly. Thus, failure as
aresultoffatigue is sudden, as opposed to slowfailureresultingfrom
staticloads.Thebehavior of materialsunder cyclic loading is quite
complex and is not well understood. Therefore, components that undergo
cyclic variation in loads have to be designed with greater care than those
that are subjected to static loading.

3.1. Endurance Limit

To establishthefatiguestrengthofmaterials,testsareconductedwith
varying amounts of applied stress (S) on to standard specimen and the
number of load cycles ( N ) at failure is noted. A curve between applied stress
S and failure cycle N , normally called the S-N curve, is plotted. In the case
of steel, a knee occurs in thisgraph, and beyond thisknee, failure will never
occur under any applied stress. The strength corresponding to the knee is
called the endurance limit for the material. Mischke[2] has shown that there
is a relationship between endurance limit and tensile strength:
S, =0.5O4Su, for S,,, 5 200kpsi (1400 MPa)
S , = 100 kpsi when S,,, > 200 kpsi
S3 = 700 kpsi when S,,, > 1400 MPa
where S,,, is the ultimate tensile strength.
The endurance strength for various steel and cast irons can
be found in
standard Mechanical Engineering handbooks (e.g., Ref. 3).
The above value for endurance strength. for example, for caststeel is
based on experiments conducted in laboratories with a standard specimen
size. To use these results in standard design practice, one has to modify
the endurance limit value by certain factors. The most important factors
are the surface factor k,f and the load factor kid.
 Natarajan
18

Table 1 Values for (1 and h for Some Surface Finishes

Factor (I Factor (I
surt-i\cc finlsll (kpsi) (MPa) Exponcnt h

Ground 1.34 1.5x -0.085

Machined or cold 2.7 4.51 -0.265
drawn
Hot rolled 14.4 51.1 -0.7 18
As forged 39.9 272.0 -0.995

The surface factor is based on the surface finish of the component. and
the formula used to calculate it is given by Shigley and Mischke [ I ] as
k ,=~ US:,, where S,, is the ultimate tensile strength and u and h are given
in Table 1.
The load factor is given to include the effect of different kinds of
loading on the endurance limit value:
kld = 0.923 for axial loading when S,, 5 220 kpsi
kld = 1.0 for axial loading when S,, > 220 kpsi
kld = 1.0 for bending
kid = 0.577 for torsion and shear
There are other factors that exist that include the size of the component,
temperature effect, corrosion effect, stress concentration effect, and frettage
effect. Most of the Mechanical Engineering design books deal with these
factors and the readers can refer to them for further information.

3.2. Fatigue Strength Under Fluctuating Stresses

Most commonly, the stresses in components under loading may not reverse
completely. Many times, it may just fluctuate without passing through zero.
Under these circumstances, a mean stress is defined as the average of maxi-
mum and minimum stress values. The difference between the maximum
stress and minimum stress is calculated first, and dividing this difference
by 2 gives the alternating component of the stress. Thus,
Maximum stress (r~,,,,) = Mean stress (r~,?~)

+ Alternating component of stress (oLI)

Minimum stress (r~,,,,,,) = Mean stress (oil,)
- Alternating component of stress (n(,).
Machine Design 19

Mean Stress m

Figure 1 Fatigue diagram showing four failure criteria. For each criterion, points on
or outside the respective line indicate failure.

A failure diagram canbe drawn based on theyield and ultimate strengthsof

the material. Such a diagram is shown in Fig. 1 for the four failure theories.
The fatigue limit S, (endurance strength) or finite life strength S,, (tensile
yield limit) is plotted on the ordinate. It is to be noted that strength limits
already include corrections such as surface factor, load factor, andso forth,
as mentioned earlier. Along the horizontal axis, the yield strength S,, and
ultimate tensile strength S,, are plotted. The four failure theories included
in Fig. 1 diagram are the Soderberg, the modified Goodman, the Gerber,
and the yielding. For each criterion, points on or outside the respective line
indicate failure.
The equations corresponding to these theories are as follows:
Soderberg:
20 Natarajan

Gerber:

Yield:

In all of these equations, a factor of safety n is included.

3.3. Design of Shaftsand Axles

A member that transmits power while it is in motion is called a shaft. In

engineering practice, shafts normally have a circular cross section. They
are supportedby bearings, and elements such as pulleys, gears, and flywheels
are mountedon to them through keys. The power is transmitted through the
rotating elements to the shaft. An axle is a nonrotating member and is used
to support rotating wheels.
The design of a shaft succeeds the design of elements such as wheels,
gears, and so forth which are mounted on it. The forces that are generated
at the elements that are attached to the shaft produce bending moments
on the rotating shaft. Hence, the shaft has be designed
to for bending. Power
that is transmitted by the shaft produces shearing stresses. I n addition, as a
result of the bearing support, additionalaxial forces may exist,and the shaft
has to be designed for such a loading mode as well. The design of shafts
should include not only static loading as a result of the rotating motion
but also the fatigue strength. I n addition to the above-mentioned strength
analysis of the shaft, a deflection analysis also has to be performed. The
slope of the deformed shaft at the support bearings should be small enough
not to wear the bearings.
The stress analysis of the shaft canbe performed at a specific point on
the shaft. Normally, critical sections on the shaft are first analyzed and
thecross-sectionalarearequiredto meet thestrengthrequirements is
determined. Based on these locally defined critical
cross-sectional
dimensions, the overall cross section of the shaft is determined. Deflection
and slope analyses are then performed for the entire shaft length.
In the design of a shaft, there are more unknown variables than the
number of design equations. To solve such a complex problem,the diameter
of the shaftis normally assumed, and with the helpof the design equations,
its strength is checked against allowable values. Thus, the design process
is an iterative one. Existing designs are normally used to obtain a starting
value for the shaft diameter.
Machine Design 21

3.4. DesignAgainstStaticLoading

The stresses on the surfaceof a solid shaft of diameter d carrying a bending

moment M , a twisting moment T , and an axial force F are given by
32M 4F
c, =
nd2
nd3
~ +-
16T
?.yj. =-
7cd3
Note that it is assumed that axial force produces the same kind of stress as
the bending moment.
Based on the maximum shear stress theory, the design equations are

and
fJ= ( c .
0.5
+ k,,)
We can alsorewrite these designequations in terms of the applied forces and
moments:

and

Assuming a value ford , the diameter of the shaft,t,,, or 0can be calculated

from the design equations.
For the maximum shear stress theory, T,II = S,,/2n. Equating, , ,z to
it is possible to calculate the factor of safety for. the design. If this cal-
culated factor of safety is within allowable limits, the design of the shaft
is complete. If the calculated value of n is unacceptable a new value for
diameter of the shaft d is assumed, and the calculations are repeated until
a satisfactory value for n is obtained.
For distortionenergy theory, cl,I,= S?/.. Equating d,,,to G, it is pos-
sible once again to calculate the design factor of safety.

3.5. DesignAgainstFatigueLoading

Therotatingshaftproducesaconstantmaximumshearstressnearthe
boundary of the cross section where as the stationary bending moment act-
22 Natarajan

ing on the shaft produces completely reversed bending stress at the same
location. Thus, the torsional stressbecomes the steady stress, and the bend-
ing stress contributes to the alternating stress component. These two stress
components can be used to calculate the mean and alternating stresses.
Using both maximum shear stress theory and the modified Goodman line,
it is possible to obtain the design equation for shafts under fatigue loading
Dl:

where n is the design factor of safety, d is the diameter of the shaft, K , is the
stress concentration factor,M , is the alternating bending moment, T,,,is the
mean torsional moment, S , is the endurance limit of the material of the
shaft, and S,, is the ultimate tensile limit of the material of the shaft.

3.6. Design of Belts

Powercan be transmitted from one location to other either using rigid
devices such as gears or using flexible systems like belts. There are many
advantages in using beltsforpowertransmission.Usingbelts,power
can be transmitted over long distances. They can be used to replace rigid
power transmission devices such as gears. They absorb unwanted dynamic
shocks while transmitting powerbecause belt materialsare elastic and
stretchoveralongdistance. In mostpowertransmission devices, any
one of thefollowingthreetypes of belt is commonlyused:flat,round,
and V belts.
Flat belts aremade of fabricwithrubberimpregnationandare
reinforced with steel wires.The surfaces are normally coatedwith materials
thatenhanceitsfrictional coefficient. Thesebelts are quiet andcan be
designed to transmithigh power over long distances. They have an efficiency
of about 95"h. Round and V belts are made of fibers impregnated with
rubber. These types of belt are used to transmit power over much shorter
distances and are less efficient (efficiency of 80%) compared to flat belts.

3.6.1. DesignEquations for FlatandRound Belts

The belt which wraps around the pulley subtends an arc of contact with
respect to the center of the pulley called the contact angle. It is over this
Machine 23

arc of contact in the pulley that the poweris transmitted from onepulley to
the other. An open-belt drive consists of two pulleys over which the belt
wraps around without crossing each other. In a crossed-belt drive, thebelt
crossesoversomewherebetweenthetwopulleys.Thepulleywhich is
attached to the prime mover is called the driving pulley. The other pulley
is called the driven pulley. Normally, a smaller pulley is used as a driver.

3.6.2. Open-BeltDrive
The angle of contact at the driver pulley is larger than the corresponding
angle at the driven pulley. They can be calculated based on the diameters
of the pulleys and the center distance between the two shafts:

and

where D is the diameter of the large pulley, d is the diameter of the small
pulley, C is the center distance between the two pulleys, and 0 is the angle
of contact. The length L of the belt is given by
L = [4C - ( D - d)2]12+ !(DO0 + dB,,)

3.6.3. Crossed-Belt Drive

The angle of contact is the same for both driving aswell as driven pulleys:
D+d
o =n+
The belt length is
O
L = [4C - ( D + d ) ] 1 / 2+-(D + d )
2

3.6.4. Design Equation to Calculate Power Transmitted by the Belt

As the belt comes into contact over the driving pulley, the tensionon the belt
is maximum and is called the tension on the tight side of the belt (TI). The
tension of the belt as it leaves the pulley is much less than the tight-side
tension and is thus appropriately called the slack-side tension (T?).
24 Natarajan

The belt has a certain weight, and when it moves at a relatively high
speed, the centrifugal effect of the mass of the belt should be included in
the design equation. Thus, a relationship among the tensions on the belt,
angle of contact, centrifugal force, and friction between the belt and pulley
can be derived and is given as

where TI and TZ are tensions onthe belt onthetightand slack sides,

respectively, T,. is the centrifugal tension (=0.013 V', where Vis the velocity
of the belt in feet per second), p is the coefficient of friction between the belt
and the pulley, and 8 is the contact angle.
The horsepower that the belt can transmit is given by
( T I - Tz)V
HP =
33.000
where V is the speed of the belt in feet per minute and T is in pounds.
Because a variety of belt materials are available, and the equations
given are derived from simple mechanics, the actual design equation for
power transmitted by a belt takes a more complicated form and is given as

where C, is the pulley correction factorwhich varies from0.5 to 1.O, C,.is the
velocity correction factor andvaries from 0.7 to 1 .O, TI is the allowable belt
tension specified for the belt size and material, V is the belt speed i n feet per
minute, and K,s is the service factor and varies from 1.0 to 1.8.

3.6.5. DesignEquations for V Belts

V-belt sizes are already standardized by manufacturers, and each size is
designated by a letter and size in inch dimensions. The corresponding stan-
dard is in numbers for metric sizes. In inch units, the sizes bear letters from
A to E. Belts with a standard lettersize of A are forlow-power transmission,
whereas letter size E is meant for the highest horsepower transmission. The
size is designated by the inside circumference of the belt in inches. Calcu-
lations involving the belt length are usually based on the pitch length of
thebelt. Therelationship between thepitchlength L p l andthe inside
circumference length L,, is given by
D-d
L,, = L,! - ~

2
Machine Design 25

The pitch length of a V belt is given by

L,I = 2C + 1.57(0 + U) + ( D4-cd)

~

where C is the center distance.

The design of a V belt starts by choosing a specific size of belt for the
sheave size and speed. The center distance is calculated based on
D< c < 3(D+d)
The calculated horsepower that the belt can transmitis corrected for contact
angle and belt length. For a 180 angle of contact, the factor is 1 .O, and the
factor reduces to 0.7 for a contact angle of 90. The belt-length correction
factor varies from 0.85 for smaller belt lengths to 1.2 for the largest belt
lengths.

3.7. Design of theFlywheel

Energy can be stored in a flywheel and may be released whenever the system
requires. By increasing its angular velocity, the flywheel stores the energy,
and by reducing its velocity, it releases the energy. The change in kinetic
energy is given by
2 7
E. - El = $ I ( w ~- (07)
where I is the moment of inertia of the flywheel and depends on the geo-
metricdimensions of the flywheel as well as properties of the flywheel
material. to is the angular velocity of the flywheel. The equation can also
be written based on a coefficient of speed fluctuation C, and nominal angu-
lar velocity ( U . The coefficient of speedfluctuation C,T isequal to
( 0 2 - (ol)/co. The nominal angular velocity (U is defined by ( ( 0 2 + tu1)/2.
Thus,
E2 - El = C,TIt~
This equation is used in the design of flywheels.

3.8. Selection of RollingContactBearing

Here we will discuss the selection process of a rolling contact bearing rather
than thedesign aspectsof a rolling bearing. Bearingdesign involves friction,
dynamic loads, fatigueof constituent elementsin a bearing, heat generation
and heat balance, machine tolerances,assembly, and cost. Thus, thedesign
aspect of rollingbearings in quitecomplex. A mechanicalengineering
26 Natarajan

designer should be conversant with the types of bearing available and the
method for choosing the best bearing to suit the purpose. Ball bearings
are normally rated for both radial and thrust loadings. But a bearing catalog
normally specifies bearings in terms of radialloadingonly.Bearing
manufacturers'catalogs identify
bearings by number, give complete
dimensional information, list rated load capacities, and furnish details con-
cerning mounting, lubrication, and operation.
A specific hearing application requires the selection of bearing type,
grade of precision, lubricant, closure(i.e.,open orsealed),and basic
load-carrying capacity. One of the special considerations is the maximum
speed. The limitationis in terms of the linear speed rather than the angular
speed. In other words, bearings of smaller radii can rotate at much higher
speeds than bearings of large radii. Lubrication is another consideration.
A mist or spray is the best form of lubrication for high-speed bearings.
The size of the bearing selected for an application is dependent on the size
of the shaft on which it is to be mounted and the space available. Also,
the bearing should have ahigh enough load rating to provide an acceptable
combination of life and reliability.

3.8.1. Axial Loadings Requirements

Rolling contact bearings can take radial, thrust, and combination loads. An
equivalent radial load canbe calculated once the radial and thrust loads are
known. The Anti-friction Bearing Manufacturing Association (AFBMA)
provides the equations:
F,' = VF,.

F,. = XVFr + YE,

A maximum of the two valuesis chosen forselection of the bearing. F, is the
equivalent radial load, Fr is the applied radial load, F,, is the applied axial
load, V is arotationfactorand isequal to lforarotatinginner ring
and equal to 1.2 for a rotating outer ring, X is a radial factor, and Y is
a thrust factor.
The X and Y factors depend on the geometry of the bearing, such as
bore, outside diameter, width, and shoulder dimensions. Most of the manu-
facturers provide these dimensions as well as the load ratings. Based on the
ratio of axial load to load ratingof the bearing.AFBMA provides guidelines
to select values for X and Y . Thus, for a selected bearing, it is possible to
determine the equivalent load the bearing can support using the equations
for F,. If the external load is not the same as calculated, the whole process
of bearing selection is repeated.
Machine Design 27

3.8.2. Reliability
Requirement
The median life of rolling-element bearings is about five times the standard
10% failure fatigue life. A common way of designating the life of a bearing
is by specifying its L10 life. This means that 90% have not failed, and, thus,
it corresponds to90'%1reliability. The life L corresponding to a given radial
load LR is

where K,. is life adjustmentreliability factorobtained by knowingthe

reliability factor, L R is life correspondingtoratedcapacity(as 9 x 10'
revolutions),and C is theratedcapacity,normallyobtainedfromthe
manufacturer's catalog:

where Crcqis the required value of C for the application.

4. CONCLUSION

In this chapter, I have given a short description of methodology for the

design of several important components found in mechanical machinery.
As engineers, we know that professionalism andmaturityareobtained
by practice and experience. The ability to abstract, to work systematically,
and to thinklogically and creatively complement the designer's professional
knowledge. abstraction is needed for theidentification of essential problems
and for the application of the principles and rules of embodiment design.
Systematicthinkinghelps in theanalysis of systems and processes and
in the combination of elements. Creative ability helps in the search for sol-
utions with the help of intuitive methods. I can only hope that this chapter
will aid practical designers to think more logically about the design process.

REFERENCES

1. J . E. Shigley and C. R. Mischke. Mechtrnictrl Enginwring Desig~, McGraw-Hill,

New York (1989).
2. C. R. Mischke. Prcdiction of stochastic endurance Strength. Trarls. A S M E J .
Vibr., Acoust., Strc.s.c., Rrlirrh. Des.. 109: 1 13-122 ( 1987).
3. E. A. Avallone and T. Baurneister (eds.). Mtrrks 'Stcrntlurtl Hrrndbookfhr. Mc~ch-
anicrrl Engirlcws, 9th ed., McGraw-Hill. New York (1987).
This Page Intentionally Left Blank
Fundamentals of Vibrations

1. INTRODUCTION

Vibrations are repetitive motions of bodies about an equilibrium position.

Everydayexamples are inescapable in civilized societies.Theyinclude
the hum of an electric razor, the rumble of an automobile on agravel road.
and the motions of an eardrum responding to the roar of ajetengine
and the instruments of an orchestra. Vibrations can be beneficial or harmful,
intended or unintended. The vibration of a grandfather clocks pendulum
provides thetiming reference for theinstrument. The vibrationsin the rotor
of a steam turbine contribute to the fatigue of the turbines components.
Vibrations, pleasing or irritating. beneficial or harmful, are a part of every-
day contemporary life.
This chapter provides background on the nature and analysis of mech-
anicalvibratingsystemsthat is applicable to a wide variety of systems
encountered in thestudy of thedynamics of machinery.The analysis
andunderstanding of thesimplest of systems,single-degree-of-freedom
(SDOF) systems, provides
the foundationfortheunderstanding of
vibrations of far more complex systems.

2. SINGLE-DEGREE-OF-FREEDOM
SYSTEMS

The simplest vibrating systems possess a single degree of freedom, meaning

that the description of the motion of a single mass, as shown in Fig. 1,
specifies the motion of the entire system. Figure1 shows a simple frictionless

29
30 Fries

Figure 1 Single-degree-of-freedomsystem.

2.0 2.5 3.0

time (S)

Figure 2 Response of a single-degree-of-freedomsystem.

spring-mass system. For this system, the time historyof S describes the time
history of the entire system.
For example, if the mass of the system in Fig. 1 is displaced by 3 in.
and released, the system response, or time history of x, is as shown in Fig.
2. The system has a natural frequency of 2 Hz, meaning that it completes
two oscillationcycles per second. Theresponse is a cosine functionof ampli-
tude 3 in. and frequency 2 Hz.

2.1. Formulation of Equations of Motion

The analysis and understanding of vibratingsystemsoftenrequiresthe
formulation of equations of motion, which are mathematical abstractions
representingthesystems of interest.Systemequations of motionare
differential equations, or sets of differential equations for multiple-degree-
of-freedom systems. Lumped-parameter systems, sometimes called discrete-
parameter systems, are described by ordinary differential equations,
whereas continuous systems are described by partial differential equations.
The focus in thischapter is on discretesystemsdescribed by ordinary
differential equations.
Fundamentals of Vibrations 31

Vibrating systems contain both energy-storage and energy-dissipating

elements. Energy is stored as either potential energy or kinetic energy. In
mechanicalsystems,potentialenergy is stored elastically in compliant
elements modeled a s springs and it is also stored as changesin the elevation
of masses in a gravitational field.
Vibrating systems need not consist of purely mechanical elements.
In hybridsystems,energystorage is possible in a wide range of forms.
A loudspeaker containing both mechanical and electrical elements stores
energyelastically in theconeduetoits stiffness,mechanically in the
kineticenergyofmovingmass, and electromagneticallyinthevoice
coil.
A mechanical system must possess mass in order to exhibit vibratory
response (i.e., a fundamental requirement is that kinetic energy be storable
in the systems mass). It is not necessary, however, that energy be stored
elastically; it is required only that potential energybe stored by some means
so that a s a system vibrates, energy is exchanged between potential and
kinetic energy storage mechanisms. For example, a simple pendulum has
no elastic storage element. It exchanges energy between kinetic and poten-
tial energy forms as the mass changes speed and height.

2.1.1. Translational Systems

The classical approach to the formulation of equations of motion uses
Newtons second law of motion as its basis. Simply stated,

the sum of the forces acting on a mass equals the product of theand mass
its
acceleration, in aconsistentunitsystem.Intheirsimplestforms,the
elements of translational systems includemasses,springs, and dampers.
The force characteristics of a linear spring are
F = /?(S> - .YI) (2)
and the potential energy stored in a linear spring is
U = ;/?(X.:! -S,)? (3)
Figure 3 shows a linear springin static equilibrium. DisplacementsSI and S:!
are measured from the unstretched ends of the spring. Equation (3) is easily
derivable from Eq. (2) by noting that energy is related to displacement and
force by
cl U = F c1.y (4)
32 Fries

Figure 3 Linearspring.

Figure 4 Linear damper.

Integrating both sides of Eq. (4) gives

Newtons second law, Eq. ( l ) , describes the motion of a mass under the
influences of forces acting on it. The kinetic energy of a mass is
. 7
T = Amx- (6)
and the change in potential energy of a mass is
AU = ~ g A h (7)
where Ah is the change in elevation of the mass relative to some datum.
For analysis purposes, energy-dissipation mechanismsin translational
systems are usually represented by linear dampers, as shown in Fig. 4, with
force-velocity characteristics given by
F = ~ ( . k ?- .\.I) (8)
The procedure for deriving the equation of motion of a system is to
select a coordinate system and variable to describe the motion of the mass,
draw a free-body diagram of the mass showing the forces acting on it,
and apply Newtons second law. The summation of forces acting on the
body, positive to the right as shown in Fig. 5, according to Newtons second
law gives

n1.k + C.? + k.y = F (10)

Thus, the simple system of Fig. 5 is described by a linear, second-order ordi-
nary differential equation.
Fundamentals of Vibrations 33

system diagram free-body

Figure 5 Free-bodydiagram of simple spring-mass-damper system.

A system is conservative if no energy is dissipated by the elements of

the system and no work is done by external forces acting on the system.
For thesystemof Fig. 5, the external force, F, produceswork and the
damper, c? dissipates energy. If F= 0 and c =0, then the system is con-
servative. In that case, the potential and kinetic energies aregiven by Eqs.
(3) and (6). For a conservative system, the sumof potential and kinetic ener-
gies is constant:
U + T = constant (1 1)
Differentiation of Eq. ( 1 1) yields the equation of motion:
d
-(U
dt
+ l-1 = O

For some conservative systems, the energy approach provides an easier

means of formulating the equation of motion than direct application of
Newtons second law. In 1877, Lord Rayleigh published a method of hand-
lingenergylosses by usingdissipationfunctions.His Theory of Sound
was published in the United States in 1945 [l]. Lagranges equations [2]
provideanotherconvenientmethodforobtainingequationsofmotion
for
nonconservativesystems.
Lagranges
equationsare
useful
for
formulating equations of motion of complex systems, for which the direct
application of Newtons second law becomes difficult.
Numerous additional methods for deriving equations of motion are
also available. Bond-graph methods [3] provide a systematic and orderly
means of obtaining equationsof motion, but theiruse has been more appeal-
ing to academicians than to practitioners. Kanes method [4] has a growing
34 Fries

following of analysts who prefer it forderiving equations of motion of

complex, multiple-degrees-of-freedom systems with complex constraints.

2.1.2. Rotational Systems

In many vibratory systems, the motions of the elements are
purely rotational
rather than translational. Forthese systems, determination of the equations
of motion results from application of

Equation (15) applies to any system whose mass is constrained to rotate

about a fixed point, 0, in an inertialreferencesystem. The summation
of moments on thebody equals the productof mass moment of inertia about
the fixed point and the angular acceleration of the body about the fixed
point. Equation (1 5 ) is sometimes called Newtons second law for rotational
systems. It is also sometimes referred to as Eulers equation. Equation (15)
also applies to the planar rotation of a rigid body about its center or mass
even if the center of mass is not constrained to be stationary in an inertial
reference system.
Figure 6 shows a slender rod, free to rotate about one end. For this
system, only thecomponent of the gravitational force i n the tangential direc-
tion provides a moment about point 0. Application of Eq. ( 1 5) gives

RI

system free-body diagram

Figure 6 Simple pendulum system.

Fundamentals of Vibrations 35

Figure 7 Disk rolling on arc.

or

Equation (17) is nonlinear because the response variable, 0 , appears a s the

argument of the sine function. For small oscillations about the equilibrium
position, U =0, theequation of motioncan be linearized by usingthe
approximation sin 0 U. The mass moment of inertia of a slender rod about
one end is

so the linearized equation of motion is

1
"nll-0
12
7"
+ Illgl
~

2
t) = 0

Energy methodsareapplicable to rotationalsystems a s well as

translational systems. In the system of Fig. 7, a disk rolls without slipping
on an arc of radius R. The kineticenergy of thediskhavingmass ITI
and diameter2r has components due tothe rotation of the disk about point
0, the center of the arc, and the rotation of the disk about point G, the
disk center:
7 ' 7
T = ; I , I ( R- K)-& + 4Jc;?? (20)
The relationship between 0 and 7 can be obtained by noting that as the disk
rolls without slipping along an arc of length S , and angle of 0 corresponds
to a rotation of the disk of y + 0 :
RO = S = ~ ( +
7 fl) (21)
36 Fries

Therefore,

The mass moment of inertia of a disk rotating about its center of mass is
JC; = (23)
Substituting Eqs. (22) and (23) into Eq. (20) and collecting terms gives
17
T = $ n ~ R( - r)-& ( 34)

The potential energy of the system, taking U = 0 at 0 = 0, is

U = mg(R - r)( 1 - COS 0) (25)
Equation (25) can be linearized about the equilibrium position H = 0 by

(l2
U = mg( R - r )
L

Now, the energy is

+ U = m ( R - r)?0 + nlg( R - r)O
T
Taking cl( T + L J ) / d i = 0 and collecting terms gives

which is the linearized equation of motion for the system in Fig. 7

2.2. Free Vibrations

2.2.1. Undamped
Systems
Equation ( l4), repeated as Eq.(30), is the equationof motion for thesystem
shown in Fig. 1:
tllr +k s =0 (30)
Free vibration means that no external forces acton the system. Its response
follows from the initial conditions imposed on the mass. One way to solve
Eq. (30) is to assume a solution [ S ] of the form
S ( t ) = Cf. (31)
where C and S are constants to be determined. Digerentiation of Eq. (31)
Fundamentals of Vibrations 37

and substitution into Eq. (30) yields thecharacteristicequationforthe

system:
d+k = 0 (32)
Solving for S gives the eigenvcrluc~sor roots of the characteristic equation:

where i = l/-r and the nclturalfiequency of the system is

-
-
W,, - J& P?1
(34)

Because thecharacteristicequation hastworoots,two constantsare

required to express the solution:
.qt) = CIe"""'+ Cze-"""' (35)
By using the identities
e*,zr -
- cos at f i sin zt (36)
Eq. (35) can be rewritten as
x(t) = A , cosco,,f + A? sin(o,,t (37)
where A I and A2 are new constants to be determined from the initial con-
ditions. For s(0) = .YO and i(0) = i ~solving
, for A , and A2 and substitution
into Eq. (37) gives

Equation (38) is thegeneralsolution to the single-degree-of-freedom,

undamped, free-vibration response. Equation (38) shows that the response
is harmonic in thenatural frequency m,,, where is expressed in units
of radians per second. The natural frequency W,, (in radis) is related to
the natural frequency ,f;, in cycles per second or hertz by
W,, = 27rf;l (39)
The natural period of oscillation is given by

If x(O)=3 in., i ( O ) = O , andj;, = 2 Hz, then the free-vibration response of

the system is as shown in Fig. 2 and can be written as
(41) x ( t ) = .u(o)cos(2~f;lt)
38 Fries

The free response of an undamped single-degree-of-freedom system can be

expressed as thesum of twoharmonicterms,as in Eq. (38). or it can
equivalently be expressed as a single harmonic function and a phase angle
t51:
.u(f) = Ao sin((o,,f &) + (42)
where

and

Naturalfrequency is themostimportantdynamiccharacteristicof a
single-degree-of-freedom system in most applications. Equation (30) can
be rewritten a s
..
.Y + 7
CO,.\- =0 (45)
When the system equation is written so that the coefficient on the S term is
unity, then the coefficient of the S term is the square of the system natural
frequency. For the system of Fig. 7 and Eq. (29), the natural frequency is

Blevins [6] gives the natural frequencies of a number of useful mechanical

systems.

2.2.2. Damped Systems

The equation of motion of an unforced, damped system is of the form
111s + CS + k s = 0 (47)
Equation (47) describes the motions of the system in Fig. 5 when F=O.
Dividing Eq. (47) by 111 gives
Fundamentals of Vibrations 39

where [ is the drunping ratio of the system and is related to the system
coefficients by
c
g=- (50)
2&
The damping ratiois the ratio of actual damping of a system to the critical
damping of that system. Critical dumping exists when = I , which corre-
sponds to c,. = 2&.
If a solution to Eq. (47) is assumed to be of the form
x ( t ) = Ce"' (51)
as was done for the undamped system, then the characteristic equation is
+ +k =0
W I S ~ CS (52)

or

s2 + 2io,,s + cuf = 0 (53)

and the roots of the characteristic equation are

S= (-c fJ G ) ( U , , (54)

Three possibilities exist for the roots. For C' - 1 < 0, the roots are com-
plex, and the system is underdamped. For c' - 1 = 0, the two roots are equal
andreal,andfor c' - 1 > 0, thetwo rootsaredistinctandreal.The
above-illustrated method may be applied to determine the initial condition
response of the system for the three cases.
Case 1, underdamped: c < 1

For this case, the dumped tlaturcrl,fiequenct' is defined by

= Ji'T (56)
Thedampednatural frequency is less thantheundamped natural
frequency, asindicated by Eq. (56). The underdamped response can
equivalently be written as
s ( t ) = xe-;""' sin(tudt + 4) (57)
40 Fries

Figure 8 Response of an underdamped system.

where X and 4 are determined from the initial conditions. The general
initial condition responseof an underdamped system is shown in Fig.
8. The response is contained within an envelope defined by kXe-c'rJJ.
The damped natural period is

271 37c
T(, -=
W Q,,JP
Case 2, critically damped: = 1
+
) e-'"~~'[(S0 (o,,.yo)r
~ ( t= + xO]
Case 3, overdamped: > 1

where

and

Figure 9 shows time responsesof systems having all three general cases
<
of damping. It also shows a specific response for = l / f i = 0.707. The
Fundamentals of Vibrations 41

L 6 = 0.707
Figure 9 Initlal-conditionresponse for four damping cases.

initial conditions for all fourresponses are x(0) = x0 and i ( 0 ) = O . The

critically damped response possesses the fastest possible return of the mass
to restpositionwithoutoscillation.Neithertheoverdampednorthe
critically damped responses undershoot the rest position. The underdamped
response reaches the final value sooner than the other responses but con-
tinues to oscillate after the other responses have reached their final values.
Mechanical system
designersfrequentlyhavecontrol
over
the
damping ratios of the systems they design. Critical damping, [ = 1,is a
good design goal when a fast return to the final position is desired but
when no oscillatory behavior can be tolerated. A faster return to the final
position is achievedwith [ = l/&' = 0.707 incaseswhereundershoot
is acceptable.
The critically damped case is of greater theoretical interest than prac-
tical interest. It represents the boundary between underdamped and over-
damped systems.In an actual dynamic system,it is as unlikely that the
damping ratio would be exactly 1 as it is that the system is exactly modeled
as a linear second-order system. The likelihood is zero for both instances.
Critical damping represents an appropriate design goal for some systems,
If the actual damping ratio differs slightly from the design goal, the response
differs only slightly and a good system can result.
None of the theoretical responses shown in Fig. 9 ever reaches zero,
but all responses approach arbitrarily close to zero as time increases. Dif-
ferences between the responses of actual vibratory systems, whose responses
do die out in time, and these theoretical systems usually results from failure
to model the damping sources completely and correctly.
42 Fries

Figure 10 Underdamped systemresponse.

2.2.3. Logarithmic Decrement

If the free-vibration response of an underdamped system, [< 1, has been
recorded, it is possible to estimate the damping ratio of the system solely
from the recorded response. The method of obtaining the damping ratio
from a system's response is called the logarithmic decrement.It is also poss-
ible to obtain the natural frequency from the free response. In the Fig. 10
system response, successive peaks in the response are labeled sequentially.
The free response of an underdamped system can be written as in Eq.
(57), or equivalently it can be written in the form

where A0 and $ are constants that can be determined from the initial con-
ditions. The logarithmic decrement is defined as the natural logarithm of
two successive peaks in the response:

where zd is the damped naturalperiod of the system.Because the sine terms

in the numerator and denominator of Eq. (64) have the same value one
period apart, Eq. (64) can be rewritten as
Fundamentals of Vibrations 43

Solving for the damping ratio gives

= J
4n' + 5'
Note that there is no need to solve for the constants in Eq. (63).
In practice, a more accurate estimate of thesystem damping ratio
results when the decrement over several successive peaks is used.When
the decrementis taken overI I cycles, the damping ratio canbe obtained from

If the system response decays to 50'1/0of its initial value, the decrement is

6 = In
(.l:,)
__ = In 2 = 0.693

and the damping ratio for 50% decay is related to the number of cycles by
(68)

Figure 1 1 shows damping ratio as a function of amplitude ratio for several

numbers of cycles in the decrement. To illustrate the use of Fig. 11, note
that the amplitude ratio of the fourth peak to the first peak in Fig. 10,
a total of three cycles, is approximately 0.47. For three cycles and an ampli-
tude ratio of 0.47, Fig. 1 1 indicates a damping ratio of 0.04.
Once the damping ratio is known from the free response of a system,
it is possible toobtainthenaturalfrequency, which is alsoreferred to
astheundampednaturalfrequency.Thedampednatural frequency is
obtainable directly from the time response of the system. The undamped
natural frequency can then be obtained by applying Eq. (56). Alternatively,
Eq. (56) is plotted in Fig. 12.

2.2.4. Coulomb Damping

Coulornh dumping is defined asdamping whose amplitude is directly
proportional to the coefficient of friction and independent of the velocity
of motion. It is also called dr.v,fiiction dclrrlpirzg. It arises in many practical
systems that contain elements that rub on each other in a dry condition.
The defining force relationship [2] is
44 Fries

0.1

0.01

0.001
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0

amplitude ratio, x.,1

XI

Figure 11 Damping ratio versus

amplituderatio for the free response of a
second-order system.

. . .
0.8 '. ' . . . . .

'. ' '

3=
\
O3 . . . . .
D
3 0.4 .. .

0.2 ~ ' . . . .
. .. .
0.0
0.0 0.2 0.4 0.6 08 1.0

where p is the coefficient of friction and N is the normal force between

rubbing surfaces. The direction of the force always opposes the velocity
of sliding.Figure 13 shows a simplespring-masssystemwith Coulomb
damping.
Fundamentals of Vibrations 45

free-body system diagram

Figure 13 Spring-masssystem with Coulomb damping.

For this system, the equation of motion is

Equation (71) is piecewise linear. The sign on the damping term changes
each time the direction of sliding reverses. However, the equation of motion
is linear during any cycle. Therefore, the system equation be can
solved cycle
by cycle [7]. The result is a free-vibration response with a linearly decaying
envelope in contrast to the exponentially decaying envelope of the system
with viscous or linear damping. Theinitial condition response of the system
with Coulomb damping is shown in Fig. 14.
The system oscillates at the natural frequency CO,, = m, unlike a
system with viscous damping, which vibrates at the damped natural fre-
quency ( c ) ( / . Thus, Coulomb damping has no influence on the frequency
of response. Successive peaks decrease in amplitude by

The final displacement of the system is, in general, not zero, because the
sliding stops when the spring force is insufficient to overcome the friction
force. Thefinal position of the massis inside aband with limits&A, as shown
in Fig. 14.

2.3. Forced Vibrations

Forced vibrations occur when a systemresponds to externalexcitation.
Motion of the single-degree-of-freedom system of Fig. 5 is described by
n1.Y + C% + k.u = F ( [ ) (73)
where F ( ( ) can be any time-varying force.
46 Fries

Figure 14 Response of spring-mass system with Coulomb damping.

2.3.1. Harmonic Forcing

Harmonic forcing occurs when system forcing is sinusoidal in nature. The
traditional approach to the analysis of harmonically forced systems is to
determine the steady-state magnitude and phase relationship of the response
relative to the excitation. When a linear system is forced harmonically, the
system'ssteady-stateresponse is alsoharmonicatthesamefrequency.
The magnitude and phase angle of the response relative to the excitation
completely define the steady-state response.
Force Applied to Muss. When system forcing is applied to the mass Eq.
(73) is the system equation of motion. A simple and convenient method to
obtain the steady-state solutionof a differential equation like Eq. (73) for har-
monic forcing is to let F(1) be represented by a function of the form
F ( r ) = F(&' (74)
For a linear system, the response will be of the same form:
x(1) = xes' (75)
Fundamentals of Vibrations 47

Making these substitutions into Eq. (73) gives

(ms' + ('S + k)Xe"' = Fod'
or
(112s' + + k ) X ( s )= Fo(s)
('S (79)
which can be rewritten in dimensionless form as

where col, and are defined in Eqs. (34) and (50), respectively. Readers fam-
iliar with Laplace transform methods will recognize Eq. (80) as the Laplace
transfer function [S], but no knowledge of Laplace transforms is required
for the present analysis. To determine the harmonic response.we can make
the substitution [9]
itu = S (81)
Noting that ' i = -1, the result is

The right side of Eq. (82) is a complex number, which can also be expressed
as a magnitude and angle [IO]. It gives the magnitude and angle of the
response relative to the input force. The magnitude is the square root of
the sum of the squares of the real and imaginary parts,
IkX(iw1l 1

and the phase angleis the inverse tangent of the ratio of the imaginary and
real parts,

Equation (82) and its equivalents, Eqs. (83) and (84), are referred to in the
vibration and system dynamics literature by a number of names, including
,frequency response Junction, sinusoidal transfer fimction. amplitude ratio
and pkuse angle, amplijicution fnctor and dimensionless response factor.
If thesystemforcing function is F ( t ) = F0 sin w t , then the steady-state
48 Fries

2 3

Figure 15 Amplitude ratio forforcedsecond-ordersystem.

response is

Equations (83) and (84) are plotted in Figs. 15 and 16, respectively. Figure
15 shows that the response is large when a lightly damped system is forced
near resonance. The peak response occurs at

cop = J1-Z (86)

which is lower than the natural frequencyof the system. The peak frequency
can be obtained by differentiating Eq. (83) with respect Wtosetting the result
equal to zero, and solving for CO.
If a system is not damaged by operation at its peak frequency, the
damping ratio can be estimated using a test in which the system is excited
at a frequency that produces the maximum response. Fora lightly damped
system, the peak amplitude ratio is approximately
Fundamentals of Vibrations 49

-120 -

-150 -

-180 I

0 1 2 3

Figure 16 Phase angle for forced response of second-order system.

so the damping ratio canbe computed directly from Eq. (87) when the peak
amplitude ratio is known. The maximum value of the amplitude ratio is
sometimes called the quality.factor, or Q. The concept of a quality factor
related to thepeakamplituderatiocomestomechanicalsystemsfrom
electrical engineering applicationsin which highly resonant circuits areused
as filters, andasharpresonantpeakcharacterized bylow damping is
beneficial. Insuchafilterapplication,highquality is associatedwith
low damping. The situationis not usually true in mechanical systems, when
lightly
a damped system forced at resonance can
experience large
displacements and stresses.
Bandwidth is a related concept that also originated in electrical engin-
eering practice but is now used with some regularity in mechanical system
and vibration analysis. The bandwidth of a system [ l l ] is the frequency
range defined by
Am = CO? - (01 X 2[~,, (88)
where (01 and 02 are the hmlf-power points of the amplitude ratio curve
as shown in Fig. 17. The square of the amplitude ratio at the half-power
points is :Q', so called because the power associated with a variable is
proportional to the variable squared. In terms of decibels, the half-power
pointsare 3 dB below thepeakresponse on theamplituderatioplot.

Base Escitation. In many situations of practical interest, excitation is

applied toamachinethrough its base.Forexample,integratedcircuit
processing machinery must often be isolated from ground-induced vibrations
because of the extremely tight tolerances that mustbe maintained in the pro-
50 Fries

kX
-
F0

I
l

Figure 17 Amplitude-ratio curve showing Q and half-powerpoints.

cesscontrol.Automobilesexperiencebaseexcitationduring travel over

irregular roadways. Figure 18 shows a single-degree-of-freedom model useful
in base-excitation analysis. Application of Newton's second law yields

mi + ck + ks = c j + ky (90)
Using the same procedure followed in the above, analysis, we can
write

system fie-body diagram

Figure 18 Base-excitationmodel.
Fundamentals of Vibrations 51

Putting Eq. (91) into nondimensional form gives

Making the substitution

ito = S and solving for the amplitude ratio and phase
angle gives

Therefore, when the system of Fig. 18 experiences base excitation described

by l'= Y sin of,the steady-state time response is

x([) =
1':l
- Y sin(wt + 4)
where [ X / YI and 4 are plotted in Figs. 19 and 20 and are given by Eqs. (93)
and (94).
The response characteristics of the base-excitation system have some
important differences from the forced-mass system. Figures 19 and 20 show
plots of the amplitude ratio and phase angle for the base-excitation system.
When the excitation frequency is low, the amplitude ratio tends to
unity, indicating that the motion of the mass followsthe motionof the base.
At (alto,, = A, theresponsealwayshas thesamemagnitudeasthe
excitation,regardless of thedampingratio.At higherfrequencies,the
magnitude of the response increases with increasing damping ratio.
When a mechanical system experiences unacceptably high vibration, a
common remedy is to add more damping.If the excitation is applied to the
mass, as in the Fig. 5 system, then increasing the damping always decreases
the steady-state response, as shown in Fig. 15. However, as Fig. 19 shows,
the reverse is true forbase excitation at frequencies greater than to/w,, = A.
This behavior explains why many suspension systems posses light damping
and low natural frequencies.
For a damping ratio of = 1, the response magnitude is only slightly
greater than the base-excitation input at frequencies below w / o , , = A,
and only slightly less than the base-excitation input at higher frequencies.
52 Fries

10

0 1 2 3
W
-
W"

Figure 19 Amplitude ratio for the base-excitation system.

Figure 20 Phaseangle for the basc-excitationsystem.

Fundamentals of Vibrations 53

The effect of high damping is to ''lock''thesystemmass andthe base

together.
The phase-angle plot, Fig. 20, shows that atlow frequencies, the phase
angle tends toward zero, indicating that the response is in phase with the
excitation. At high frequencies, the phase angle tends to -90" rather than
-180", as was observed with the force-excitation model.

Rotating Imbalance Excitation. Rotating devices (e.g., pumps, motors,

turbines, compressors) are often mounted to some relatively massive foun-
dation or base by hardware that possesses a combination of elasticity and
energy dissipation. Because rotor balance is never perfect, forces are always
generated by the rotating unbalanced mass. Figure 21 shows such a system
schematically. Inthis system, m is therotatingmass with eccentricity E .
The totalmass, M , includesboththenonrotating and rotating masses.
The equation of motion is
M i + c.i: + k x = F ( t ) (96)
The vertical component of the centrifugal force generated by the rotating
imbalance is
F ( t ) = rn~co' sin cot (97)

Figure 21 Harmonic forcing from rotating unbalanced mass.

54 Fries

The complex transfer function is

(98)

where for this system

W 1 -&
- (99)

Substituting Eqs. (97) and (99) into Eq. (98) gives

1-

The magnitude of Eq. (100) is

and the phaseangle is given by Eq. (84). Figure 22 plots the system response
given by Eq. (100). Figure 16 plots the phase angle.
As shown in Fig. 22, the response amplitude ratio approaches zero at
low frequencies and unity at high frequencies. regardless of the damping
ratio. Near resonance, the amplitude is increasingly large for cases of a
lower damping ratio. For asystem of this type, when reduction of response
amplitude is a design objective, more damping is unilaterally beneficial.

Structurul Damping Experience has shown that the response of many

mechanical systems is not adequately modeled by the conventional spring-
--mass-damper system of Fig. 5, for which a linear damper characteristic
is described by Eq. (8). For the Fig. 5 system, the damping force is modeled
to be proportional to the relative velocity difference between the damper
terminals or ends. Consider for example, a system in which a mass is sus-
pended by a spring and no damper is present. The amplitude of the initial
condition response of this system decays with time and the motioneventually
ceases entirely despite the absenceof a physical damper. As another example,
consider the vibration of a turbine blade that is excited by irregularities in a
gas flow stream. Like thevibrations of themasssuspended by aspring,
Fundamentals of Vibrations 55

10

9 -

0 -

7 -

6-
M X
- 5-
m&
4 -

3-

2 -

1-

0 "

0 1 2 3
U
-
W"

Figure 22 System response for rotating unbalance.

the vibrations of the turbine bladedecay with time. The mechanism of energy
dissipationinthese andsimilar systems is called structurd dumping or
hysteretic. dunlping. Structural damping is characterized by dissipation of
an amountof energy per cycle that is proportional to the squareof the ampli-
tude of vibration and independent of the frequency. The energy is dissipated
internally within elastic materials, including composites, metals, polymers,
and wood.Structuraldamping is alsoattributedtosmall relative motion
in joints of structures. The characterization is based on measurements and
observationsmade by anumber of investigators, includingKimball and
Lovell [12], Scanlan and Mendelson [13], and Ungar [14].
Analysis of the harmonically forced response of a system possessing
structural damping canbe accomplished by using the concept of a complex
stiffness defined by k( 1 +h), where k is the conventional stiffness and 1'
is called the structural dumpingfirctor or the hJ9steretic dumping constant.
The complex transfer function for this system is obtained by setting the
linear damping constant, c, to zero and substituting the complex stiffness
for the conventional stiffness:
X 1
-(S) = (102)
F" ,??.S2 + k( 1 + iy)
56

Nondimensionalizing Eq. (102) and substituting io = S gives

X 1
"(io) =
F0 1 - (w/q1)' + iy
The magnitude ratio and phase angle are

lkxl 1

Figures 23 and 24 plot the amplitude ratio and phaseangle, respectively for
the single-degree-of-freedom (SDOF) structurally damped system.

0 2 3

Figure 23 Amplitude ratio for structurally damped SDOF system.

Fundamentals of Vibrations 57

-30

-60

-90

-120

-150

-180
0 2 3

Figure 24 Phase angle for structurally damped SDOF system.

When a structurally damped system is forced harmonically by a force

F = Fo sin ot,then the steady-state time response is

where IkX/FoI and 4 are given by Eqs. (104) and (105) and are plotted in
Figs. 23 and 24. The maximum amplituderesponse occurs at the undamped
natural frequency, as shown in Fig. 23, and it has value
a of
IkX/Folmax= l/?. In structurally damped systems, as shown in Figs. 23
and 24, the amplitude ratio does not approach unity at low frequencies,
nor does the phase angle approach zero at low frequencies, in contrast
to the behavior of systems with damping proportional to velocity.

2.3.2. Impulse
Response
An inzpulsiveforce is one that lasts a short time
relative to the natural period
of the system upon which it acts. The impulse, I , is related to the impulsive
force by

S
I = F(()& (107)

When the duration of F ( t ) is short, the shape of its time history is of no

importance. Theresponse of the systemis, for practical purposes,influenced
only by the timeintegral of theforce. For asingle-degree-of-freedom
58 Fries

system, the response can be determined by observing that

mi(
dt /
)
= )I
W I ( V ~- V I =

Equation (108) shows that the effect of an impulse acting on a system is a

change in velocity of the mass. As an approximation, the changein velocity
is considered to occurinstantaneously.Fora systeminitially at rest, it
follows that the velocity initial condition for the subsequent response is
I
S(0) = - (1 09)
rn
Given the velocity from Eq. (l09), Eq. (38) applies, and the response is the
same as already determined for the free response of the system.

2.3.3. Step Response

A step f o r c e goes from zero to a constant value and stays at the constant
value. Thetransitioncan be consideredtooccurinstantaneously if the
transition time is short relative to the natural period of the system. When
F ( / ) = Fo, where F0 is the magnitude of the step force, then the responses
of a single-degree-of-freedom system are given below for the three different
damping cases [9]. Figure 25 shows the responses for several damping
ratios.
Case 1, underdamped: < < l

Case 2, critically damped: <=1

k s ( t )- 1 - ( 1 + to,,[)e-"'"' ( 1 12)
F0

Case 3, overdamped: [ > l

Fundamentals of Vibrations 59

2.0
1.8
1.6
1.4

l
a

0.6
0.4

0.2
0.0
0 1 2 3 4 5 6 7 8 9 10

W[

Figure 25 Step responsc of the SDOF system.

The steady-state response is ks/Fo = 1 for all nonzero values of damping

ratio.
Designers use dynamic-response information to estimate maximum
displacements and associated stresses in lightly damped systems. Note that
the maximum displacement is two times the steady-state value when the
damping is zero. In a typical mechanical system, the stress in the elastic
element is proportional to the displacement. Therefore, a system designed
only for the steady-state stress stands the possibility of being significantly
underdesigned when subjected to a step load.

2.3.4. ResponseSpectrum
Mechanical systems experience a variety of transient or shock loads other
thanimpulseandstep forces.Whentheobjectiveofinvestigatingthe
vibration responseof a system is to design the system to withstand the maxi-
mum expected shock loading, the concept of the response spectrunl is useful.
The response spectrumgives the maximum responseof a systemto the speci-
fied shock input as a function of the natural frequency or natural periodof a
system.Themodel is typically anundampedsingle-degree-of-freedom
system.Dampingwould usuallyreducethepeak amplitude.Response
spectrum is also used to quantify the severity of shock loads.
A variety of input types produceshockloadsonsystems.Shock
response spectra can be determined for any type of input. Most common
is forceshockapplied tothemass.Inaddition, base inputexcitations,
includingdisplacement,velocity, and accelerationshocks,have been
analyzed. Seismic shock analysts frequently use base velocity inputs.
60 Fries

\ ' .
.
.
.
. . . . .

Figure 26 Responsespectrum for finite-rise-timestepinput.

The system of Fig. 5 without damping is the reference system for the
responsespectrumanalysispresentedhere.The first step in calculating
the response spectrumis to solve the equation of motion of the system, given
the input of interest. Thenext step is to determine the maximum responseas
a function of the system and input parameters. The response maxima are
then plotted to give a response spectrum curve that is representative of
all possible combinations of system and input parameters.
Figure 26 shows the response spectrum for the undamped system of
Fig. 5 when it is subjected to a step function with a finite rise time. The
maximum value of ( k ~ / F o ) , ,is, ~2,
~ and it occurs whenthe stepinput
has zerorise time. This correspondsto thec= 0 case shownin Fig. 25. When
the step rise time is longer, the maximum system response is lower. The
response spectrum is given [ 151 by
kx
(FO),,,= +ln;is:l (1 14)
where T~~ is the natural period of the system given by Eq. (40).
Figure 27 shows the response spectrum for a rectangular-pulse input.
As shown in the figure, the minimum system response occurs when the pulse
is shortest, and the maximum response, ( k ~ / F o ) , ,=, ~2,~ occurs when the
duration of the pulse is longer than half the natural period of the system.
The response spectrum is given [l 51 by
 m
Fundamentals of Vibrations

. . .
. .
61

1 2

1,
T"

Figure 27 Response spectrum for rectangular-pulseinput

and

Figure 28 shows the response spectrum for a half-sin-pulse input. For

the half-sin-pulse input, the maximum system response occurs at approxi-
mately t a / ~ , = , ~ ,1.77.
, 0.8 and has a value of approximately ( k . ~ / F o ) , , = ~
There is no known simple expression for the response spectrum for this
input.
The response spectrum approach solves for d l combinations of system
and shock input properties. I t is therefore quiteuseful for obtaining a global
view of the system's maximum response. A drawback of the method is that
closed-form solutions are available for only a limited number of systems
and shock inputs.Whena closed-formsolution cannot be found,then
numericalmethodsmust be used todeterminethe responsespectrum,
and they tend to be computationally intensive. Jacobsen and Ayre [ 151 have
solved response spectra problems for a wide variety of systems and inputs.

3. MULTIPLE-DEGREES-OF-FREEDOM
SYSTEMS

Many mechanical systems of practical interest contain more than one degree
of freedom.Thenumber of degrees of freedom in asystem equalsthe
number of variables required to define the motion of all masses of interest.
In
general,
a single mass possesses six degrees of freedom, three
62 Fries

2
. . . . . . . . .
I
. .

0 1 2 3 4

Figure 28 Response spcctrum for a half-sin-pulse input.

displacementsand
three
rotations.
In
three-dimensionalspace,
the
displacements might be the S , y, and z coordinates relative to some reference
system, and the rotationsmight be the angles a, /j, and 7 relative to adefined
datum set. As part of the analysis process, the degrees of freedom must be
determined.Constraints nearlyalwayslimit thenumber of degrees of
freedom to fewer than six per mass.
An equation of motion is requiredfor each degree of freedom.
Therefore, a 15-degrees-of-freedom system requires15 equations todescribe
it. The equations areusually coupled, meaning that the motionof one mass
influences the motions of other masses. A powerful method called m o d d
clnal~~sis
provides means whereby an analyst can mathematically uncouple
a set of r1 equations to produce n equations, each having a single degree
of freedom. The I? single-degree-of-freedom equations can be solved using
methods like those described in the previous section.

3.1. Equations of Motion

The equationsof motion for amultiple-degrees-of-freedom (MDOF)system
can be obtained using the methods discussed previously. For example, a
three-degrees-of-freedomsystemconsistingofdisks rigidly attachedto
flexible shafts is shown in Fig. 29.
The equations of motion for this system have been written for each
disk using Eq. (1 5):
Fundamentals of Vibrations 63

Figure 29 Three-degrees-of-freedom torsional system.

2J& + kO3 - k0z = 0 (1 19)

For convenience of notation. Eqs. ( 1 17)-( 1 19) can be put into matrix form:
1 0 0 2 -1
( 120)

where U is a vector defined by

o= [21
Each row of Eq. (120) is one equation of motion. This set of equations is
coupledthroughthe stiffness matrix.Inthe generalcase,thematrix
equation of motion can be written as
M.? + C.? + KS = , f (122)
where M , C, and K are all r7 x 17 square matrices, representing n equations of
64 Fries

motion. Vectors .Y a n d f a r e n x 1 in dimension and represent the response

variable set and the force set.

3.2. TheEigenvalue-EignevectorProblem

The classical modal-analysis approach uses the mass and s t i h e s s portions

of the general equationof motion to obtain a transformation that uncouples
the equation set. Consequently, we begin with the matrix equation
M i + Kx = 0 (123)
If we assume a harmonicsolution, as was doneforthe single-degree-
of-freedom system, then
x = --tll2.X ( 124)
Substituting Eq. (124) into Eq. (123), premultiplying by the inverse of the
mass matrix, M - , and rearranging terms gives
MKx = WS (125)
or
[K - tollx = 0 (126)
which are common formulationsof the eigenvalue-eigenvector problem. In
Eqs.(125)and(126), I is theidentitymatrix. A trivialand,therefore,
uninteresting solution of the problem is x=O. The solution to either Eq.
( 125) or (126) that provides the eigenvalues or system natural frequencies
is
IM-IK - ~011= 0 (127)
The solution of Eq. (127) requires finding roots of an n-order polynomial.
Oncetheeigenvaluesarefound,theeigenvectors,whicharenonzero x
vectors, can be determined. We will use P to designate an n x n matrix con-
taining all the eigenvectors.
Numerous methods exist for performing the computations necessary
to solve the eigenvalue-eigenvector problem.Threegeneralapproaches
having overlapping boundaries exist:
1. Pencil, paper,andcalculatorforsmallproblems
2. Iterativemethodsforlargerproblems
3. Numerical methods employing digital computers for problems of
all sizes, but especially for large problems
Readers interested in approach 2 are referred to books on vibrations suchas
Ref. 5 , 11, or 16. Readers interested in approach 3 are referred to bookson
Fundamentals of Vibrations 65

numerical methods, such as Ref. 17, 18, or 19. A number of numerical analy-
sis computer programs that have built-in eigenvalue-eigenvector solution
routines are available commercially.
Once the eigenvector matrix, P, is found, the transformation

x = Py (128)

may be substituted into Eq. (123) to obtain

MP.; + KPy = 0 (129)

Premultiplying by the transpose of P, which will be designated by P, gives

PMPj + PKPy = 0 (1 30)

Equation (130)representstheuncoupled equations of motionforthe

undamped free response of the system.
For the system in Fig. 29, a solution to Eq. (126) gives eigenvalues

d= [ 3.1007
1.27251
0.1267

and the eigenvector matrix is

P= [ -0.6592
0.7256
-0.1395
0.7120 0.2418
0.5180
0.4530
-0.3352 0.6068 1
The eigenvalues are unique.However,theeigenvectors, which arethe
columns of P , can be scaled by any constant value. Itis convenient to scale
P such that PMP = I , in which case the diagonal elements of the trans-
formed stiffness matrix contain thecoefficients of the square of the natural
frequencies.
Returningtothe three-diskexample of Fig. 29, performingthe

[1 :] [
coordinate transformation operations indicated by Eq. ( 1 30) gives

3.1007 0
J 0 1 0 $+k 0 1.2725 0 y=o (133)
0 0 0.1267
O 1
which demonstrates that the equations of motion are uncoupled in the
vector y. Each row of the matrix equation represents a single uncoupled
equation of motion.
66 Fries

no. Modc I no. Modc 2 Mode no. 3

e----
- ~

1 2 3

disc number

Figure 30 Mode shapes for the three-disk system.

The natural frequencies obtained from Eq. (131) are

(U: 11.128
8 -
( 135)

(03 = 0.356
8 -
The ratio of highest-to-lowest natural frequencies is nearly
(1 36)
5 : 1 for this
system.
The eigenvectors give the shapes of the natural modes of vibration.
Figure 30 plots the relative amplitudes of the three eigenvectors. Figure
30 shows that in mode 1, disks 1 and3are in phasewitheachother,
and disk 2 oscillates out of phase. In mode 2, disks 1 and 2 are in phase
with each other, and disk 3 oscillates out of phase. In mode 3, all disks
are in phasewitheach other. Mode 3 has the lowest natural frequency
of all the modes. Crossings of the zero axis by lines connecting the relative
amplitudes represent nodes (i.e., is locations on the shafts where there is
no motion).

3.3. Modal Analysis

The general modal-analysis problem can now be addressed. The approach
is touncoupletheentire set of system equations, solve each single-
degree-of-freedomsystem equation,andthencompute theresponse of
the entire system as a weightedsum of theindividualmodalresponses.
The general matrix equation of motion is
M i +- CS + K X =.j (137)
Performing the transformation into modal coordinates gives
PM P j + P CPj, + PKP). = Pf (138)
Fundamentals of Vibrations 67

If the damping matrix is proportional to either the mass matrix or the

stiffness matrix,thentheequations of motionareuncoupled. Rrryleigh
durrping [l61exists if thedampingmatrixcan be relatedto themass
and spring matrices by
C=YM+BK (139)
in which case the system equations are also uncoupled, and eachuncoupled
equation is of the form
j;;+ 2 i j t O j j J j + (O;y; = .f;
I

(140)
where.7; is an element of the transformed force vector
.7' = PIf (141)
and c, is called the
~ ? ~ o dclamping
al ratio.
Initialconditionsaregenerallyknowninthephysicalcoordinates
rather than the modal coordinates,so it is necessary to determine the initial
conditions in the modal coordinates. Solvingfor y in terms of S from
Eq. ( 128) gives
y(0) = P"s(0) (142)
and similarly for the velocity initial conditions.
The following steps summarize the process:
1. Write the equations of motion in matrix form as in Eq. ( 137).
2. Solve the eigenvalue-eigenvectorproblem to obtain the natural
frequencies and the normalized modal matrix, P.
3. Uncouple the equationsof motion using the transformation of Eq.
( 138).
4. Obtain the forces in modal coordinates using Eq. (141).
5. Computethe initial conditions in modalcoordinates using Eq.
( 142).
6. Solve theequations in modalcoordinates.
7. Transformthesolution back to physical coordinates using Eq.
( 128).

AS an example of modal analysis, consider thata unit-step moment, M O ,is

applied to disk 3 of the three-disk system in Fig. 29. The forcing function
is a moment in this case that can be written using the notation of Eq. (137)
as

(143)
68 Fries

In addition, let the damping matrix be

Physically, this damping matrix would result if a rotational damper existed

in parallel to each of the three shafts in Fig. 29. The damping matrix is
proportional to the stiffness matrix, so the modal transformation already
determined in Eq.(132)uncouplestheentireequationset.Themodal
damping ratios can be obtained from the uncoupled equations of motion,
which are of the form of Eq. (140):
[l = 0.70 (145)

= 0.14
In this example, and typically for MDOF vibrations, the mode with the
lowest natural frequency has the lowest damping ratio. For this example,
all initial conditions are zero. Figure 31 shows the responses of the three
dependent variables.
The response is dominated by the mode possessing the lowest natural
frequency, a situationthat is typical of the response of multiple-
degrees-of-freedomsystems. Because all three segments of the shaft are
identicalandthemoment is thesameinallsegments,thesteady-state
responses are
Oj(t -+ CO) = 3d1(t -+ CO) (148)
and
&(I -+ CO) = 2&(r -+ CO) (149)
A response consisting primarily of the third-mode contribution would be
expected qualitatively because the steady-state positions closely resemble
the shapeof the third mode. The modal damping is lowest in the third mode,
and the first and second modes have higher frequencies. Both conditions
tend to make thelowest frequency mode dominate the response. The initial
delay in the 81 response relative to the 0 3 response is also typical; recall
that the step moment is applied to disk 3 .
As a final note on the modal analysis of the three-disk system, con-
sidertheresponsewhenthe stepmoment is applied to disk 1. In this
case,thesteady-stateresponses of allmodes willbe identicalbecause
the moment in the second and third shafts is zero. This response is shown
Fundamentals of Vibrations 69

k6

0 10 20 30 40 50 60

Figure 31 Responses of the three independent variables.

in Fig. 32. When the step moment is applied to disk 1, the presence of the
higher-frequency modes is more apparent, particularly in the 01 response.
In many instances, the damping matrix is not a linear combination
of themassand stiffness matrices.Thissituation is referred toas
nonproportionaldumping. Solutionstothemodal-analysisproblemare
still obtainablewith a morecomplexprocedurethan is includedhere.
The procedure requires recasting the original n second-order differential
equations of motion into 2n first-order differential equations of motion.
Afterward, the process proceeds similarly. Interested readers are referred
to Ref. 11.
Occasionally, a system will possess repeated eigenvalues. The chances
of such an occurrence are higher in textbook examples than they are in
actualsystems.Nonetheless,theabovemethodfailswhenasystemhas
two or more identical eigenvalues. For an extension of the above method
that works for repeated eigenvalues, interested readers are again referred
to Ref. 1 1 .
70 Fries

ke

0 10 20 30 40 50 60

Figure 32 Response of the three-disk system to step input 011 disk 1.

3.4. Harmonic
Forcing

The general matrix equation of motion for a multiple-degrees-of-freedom

system is
M.Y + C i + KS =.f (1 50)
When the steady-state solutionof Eq. (150) for harmonic forcing is sought,
it is convenient to use thesameapproachaswas previously used for
single-degree-of-freedomsystems. In terms ofthe S operator, Eq. ( I 50)
can be rewritten a s
(M? + CS + K)X(.s)= F ( s ) (151)
or using the ito notation,
( K - to + itoC)X(ito) = F(ito) ( 1 52)
The solution of Eq. (152) is obtained by premultiplying both sides of the
equation by the inverse of the complex matrix:
X(ito) = ( K - to + itoC)-IF(ito) ( I 53)
Fundamentals of Vibrations 71

Evaluation of Eq.(153)requiresinversion of acomplex matrixand

multiplication by the forcing matrix for each frequency of interest. For
all but thesimplest of systems, and perhapseven for thesimplest of systems,
this is a goodjob for a digital computer. The response, X(ito), is, in general, a
complex number, or a complex vector if evaluated for a large number of
frequencies. It is most easily visualized in terms of an amplitude and phase
angle. As wasthecasewiththesingle-degree-of-freedomsystem, the
magnitude of the response is the square root of the sum of the squares
of the real and imaginary parts, and the phase angle is the inverse tangent
of the imaginary and real parts.
As an example, consider the three-disk systemof Fig. 29. For the har-
monic response example, we will consider the case of a sinusoidal moment
applied to disk 1, so that the forcing function is

[:l
F(ito) = Mo(ico) 0

This approach to the solution of the MDOF harmonic forcing problem

allowsthe dampingmatrixtohaveany values,withoutregard to the
proportionality requirement that was needed for the above forced-response

c=2(o.ol,J,x[ -12

0 -1
-U]
solution. For the example solution, we will set
-1 2

which is proportional to thestiffness matrix, although, as indicated, it has no

requirement to be proportional in this method. Theselected damping matrix
provides light damping forthis system. Figures33 and 34 show the resulting
amplitude ratios and phase angles for all three response variables.
As Fig. 33 shows, the resonant frequencies correspond to the system
natural frequencies computed earlier and are given by Eqs. (134)-( 136).
In addition, theresponse of disk l , which is located most closely to the rigid
mass in this system, exhibits two antiresonances, at about 0.47 and 1.51 on
thenondimensionalizedfrequencyaxis. The response of disk 2 exhibits
one antiresonance at about 0.71 on the nondimensionalized frequency axis.
It is alsoworthnotingthatatthethreeresonant frequencies, the disk
motions have the same phase relationship during harmonic forcing as they
have during free response, as indicated by the natural mode shapes com-
puted earlier for this system.See Eq. ( 132) and Fig. 30. The relatively sharp
transitions in the phase angle curves between angles of about On, -180",
-360". and -540" are characteristic of lightly damped systems.
72 Fries

100

10

Id 0.1

0.01

0.001
0 1 2 3

Figure 33
E
Amplitude ratio for harmonic response of three-disk system.

3.5. Stability
The stabilityof a linear single-degree-of-freedom system model can be deter-
mined by inspection of the equation of motion. If the coefficients of the
response variable and its time derivatives have the samesign, then the sys-
tem is stable. The situationis not so simple for multiple-degrees-of-freedom
systems. For an MDOF system, the equations of motion cannot be easily
inspected to determine system stability. It is particularly important when
performing harmonic response analyses, as shown in the previous section,
that the stabilityof a complex systembe determined. The harmonicanalysis
presents results that may appear be toperfectly reasonableeven for unstable
systems. As a furthercaution,manycommon mechanicalsystems can
exhibit
instability
under
certain
circumstances.
Rotatingmachinery,
automobiles, trains, aircraft wings, and bridges are well known to possess
potentials for instability.
In somecases, stability determinationis the primary, andoccasionally
the only, reason for analyzing asystem. In these situations, the performance
of a system is deemed suitable if it is stable, and theforced or free response
may never be computed. Other times, when a system exists in hardware
Fundamentals of Vibrations 73

0 1 2 3

E
Figure 34 Phase angle for harmonic response of three-disksystem.

and is observed to be unstable, a stability analysis can indicate the sourcesof

the problem and focus on remedial actions.
The Routh-Hurwitz criterion [20] provides a method of determining
the stabilityof a system without thenecessity of finding roots of the charac-
teristic polynomial. This method workswell for small systems and can pro-
vide considerable insight into stability boundaries.
If an analyst has access to computer routines capable of performing
system dynamics or vibration analyses, then a straightforward and easily
accomplished system stability check can be performed by computing the
roots of thecharacteristicequation, which arealso calledthesystem
eigenvalues. This process was demonstrated in the solution of the unforced
SDOF system. See Eq. (54). Ingeneral,the eigenvalues are complex,
possessing both real and imaginary parts. Note that the eigenvalues com-
puted in the process of determining a system's natural modes were real
because of the method used to formulate the eigenvalue problem, which
ignored damping.
If the system eigenvalues have no positive real parts, then the systemis
stable. Recall that a system will possess a response mode of the form
x;(?) = e"' (1 56)
74 Fries

so if S has a positive realcomponent, then theresponse grows boundless with

time.
A number of perfectlygood formulations of thedamped-system
eigenvalueproblemexist, so no formulation is unique. One approach is
to assemble a dynr1micul nzutris, D , from the mass, damping, and stiffness
matrices of the system by computing

In Eq. (157), I is the identity matrix and 0 is a matrix of zeros of the same
dimension as M , C, and K. This formulation of the eigenvalue problem
has the advantageof directly producing eigenvaluesthat can be interpreted
as response modes according to Eq. (156). For two different, but useful,
formulations of the eigenvalue problem, see Refs. 11 and 21. The charac-
teristic equation is

and the roots of the characteristic equation are the system eigenvalues.
As an example,considerthedamped, three-disk rotational system
used in theabovemodal-analysisexample.For thissystem,thematrix
equation of motion for a step moment on disk 3 can be written as

1.6 -0.8

0 0.8
-0.8
(1 59)

Computation of the eigenvalues considers only the system matrices and not
the forcing vector. Carrying out the operations indicated i n Eq. (157) to
obtain the dynamical matrix gives

-1.6 0.8
0.8 -1.6 0.8
0 -0.4
0.4 0I 1 -0.5
1 0 01 0 0 0

where the D matrix is shown partitioned to illustrate the submatrices.

Fundamentals of Vibrations 75

The eigenvalues of D are three complex conjugate pairs corresponding

to the three modes of the system:
- - 1.2403 + 1.2500i
- 1.2403 - 1.2500i
-0.5090 + I .0067i
-0.5090 - 1.00671
-0.0507 +0.35231
-0.0507 -0.35231
The system is stable, as we have already seen, because all real parts of the
eigenvalues are negative. The eigenvalues of Eq. (161) can be related to
themodalnaturalfrequenciesanddampingratiosalreadydetermined
by noting that

and
Re(sl )
il =(1)1 ( 163)

If the real part of any eigenvalue computed from the dynamical matrix of
Eq. (157) is positive, then the system is unstable. From Eq. (163), it can
be observed that any eigenvaluehaving a positivereal part would have
an associated damping ratio that is negative, meaning that energy is added
to the system rather than dissipated.
If the (3,3) element of the damping matrix for this example
is modified,
such that
1.6 -0.8
-0.8 1.6 -O.;] ( 164)
0 -0.8 0.1

then the system eigenvalues are

- 1.2377 + l .2548i
- 1.2377 - 1.25481
-0.4715
+1.01631
S =
-0.4715 -1.0163i
0.0803 +0.34961
0.0803 -0.34961
One pair of eigenvalues has positive real parts. Therefore, the system is
unstable.
76 Fries

4. METHODS FOR NONLINEAR SYSTEMS

Substantial insight canbe gained from the analysis of linear system models.
Furthermore, many systems operate in regimes where they are described
very well by linear system models. Nonetheless, virtually all mechanical sys-
tems have regimes of operation that cannot adequately be described by lin-
ear systemmodels.Theextremerangesofmotion,particularlylarge
motions, are likely to produce nonlinear responses. Engineering materials
yield or separate at large strains,so any system that experiencessufficiently
large displacements is subject to these nonlinear effects. For small motions,
linear viscous damping models are prone to inadequately describe energy
dissipationmechanismsbecause of stiction in contactingpartsand
strain-magnitudedependence of internaldampingcharacteristics. As a
result,analystsarefrequently facedwiththeprospects of dealingwith
nonlinear system models. A number of books are devoted to the subject
of vibration of nonlinear systems. See, for example, Ref. 22.

4.1. Linearization

Nonlinear equations of motion of the systems of Figs. 6 and 7 were pre-

viouslylinearized toobtainlinearequationsdescribingthosesystems.
The linearization method that was used in the examples of Figs. 6 and 7
can be generalized by considering an arbitrary system nonlinearity g(x).
The Taylor series expansion [IO] is

The approach is to approximate the nonlinear expressionby taking the first

twotermsoftheexpansion,whicharelinear in x. Thelinearization is
performed about an operating point, a. If x - U is small, then allx - a terms
raised to powers greater than 1 willbe progressively smaller.
To illustrate the method with a simple system, consider the nonlinear
spring-mass system of Fig. 35. The spring has force-displacement
a charac-
teristic given by
F = g(.x) (167)
The response variable,x, is zero at the location where the forcein the spring
is zero. Therefore, the equilibrium position of the system it located at a
positive value of x. From the free-body diagram, the equation of notion
of this system is
mi + g(x) = mg ( 168)
Fundamentals of Vibrations 77

system diagram free-body

Figure 35 Nonlinearspring-masssystem.

The equilibrium position of the system can be solved from

g(x.eq) =W (1 69)
which is a nonlinear algebraic equation. Now, expanding g(s) in a Taylor
series expansion about the equilibrium position gives
+
g(x) = g(.xeq) g(xcq)(s
- Xcq) + ... (170)
Substituting thefirst two terms of the expansion into the equation
of motion
gives
t7z.i- + g(xeq)+ g(scq)(s - .xeq) = mg (171)
When Eq. (169) is subtracted from Eq. (171), the result is
in2 + g(x& - .xeq)= 0 (172)
I t is usuallyconvenient to redefine theresponsevariablesuchthatthe
response is zero at the equilibrium position. Such a redefined variable is
sometimes referred to as a perturbation variable. The change of variables
is accomplished by letting
x, = x - .xcq (1 73)
where .xl, is the perturbation displacement. Differentiating Eq. (173) twice
gives the acceleration
S* = x ( 174)
The equation of motion can now be written in terms of the new variable as
m.i, + g(.xcq)x,,= 0 (175)
78 Fries

from which it can be seen that the equation of motion is linear, and the
effective stiffness is equal to the slope of nonlinear function evaluated at
the equilibrium position. The linear equation can be solved by the methods
discussed earlier in this chapter.
Linearization of equations of motion of a multiple-degrees-of-freedom
system is not necessarily a trivial matter. Just solving for the equilibrium
positions of all theresponsevariables can presentsignificant difficulties
fora complexsystemwithmultiplenonlinearities.Nonlinearalgebraic
equations can have multiple solutions. Determining which solutions rep-
resent physically realistic valuescan be difficult. In addition, the equilibrium
position of a nonlinear system can be dependent on both the initial con-
ditions and the forcing function. Gelb and VanderVelde [23] have presented
systematic methods for handling the linearization of higher-order systems.

4.2. EquivalentViscousDamping

Damping arises from a variety of sources in vibrating systems. One type of

nonlinear damping treated earlier is Coulomb damping, but other types
exist. Damping forces generated by fluid interactions with solids are fre-
quently of the form
F(/ = a.? (1 76)
when the fluid flowis turbulent. Viscous damping, whereinforce is
proportional to velocity to the first power, typically arises from laminar
flow conditions.
It is possible to obtain linear damping approximations of the effects of
this and othertypes of nonlinear damping by equating the energy dissipated
per cycle in the nonlinear dampingtypes to the energy dissipated percycle in
a linear damper. Theenergy dissipated in one cycle of oscillation of a linear
damper [l61 is

The energy dissipatedin one cycle by a damperhaving force proportional to

velocity squaredcan be obtained by integratingtheforce-displacement
product over a cycle.
8
W(/= - u o X
3
Equating the two energy expressions gives
Fundamentals of Vibrations 79

When a simple single-degrees-of-freedom system is analyzed, the equivalent

dampingfromEq. (179) can be substituteddirectlyintotheharmonic
response equation of the form

to give

At resonance, when k - m u 2 = 0, the magnitudeof X can be solved directly

as

(183)

At nonresonant frequencies, the magnitude of Eq. (181) is quadratic in X,

so it can be solved directly for X.
For more complex systems, iterative solutions are generally required.
The expression for equivalent linear damping depends on the amplitude
of vibration, X,which is not known ahead of time. The amplitude can
be left as an unknown and the result substituted into the governing equation
of motion. One approach is to guess an amplitude, compute the predicted
amplitude,modifythe guess based onthecomputation,andcontinue
the process until the predicted amplitude matches theguess acceptably well.
Hysteretic damping of the general shape shown in Fig. 36 arises in
somemechanicalsystems. Thecharacteristicshapeoften resultswhen
elasticmembers of a system are tested to determinetheir stiffness
characteristics,and it is foundthattheloadingandunloadingcurves
are different. The slope of either the loading or unloading portion of the
curve may be used for the stiffness of the elastic element, and anequivalent
damping valuemay be found by first integratingtheareaenclosed by
thecurve. The value of the hysteretic dampingconstant, y , for use in
Eq. (103) is related to the area enclosed by the hysteresis curve by

where W1iis the area enclosed by the hysteresis curve, k is the average slope
of the loading and unloading portions of the curve, andX is the amplitude
of the motion. See Ref. 5 for a treatment of this case.
80 Fries

force

Figure 36 Hysteretic damping characteristic.

4.3. Numerical
Integration

Mechanicalsystemsthatmust be described by nonlinearequations of

motion arise routinely in engineering practice. Numerical integration of
the equations of motion provides a means that nearly always solves the
differential equationsandprovidesinformationaboutthe response of
the system. Numerical solutions lack the elegance of analytical solutions.
Numerical solutions also lack the compactness and generality of analytical
solutions, as numerical results often require specific numerical values, as
opposed to nondimensional ratios, of parameters and are, therefore,specific
to only one situation. Nonetheless, analysts frequently resort to numerical
solutions out of expediency and lack of alternatives.
Numerical integration solves not only nonlinear system equations, but
it also solves time-dependent system equations and systems, both linear and
nonlinear,withforcingfunctionsfor which noanalyticalsolutionsare
available.
We will present here only oneof many numerical integration methods,
aRunge-Kuttafourth-ordermethod.Runge-Kuttamethodshavea
number of advantages. They are self-starting, meaning that only the system
equationsand initial
conditions are
required toobtainsolution.
a
Non-self-starting methods require knowledge of past history, so they must
be started withself-startingroutines.Runge-Kuttamethodsarealso
relatively
easy to implement and process relatively
good
stability
characteristics.
Fundamentals of Vibrations a1

The primary disadvantagesof Runge-Kutta methods are of relatively

slow computational speed and poor capability to handle step discontinuities
such as those that arise from Coulomb friction.
Mostnumericalintegrationroutinestendtodestabilizesystem
response.Numericalintegrationofsystemequationsfor a verylightly
damped system can erroneously predict instability, particularly if the inte-
gration step size is too large. Numerical integration routines require the
system equations to be written in ,first-order .form, meaning that a set of
first-order equations describes the system rather that a second-order set,
as we have used throughout most of this chapter.
Nonlinear system equations can usually be expressed in the matrix
form

where g(.+, x, t ) representsacombinationoflinear,nonlinear, and

time-dependent internal system forces andF ( x , x, t ) represents external sys-
tem forces. The equations of motion can be written in first-order form by
letting

and

Equations (185) and (1 86) can be rewritten in the form

The y ; are called stnte vcrricrh1e.s. Values of y ; describe the states of the
system, which for mechanical systems usually include the displacements
and velocities. For systems that cannot be described by Eq. (185), it is still
necessary to solve forthehighestderivatives and representthesystem
as a set of first-order differential equations in the form of Eq. (187).
Several fourth-order Runge-Kutta formulations exist. The most com-
mon [l 81 is given by
82 Fries

where

k4 = f >I.
( + Atk3, t, + A ( ) (1 92)
Equations (1 89)-( 192) must be computed in order because k , depends on the
value of k , - l . The time step, A t , should be selected small enough such that
the desired solution accuracy is achieved and large enough that the solution
time is not excessively long. Error estimation methods provide a means of
adjusting the time step during the solution process to achieve a specified
accuracy [17]. A simple and effective method of adjusting the time step
for small problems or one-time solutions is to start with a relatively large
time step and reduce it sequentially, comparing results until the responses
are the same to the desired precision, perhaps the first four or five significant
digits.
The pendulum of Fig. 6 provides a simple system for illustrating a
numerical integration solution. We will add a linear torsional damper to
the system of Fig. 6, so that the equation of motion is

( 1 93)

which, using the previously discussed methods, can be nondimensionalized,

as
ii + 2<0,,0+ 0,21
sin o = o ( 194)

where thenatural frequency anddampingratiotermsapplytothe

small-angle linearized system, and

(195)

To implement the Runge-Kutta solution, let

-v1 =0 1

and
J'2 = =8
Fundamentals of Vibrations 83

180

120

l 60

e( w s )
0

-60

-120
0 10 20 30 40 50
time (S)

Figure 37 Initial condition response of nonlinear damped pendulum system.

so the equations of motion become

$1 = -2cto,,~,I - m;?,
sinJlz (1 98)
and
)'2 = .I'l ( 199)

Equations (198) and (199) were solved using a Runge-Kutta method for
initialconditions (0) = y , ( O ) = 0 and O(O)=yz(O) = 7c - 0.01 179.4".
See Fig. 37. The nonlinear response of this system is exhibited by the slow
initial response in moving away from the 180" inverted position. In this
example,thelinearizednaturalfrequency is 1 rad/sand thelinearized
damping ratio is 0.1. The position initial condition has the pendulum in
slightly less than a vertical position. The vertical position is a metastrrhle
equilibrium position,meaningthatthependulumwouldtheoretically
remain vertical until acted upon by a disturbance, no matter how small.
In our example, the initial response is slow because the moment developed
by the mass offset from the pivot point is small.
Once the system response is below about 20, the response is virtually
indistinguishable from the response of a linear system. The natural unit
of the response angle for this and other rotational systems is the radian.
The Fig. 37 results have been plotted in degree units to moreeasily illustrate
the nearly 180" initial condition. One result of solving system equations in
84 Fries

first-orderform is that the solutions contain both position and velocity

responses. The velocity response is also plotted in Fig. 37.

5. VIBRATIONANALYSIS

This section introduces methods frequently used in the analysis of data

recordedfromvibratingsystems.Suchsystemsaretestedandanalyzed
foravariety of purposes,includingtroubleshootingandcorrectionof
vibration problems, characterization of vibration environments of systems
that transport or support vibration-sensitive contents,design optimization,
determination of vibration isolation effectiveness, and assessments of sys-
tem mathematical models.

5.1. MeasurementSystems

The primary sensing element of most vibration measurement systems is the

accelerometer. An accelerometer produces a recordable signal, generally
a voltage, thatis proportional to acceleration over a frequency range usually
extending from zero to some percentage of the natural frequency of the
accelerometer. The typical construction of an accelerometer follows the con-
cept shown in Fig. 38. The base or housing is attached to the object whose
acceleration is to be measured. When the input acceleration is positive,
the compliant element in the accelerometer, represented in the figure by
a spring, compresses, and the output motion increases. The output motion
can be measured with a variety of displacement measuring devices, including

Figure 38 Accelerometermodel.
Fundamentals of Vibrations 85

linear
potentiometers
and
linear
variable
differential
transformers
(LVDTs).
Analysis of theaccelerometermodel yields thetransferfunction
magnitude given by Eq. (200) and the phase angle given by Eq. (201). Note
that xOut measures the motion of the seismic mass relative to the housing:

and

(201)

The formof Eq. (200) is identical to the formof Eq. (83), which describesthe
forced-frequency response of a mass, the onlydifferences being the constant
in the numerator of Eq. (200) and the input-output definitions. Equations
(201) is identical to Eq. (84). Parametriccurves of theamplituderatio
andphase angle areplotted by Figs. 15 and 16. The figuresshow that
at frequencies well below the natural frequency of the system, the displace-
ment of the seismic mass is directly proportional to the acceleration of
the base.
Whenselecting an accelerometerforaparticularmeasurement
application, an analyst should determine the highest frequency component
to be measured. Thenhe should usually select an accelerometer whose natu-
ralfrequency is severaltimeshigher thanthe highestfrequency to be
measured. Manufacturers catalogs usually contain information on both
the natural frequencies and damping ratios of their accelerometers.
Vibrations can be characterized by strains, displacements, velocities,
orotherquantities,as well as by accelerations.However,accelerations
arethemost frequentlymeasuredresponses.Analysis of a systems
vibrationresponserequiresarecord of that response.Suchrecords are
usually stored digitallythesedays,but analogrecords,paperprintouts,
and other methods still prove useful in some applications. When digital
recordings are to be made, it is critical that the measured signals possess
no significant frequency content higher than half the sampling rate, which
is calledtheNyquistfrequency [24]. Otherwise,asignalcontamination
called aliasing occurs that can render the measurements inaccurate oreven
unusable. The presence of aliasing errors is sometimes,butnotalways,
obvious in recorded data, so serious and unknowing errors canresult if this
important detail is overlooked.
86 Fries

If the task were to record and characterize the vibrations

of a systemat
frequencies below 50 HZ, for example, one might begin by selecting an
accelerometer with a natural frequencywell above 50 Hz, perhaps 250 Hz
or higher, depending on the required accuracy of the measurement and
the damping ratioof the accelerometer. Then, a low-pass filter with cutoff
a
frequency of 50-60 HZ might be selected as the antialias filter.A sampling
rate five times the highest frequencyof interest is often a safe, but not necess-
arily optimal, selection. In our example, this would make the sample rate
250 Hz and the Nyquist frequency 125 HZ. For a more thorough discussion
to Refs 24 and 25, or manufacturers litera-
of this topic, readers are referred
ture on the equipment being used for the recording.

5.2. Vibration Response Variables

System responses included previouslyin this chapter belong to a category
usually calleddiscrete responses because the entire system response consists
of one or more sinusoidal components. When system responses contain
components at varying and unpredictable frequencies and amplitudes, then
the response is random, to use a simple and intuitive definition. Examples
of random responses pervade everyday experience. Consider such examples
as the response of an automobile as it travels a rough road, an aircraft
as it flies through turbulent air, the soundof a jet engine, and the motions
of abuildingin anearthquake. As anexample of randomvibration
response,Fig. 39 showsasegment of arecording of randomvertical
vibration measured on the floor of a locomotive traveling at 50 mph.

Oe3
0.2
h

9 0.1
c
0
P
2 0.0
Q)
Q)
0
0 -0.1
([I

-0.2

-0.3 ! I
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
time (S)

Figure 39 Random vertical acceleration of a locomotive.

Fundamentals of Vibrations 87

5.3. VibrationResponseCharacterization
A number of quantitative measures provide useful information about the
nature of a systems vibration response. The needs and objectives of the
analysisdetermine which measuresshouldbe used tocharacterizethe
vibration.

Prohnhility Densit?) Function. Analysts frequently wish to know how a

vibration response variable is distributed over the entire range of its values.
The probability density function provides a simple measure of a variables
distribution. The probability density function, p ( x ) , is defined such that
Prob(.u 5 s(t0) Ix + d.u) = p ( s )d.lr (202)
+
In words, the probability that S at any given time lies between S and I d . ~
equals the product of the probability density function and d.u.
TheGaussiandistribution is perhapsthe best known of alldis-
tributions. Figure 40 shows the probability density function for a Gaussian
randomvariable.TheGaussiandistributioncurve is frequently called
the bell-shaped curve. It is defined by

(203)

where p is the mean value andG is the standard deviation, both ofwhich are
defined below.
The Gaussian probability density function is a theoretical function
useful in approximating the probabilitydensity functions of a large number

Figure 40 Gaussiall probability density function.

aa Fries

I I

I l
-X0 X X0

Figure 41 Sine-waveprobabilitydensity function.

of naturallyoccurring processes. ThetheoreticalGaussianfunction

indicates a finite, although small, probability of occurrence of arbitrarily
large or smallvaluesoftheresponsevariable.Becauseactualsystem
responsesarevirtuallyalwayslimited in magnitude,the usefulnessof
the Gaussian function to characterize real variables is least at the extreme
values. The central portion of the theoretical curve, extending to two or
three standard deviations, often agrees quite well with experimentally deter-
mined density functions.
The probability that the value of x lies between any two specified
values follows from the definition of the probability density function:

Computation of the probability that a response will exceed some specified

value can be made using Eq. (204). If, for example, the value of a response
variable beyond which material yielding is predicted to occur is known, then
the probability of yielding can be computed given the probability density
function of the process.
The probability density function for a sine wave of amplitude .YO is
plotted in Fig. 41. A comparison of Figs.40 and 41 indicates that a Gaussian
responsevariable is most likely to haveavaluenearthemean,and a
Fundamentals of Vibrations 89

sinusoidal response variable is most likely to lie near the extreme values of
the sine wave.
Mean Value. The mean value of a variable is defined by

The mean valueis also called the expected value and is sometimes called
simply the uveruge value; however, the latter nameis ambiguous becauseaver-
age value also describes anumber of other properties of a variable.The mean
value is the first momentof the probability density functionand can be com-
puted by

(206)

Meun Square and R M S Values. The mean square value, another com-
mon metric used to describe variables, is defined by

The mean squarevalue is the second moment of probability density function

and can be computed by

.J -a)
For a sine wave of magnitude SO,the mean square value is 2=~ $ 2 .
The root-mean-square value (rms) is the square root of the mean
square value:

Variance and Stundard Deviation. The standurd deviution is a measure

of the dispersion tendencies of a variable. The variance is the square of the
standard deviation. The variance, a2, is related to the mean square value
and mean value by

The standard deviation,0,appears in the probability density function for the

Gaussian variable given by Eq. (203). Integrals of Eq. (203), which is not ana-
lytically integrable, are tabulated in numerous books. For example, see Ref.
24. Given a Gaussian probability density, the probability that a variable lies
90 Fries

within arange of minus two standard deviationsto plus two standard

deviations from themean value, p f 2 a is about 0.95 or 95%). For f3a,
the probability is about 0.997 or 99.7"h. Similarly, the probability thata
Gaussian variable exceeds p f2a in magnitude is about 0.05 or 5%. For f3a.
the probability is about 0.003 or 0.3%.

Power Spectrd Density. The powerspectral density (PSD) function

provides information about the frequency content of a variable. PSD analysis
is routinely used to assist in the understanding of measured responses of ran-
domsignals,deterministic signals, and signalsthatarecombinations of
the above.
A number of companies manufacture and market spectrum analyzers
that automate the collection and processing of PSD and related functions.
Computer programs thatprocess recorded data to producePSD and related '
functions are also available from a number of commercial sources.
The material presented here is intended to provide an introduction to
the subject and provide some of the fundamental relationships. Readers
interested in more depth are referred to any of a large number of books
on the subject, including Refs. 24 and 25.
An easy way to visualize the concept of thePSD is to examine a block
diagram of the computation method that was used in the early days of
the PSD, before the time of digital signal processing and the fast Fourier
transform revolutionized the computation of PSDs [9]. See Fig. 42.
The PSD is also sometimes referred to as the Ineun square spectral
a name which is more descriptive than PSD but that is not widely
dern.sit~*,
used. As Fig. 42 shows, a signalto be analyzed is narrow-band filtered, then
squared, averaged, anddivided by the bandwidth of the filter. The squaring
operation gives rise to thepower orsquareportion of thename,and
thedivision by the filter bandwidth gives rise to the density portionof
thename.Thesteady-state response of thesystemshownproducesthe
PSD of the input signal in the frequency band centered at the frequency
of the narrow-band filter. A series of these computations performed with
narrow-band filters with center frequencies across the entire band of interest

Narrow-band filter

Figure 42 Block diagram of PSD computation.

Fundamentals of Vibrations 91

would comprise the complete PSD.If the input signalis an acceleration, for
example, having the units of g , then the PSD has units of g'/Hz. In con-
temporary practice, PSDs are nearly always computed digitally rather than
as indicated above. The above is included to provide a qualitative descrip-
tion of the process.
PSDs are scaled several ways,a situation that can lead to errorsif care
is not taken. The usualscaling results in a relationship between the PSD and
the mean square value of a signal given by

(21 1)

where G.,(f') is the PSD of the signal S expressed in units of S squared per
hertz, and S,(to) is the PSD of the signal S expressed in units of .l-squared
per radian per second. Thus, the integral of the PSD over the entire fre-
quency range equals the mean square value of the signal. isIt good practice
to compute the mean square value of a signal being analyzed by both Eqs.
(207) and (21 1). Good agreement between values computed in two ways,
withinl'%) or so, usually gives theanalyst confidence in thevalidity of
the computations and verifies that the units are correct.
The relationship between PSDs expressed in units of hertzand radians
per second follows from Eq. (21 l ) :

(212)

From Eq. (212) it can be observed that PSDs expressedin units of hertz are
greater than PSDs expressed in radians per second by a factor of 2n.
Another frequently used form of the PSD is called the two-sided PSD
because it is defined for negative frequencies. This form of the PSD finds
use primarily in theoretical works and differs from the above PSDs by a
factor of 2. The mean squarevalue of the two-sided PSDequals the integral
of Eq. (21 1 ) with limits -CO to CO rather than the limits shown.
One of the most useful aspects of the PSD is its ability to illuminate
harmonicsignals i n thepresence of randomsignals. Even in situations
in which the random component of a signal is substantially larger than
the discrete components, PSD analysis exposes the discrete components.
The synthetic signal plotted in Fig. is43 the sumof three signals:a Gaussian
random signal with a mean square value 4ofmm2 thatis low-pass filtered at
20.5 Hz and two sine waves with mean square values of 0.5 mm', one at
2 Hz and the other at 4.8 Hz. The first I O S of the 130-S signal are shown
i n the figure. The presence of the two sine waves is by no means obvious
in the figure.
92 Fries

0 1 2 3 4 5 6 7 8 9 1 0
time (S)

Figure 43 Random signal plus two slne waves.

The PSD of theentire 130-S signalappearsinFig. 44. Thetwo

sine-wave components are readily apparent and rise substantially above
the background of the random signallevel. In measurementsof machinery
vibrations,harmoniccomponents of the response that are detected by

lo

0 5 10 25 15 20
frequency (Hz)
Figure 44 PSD of random signal plus two sine waves.
Fundamentals of Vibrations 93

1e-2

18-3
-N
39 l
e 4
0
v)
a
1e-5

le-6
0.1 l 10 100
frequency (Hz)

Figure 45 PSD of locomotive vertical acceleration.

PSD analysis can frequently be associated with the frequencies of rotating

parts or the natural frequencies of the system. The above-stated recommen-
dation to compute mean square values from both the time-domain and
frequency-domain responses was followed in this example. The mean square
value computed from the time-domain signal is 3.98 mm2, and the value
from the PSD is 3.96 mm2, representing agreement within about 0.5%.
Figure 45 shows the PSD of the locomotive acceleration time history
of Fig. 39. The peak on the PSD curve at about 1.5 Hz is the response
of the bounce mode of the locomotive, which is the vertical motion of
the locomotive on its suspension. The smaller peak on the curve at about
2.1 Hz is the responseof the pitch modeof the locomotive, whichis another
rigid-bodymode of thelocomotiveonitssuspension. A number of
higher-frequency narrow peaks appear in the10-100-Hz range. These have
not been traced to any specific dynamics of the locomotive, but they are
probably associated with natural frequencies in the locomotive structure
and excitation from the diesel-electric propulsion system. The mean square
value computed from the time-domain signal is 8.41 x 10-32 and the value
from the PSD is 8.50 x 10-32, representing agreement within about 1.1%.
Observe that the time histories of the locomotive acceleration of Fig. 39
andthesyntheticsignalofFig. 43 arenotremarkablydifferent in
appearance, but thePSDs of the respective signals reveal substantially dif-
ferent characteristics.
94 Fries

The PSD of a system response variable canbe computed if the PSD of

the input and the transfer functionof the system are known. The input and
output PSDs are simply related by
(213)
or

depending on the choice of radian per second or Hz units, where H is the

systemtransferfunctionrelatingtheoutput totheinput [see Eq. (82)
for example], and S and G are the input and output PSDs. With the ability
to compute expected output PSDs, analysts have the opportunity to com-
paremeasuredand predictedsystemresponses.Such comparisonscan
enhance the understanding of the dynamics of a system, provide insight
on ways of improving system models, and serveas thebasis for statistically
based stress and fatigue analyses.

REFERENCES

1. Lord Rayleigh. The Theory ofSozrrrt1. 2nd ed., Dover. New York (1945).
2. D. T. Greenwood. Principles o/D~wurtlic.s,Prentice-Hall, Englewood Cliffs, NJ
(1965).
3. D. Karnop. D. L. Margolis, and R. C. Roscnberg, Systcw Dyrltrrrlics: A U n $ d
Approtrck. 2nd ed., John Wiley & Sons, New York (1990).
4. T. R . KaneandD.A.Levinson, Dynrrmics: T / ~ c m ym1(1 App1icutiorr.s.
McGraw-Hill Book Company, New York (1985).
5. S. S. Rao, Mcdrtrnicul Cihrtrtiorrs, 3rd ed.. Addison-Wesley.Reading. M A
(1995).
6. R.D. Blcvins, Forrmrlos for. Nrrtural A c y u e n c i c ~ sclr~tl Mode Shlrpes. Van
Nostrand Rcinhold. New York (1979).
7. R. F. Steidel, Jr..An 111trod11ctiorrt o Mechrrrlicul Vihrrrtiorrs. 3rd ed.. JohnWiley
& Sons. New York (1989).
X. J. A. Aseltine, Trun.Sforrrr Methocls irl Lirrcwr Sy.stcw~Amr1y.si.s. McGraw-Hill
Book Company. New York (1958).
9. E. 0. Deobelin, M e r ~ . s ~ ~ r ~ Systrws,
w ~ e ~ r t Applictrtiorr r r ~ l d Drsigrr. 3rded.,
McCraw-Hill Book Company, New York (1983).
10. C. R. Wylie. Jr., A d ~ ~ a r r cDrgineerirlg
~tl Mntlrrrtlcrtics, 2nd ed.. McCraw-Hill
Book Company. New York (1966).
1 1 . L. Meirovitch, Ar~rr!,~tieulMcthotl.r irr Vihrtrtions. Macmillan, New York (1967).
12. A. L. KimballandD. E. Lovell, Internalfriction in solids. PIIJ~S.Rev..
30:948-959 ( 1927).
13 R. H. ScanIan and A. Mendelson, Structural damping. A I A A J., 1:938-939
(1963).
Fundamentals of Vibrations 95

14. E. E. Ungar. The status of enginccring knowledge concerning the damping of

built-up structures, J . Soutltl Vihr.. 26: 141-154 (1973).
15. L. S. Jacobsen and R. S. Ayre, Enginerrirlg Vihrtrtions, McGraw-Hill Book
Company. Ncw York (1958).
16. W. T. Thomson.7'lreor.l~uf Vihrtrtion ~ ~ i tApplictrtions,
lr 2nd ed., Prenticc-Hall,
Englewood CliEs, NJ (1981 ).
17. S. C. Chapra and R. P. Canale, Nurtrerictrl Methods fbr Engineers, 2nd cd.,
McGraw-Hill Book Company, New York (1985).
18. R. W. Hornbeck, Nurrlcvicrrl Ml~thotls.Quantum Publishers, Ncw York (1975).
19. M. L. James. G. M. Smith. and C. J. Wolford, Applied Nwrwrictrl Mrtkotl.s,for
Digital Compttrtiou, 2nd ed., Harper & Row, New York (1977).
20. C.-T.Chcn, Introtiuctior~ to Lirlrtrr Srstem T1wor.v. Holt.Rinehartand
Winston, New York (1970).
21. B. H. Tongue. Prir1ciple.s o/' Vihrrrtion. Oxford University Press. New York
( 1996).
22. A. H. Nayfeh and D. T. Mook.Nonlincwr 0.scillrrtion.s.John Wiley & Sons, New
York (1979).
23. A.GelbandW.E. VandcrVelde. ~ I u i t i p l e - h p ~Descrihirrg
t Atrrcriotrs r m l
Nordinetrr Svstem Design, McGraw-Hill Book Company. New York (1968).
24. D. E. Newland. , 4 1 1 Intr~oti~rction
to Rtrtrtlor~r Vihrtrtions lrrrtl S p w r t r l Antr1y.si.s.
Longman, London ( 1975).
25. J. S. Bendat and A. G . Piersol. Rtrtrdorlr Dtrtu: Alrtr1J.si.v trrrtl M~wswwr~wt Pro-
ccdurc~s,John Wilcy & Sons. New York (1971).
This Page Intentionally Left Blank
Dynamics of Rotating Machinery

Paul B. Talbert
Honeywell Engines and Systems, Phoenix, Arizona

1. INTRODUCTION

A rotatingcomponentintroduces severaluniquecharacteristics to a
machines dynamic response:
1. Unbalanced centrifugal forces result in net mass unbalance exci-
tation forces rotating synchronously with the rotor.
2. The system response to the rotating excitation forces is a whirling
motion instead of a planar vibration.
3. A resonance occurs as the rotational speed traverses a natural fre-
quency of the rotor-bearing system.
4. The system natural frequencies arefunctions of therotational
speed due to the gyroscopic action of the rotating components.
This chapter explains these basic characteristics using simple linear
models. Specific rotordynamics phenomena studied in recent years utilize
these same basic characteristics modified to include nonlinear, asymmetric,
orspeed-dependent effects. Discussion of theseadvancedconcepts is
beyond the scope of this chapter. Table 1 lists several excellent books dedi-
cated to the field of rotordynamics. Ehrichs Hundhook of Rotordynumics,
whichincludes contributionsfrommany of therecognizedexpertsin
rotordynamics, has been of great use to this particular author.

2. UNBALANCERESPONSEANDTHECRITICALSPEED

Ideally, the centrifugal forces in each component of a rotating assembly

would sumtozeroat allaxiallocations,creatingonlyinternalstress.

97
98 Talbert

Table 1 Recommended Books on Rotor Dynamics

Date
Title Author published

In practice, this rarely occurs because of manufacturing tolerances and/or

nonsymmetric features
(i.e.,
keyway);
a thus,
there
are
normally
unbalancedforcesrotatingsynchronously withtheshaft-diskassembly.
These inherently unbalanced forces cause a synchronous whirlof the rotor,
which is maximum when the speed of rotation coincideswith a natural
frequency of therotor-bearingsystem. A largepercentage of vibration
problems encountered in rotating machinery are associated with critical
speeds.
In order to understand the phenomenonof critical speed, consider the
simple rotor-bearing system shown in Fig. 1 . The following assumptions
are made for this example:
1. A disk is attached halfway along a massless, rigid shaft.
2. The rotor's dynamic motion is a circular orbit about the bearing
centerline (point l), with the ends of the rotor in phase and having
equal displacement.
3. The stiffness atthebearingsupports is equal inthe Y and Z
directions,andthere is no cross-coupling (i.e.,adisplacement
of the shaft in the Y direction produces no elastic restoring force
in the Z direction).
4. The viscous damping at the bearing supportsis also equal in the Y
and Z directions, with no cross-coupling.
5 . The mass center of the disk (point 3) is radially eccentric from the
shaft center by the distance o , ) ~ .
6. An external torque actson the rotatingassembly to maintain con-
stant rotational speed Cl.
Dynamics of Rotating Machinery 99

-
1 Bearing center
-
2 Geometric centerof shaft
-
3 Mass center of rotating assembly

Rigid shaft _ Disk

Figure 1 Symmctrical rigid-rotormodcl.

Theradiallocation ofthegeometriccenter of thewhirlingshaft

(point 2) at time t is
U = vj+ W k (1)
The radial location of the mass center (point 3 ) at time t is
= ( V + c,,, cos Q$ + ( W + e,,, sin ~ t ) k
R,,, (2)
Applying Newtons second principle and substituting Eqs. ( I ) and ( 3 ) .

-KU - C U = MR,,,
- +
K ( V i W k )- C( k7 + W k ) = M [ (ii - e,,,Q cosQt$
+(W - c,,,~sin~ t ) i ]
-. -
Separating Eq.(3) intoj andk components yields the equationsof motion in
the Y and Z directions:
MV + Cp + KV = Mp,,,Q2c~sQ/ (4)

M W + c W + K W = M C , , sin
, ~ ~nt (5)
Focusing
on
Eq.
(4). it is convenient to utilize Eulers formula.
100 Talbert

e =cos S + i sin x, and represent the harmonic excitation as the real part
of the complex vector:

M + C + K V = Re(Me,,,Qeinr) (6)

Assuming a steady-state harmonic response V = Ae in the Y direction,

substituting into Eq. (6), and recognizing that the response is only the real
part of the solution,

(-Q + iQC + K ) A P = M ~ , ~ , Q ~ P ~ ~ ~
Solving for the steady-state complex response,

MelIlQ2
A=
( K - Q) + ;QC
Dividing by the mass and substituting the expressions for the undamped
natural frequency W,, = m <
and damping ratio = C/2MtoI,,

The abovecomplex expression for theharmonic amplitude canbe expressed

as a magnitude and phase lag:

These expressions for the whirl magnitude and phase angle could also be
developed by assuming a steady-stateharmonic response W = AdQr in
the Z directionandsubstitutinginto Eq. ( 5 ) . The vector sum of the V
and W displacements over time is thus a circular whirling motion in the
direction of rotation.
Figure 2 shows the magnitude of the whirl as a functionof speed. Two
speed conditions are of particular interest:
1. At Q ~ o , ~the , frequency of the unbalance force coincides with the
natural frequency. This creates the maximum dynamic amplifi-
cation withthemagnitudedependent on thedampingratio
~ A ~ / e%l l 1/71.
, This is defined as the primary criticd speed of
the rotor-bearing system because the resonance was self-generated
by the mass unbalance of the rotor.
Dynamics of Rotating Machinery 101

0.0 0.5 1 .o 1.5 2.0 2.5 3.0 3.5 4.0

Frequency ratio Cl I On

Figure 2 Normalized unbalance response amplitude for the symmetrical rigid rotor.

2 . At C2 >> W , , , the inertia force, Mi,,,,

becomes dominant and the
rotor spins about the mass center, producing a whirl magnitude
equal to the mass eccentricity, e,,,.
Figure 3 shows the phase lag of the displacement response relative to
the unbalance excitationas the rotor traverses the critical speed. This phase
angle is easily understood by considering the forces and moments shown in
Fig. 1. Summing moments about the shaft center, point2, the inertia force,
Mi,,,, creates a torque opposite the directionof rotation when a phase lag,
4, is present. The stiffness and damping forces passing through the shaft
center create no torque, thus an external torque,, in the direction of rotation
is required for thesystem to be in dynamic equilibrium. In orderto maintain
constant speed, this external torque must provide energy input into the rotor
equal to the energy dissipated by the viscous damping force.
Figure 4 illustrates how the forces acting on the rotor change with
iqcreasingspinspeed. At low speed. theunbalanceexcitation force
(F,,= Me,,,C2'ci*') is small; thus, thestiEness of the bearings cause the rotor
to spin aboyt the bearing center. The inertia ( M C ) , damping ( C c ) , and
stiffness ( K U ) forces all increasesharplywith thedisplacement (c) as
thespinspeed approaches the critical speed. At Rz:to,,, the inertia and
stiffness forces areequal;thedampingandunbalanceexcitation forces
are also equal. At high speed, the inertia force converges on the unbalance
102 Talbert

180

135 .~~

90. l .
~..

45

<=O.lO
l

O L ~~ . ~~ ,~ ~. ~ " .3 ~~

0.0 3.5 0.53.0 2.51 .o 2.0 l .5 4.0

Frequency ratio n / On
Figure 3 Response phase lag of the geometric center relativc to thc mass center.

Frequency rado nlo.

Dynamics of Rotating Machinery 103

uu 1 3

excitation force while the stiffness and damping forces from the bearings
remain low astherotor spins about its
mass
center.
Acommon
misconceptionaboutrotating machinery is thatthebearingloadsand
vibration increase linearly with the mass unbalance force, ML',,,!~~&''. As
shown in Fig. 4, the bearing forces increase with spin speed squared only
at low speeds below the critical speed.

3. GYROSCOPIC
EFFECTS

A spinning body has angular momentum in the spin direction equal to the
product of its mass moment of inertia and the angular velocity about its
spin axis. An external coupleis required to change the directionof the angu-
larmomentum.This resistance toachange in thedirection of angular
momentum is usually called the gyroscopic action or effect.
Gyroscopic effects canstrongly influence thecriticalspeeds of a
rotating shaft-disk assembly. If the whirling motion of a rotor is not purely
cylindrical, the direction of the rotor's angular momentum is continuously
changing. Forces at the bearing supports provide the couple, M y required
to change the rotor's angular momentum. For a steadyprecession of a disk
+
in which the precession,r, and spin.0, axes are ata right angle, as shownin
3

Fig. 5 , the required external coupleis about anaxis perpendicular to the spin
axis:
104 Talbert

Figure 6 Nonsymmetrical rigid-rotormodel.

Note that the external couple from the bearing supports is in the same direc-
tion as the change in rotors angular momentum.
In order to understand the gyroscopic effect on critical speeds, con-
siderthe rotor-bearing systemshowninFig. 6 with the following
assumptions:
1. A disk is attached to a massless, rigid shaft at distances (11 and U?
from the two bearing supports.
2. The stiffness at the bearing supports is equal in the Y and Z direc-
tions and there is no cross-coupling.
3. The rotational speed Q is constant.
In Fig. 6, the whirling motion is shown at an instantwhen the rotor is
in the X- Y plane. The disk displacement V in the Y direction and rotation
r in the Z direction are small compared to the axial length of the rotor;
hence,small-angleassumption can be used to simplify the equations of
motion.
Applying Newtons second principle for forces in the Y direction,
CF= M V
(9)
-(V-u,tanT)KI-(V+u2tanr)K2=MV
Applying Newtons second principle for moments in the Z direction about
the disk center,
c MZ = z,r
(10)
( V - a l tan r)alK,
-(V + u2 tan I-)QK~+ I p Q j =
Machinery
Dynamics of Rotating 105

Assuming the displacementsat the bearings are small compared to the rotor
length, rearrangement of Eqs. (9) and (10)yields the equationsof motion for
the rigid rotor:
M V +( K +
~ K,) v + ( n , ~ z- ~1~ K~)r = o 1)
(1

z,,r - lpnj+ ( a 2 ~-2 a lK ~v)+ ( a ; ~ -I a;Kz)r = o (12)

Assuming a steady-state harmonic response, definingthe whirl ratio i= spin
speediwhirl speed, and substituting these into Eqs. (1 1) and (12),

V = Acos(:i), W = Asin (1) I-= (1)

, Bcos

=-Bsine)

Solving Eq. (13) for A and substituting into Eq.(14) results in the following
characteristic equation for ( O i i ) :

(15)
The square rootsof the two solutionsof Eq. (15) for (Oil.) are defined as the
whirl speeds, (01 and Q,. The criticalspeeds of this rotorsystem are thewhirl
speeds for l. = 1.O.
For each whirl speed, there is a corresponding mode shape specifying
the relative values of the systems degrees of freedom. The relative mode
shape associated with each natural frequency can be determined by solving
Eq. (13) for B and assuming a value for A:

Consider the example rigid rotor shown in Fig. 7. The properties of

this rotor-bearingsystem are listed in Fig. 7, along with the solutions to Eqs.
(1 5) and (1 6) for awhirl ratio of 1 .O. The mode shape associated
with the first
106 Talbert

Mpdht

A-
B - 1.ooO
0.048

I
I 0.0 20 40 txo ao 10.0

I Mal Positirn,lnch M a l Posltlrn, inch

Figure 7 Natural frequencies and mode shapesfor an example nonsymmetrical rigid

rotor.
Dynamics of Rotating Machinery 107

L4.5

l
m -1o.m lo.m 20,m 3 m
Spin speed, rpm

Figure 8 Whirl speed map for the example nonsymmetrical rigid rotor.

natural frequency of this system has both ends of the rotor displacedin the
same direction. Thesecond natural frequency has an associated mode shape
with the ends of the rotor displaced in opposite directions. These two mode
shapescan switch orderforvariouscombinations ofinertiaproperties
and/or axiallocations,butone will alwayshaveacenterlinecrossing
and the other does not. Gyroscopiceffects are usually significant on which-
ever mode has the largest rotation, I-. If Eq. ( 1 5) is also solved for various
whirl ratios,a whirlspeed map can be constructedasshown in Fig. 8.
Thenaturalfrequency is usuallyreferred to as the whirlspeedwhen it
is not synchronous with the spin speed. Note that for this example system,
the whirl speed ofthe second mode doubles for a synchronous whirl ( i = 1 .O)
versus a nonspinning rotor (l.=O.O). The gyroscopic effect can be so large
that the whirl speed never crosses the l.= 1 .O line; thus, there would be
no second critical speed of the rotor-bearing system.

4. FLEXIBLEROTATINGASSEMBLIES

Models in the preceding sections assumed the rotating assembly was rigid
and that motion was due to flexibility at the bearing supports. In general,
108 Talbert

Figure 9 Effect of bearing-support stiffness on the critical speeds of a uniform shaft.

the dynamic motion will be a combination of displacement at the bearing

supports and bending of the rotor. Figure 9 shows how the critical speeds
and mode shapes changewith support stiffness for a rotating uniform shaft.
For low support stiffness, the shaft behaves as a rigid body for the first two
critical speeds; thus, Eqs. ( 1 5) and (16) are applicable. The associated third
critical speed is the bending mode. For high support stiffness, the bearings
approach a pinned boundary condition andall the critical speeds are charac-
terized by shaft bending.
Critical speeds of flexible rotating assemblies are often characterized
by the relative strain energy in therotor versus that in thebearing
supports. Because the beneficial external damping comes from the bearing
supports, a critical speed with most of the strain energy in the rotating
assembly will have a large response for a given mass eccentricity. A rotor
that operates above a criticalspeed with more than two-thirds of the strain
energy in the rotation assembly is generally classified as a super critical
rotor.
Therearetwo basicmethods of predictingcriticalspeeds and
unbalanceresponse of flexible rotating assemblies: (1) thestate vector
transfer matrix method and (2) the finite-element method. Both methods
utilize beam theory to include the flexibility of the shafting components.
Machinery
Dynamics of Rotating 109

Earlyapplications of thesemethods utilized theBernoulli-Eulerbeam

theory, which is valid for long, thin beams. Later applications utilize the
Timoshenko beam theory to include the shear deformation and rotatory
inertia effects for accurate analysis of shorter beams.
In the state vector transfer matrix approach, boundary conditions of
displacements and internal forcesat one end of the rotating assembly deter-
mine those at successive axial stations through either point orfield transfer
matrices. Iterations are performeduntil the boundary conditions atall axial
locations aresatisfied. The advantageof the transfer matrix methodis that it
does not involve large arrays regardless of model size. However, numerical
error can build up as the state vector is multiplied repeatedly by transfer
matrices along the rotor.
Inthefinite-element method, the rotating assemblymodel is com-
prised of lumpedinertiasrepresentingthedisksconnected by beam
elements with two translation and two rotationdegrees of freedom at both
ends of eachelement.Eightdisplacement(orshape)functionsforeach
elementrelatethetranslation androtationalongthe element to the
endpointtranslationsandrotations. Each shapefunction is determined
from the static displacement of the element due to a unit displacement
of onecoordinate with theothersconstrainedtozero.Mass, stiffness,
anddampingmatricesfor eachelement aredetermined by integrating
the shape functions over the element length and multiplying by the appro-
priate inertia or stiffness parameters. These individual matrices are then
combined into system mass, stiffness, and damping matrices of size nxn,
where n is thenumber of axial stations.Mostrotordynamics analysis
has been performed using specially writtencomputer codes;however,
somegeneral-purposefinite-elementcodeshave sufficient elementtypes
to representshafts,bearings, andlumped massesforrotordynamics
analysis.
Although
general-purpose
a code
may
require
some
customization for rotordynamics, it also may provide the options for tran-
sientresponse orsubstructuringfor inclusion ofa model of thestatic
support structure.
For flexible rotating assemblies, the distributionof the mass unbalance
becomes critical. Consider the exampleflexible rotor-bearing system shown
inFig. 10. Withthe lO,OOO-lb./in. bearing-support stiffness, thefirst
two critical speeds are nearly rigid-body modes, whereas the third critical
speed is a bending mode. Figure1 1 shows the response due to two unbalance
conditions: (1) a 0,001-in. mass eccentricity on each disk all in phase (case 1)
and (2) a 0.001-in. mass eccentricity at the center disk out of phase from a
0.002-in. mass eccentricity at each of the end disks (case 2). Both unbalance
distributionshavethesamerigid-bodyunbalanceandproduceidentical
response at the first critical speed. However, the second unbalance distri-
110 Talbert

ao 1.0 50 10 40 LO a0 7.0 a0 ao 1ao

WborYoR~

Figure 10 Example rotor-bearing system with a flexible rotating assembly.

bution produces a response 10 times greater at the third critical speed. Note
that the response has no contribution from the second critical speed for
either case because theselected unbalance distributions produce a zeroexci-
tation force for this mode.
Dynamics of Rotating Machinery 111

Figure 11 Response of the examplc flexible rotating assembly for two unbalance dis-
tributions.

5. BALANCING

All the major components of a rotating assembly should be individually

balanced. This is usually accomplished using a balancing machine which
spinsthecomponentat low speed (i.e., <2000 rpm)and senseseither
the motion or the force at the support locations to quantify the unbalance
forces. Many referencesindicate that the allowable mass eccentricity of
the balanced component should be inversely proportional to its maximum
operating speed; however, this guideline conflicts with the previously dis-
cussed concept of a rotor spinning about its mass center above its critical
speed. An assembled rotating group may also be balanced at low speed
on a balancing machineby clocking the various componentsrelative to each
other. Recall from the flexible rotating assembly example that thelow-speed
balance is only valid if theassemblybehaves asa rigid body during
operation.
High-speed balancing in the assembled machine may be required if
the
low-speed,
rigid-body
balance does
not
provide
acceptable
synchronous response. A reference timing signal indicating a known angu-
lar location on the rotating assembly greatly simplifies the in situ balance
112 Talbert

Figure 12 Relationship between the reference timing mark and the response meas-
urement signals.

process.Figure 12 showstherelationshipbetweenthereferencetiming
mark and the peak in theresponsesignalbefore and after the addition
of a balance weight.
The simplestbalancingprocedureisthesingle-plane, single-speed
influence coefficient method in which theresponse is assumed to vary
linearly with the unbalance force:
=H

where c(") is the unbalance vector for condition n, &") is the response
vector,
and H is the influence coefficient representing the
linear
rotor-bearing system. The "hat" symbol above U and R parameters signify
that these are rotating vectors which can be expressed as an amplitude
and phase angle at any specific point in time. The influence coefficient is
not a rotating vector, but itis a complex quantity also having an amplitude
and phase angle. Its phase angle represents the phase lag of the response
vector relative to the unbalance vector as previously shown for the sym-
metrical rigid rotor example in Fig. 3.
In thesingle-plane, single-speed influence coefficient method, thebase-
line response associated with the original unbalance condition, U('), is first
measured at the desired balance speed. A trial unbalance weight is then
added at a known angular location and response the is measuredat the same
Machinery
Dynamics of Rotating 113

speed. This provides two equations to solve for the two unknowns H and
U O ) , namely

$1) - $0,
H=
U ( ' ,- CC0)
L.

and

The correction weight is then selected to counteract theoriginal unbalance:

$C) = - b(0'

A single-plane balance will effectively reduce synchronous response if

the rotor behaves in a planar mannerlike the symmetrical rigid rotor model
of Fig. 1. A two-plane balance
may be required for longer or
nonsymmetrical rotatingassemblies. The influence coefficient method appli-
cable for this situation is complicated by coupling between the two balance
and two response planes:

where the subscripts denote the tworesponse and two balance planes which
do not have to be at the sameaxial locations. For a two-plane, single-speed
influence coefficient balance,thereare six unknowns: H I I , H I ? , H21,
Hz2, cy), c\').
and The baselineresponseassociatedwiththeoriginal
unbalance condition is first measured at the desired balance speed. A trial
unbalance weight is then added at a known angular location to one plane
and the response is measured at the same speed. A second trial unbalance
weight is thenadded at aknownangularlocationtothe secondplane
and the response is measured at the same speed. This providessix equations
to solve for the six unknowns.
If gyroscopic effects do not strongly affect the rotor-bearing system, a
multiplane multispeed influence coefficient balance may effectively reduce
synchronousresponseoveranextendedspeedrange. For thisprocess,
the number of unbalance and response planes d o not have to be equal.
Response measurements are obtained with a trial unbalance added in turn
at each of the balance planes. However, the number of response planes must
be greater than or equal to the number of balance planes. Solving the result-
ing equations in a weighted least-squaremanner allows more emphasisto be
placed on one or more specific operating speed.
114 Talbert

BIBLIOGRAPHY

Childs. D.. Turbon~uckinery Rotorclwmnics Plwnorncwa, Modeling. & Analysis.

John Wiley & Sons, New York (1993).
Dimarogonas, A. D. and S. A. Paipetis, Anolyficol Methods in Rotor Dynarnic.s.
Applied Science Publishers, London (1983).
Ehrich. F. F., Handbook q / Rotordyncrn~ics,McGraw-Hill, New York (1992).
Lalanne, M . and G. Ferraris,Rotordynamics Prediction in Engineering, John Wiley
8c Sons, New York (1990).
Rao, J. S., Roror Dynamics, 2nd ed.. John Wiley & Sons. New York (1991).
Vance, J. M.. Rotordynnruics qf Tztrhortlrrcllirler)l, John Wiley 8c Sons, New York
(1988).
Effect of Bearings and Seals on Rotor
Response and Stability

Robert David Brown

Heriot-Watt University, Edinburgh, Scotland

1. INTRODUCTION

The rotating assembly of a turbomachine has a number of natural fre-

quencies due to the distributionof mass and stiffness throughout the rotor.
However, importantpracticalquestionsregardingthe level andnature
of the excitation arise if the vibration response is to be properly assessed.
Mass unbalance as a source of synchronous excitation has been discussed
in Chapter 4. There are a number of other sources that
need to be considered
for a complete examination of the vibration behavior. The major effects
originate in bearing dynamic forces and the interaction between working
fluid and rotor in seals and blade tips. Other effects (e.g., magnetic forces
in electrical machines) can be significant but are not discussed here.
The fluid forces from bearings and seals are capable of generating
additional stiffness and damping terms,which need to be added to the rotor
model. This will clearly affect the rotor response to forced excitation (e.g.,
unbalance), sometimes in a substantial way. Because of the circular motion
of fluid in annular clearances, cross-coupled terms arise in both stiffness
and damping matrices in addition to the direct terms. These forces couple
horizontaldisplacementand velocity to vertical motion and vice versa.
The magnitude of all the coefficients in these matrices can be both speed
and load dependent. As a result, a change in load as well as a change in
speed can excite anatural frequency of the system. Oftenthese forces induce
instability of the rotating assembly. The immense amount of kinetic energy
available in a spinning rotor is the prime source of rotor instability.

115
116 Brown

Atitssimplest,instability is indicated by theappearance of a

nonsynchronousnatural frequency in thevibrationsignal.Itessentially
arises as a result of the overall system losing damping. This self-excited
vibration is similar in nature to the galloping of power cables in steady
winds,aeroelasticflutterinaircraft,andthewell-knownfailure of the
Tocoma Narrows suspension bridge in 1940.
In order to gain some insight into the possibilities that can arise in
rotordynamic behavior, it is necessary to examine some simplified models
of bearing and seal behavior. These linear models areuseful in a qualitative
way, although more complex models may be required for any specific case
study. These simple models are further explained by referring to some pub-
lished data from both case studies and laboratory experiments. A large
amount of useful information has been presented at internationalcon-
ferences. A list of some of these is given in Appendix 1. Among the useful
books that have been published are those by Childs and Vancecitedin
Chapter 4.

2. HYDRODYNAMIC
BEARINGS

Fluid-film bearings are used extensively as support and lubricationelements

in rotatingmachinery.Largeaero enginesgenerally use rolling-element
bearings, but the outer race is allowed to move in a radial direction within
an oil-filled annulus. These squeeze film dampers are based on hydrody-
namicprinciples.It is essential tounderstandthevariousphenomena
originating
from
hydrodynamic bearings if stable
and reliable
turbomachinery is to be designed and operated. Oneof the most important
features is the variation in stiffness and damping, which has a significant
eKect on rotor vibration.
ThestartingpointfortheReynoldslubricationequation is the
assumption that the fluid film is very thin (clearance ratio of 1 /l000 or
so) and that inertial effects can be discounted. In effect, the only significant
forcesarisefrompressuregradients and viscosity terms.The resulting
equation is not solvable by analytic means. However, useful results can
be obtainedfrom simplifications to thetheory, namely the long- and
short-bearing approximations. Although both simplifications were possible
when Osborne Reynolds derived the original theory, the short-bearing sol-
utionwasnotpublisheduntil 1952 [ l ,2]. Thissolutiongeneratesmany
of the phenomena experienced i n practical bearings, albeit in a qualitative
fashion. I t is this characteristic which makes the short-bearing solution help-
ful when attempting to gain insight into the vibration behavior of rotating
machinery.
Effect of BearingslSeals on Rotor ResponselStability 117

Figure 1 Journalbearinggeometry

A schematic diagram of a journal bearing is shown in Fig. 1. The

Reynoldslubricationequation expressed in circularcoordinatescan be
written as

The short-bearing theory assumes that the axial pressure gradient is

much more significant that the circumferential equivalent. Thus, the ap/a8
term can be omitted and the equation becomes
118 Brown

where p =p(z, 0) is the pressure distribution, z and 0 are coordinates that

locate a position in the film, c is the radial clearance, h is the local film
+
thickness defined as a function of the eccentricity ratio n, h = c( 1 n cos O),
p is the viscosity of the fluid, and 0 is the journal angular speed.
Because the right-hand side of the second-order equation is indepen-
dent of theaxial coordinate z , thepressuredistribution is parabolicin
the axial direction and a mean pressure can be determined.
Integrating Eq.(2) twice with respect to 2 and puttingp= 0 at 2 = 0 and
2 = L yields

~ ( -z L)[12pn cos 0 - 6p(Q - 24)n sin 81

P=
2c'( 1 + n cos 0)'
L being the journal length.
Integratingthispressure,thenondimensionalloadparameter or
Sommerfeld number can be expressed as a function of journal eccentricity
ratio n:

S($)'= (1 - n2)?
nn[1 6n2 + n2(1 - n')]'.
where
p N L D R'
S=--
W C'
The equilibrium eccentricity is at an angle to the load line. This attitude
angle is also a function of the eccentricity ratio:

Linear vibration theory is based on small deviations from an equilibrium

position. Hence, the basic equation hasto be solved for small perturbations
in bothdisplacementand velocity toobtain stiffness anddamping
coefficients. However, becauseof the curved natureof the equilibrium locus,
cross-couplingtermsresultforboth stiffness anddamping coefficients.
These have important effects on stability.
The widely acceptedlinearmodelfor fluid-film dynamic effects is
normally expressed using 4 x 4 stiffness and damping matrices. Thus, the
dynamic oil film forces can be represented as

An analytic perturbation solution to the short-bearing

model generates a set
 Effect of BearingslSeals
ResponselStability
Rotoron 119

of eight coefficients. The nondimensional forms of these coefficients are

functions of eccentricity, fully detailed in Appendix 2. However, it is useful
to considerapproximatevaluesforthese coefficients basedonsmall
eccentricities. The nondimensional form of the coefficients simplify to
CKXY - 8
"- "CK,,,.
_ .. - 4 CK.,. - CK,,, - 1
W n' W x' W W n
toCB,.,,
wCB,, 2 wCB,,. wCB,,, 8
-- - -=- . . - -
W W n'
W W n
Using these approximations, then the equations of free motion for a rigid
rotor supported on a lubricating film can be written as

Atthestabilityboundaryfor free vibration,thetransientmotion is

undamped(i.e.,apureoscillatorymotionisexpected).Instabilitytakes
place when any root of the equations of motion has a positive real part.
The loss of stability can be a result of increase in speed and/or load. It
is vital to study the transient behavior of rotating machinery under a wide
range of operating conditions.
To examine the stability of free motion, we assume that

where Q is the frequency of the undamped motion, and the equations of

motion become

Using the approximate formulas for the stiffness and damping coefficients,
8QW
i2Q
W W "~

nwC
(6)
4W-i8QW i2Q W
nwC
"

nC
MQ2 +
For a rigid rotor, the load W = M g , and dividing by Mto', the equations
become

(;) =o
120 Brown

STABILITY o f RIGID ROTOR in OIL BEARINGS

Comparison of Non-Circular Profiles with Short Bearings

12

10 - r
Tilted 3 Lobe I
I
I
Y l
8 - \ l
\ I
\
/ Bearing
Short
6 - . x - / '

- - - - a
4 - - a - -
a
Lemon
0 2 Lobe
0 0 0 0 - 0 0
2-

l , l , l , l , l , ~ , , , , , , ,
0'
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 .o
Eccentricity Ratlo

Figure 2 Stability of the rigid rotor.

Declaring a frequency ratio p = Q / w and a stability parameter d, = o'C/g,

Equating bothreal and imaginary partsof the determinant to zero to obtain

the stability boundary for small values of n,
w'C 24 7 6
d,=--=- and p - = -
g = on
or A= 2.76 and p = 0.5. Thus, at low values of eccentricity, the frequency
ratio is approximately 0.5, the half-speed whirl of unstablebearings,
and o m is between 2.5 and 3 for low values of eccentricity. A more
detailedanalysisusingtheanalytic coefficients quoted in Appendix 2 is
plotted in Fig. 2. Forcomparison,someresultsare shownforbearings
of a noncircular profile that have been used to improve the stability of
rotating shafts.
Effect of BearingslSeals on Rotor ResponselStability 121

CR I TICAL
SPEED
CPIl

Figure 3
t
I

l
0 S
LOG (Total Support Stiffness) N/m

Critical speed map-uniform rotor.

i 11

For aflexible rotor, the interactionbetween half-speed whirl and rotor

natural frequency canresult in a subsynchronous frequency (oil whip) at the
appropriatenaturalfrequency.Inordertodemonstratetheinteraction
between oilfilm dynamics and flexible rotors, a uniform shaft supported
by springs at each end is used as a basis for a simple model.
In the first instance, the critical speed map of the rotor is shown. The
variation ofthe first twonaturalfrequenciesasafunction of support
stiffness is shown in Fig. 3 . A criticalspeed map is the first step in
rotordynamic design and is helpful in locating critical speeds away from
operating conditions. At high values of the support stiffness, the critical
speedcurvesbecomehorizontal,the stiffness effectively approaching
infinity. The critical speeds are thenclosely related to the simply supported
case. This is clearly shown by the modal shapes in Fig. 4.As the support
stiffness is reducedtowardtheminimum,thecriticalspeedsapproach
the low-frequency rigid-rotor modes, whichin this case are60-(2n)"
and 604-(2n)"rpm. Thesesimplebearingsarethenreplaced by
lightly loaded short bearings. As the direct stiffness of the oil film varies
with speed, the appropriate horizontal and vertical stiffnesses are added
to the critical speed map. The appropriate part of Fig. 3 is shown in Fig.
5. The first critical, speed for the uniform rotor is clearlyreduced from
the simple support value of 7650 rpm to about 3500 rpm, and the second
critical is lowered from about 30,000 to 7500 rpm.
122 Brown

Figure 4 Stiff bearingmode shapes.

EXPANDED CRITICAL SPEED MAP

E f f e c t of Short Bearing Stiffness

l 2000

10000
t 0

KYY 0
0 0
2nd Critlcal

8000
0
ge"
0
0 0
6000 0 0
0 e
Kxx
4000

Support Stiffness N/m

Figure 5 Effect of short bearings on critical speeds.

If the bearingstiffness coefficients are in the rangein which a variation

in critical speed is evident, then bearingmodification can be effective. In this
way, it is possible to move critical speeds away from an operating condition
by changing the bearing design without any change to the rotor.
Effect of BearingslSeals on Rotor ResponselStability 123

UNIFORM ROTOR ON SHORT BEARINGS

Unstable Modes of Vibration

10000 I 1

9000 1
8000 -
-
.-c 7000

\
V
c
E

.0
-
Ad

n
p
.-
6000 -

5000

4000
-
-
1 1st Mode

> 3000 -

1000 I ,

o L ' " ' ' " ' " ' ' " " ' " I
0 2000 4000 6000 8000 l0000 12000 14000 16000 18000 20000

RotationalSpeedr/rnin

Figure 6 EfFect of short bearings on rotor instability

The rotor assembly also needs to be examined for stability. The bear-
ing coefficients have to be added to theelastic model for therotor toevaluate
the complex eigenvalues for free vibration. If any of these eigenvalues are
negatively damped (i.e., the real part is positive), then the systemis unstable.
The natural frequencies of the example system are shown in Fig. 6, which
showsthevibrationoftheunstablemodesplottedagainst rotor speed.
It is clear that the instabilities are initially at half rotorspeed. As the
bearings are lightly loaded, this result is not unexpected.
At higher speeds, the unstable mode frequency ratios reduce as the
system approaches its natural frequencies. In simpler cases, the final result
would be a fixed subsynchronouseigenvalue,classicallytermedarotor
whip.
In
this
example,
the natural frequency varies
due to the
speed-dependent stiffness of the bearing oil films.
The above-discussed example was deliberately designed to emphasize
the effects of an oil film on response and stability. In industrial practice,
there are many different hydrodynamic bearing designs which are more
stable than the short circular bearing used here. The stability of two of
themorecommonnoncircular profiles hasalready been demonstrated
124 Brown

in Fig. 2. Amorecomplexsolution is to use tilt-padjournalbearings.

Because the individual pads can tilt, no cross-coupling terms are present
and the bearings are completely stable. However, it must be borne in mind
that the overall damping is less and that tilt-pad bearings will not stabilize
rotors where the instability mechanism originates
from outside
the
bearings. Thereare cases onrecord wheretilting-padjournalbearings
did not improve overall stability and they were replaced with three-lobe
fixed profile bearings.
There is an alternative to small but precise alterations to circular
bearings or the mechanical complexity of tilt-pad journal bearings. This
approach is based ontheintroduction of abackwardtangential flow
or swirl onto therotor.A simpleanalysisof the device assumesthat
the tangential velocity varieswith the clearance space. For an eccentric
rotor, the increase in velocity in the narrow-gap side creates a larger fluid
friction, which results in an induced cross-stiffness acting against rotation.
This counteracts the forward cross-stiffness arising from bearings, seals,
and tip clearance forces.
Atheoreticalmodel of a rigid rotor supported by a short bearing
demonstrates thatreducing the forwardcross-stiffness can raise the stability
threshold. The result, Fig. 7 [3], indicates that the stability boundary is
inversely proportional to the magnitudeof the cross-stiffness. Experimental
results from Ref.3 demonstrate that the nonsynchronous instability induced
by oil bearings shown in Fig. 8 can be completely suppressed by the use of
backward flow through tangential nozzles, as shown in Fig. 9. The exit vel-
ocity required is predicted to be dependent on the surface roughness of
the rotor and inversely dependent on the radial clearance. Figure 10 shows
thattherequired velocity is between 9% and 2% of thesurfacespeed.
The lowestvalue is forthesmallestclearance and the roughest surface,
i n line with the theoretical indications.
A final comment on bearing-induced stability: Linear prediction will
indicate a stability boundary and imply that excessive response will follow
if this boundary is exceeded. However, nonlinear behavior will often lead
to a limit cycle which can be tolerated to some degree. An example of this
can be found in Ref. 4. The test specification for a boiler feed pump stated
that theinlet valve wasto be shut while the pump was running at full speed.
Some of the vibration measurements are shown in Fig. 11. At a full load,
there is somesynchronousresponse.At low loads,there is evidence of
irregularvibration at low frequenciestypical of arotatingstall in the
impeller. However, when the pump was completely empty of water, the
plain-bearingdesignproved to be unstable.Thiswasnotunexpected,
but the magnitude of the response was clearly less than that originating
from the forced response to the rotating stall.
Effect of BearingslSeals on Rotor ResponselStability 125

".kD ' 0.2 0.4. 016 0.8 '1.0

CROSS snmEss FACTOR
Figure 7 Theoretical improvement 111 instability by cross-stifncss reduction. (From
Ref. 3.)

3. ANNULARSEALSANDBLADE TIPFORCES

In rotating machines, there are a number of small annular clearances,which

separate the rotor from the stator. Interstage neck or wearing rings are
employed in centrifugal pumps between impellers. A balance drum in pumps
or a balance piston in centrifugal compressors counteracts the overall axial
thrust. Tip leakage in axial compressors or turbines is considered to generate
a cross-stiffness, which may lead to instability. An estimateof the magnitude
of the cross-stiffness that can arise is given by Alford [ 5 ] :

K --P S
- pDH
('
126 Brown

1
20.0 40.0 80.0 60.0 100.0
FREQUENCY Hz

Figure 8 Flexibleshaft in plain bearings-instability.

plain damper h/C = 3.25 A

1
20.0 40.0 60.0 80.0 100.0
FREQUENCY Hz

Figure 9 Flcxiblcshaft i n plain bearings-instability suppression using backward

tangential flow.
Effectof BearingslSeals on Rotor ResponselStability 127

EFFECT OF JET VELOCITY ON STABILITY EXPERIMENTAL

0.1
h/C SURFACE
plain

4.00 plain
plain
a
S
3
4 3.70

plain

2 0.05 5 mm
holes
cG
S
W
4 mm
holes
>
3.25 3 mm
""""""----- _ _ L _ _ _ _ _ - _ _ _ _ -

hole:

0
50.0 60.0 70.0 80.0
ROTATIONALFREQUENCY Hz

Figure 10 Tangential flow requirements-effects of surface roughness and clcarance.

Figure 11 Comparison of low-frequency forced response and bearing instability i n a

boiler feed pump.
 Brown

UNACCEPTABLE

I
1 2 3 4
CRITICAL SPEED RATIO, N / N C R

Figure 12 An operating criterion for centrifugal compressors. (After Ref. 7.)

where z is the stage torque. D is the average pitch diameter of the turbine
blades, H is the average height, and p is a coefficient ranging from 1 for
impulse turbines to 5 for highly reactive stages.
Wachel and Nimitz [6] published an empirical formula for aerody-
namic cross-stiffness in centrifugal compressors:

where P is the power (inkW), Molis the molecularweight of the gas,D is the
impeller diameter (in m), /I is the restrictive dimension in the flow path (in
m),.f'is the speed (in Hz), p~ is the density of the fluid at discharge conditions
(in kg/m'), and is the density of the fluid at suction conditions (in kg/m').
In practical designs it has long been realized that there is an oper-
ational boundary for centrifugal compressors that reduces the probability
of subsynchronous vibration. This boundary is a function of the ratio of
critical speed to compressor load. A typical example is shown in Fig. 12
based on work published by Kirk and Donald [7]. A number of unsatisfac-
Effect of BearingslSeals
ResponselStability
Rotoron 129

tory compressors have been observed to operate in the unacceptable area

of the chart.
In centrifugal pumps, annular seals are used for leakage control and
axial thrust alleviation. Black [S], in a classic article, quantified the dynamic
effects and demonstrated the significance of the resulting lateral forces on
thevibrationbehavior of flexible pump rotors. As theseforcesdepend
on clearance, the occurrenceof service wear can often degrade the vibration
performance.
The theory was validated for small plain seals, but little experimental
evidence is available for the effects of length, surface roughness, and inlet
swirl. These dynamic termscan only be obtained numerically or experimen-
tally and, thus, there is a need for experimental data to validate numerical
models. Most experimental methods are based on harmonic or frequency
responsefunctions(e.g.,Refs. 9 and IO), but in theexperimentaltests
on seals by Ismail and Brown [ l l], the identification was based in the time
domain.

3.1. AnnularSealTheory

As a starting point, Black [S] neglected shaft rotation and used a bulk flow
formulation of the continuityand
momentum equations
for pre-
ssure-induced incompressible flow between two flat plates. The plates were
separated by a time-dependent gap heightto obtain the pressure distribution
equation. The boundary conditions were a pressure drop at the entrance to
thegapdueto Bernoulli effect andapressure drop Ap alongthe seal
duetofriction. Black arguedthattheanalysisalsoappliesto a nearly
centered shaft undergoing a small motion about a concentric position within
a seal and integrated the pressure distributions over the shaft surface to
obtaina linearizedforce in terms of shaftdisplacement, velocity, and
acceleration. Black also argued that theresults could be applied to the more
general caseof a shaft rotating with speed R, in that if the motions areviewed
in a reference frame O.yvrotating athalf speed, a purely axial flow is seen. He
assumed fully developed Couette flow in the circumferential direction and
used a half-shaft speed rotating frame and a transformationback to a fixed
reference frame to obtain the fluid reaction forces on the shaft:
130 Brown

"

l
O l l 3 4 % 5
Wn

Figure 13 Theoreticalresponse to unbalance due to annular seal action.

where T = L / V is the passage time and p ( ) , p [ , and /Q are functions of the

friction coefficient CJ and the inlet loss coefficient g.
Thus, Black demonstratedthatshaftrotation reducesthedirect
stiffness and gives rise to cross-coupled stiffness coefficients. The
solution, which provides a definition for the dynamic coefficients applies
under the assumption that the seal is so short that circumferential pre-
ssure-induced flows are negligible, compared with axial flows and
assumes that the friction factor is independent of shaft speed. The major
conclusionwasthattheextra stiffness was of such a magnitudethat
resonantpeaks in theforcedresponsecould be completelysuppressed
by fluid passing throughthe seals.Figure 13 summarizesthisresult
and shows that for a seal with a small clearance where the friction factor
CJ = ;.L/ C is large, the resonant unbalance response is suppressed. If the
radialclearance C increases, dueto wear andabrasion,thevibration
amplitude near
resonance increases.
Experimental evidence for
this
behavior was first published in 1972 [l21 and some test results are shown
inFig. 14.
The theory also predicted that theseal dynamic behavior could leadto
rotor instability. The theorywas used by Childs [ l 31 in 1975 to predict insta-
bility in the space shuttle turbopumps. The high-pressure fuel turbopump is
a flexible rotor supportedin ball bearings. The rotoris driven by two turbine
stages and the pumping actionis achieved using three centrifugal impellers.
The maximum speed is over 37,000 rpm and the power developed is about
56 MW.
Effect of BearingslSeals onResponselStability
Rotor 131

Figure 14 Expcrimental response to unbalance due to annular seal action.

According to Childs, the most significant seals from a dynamical point

of view are the interstage seals between the impellers. With no allowance for
internal damping in the rotor, a subsynchronous instability was predicted to
be between 16,800 and 19,500 rpm, corresponding to the first critical speed
ofbetween 8500 and 9850 rpm.Theexactcritical speeddependedon
the assumed support stiffness.
Experimental testing as quoted by Gunter et al. [l41 showed severe
instability when the speed exceeded 17,000 rpm. This report raised some
doubtsonthevalidity ofthesealcharacteristicscalculated by Childs
but accepted the fact that seal instability was the only phenomenon that
could be used to explain the data. Ek [l51 discussed the problem.
Black and Jenssen [l61 modified the theory by taking into accountseal
length and circumferential pressure induced flow. Black et al.[ 171 obtained a
132 Brown

Figure 15 Geometry of radial grooves in the inlet faceof a balance drum. (AfterRef.
IS.)

modified expression for cross-coupled stiffness in a short seal due to vari-

ation in inlet swirl:

where is alsoafunction of (T and l .

This
analysis demonstratedthat cross-coupled
forces
could be
eliminated if asuitableamount of inlet swirl is imposed in adirection
opposite to shaft rotation. The effectiveness of swirl modification has been
demonstrated by Massey [l81 for centrifugal pumps. A number of radial
grooves on the inlet face of the balance drum are shown in Fig. 15, after
Massey [18].
The reduction in inlet swirl dueto the introductionof radial grooves is
confirmed by some experimental results publishedby Ismail and Brown [ 1 l ]
and shown in Fig. 16. The inlet swirl at the entrance to the balance drum is
significantlyhigherwhenthere areno grooves in the inlet face.When
grooves are added, the inlet swirl is reduced by up to 50'%. There is a cor-
responding reduction in cross-stiffness values as shown in Fig. 17 [ l l].
 1.o

0.8

0.6

0.4

0.2

t
Flow coefficient CQ=Q/nR2h
Figure 16 Experimental swirl reduction with radial grooves.

b/R=0.032

-
-
....a......
withdut goover ;R.=6150
1.5 mm dwp goovea ;R.4950
3.0 mm deep goovsr; R.4850

0 1250 2500 3750 5000

Rotational Reynolds numberR,,
Figure 17 Reduction in cross-stithess with radial groove action. (After Ref. 11.)
134 Brown

h/R=0.032 ;&=l 21 20 ; 1.5 grooves

15
. -Blacks theory
......... Childs theory
. __ experiment /-----
-a*
lo - . ,?----+-.-. ............................

5 -

0
0 1250 2500 3750 5000
Rotational Reynolds numberRoo
Figure 18 An example of directstiffness-theory and experiment. (From Ref. 11.)

.....................................................................
- - - l l

-Blacks theory

........ childs theory

__ experiment
I l I
0 1250 2500 3750 5000
Rotational Reynolds number Rm
Figure 19 An example of direct damping-theory and experiment. (From Ref. 11.)
Effect of BearingslSeals
ResponselStability
Rotoron 135

Current
theories
tend
overestimate
to direct damping and
cross-stiffnessbut to underestimatedirect stiffness forlong seals. Two
examples of these measurements are shown in Figs. 18 and 19, taken from
Ref. 11. Other data has been presented at the 5th and 6th. Vibrations in
Rotating Machinery Conferences organized by the Institution of Mechan-
ical Engineers [ 19.201.

APPENDIX 1: SOME RELEVANT TECHNICAL CONFERENCES

AND SYMPOSIA

Vibrations in RotatingMachineryInternationalConferences,IMechE,
United Kingdom:
IMechE Headquarters, London, February 1972
Cambridge University, September 1976
Cambridge University, September 1980
University of York, September 1984
Heriot- Watt University, Edinburgh, September 1988
University of Bath, September 1992
Oxford University, September 1996
International Conferences on Rotordynamics, International Federation for
the Theory of Machines and Mechanisms (IFToMM):
Rome, October 1982
Tokyo, September 1986
Lyon, France, September 1990
Chicago, September 1994
Darmstadt, Germany, September 1988
NASA-sponsored workshops on rotor instability, organized by Professor
Childs at Texas A&M University:
May 1980, published as NASA C P 2133
May 1982, published as NASA CP 2250
May 1984, published as NASA CP 2338
May 1985, published as NASA CP 2409
May 1986, published as NASA CP 2443
May 1988, published as NASA CP 3026
May 1990, published as NASA CP 3122
May 1993, published as NASA CP 3239
May 1996, published as NASA CP 3344
136 Brown

APPENDIX 2: SHORT-BEARING DYNAMIC COEFFICIENTS

These are obtained by solving Eq. (1) for small perturbations of displace-
ment and velocity assuming a linear variation with these small changes.
The coefficients are nondimensionalized by a nominal stiffness W I C and
a nominal damping W I C o and in this form are functions of the bearing
eccentricity ratio n. Thus,
CK,,
-
4[n2(2- n)+ 16n]
W D

CK,,,.
.. - -
+
4[~1(1- n 2 ) ( 1 2n2)+ 32n( 1 + n)]
W D(l - n)

CK,,, -
-
TI
1[ .-16n4]
- n)2 (
W D n m

WCB.~,,
- h-[&( 1 + 2n) - 16n2]
-
W Dn

-
- -8[n2( 1
O C B , ~- wCB,~,
. - + h)- 16nI
W W D
where
D = [TI(1 - n2) + 16n]3
Now, when the eccentricity ratio n is small. the stiffness anddamping
coefficients can be approximated to
8W l 4w 1
K IS --,
- K,,,. = - K.vy = ,; and = --
TIC .. ne* n
Effect of BearingslSeals on Rotor ResponselStability 137

ACKNOWLEDGMENTS

I readily admit to any errors and omissions in this chapter due to my own
inadequacy. However, there are a number of individuals who deserve rec-
ognition for their contribution to my understanding.
First and foremost, Henry Black, who I had the privilege of working
with from 1968 to 1980. Some ofhis research students were also very helpful,
notably Dag Jenssen, Mike Walton, Jim Murray, and Sue Nuttall (now
Milne). My own research students who contributed in no small way were
Salman Leong, John Hart, and Shaouki Ismail.
Dave France of Weir Pumps has long been a collaborator and valued
friend.Myparticularthanksareextended to ProfessorPaulAllaire of
theUniversityofVirginiaandProfessor Dara ChildsofTexas A&M
University for typical American friendship and hospitality.

REFERENCES

1. F. W. Ocvirk, Short bearing approximation for full journal bearings, NACA

TN 2808 (1952).
2. G. D. Dubois and F. W. Ocvirk, Short bearing approximation for full journal
bearings, NACA Report 1157 (1953).
3. R.D. Brown. Plainbearingstabilisation usingswirl injection. Machine
Vihrrrtion, 4: 197-200 (1992).
4. R. D. Brown, Vibration phenomena in large centrifugal pumps, in Vibrations
and Noise in Pump Fan and Compressor Installatlons, IMechE Conference
1975.
5. J. S. Alford. Protecting turbomachinery from self-excited rotor whirl, A S M E J .
Eng. P o w r , Ser. A , 333-344 (October 1965).
6. J. C. Wachel and W. W. Nimitz. Ensuring the reliability of offshore gas com-
pressor systems, J . Petr. Technol.. 2252-2260 (November 1981).
7. R. G. Kirk and G. H. Donald, Design criteria for improved stability of cen-
trifugal compressors, in Rotor Dyncrmic Instability, A M D Vol. 55, ASME,
New York, pp. 59-71 (1983).
8. H. F. Black, Effects of hydraulicforces in annularpressuresealsonthe
vibrations ofcentrifugal pump rotors,J . Mech. Eng. Sci., 11(2):206-213 (1969).
9. B. S. Childs, D. W. Childs. and J. Dressman, Estimationof seal bearing stiffness
and damping parameters from experiment, in IMechE Conference 1980. pp.
175-179.
IO. R. Nordmann and H. Massman, Identification of stiffness, damping and mass
coefficients for annular seals. IMechE Conference, 1984.
11. M. Ismail and R. D. Brown, Identification of the dynamic characteristics of
long annular seals using a time domain technique, A S M E J . Vihr. Acoust..
Vol.120, 705-712 (July 1998).
138 Brown

12. R. D. Brown,H.F. Black. D.N.Jenssen,andD.France.Theoreticaland

experimental investigations relating to centrifugal pump rotor vibrations, in
IMechE Conference, 1972.
13. D. W. Childs, SSME turbopumptechnologyimprovements via transient
rotordynamic analysis, Final Report NASA 8-3 1233. University of Louisville
(December 1975).
14. E. J. Gunter, P. E. Allaire, and L. E. Barrett. Interim report on the dynamic
analysis of the space shuttle main enginehigh pressure fuel turbopump, NASA
Contract NASA 8-35812, University of Virginia (June 1976).
15. M . C.Ek,Thespaceshuttlemainenginehigh-pressure fuel turbopump
rotor-dynamic instability problem, J . Spacecruff Rockets, 17(3):208 (1980).
16. H. F. Black andD.N.Jenssen,Dynamichybridbearingcharacteristics of
annularcontrolledleakage seals,in AdvancedClass BoilerFeed Pumps,
IMechE Corlference, 1970, pp. 92-100.
17. H. F. Black, P. E. Allaire. and L. E. Barrett, Inlet flow swirl in short turbulent
seal dynamics. in 9th International Conference on Fluid Sealing, 1981.
18. I. C. Massey,Subsynchronousvibrationproblems inhigh-speed multi-stage
centrifugal pumps, in 14th Turbomachinery Symposium, 1985.
19. R. D. Brown and M. Ismail. Dynamic characteristics of long annular seals in
centrifugalpumps, in IMechE5thInternationalConferenceVibrations in
Rotating Machinery, 1992 pp. 315-324.
20. M . Ismail and R.
D.
Brown,
Dynamic coefficients
of long
annular
seals-further experimental results. in IMechE 6th International Conference
Vibrations in Rotating Machines, 1996. pp. 41-51.
Nonlinear Dynamics of Machine
Tool -Cutting Process Interactions

Marian Wiercigroch
Aberdeen University, Aberdeen, Scotland

1. INTRODUCTION

The dynamic interactions between the cutting tool and theworkpiece affect
directly both the quality and productivityof the metal cutting, andthis can
also cause an uncontrolled rise of vibration in the system. Although the
conditionsforinstabilities in somecases can be satisfactoryexplained
by linear dynamics, the overall interactionsbetween the machine tool (MT)
andthecutting process (CP) have to bestudiedasnonlinear.As an
example of such behavior,the self-excited oscillations(chatter)may be
given. Despite of the fact that there have been several theories put forward
to explain them, no sufficient agreement between different investigators has
been reached yet (e.g. Refs 1-3). It is believed that the reason for these
divergences is duetotheapproach, which treatsthedynamics of the
machinetoolandcutting processseparately.Thesimplestcase, which
questions the validity of this assumption, is the intermittent cutting process
[4]. Fundamentally, there are two different kinds of chatter; the primary
chatter and the secondary chatter. The primary chatteris caused primarily
by the frictional effects of the chip acting on the rake surfacewhere, due to
arelative motion between the workpiece andtool,a difference exists
between static and dynamic frictions. The secondary chatter is predomi-
nantly an outcome of the regenerative effect where the workpiece profile
from the previous pass has some similarity to the profile of the next pass
PI.

139
140 Wiercigroch

2. LITERATURE REVIEW

Literature search shows that dynamics of machine tools and cutting pro-
cesses have been studied most extensively in the mid-forties by Merchant
[6,7], and later in the fifties and sixties by Russians. The fundamental work
done by Zorev [S] and Kudinov [g, 101 would be a good example of those
investigations, where the dynamics characteristics of the cutting process
play the key role in the system stability. Although this research line is still
active, bringing continuously new models (e.g., Ref. 1l ) , due to the funda-
mentalassumptionsmade,stability is mostlydependingonthecutting
process. Contrary tothis line, a significant bodyof research has been carried
out,assumingthemachinetoolstructure is mainlyresponsible forthe
dynamical effects (e.g., Ref. 12).
Although the primary chatter has been observed widely for many years
[ 1,12,13], it was first numerically investigated by Grabec [ 141. Another com-
mon characteristic which can be given here is an existence of the stick-slip
phenomena in themachinetoolslideways,whichhasagreatinfluence
on the dynamics of the cutting process. This was studied in a great detail
by Rabinowicz [l 51 and Bell and Burdekin [16]. Summarizing, one may
stress the inadequacy of the separate investigations into the machine tool
and the cutting process from a nonlinear analysis point of view.
Recent investigations into nonlinear dynamics show the existence and
theimportance of chaoticmotion, which occursinmanypractical
applications. There have been many publications on chaos, including some
textbooks (e.g., Ref.17); however, theyare mostly dedicated to the continu-
ous problems. Although some discontinuous systems have been analyzed
(e.g., a piecewise oscillator [18], impact systems [19,20], rotor systems with
clearances [ l ! ] ] ) very
, few investigations have addressed the dynamics of
the cutting processes. Preliminary theoretical works carried out by Grabec
[l41and Wiercigroch [22,23] haveshownsomeevidence of chaotic
vibrations, which are mainly due to the nonlinearity of the cutting force
and the intermittent contact between a cutting tool and a workpiece. Also,
the recent experimental studies conducted by Wiercigroch and Foong dem-
onstrate some symptoms of chaotic motion [24].
The main goal of this chapter is to present and exploresimple models
which describe the dynamic interactions in the uncoupled MT-CP system
in a comprehensivemanner.An extensiveanalysis of a wide spectrum
of dynamicresponses such as periodic,quasiperiodic,subharmonicand
superharmonic,andchaoticmotion willbe given. Modernnonlinear
dynamic analysis techniques, such as the construction of bifurcation dia-
gramsandPoincaremaps, will be employed to ascertainaqualityof
motion. A broadprogram of numericalsimulation willbe carriedout
Dynamics
Nonlinear of Process
Tool-Cutting 141

in order to map out regions of parameters in which differenttypes of

motion occur.

3. DETERMINISTIC MODEL

Dynamics of any mechanicalsystemmay be described by thefollowing

second-order differential equation:
#X
-= f(t; x, ax/at,p)
at
where x(t) is the displacement vector, p is the parameter vector, and f( ) is
the force vector dependent on the two internal and external excitations.
In our case, the vector f( ) is composed of the structural force between dif-
ferent elements of the machine tool, fstr(x,x), the cutting force fcul(x,x),
and the external noise force fen.
By employing the automata theory, the MT-CP system may be treated
asadynamicsystemwithafeedbackcontrol, which is schematically
depicted in Fig. 1. During the chip formation, the vector of the cutting
force, fcUl, is generated and acts withthevector of other forces, .h), on
the machine tool structure. Thus, the required geometry, g,, is distorted
by the dynamic responses of the structure, which may be represented by
the vector (x, x).

fo
Other Processes 4

Figure 1 Diagram showing dynamic interactions during a metal-cutting process.

142 Wiercigroch

I f oneconsidersamachinetool as an n-degree-of-freedomsystem
and expresses explicitly the cutting force, Eq. ( I ) takes the following form
[95]:
mx + c(x)x + k(x)x = fcu,(x.x ) - t(x) (2)
where m, c( ), and k( ) are mass, viscous damping, and stiffness matrices,
respectively; x, x, and x are generalizeddisplacement,velocity,andac-
celeration,
respectively, feu,( ) is thecuttingforce,and t( ) is the
dry-frictionforce.
A practical example of such system is a rough hole-boring processon a
horizontal boring machine[25],where the geometric accuracyof the process
is achieved via kinematic coordination of the rotation of the spindle and the
axial (horizontal) motion of the cross-table. In Fig. 2, a dynamic model of
the above-described system is shown, where the cutting force is generated
when the spindle rotates with rotational velocity W . The spindle is housed
in the headstockby a system of high-precision and heavy-dutyroll bearings.
The workpiece is mounted to thecross-table, which moves towardthe
spindle during the hole-boring process.
As can be seen, the process is highly nonlinear and also parametric,
as some parametersarevarying withtime(e.g., the overallspindle
stiffhess). Thecutting force
generated
here is proportional
tothe
cross-section area of thelayerbeing cut.Thisareacan becalculated
knowingthechange of thegeometricvector, Ag, which,in turn,can
be foundfromtheformula [27]
Ag = @X + Agi,, (3)
where @ is the transformation matrix and Agi,, is the dynamic change of
theinputvector.Thus,an expression forthedynamiccuttingforce
canbewritten
f,,,, = w(g)Ag + h(i)Ai (4)
where w(g) is the processamplificationmatrixand h(g) is thedamping
effect in the cutting process matrix.
One of themostessentialtasks in nonlineardynamic analysis is
thenumericalintegration of theequations of motion, especially if
the
consideredsystem has
motion-dependentdiscontinuities,
where
any imprecision can generate false solutions. As far as accuracy is con-
cerned,thecollocationmethodsareregardedasone of the best [26];
however, these methods require tlw restart (i.e., calculation of the accel-
eration vector at each time step). If the vector of external force is given
explicitly. therestart is straightforward. In our case.theright-hand
side of Eq. ( 2 ) hasthecuttinganddry-friction force;therefore,some
Dynamics
Nonlinear of Process
Tool-Cutting 143

Figure 2 Dynamicalmodel of thehorizontalboring and millingmachine:

l-spindle,
2-headstock column,3-headstock, 4-cross-table, 5-workpiece,
b b e d , 'm-the mass of the ith component moving in the r direction, 'Oc,-the
moment of inertia of the ith component rotating in the r q plane, 'kc and 'cc-the
translational stiffness and damping of the ith component moving in the direction,
'k! and c' !-the rotational stiffness and damping of the ith component moving in
the tq plane.
144 Wiercigroch

mathematical manipulation is required to provide the expression for the

restart [27]:

a k + ~= MFll(Fk + F ~ +-Ik + l ) (5)

As can be seen, Eq. (5) is written in a form resembling Newtons second

law, where ak+l is the acceleration vector, Mk+l is the equivalent inertia
matrix,and Fk and Fk+l aretheequivalentexternalforcesfor k and
+
k 1 timestepsrespectively. The equivalent values of mass and forces
arecalculatedfromthe followingalgebraicexpressions:

MI, = (Os)(0.5 - P)w@ + OsyhcD - (Om + Osyc + (Os)/jk) (6)

Fk+l = WAgin.k+l + hAiin.k+l (8)

where S is the time step, /?,y, and 0 are the collocation parameters, ak,
v k , and d k aretheacceleration, velocity, anddisplacementvectors,
respectively, V,-T and d,-T arethe velocity anddisplacementvectors,
and T is theperiod of thespindlerotation.
The above exampleof the dynamic interactions occurringin the rough
hole-boring process gives a flavor of the problem complexity, where the
system has to be linearized first to be solved. This is because the physics
of cutting processes, the metal cuttingin particular, is a very complex issue,
and a rigorous mathematical treatment of the plastic deformation in the
cutting zone and the chip formation is still far from a satisfactory stage.
Therefore, most attention has been paid to the static relationships between
kinematicand geometrical parameters of thecutting process.However,
it can be postulated the chatter irregularities of homogeneous materials
are due to the nonlinearity of the process itself. To explore thisview further,
one startswith a steadystate and considers three-dimensional
a vector of the
cuttingforce, feu,( ), whichisdependent onthechanges of the cutting
parameters, ai, the process constants, cj and /j,, and the Heaviside function,
H,,~(ak).This can be written as

= nI1

/=l
/t,
cia, H , , / ( X k ) ( i = I . 2 , 3; I E l?; I 5 k 5 l?) (9)
Nonlinear Dynamics of Tool-Cutting Process 145

Figure 3 MT-CP system: (a) physical model. (b) chip geometry. (c) former form of
f, and (d) new form off, as a function of the relative velocity Y,..

The cutting parameters ct, are functions of the system's displacement and
velocity, which can be written as
M, = g(x. X). (10)
It was demonstrated by Jiulian et al. [ l l ]that the instantaneous separation
of the cutting tool from the workpiece, namely a discontinuous process,
has a great influence onthenonlinearsystemdynamics.Therefore,our
model of the machine tool-cutting process system will take into account
thefeedbackcontrolloopthrough feu,( ) and thediscontinuityofthe
process. To concentrate on the nonlinear dynamics issues,asimple but
realisticmodelof theMT-CP system will be considered.Theelastic,
146 Wiercigroch

dissipative, and inertial properties of the machine tool structure, tool, and
the workpiece are represented by a planar oscillator, which is excited by
the cutting force components* .fy and f,. (see Fig. 3a). It is assumed that
the relationship between the cutting forces and the chip geometry, namely
the cutting process characteristics, is captured by orthogonal machining,
where the cutting edge is parallel to the workpiece and normal to the cutting
direction, as depicted in Fig. 3b. In our case, the cutting parameters, a,
should be understood as the depth of the cut, / I , and the relative velocity,
v,.. Due to the vibration in the x direction, the relative velocity v, can cross
the zero-value point; therefore, static and dynamic friction occurs. Thus,
the cutting process characteristics as a function of the relative velocity can-
not be expresseddirectly by formula (9); therefore,onecanpostulate
the following relationships:

.h. = C$/{ H(/t)g,.(v,) (12)

where two unknown functions,gJ1;) and g.y(~),.),need to be given explicitly.
Because 1;.and,f,, are mutually related, one can
be expressed by the another.
This approach was adopted from the workof Hastings et al. [28], where the
cutting forces for a wide class of technical materials are provided by
f,-(y,S , J I ) = q o h [ C , ( l , . - 1) + 1]H(h)
j&, X, y) = x(v,, v / , /llfy.cV. X, )I) (14)
where
x( ) = [cz(v, - 1) + I I [ C ~ ( I -~ 1) + ~ ] H ( J ;sgn(v,)
)
V/ = VU - X, V, = \Q - Ry. 11 = 110 - )
R = R o [ c ~ ( v-, 1) + l]
where it was assumed that the forcef,, x( ) acting
is mainly due to the friction
on the rake surface. The friction velocity v, is reduced due to shear plastic
deformation, R , which is represented by the shear angle q5 (see Fig. 3b):
R = ctg(q5) (15)
The cutting process starts with an initial depth of cut, 110, where layers are
taken out from the workpiece with the constant velocity vo. The rest of
the cutting parameters c1 - c4 and qo is fixed. Summarizing, the nonlinear

*The subscript cut has been dropped to simplifL the notatlon

Dynamics
Nonlinear of Process
Tool-Cutting 147

relationship between the cutting force f:. and chip velocity is graphically
presented in Fig. 3c, where for v,. < 0 the excitation force is equal to zero.
In reality, this force never disappears, as there is always a considerable
friction force due to the compression force in the vertical spring. To make
this approach more realistic, a Coulomb friction force acting in the x direc-
tion for thev,. -=0 cases needs to be added. On the other hand, Eq. (6) should
still be valid to predict the total force f;. for the v,. 2 0 cases. A modified
formula, which satisfies the above-listed conditions, is written as follows
and is presented graphically in Fig. 3d:

where /CO is a static friction coefficient.

The motion of the analyzed system can be described by a set of two
second-order differential equations, which are presented
here in a
nondimensional form:

where

Although one cannot deny the usefulness and elegance of approximate

solutions,inthisparticular case,a more extensiveanalysis cannot be
accomplished without numerical simulation. Therefore, Eqs. ( 1 7) and ( 1 8)
aretransformedtothe system of fourfirst-order differential equations,
which can be written as

where
148 Wiercigroch

Figure 4 DiscontinuitytypesDiscC and DiscD.

To solve Eq. 19, the corresponding initial condition was specified, x(0) = 0,
where x = [ S , , S?, x 3 , x4]7.
The expressions for the cutting forces [Eqs. (14) and ( 1 6)] have five
different discontinuities, which can be labeled as one of two groups; either
to the continuous discontinuity (unsmooth function), DiscC, or discontinu-
ous discontinuity, DiscD. This classification was used to design a precise
integrationscheme, which is based onthefourth-orderRunge-Kutta
algorithm. The discontinuity DiscC is a product of a linear function and
Heaviside function, whereas DiscD is a straightforward sign function (see
Fig. 4).
As the analyzed system is nonlinear and can exhibit a broad variety of
motion, it was essential to provide a high-accuracy integration routine. Each
time discontinuity occurs, the precise value of time has to be calculated in
order to provide the correct initial conditions for the next integration step.
A standard zero finder algorithm cannot be used effectively in this case;
therefore, the computations were conducted using the method developed
by the author, for which a flow chart is presented in Fig. 5, and willbe
discussed briefly. For a given set of parametersandinitialconditions,
the numerical integration is carried outusing the fourth-order Runge-Kutta
procedure with a fixed time step, AT = 0.001 until a discontinuityis detected.
Then, based on the type of discontinuity recognized, the precise value of
time, t*, is calculated,either by an inverse interpolation or a bisection
routine. The authorsexperience with the monitoringof the computersimu-
lation indicates that thebisection routine is used more than 60% of the total
computing time, when the discontinuities are determined.
Dynamic responses of the system may be portrayed by the family of
the characteristics depicted in Fig. 6, where the system nonperiodicity in
Nonlinear Dynamics of Tool-Cutting Process 149

Figure 5 A flowchart for finding the time of discontinuity <*.

both directions S (Figs. 6a and 6b) and y (Figs. 6e and 60, is confirmed by
the phase plane portraits (Figs.6c and 6g). The intermittencyof the cutting
forcecomponents(Figs. 6d and6h)coincides with an erratic profile of
the surface (Fig. 6i).
The investigated system is described by a 12-parameter vector p = [ U ,
tS,t,,,,po, cl, c?, c 3 , c4, yo, 120, Ro, V O ] ~ ;however, for the purpose of this
150 Wiercigroch

x om x om

04 -

-x 00-

0 4-

om

Figure 6 A family of characteristics for the MT-CP system.

Dynamics
Nonlinear of Process
Tool-Cutting 151

Figure 7 Bifurcation diagrams x =f(qo): (a) ~ ~ 0 . 2 (b)

5 , a= 1, (c) a = 4 , and (d)
51 = 16.

analysis, only the two-parameter vector, p* = [(, qo]', was chosen, where
(,v = (! = 4. The results presented here were obtained by fixing the values
of the following parameters: / L O , = 0.1, cl = 0.3, c2 = 0.7, c3 = 1.5, c3 = 1.2,
h 0 = 0.5, R0 = 2.2, and 1'0 = 0.5. Figures 7 and 8 show an influence of the
cutting force modules, 4 0 , on system dynamics in the x and y directions,
respectively. For the stiffness ratio CI equal to 0.25 and 40 up to 1.6, the
system is irregular. By increasingthevalue of 40 above1.6,thesystem
regains its periodicity. More careful investigations of the above-mentioned
region of 40 demonstrates an interesting scenario of a transition between
different types of motionwith an increase of the branching parametervalue.
The system responses are irregular for lower values of 40; however, higher
irregularities are better pronounced for the J J direction. If a value of the
branchingparameter is between0.36 and0.43,the systemexperiences
period 3. After the first periodic region, a catastrophic transition to an
irregular motion is observed, which lasts until 40 is approximately equal
to 1.O. Then, the system gradually approaches stable vibrationswith period
1 passingthroughnarrow windoivs of' irregulur motion. Summarizing,
for cc=O.25, the system dynamics undergoes vast changes. Setting up the
152 Wiercigroch

stiffness ratio (Y equal to 1 and 16, the system dynamics is completely dif-
ferent (see Figs. 7b, 8b, 7d, and 8d). For almost the entire range of the
cutting force modulus, the system oscillates either periodically (see Figs.
7b and 8b) or almostperiodically (see Figs. 7b and 8d),excluding the lower
values of 40, where some transient irregular motion occurs. The bifurcation
diagramsconstructedfor c( = 4 show another example of an unusual
behavior (i.e., unidirectional bifurcation). The system bifurcates in the x
direction and is stable in the y direction for 40 between n 0.24 and 0.54,
despite of the fact that the equations of motions are coupled. There is also
a shtft of the critical point for the x and y directions.
For the x direction, the system starts with two bifurcation period sf
doubling types and then vibrates chaotically. For the J' direction, the system
oscillates with period 4 after crossing the critical value and then becomes
chaotic. The bifurcation diagrams depicted in Fig. 7 provide useful infor-
mation from a practical standpoint; that is, for c( = 0.25 and CI = 1.O, the
system, after regaining periodicity, decreases its vibration amplitude with
an increase of the cutting force. This fact can be used in the design and
control of the process. For c( = 16, the system responses are consistent with
Dynamics
Nonlinear of Process
Tool-Cutting 153

a traditional understandingof the machine tool-cutting process interactions

(i.e.,higheramplitudes are generated by larger cutting forces). For this
simple orthogonal cutting process,dimensionalaccuracycanbe viewed
through the displacement in the y direction alone. The calculated results
depicted in Fig.8indicatethatthemostfavorablecuttingconditions
can be obtained for the stiffness ratio tl equal to 1 (see Fig. 8b).
Now, an influence of theviscous damping coefficient ( onthe
displacements in the .x and y directions through construction bifurcation
diagrams, S, y=.f(() will be examined. As shown in Fig. 9, for ( smaller

0.0 0.2 0.4 0.6 0.8 1.0

5

0.0 0.2 0.4 0.6 0.8 1.o

5
Figure 9 Bifurcation diagrams (a) S =A[) and (b) y =f([).
154 Wiercigroch

than 0.26, the results coincide with the linear vibration theory prediction;
that is, a higher damping ratio stabilizes the system responses. When this
criticalvalueispassed,thesystemvibratesperiodically in boththe x
and y directions until a fascinating phenomenon is detected (i.e., the dmths
and births of periodicsolutions,arethedampingratioincreases).This
can be understood as follows: The system is asymptotically stable in the
finite intervals and oscillates periodically for a finite number of discrete
values of the branching parameter. This curiosity occurs for both directions.
Any categorical statement about the existence of chaos in the system
requires a consistency between the proofs obtained from different quality
of motion detecting techniques. Constructing a Poincark map is helpful
to assess and classify the dynamic system responses for twodiffering values
of thebranchingparameter(e.g.,module of thecutting force 40). For
instance, considering two cross sections of the bifurcation diagram depicted
in Fig. 7a at qo = 1.O and qo = 1.25, the chaotic motion is forecasted for the
first case. Nevertheless, the system responses unveiled to be subharmonic
for both values of the branching parameter (see Fig. 10). The suspected
chaotic motion for40 = 1 .O is, in fact, period l 1 and the other oneis period
4. However, one can recognize some signs of chaotic motion from the pre-
sentedPoincaresections(i.e.,theperiodicorbitsareaccompanied by
clouds of irregular points). This may be explained by the existence of
trunsiel~tchuotic motion, which usually dies out in the long term.
As far as the dynamicsof the cutting processis concerned, it would be
interesting and beneficial to observe trajectories of the cutting edge for the
above-analyzed cases of different forms of motion. Moreover,it would help
to view the obtained results through different hypothesis of the self-excited
vibration. Because theanalyzed system canproduce complexbehavior
(including chaotic) and for the practical reason outlined earlier, one con-
structsPoincaremaps of thetrajectoriesinstead of thetrajectories
themselves. This is more convenient in most cases, as a replacement of a
trajectory by its Poincare section can simplify the process of the systems
response recognition. Figure 11 shows two topologies of the Poincare maps
obtained for the same values of parameters as Fig. 10 was constructed.
The presented maps do not correlate fully withany of the self-excited
vibrationhypothesis;however,somesimilaritieswiththefallingfriction
force hypothesis can be recognized from Fig. 11.

4. STOCHASTIC MODEL

Ashas been mentionedearlieralthoughconsiderableprogress in the

modeling of the dynamic interactions occurring during the metal cutting
Nonlinear Dynamics of Tool-Cutting Process 155

Figure 10 Poincare map for (a) g ) = 1.0 and (b) qo = 1.25.

156 Wiercigroch

-1.01

-2.0L L L . J "
-2.0 -1.0 0.0 1.o 1 0
X
Dynamics
Nonlinear of Process
Tool-Cutting 157

has been made, the models used are deterministic, using average values of
the cutting material coefficients, without taking into account the stochastic
issues. Inparticular,therandomness of thecutting resistance is worth
examining because of the varying grain size of the workpiece.
Chip irregularities areinfluenced by an inhomogeneity of the material
being cut, which leads to a random cutting resistance. A rigorous mathemat-
ical treatment of the plastic deformation for inhomogeneous material is a
complex issue and, so far, nosolid foundation has not been laid in this area.
As a consequence, a simple and pragmatic approach is used to model the
cutting resistance. The cutting resistance can be expressed as a function
of the cutting tool trajectory
('(F) = c(x, .l'. z ) (70)
where v ( [ ) = (S( l ) , y ( t ) , ~ ( 1 ) is
) a parametric function of time. It is expected
that the material inhomogeneity is a stationary Gaussian process. Hence,
it is reasonable to assume that the variation of the cutting resistance is
also stationary
a Gaussian process. In
general,
this process is a
three-dimensional one. However, in this chapter, we consider the cutting
resistance asaone-dimensional process, which is areasonableapproxi-
mation for orthogonal cutting.
It is assumed that the cutting resistance has been normalized by its
mean; hence, the mean is equal to 1:

where I is a reference length of cut and c ( s ) is the specific (normalized)

cutting resistance. Subtracting the mean valuefrom c(.Y),we obtain the
fluctuation
quantity ? ( S ) = ( . ( S ) - F, where ?(.U) is a zero-mean.
one-dimensional,univariate, weakly stationary,Gaussian process. I t is
characterized by a standard deviation g and an autocorrelation coefficient
R(:), where z is the distance separating two points. A power spectral density
function S((!))is defined as

(72)

The autocorrelation coefficient is typically characterized by a correlation

length, say LC,,which is related to the distance beyond which the correlation
of the material fluctuation diminishes. The correlation length and the form
of the autocorrelation function should be determined experimentally either
by a direct testing of the material or by an interpretation of the vibration
signal. Unfortunately, no such measurement is available to our knowledge.
From the material science point of view, L,. should be mainly dependent
158 Wiercigroch

on the grain size of the material; hence, an estimate can be made. As a

first-cut approximation, asimple but popular model for the autocorrelation
coefficient is adopted for the present study:
R ( = )= e-;.l: (23)
In the above, 1 / l . characterizes the correlation length. The power spectral
density function corresponding to Eq. (4) is

With the above statistical quantities, it is possible to artificially generate a

random signal with the same statistics.The technique adoptedis the spectral
representation method initiated by Rice [29] and refined by Shinozuka et al.
[30, 311. It is modeled by the following series:
N-l
(25)

where 0 is the standard deviation, O k is a random phase angle uniformly

distributed over [0, 2x1, O I =~ k A u , and AU is the frequency increment.
The process (25) has been simulated,and twodifferentrealizations of
( S ) are depicted in Fig. 12. The calculations are carried out for the same
standarddeviation (0=0.2), butfordifferent 1, values, 1 and 5 . Itcan

0.3

0.2

0.1

A 0.0
C
-0.1

-0.2

-0.3 -
I I 1 I
-0.4
0 2 4 6 a 10
A.

Figure 12 Stochastic specific cutting resistancc for (a) i.= 1 (dashed line) and (b)
i.= 5 (solid line) and their corresponding spectral density functions.
Dynamics
Nonlinear of Process
Tool-Cutting 159

be noted that as i. increases, the correlation length decreases and the data
fluctuate more rapidly.
Assuming the same mathematical model of the MT-CP system as in
the previous section, the cutting forces .L( ) and h.( ) will be dependent
on thestochasticproperties of theworkpiece, which is capturedthe
randomness of the specific cutting resistance c(.Y):
,f\(s. j.S. .v) = c(x)qohH(\S.)[(.,( \vr - 1) + 1]H(1?) (26)
The most dangerous state for a cutting tool is a transient period when a
new layer is being cut. Impacts between the tool and the workpiece occur
frequently; therefore, it would be beneficial to predictthetimehistories
of the cutting forces.
Investigationshad been carried out
forthe
deterministicmodel. No substantial increase in thecutting forceswas
reported. However, this is not thecase once the stochasticcutting resistance
is modeled. To demonstrate theeflect, Figures 13a and 13b compare the time
histories of the cutting forces .fl. and ,f;.. for the deterministic (constant
cuttingresistance)andthestochastic(randomlyfluctuatingcutting res-
istance) cases. For the stochastic model, CJ = 0.2 and E, = 1 is used (see Fig.
12). For the deterministic case (upper diagrams),we note that the transient
period is relatively short and that thereis no abnormal response during that
period. These confirm the earlier findings. The x-component cutting force
exhibitsdiscontinuitiesthatcorrespondtotheloss of contact between
the tool and the workpiece. The stochastic results are shown as the lower
diagrams of Figs. 13a and 13b. It is observed not only a longer transient
period, but also a much greater impact force. In the S direction, where
the tool undergoes a higher stress, the force can be as much as300%,greater
than the averagevalue under steady cutting conditions. The time interval of
tool separation is also longer. This current theoretical prediction, which has
not reported been earlier, is consistent with the manufacturing reality; that
is, the majority of cutting tool breakages occurs during the transient period.
To see theoverallpicture,thelong-termdynamicbehaviorneeds to be
addressed.
The Poincare maps are used to examine the long-term trend; hence, the
initial transient period is skipped. Figures 14a and 14b display the Poincark
points (X, S) and (F,J)), respectively.Boththedeterministic andthe
stochasticcasesareshown.Forthestochastic case,two E. values,1.0
and 0.3, are used,where l / i corresponds to the correlation length. The
deterministic case may be viewed as the case jb+O (i.e., the data are fully
correlated). Reading the figures from the top down, the correlation length
decreases,meaning thattherate of fluctuation of cutting resistance
increases. For allcases, we observethatthe responses are chaotic. The
stochasticity does not drastically change the topology of Poincare maps.
 0.0
0 40 80 120 160
t
3.0

20
*?
1.0

0.0
0 40 80 120 160
t

-3.0 I I 1 I l I
0 40 160
80 120
t

9iwhticcSse
1.5

4 3 0.0

-1.5
L' ' ' " ' I
-3.0I I I I
0 40 80 120 160
t
Figure 13 Time histories for the (a)
x component and (b) y component of the cutting
force.
Dynamics
Nonlinear of Process
Tool-Cutting 161

(a) (b)
Delermmlslic DetermmlsHc

-1.5

1.5
X
I
00

SlochasUc
I
1.5
-1.5

4 =
-
-1.5 0.0
Y
SlochasHc
A = 0.3

-1.5 I
-1.5 00 -1.5 0.0
X Y
1.5

'"I stochastk
A - 1.0

..I

-1.5 0.0 -1.5

1.5 -1.5 00
X
Y

Figure 14 Poincart maps in the (a) 6, plane and (b) (Y,

y') plane for deterministic
and stochastic cases with different values of 1.
Closer examination shows that the introduction of stochasticity spreads out
the PoincarC map over aslightly larger area. The concentrationof points in
the mapis also changed.This can be more preciselyassessed by the measure
of a probability density function (PDF), as outlined in Yang et al. [32].
162 Wlerclgroch

ThePDFsamplestheentiretrajectory,ratherthanthespecial
Poincark section. This technique presents the relative frequency of each
region in the phase plane visited by the trajectory. The joint PDF is deter-
mined by overlaying a grid system on the phase plane. By counting the
number of pointsfallingwithineachgridandnormalizing,thejoint

Stochastic
h = 0.3

Figure 15 Joint probability density function for (a) deterministic and (b) stochastic
(A = 0.3) cases.
Dynamics
Nonlinear of Process
Tool-Cutting 163

PDF is produced. The result for the ( S , X) phase plane is depicted i n Fig. 15
for the deterministic and the stochastic(E. = 0.3) cases. A comparison of the
two PDFs shows that the randomness of the cutting resistance tends to
smooth out some fine features of the deterministic case.
Longtimehistoriesrequired to construct Poincare maps make the
task very computingintensive. For thestochasticcase, it is necessary
to constructthestochasticcuttingresistancedatathatcoverthe whole
periodofsimulation, which often involves several thousand cycles.
Thecomputation time forgeneratingthese datacan be onetotwo
orders of magnitude longer
than
the
average time
spent
for
the
deterministic system, especially for cases with shorter correlation lengths
(larger i ) . Therefore, a pseudostochastic process was used to reducethe
computingcost. I n thepseudostochasticprocess,shorter
a segment
of random data is generated. Segments are then stacked together to pro-
ducethedesirablelengthforthedynamicsimulation.Figure 16 com-
paresPoincaremapsobtainedusingthepseudostochasticprocesswith
differentsegmentlengths, S,, = 2 0 and 100. The differencesbetween
thetwomapsareevident. I t is thereforecautionedthatthe use of
thepseudostochasticprocess in placeofthe full processneeds to be
handledwithcare.
So far, the differences in system response for the deterministic and the
stochastic cases under a fixed set of system parameters were examined. To
scan the effect for a whole range of parameters, the bifurcation diagram
were constructed.Figure 17 presentsthebifurcationdiagram,where .v
is a function of the cutting force magnitude, (10. Figure 17 shows a bifur-
cation diagram obtained for E. = 1 and (T = 0.2, using the same parameters
as in Fig.7c.Thecomparison with thedeterministiccaseshowsthat
the stochasticity not only smears the amplitude of vibration but also moves
the first critical point of the first period doubling to a lower value. I t also
destroysthe secondperiod doubling. In someothercases, which are
notshownhere, it is impossible to distinguishanycriticalpoint on the
bifurcation diagram.
The study of carried out by Kapitaniak [33] shows that the introduc-
tion of a random noise to nonlinear continuous systems exhibiting chaotic
behavior (say, a Duffing oscillator) can decrease its chaoticity drastically.
Its influence on a discontinuous system. such as the one investigated here,
is unknown. I n Fig. 18, a bifurcation diagram is constructed by choosing
the stochastic quantity, standard deviation as a branching parameter. It
should be noted that the deterministic system(a = 0) is chaotic. Even a sub-
stantial increase i n the magnitudeof noise does not dampen the chaoticity of
the system. On the contrary, random noisetends to increase the system
irregularity, especially in the J - direction.
164 Wiercigroch

3.0 1 1 I I
l
xu = 20

-3.0
-3.0
L
0.0 3.0
X

3.0 I 1
I I I

(W X" = 100

. .

-x 0.0 -

- .....
. ,
r....,.
. . . .

-3.0 1 I I 1 I

-3.0 0.0 3.0

X

Figure 16 PoincarC maps of pseudostochastic process constructed for a reference

length of ( a ) .Y = 20 and (b) S = 100.
Nonlinear Dynamics of Tool-Cutting Process 165

1 Stochastic

x
2.0
0.0
t
-2.0

-4.0 I I I I I

0.0 1.o 2.0 3.0

qo
Figure 17 Stochastic bifurcation diagram as a function of a modulus of the cutting
force.

5. CONCLUDING REMARKS

In this chapter,acomprehensivedynamicmodel of orthogonalmetal

cutting was examined. To make it more realistic, a dry-friction force acting
on the cutting edge and stochastic properties of the workpiece have been
added. The system demonstrates a complex dynamic behavior, which is
manifested by the existence of periodic, quasiperiodic, subharmonic, and
chaotic motion. It was found out that some of the bifurcation diagrams
cannot be classified into standard routes to chaos; however, a crisis-type
transition to chaos is dominating. The strong influence of the intermittent
cutting and dry friction can produce multidimensional attractors [22].
Two new phenomena were detected, which are unique for nonlinear
dynamical systems. The first one is called unidirectional bifurcution (i.e.,
the system is stable in one direction and unstable in the another). The decrths
and birthsof periodic solutionsis the second one, wherethe system oscillates
between the stable and asymptotically stable states as the damping ratio is
increasing.
Also, it has been found that the introductionof stochasticity can cause
a huge increaseof the cuttingforces (up to300%) during theinitial period of
cutting. This could explain the industrial reality, where the majority of the
catastrophictoolbreakageoccursduring thisinitialstage.This finding
can be valuable for design and control engineers.
In general, it may be concluded that the nonlinear dynamicresponses
of thesystem can becontrolledmost effectively by thecuttingforce
166 Wiercigroch

-5.0 I I I I I

0.0 0.2 0.4 0.6

0
1 .o

h 0.0
. . . .,

-1.o I I I I I

0.0 0.2 0.4 0.6

0

Figure 18 Bifurcation diagrams as a function of the standard deviation for the (a) .a-
and (b) >' directions.

modulus. Most importantly, contrary to classical machine tool theory, it

was been observed that for certainvalues of the parameter vector, the ampli-
tude of vibration can decrease with an increase of the cutting force, which
can be used as design information to improve the productivity and accuracy
of the machine tools.

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A 4 r r c . h . Tools k f U f 7 U f : . 27:357 (1987).
Dynamics
Nonlinear of Process
Tool-Cutting 167

3. K. Jemielniak, At~uIyticuIM o d d s of Cutting Processes, Warsaw University Of

Technology Press. Warsaw (1990) (in Polish).
4. M. Wiercigroch, Complex dynamics of a simple machine tool-cutting process
system, Arch. Mech. Eng.. 42:151 (1995).
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Dynamics rrnd Chaos in MunLf(lcturinl:IgProcc~sses(F. C. Moon, ed.), John Wiley
& Sons. New York, p. 165 ( I 998).
6. M. E. Merchant,Basic mechanics in the metal cutting process,Trans. A S M E . J .
Appl. Mech. A . 66:168 (1944).
7. M. E. Merchant, Mechanics of the metal cutting process: Orthogonal cutting
and a type 2 chip, J . Appl. Phys., 16:267 (1945).
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Mashinostrojenie. Moscow (1956) (in Russian).
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Instr.. 10:l (1963) (in Russian).
10. V. A. Kudinov, Dynunlics qfMachine Tools.Mashinostrojenie. Moscow ( 1963)
(in Russian).
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( 1989).
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iour of lathes and milling machines, Ann. C I R P , 18:335 (1970).
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the nonlinear dynamics of orthogonal metal cutting. Proc. IMechE Pur/ C
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Robotics: An Overview of Applications,
Kinematics, and Dynamics

Dale E. Palmgren
Arizona State University East, Mesa, Arizona

1. INTRODUCTIONTOROBOTICS

1.1. General
Description

The transition from the early depictions of robots as machines that res-
embledpeople,aspresented in theearlysatiricalplay by Karel Capek,
to that of current-day industrial and autonomous robots is the result of
the evolution of several different technologies. This evolutionary process
has yielded a machine that is capable of following instructions that have
been preprogrammed into the controllerof the robot, but is it very primitive
when compared with the capability of a human being!
The current robot, whether used for industrial purposes or for more
autonomous applications, is limited by technology and the lack of millions
of years of evolution.Largeadvancements in microprocessors,sensor
technology, and the ability to think in a global ways would be required
to advance robots toward humans on the evolutionary scale.
Although current robot technologyis the result ofjust over 40 years of
research and development, current uses in the industry and theservice sec-
tors of oureconomyare well developed.Alarge amountofresearch
and development is being done in the areas of autonomous robots. It is
hoped that autonomous robots will be able to contribute to both industry
and service areas of our economy because of their mobility and global
thinking!

169
170 Palmgren

1.1.1. Definition of anindustrialrobot

An industrial robot can be defined as a reprogrammable, multifunctional
manipulator. This definition encompasses the industrial requirement that
an industrial robot must have the capability of performing different tasks
in arepeatableand reliable manner.It is alsothebroadestdefinition
one could make for an industrial robot so that technical imagination
can be used to develop new applications for industrial robots.
If the three key words in the definition of an industrial robot are
examined, it is easy to visualize our current industrial robot.
l. Reprogrammable describes themicroprocessor-basedcontrol-
lers that are currently used, although the programming of the
robot controller is different from programming languages that
are used by the technical profession.
2. Multifunctional when used in the definition of an industrial
robot describes the flexibility of the industrial robot.
3. Manipulator is the physical structure that is required to move
the tooling and parts throughout space. This is also what gives
the geometry of the robot manipulator.

1.1.2. Definition of anautonomous robot

The autonomous robot is generally considered to be the first step on the
evolutionary scale of robots when compared to human ability. The reason
for this is that we begin to describe a robots ability to proceed to solve
tasks, which are global problems, rather than always following the same
path andlor decision structure.

1.2. Description of aIndustrial Robot Manipulator

The robot manipulator consists of an assembly of linkages that support a

wrist plate where the end of arm tooling is attached. Electrical or hydraulic
actuators drive the linkages andwrist motion. There were early robots that
used pneumatic actuators, but this proved difficult to control because of
the compressible nature of air at high pressures, and was abandoned for
use with industrial robots.
The physical structure of the robot requires that anassembly of links
be put in place that represents the robot. In general the number of degrees
of freedom equals the number of axes of motion for the robot, provided
that each axis of motion is a nonredundant axis of motion. As an example,
a robot with three degrees of freedom would have three axes of motion
and would be able to locate a point in space. However, if the robot has
six independent (nonredundant) axes of motion, the robot will have six
Robotics: An Overview 171

degrees of freedom and would be able to not only locate a point in space but
also to orientateitself to thatpoint in space. Recognize that there is a maxi-
mum ofsix degrees of freedom in (three-dimensional) space.If more thansix
axes of motion areused for a particular robot, the robot hashigh a degree of
mobility but not more degrees of freedom.
Therearefour generallyaccepteddescriptions of industrialrobot
manipulators. With theexception of one coordinatesystem, the descriptions
follow the general descriptions of math coordinate systems:
Cartesian
Cylindrical
Spherical
Articulated
These are represented in Figs. 1-4.
It should be noted that although a physical description of a robot is
related to the construction of the robot, programming might allow for robot
motion in other coordinatesystems. For example, imagine that a robot man-
ipulator is in the Cartesian coordinate configuration; there is no reason,
through programming, that the robot cannot move according to the cylin-
drical coordinate system; or a robot that has an articulated configuration
could move along the Cartesian coordinate system.

Figure 1 Cartesiancoordinate robot. (From Ref. 1.)

172 Palmgren

Figure 2 Qlindricalcoordinaterobot. (From Ref. 1.)

Figure 3 Sphericalcoordinate robot. (From Ref. 1.)

Robotics: An Overview 173

Figure 4 Articulatedrobot. (From Ref. 1.)

At the end of the robot, the end or arm tooling or end effector is
attached. The endeffector is what does theuseful task and allows the robot
to be interfaced with the manufacturing environment. Very often, end
effectors are of special design, such as a vacuum gripper or a gas metal
arc welding (GMAW) torch, to name a few.

1.3. Control of anIndustrialRobotManipulator

If industrial robots are to perform useful tasks, they haveto be controlled in
a repeatable fashionin order to consistentlyplace acomponent at specified
a
location or follow a precise path when welding. This is usually accomplished
using a closed-loopedcontrol system. The position ofeach linkage andwrist
orientation is monitored and fed back to the control system. Also, velocity
feedback is utilized to makesuch each axisof motion is moving at the appro-
priate velocity.
The positionof an axis is usually fed back using an incremental optical
encoder. This typeof encoder counts the numberof increments from a pre-
viouslocation to determineitsposition relative to thelastposition.
Obviously, it is necessary to initialize the location of all of the encoders
at the beginning of robot programming and playback of the program. This
initiallocation is knownasthehomepositionand is predetermined
174 Palmgren

by moving each axis of the robot to a particular location that is detected by

an electrical proximity sensor.
the of each jointso that thedesired
It is also important to control speed
end effector speed can be achieved. Typically a dc tachometer is attached to
either the actuator or on some gear shaft. In any event, the dc tachometer
generates a direct current proportional to the rotational speed of the shaft
to which it is connected. This dc. voltage is then compared with a voltage
representingthedesired shaft rotational speed. If an error is generated
between the measured voltage and the desired voltage, the motor at that
joint either speeds up or slows down. Optical incremental encoders can also
be used to measure the rotational joint speed. In this case, the change in
position is measuredovera very short period of time to determine the
rotational joint speed.

1.4. Robot Programming

Robotprogramming is accomplished by usingeitherteachpendent
programming,lead-throughprogramming, or off-lineprogramming.In
some cases, teach pendent programming and off-line programming areused
together to complete the robot program.
Programming the industrial robot with a teach pendent is the most
common form of robot programming (see Fig. 5). The teach pendentallows
the person that is programming the robot to drive the robot to a specific
locationandthenteachthispositiontotherobotcontroller.Then,
therobotprogrammercandrivetherobottothe next location,and
teach this position.
It is important that the person programming the robotselect the path
between the two taught points. Depending on the task that the robot must
complete,thepathmay be linear,circular,orpath-independent
motions. Because the robot programmer onlyteaches the points in the path
and selects the path type (i.e., linear, circular, path independent), the robot
controller will determine the actual motions of the robot arms.
It is also important that thespeed of the tooling thatis attached to the
robot be controlled in a specified manner. For example, if a GMAW welding
torch is attached to the robot, it is essential that the torch speed be main-
tained at the desired welding speed.Thisrobottool speed is alsopro-
grammed by therobotprogrammer,but, ingeneral,individualrobot
joint or arm speeds are calculated by the robot controller.
A program method that is available but not as commonly used is the
off-line method of robot teaching. When this programming method is
used, theprogrammer will writeacomputercode in sometext editor,
and when the program is complete, it is downloaded to the robot controller
Robotics: An Overview 175

Figure 5 Robotprogramming teach pendent. (From Ref. 2.)

for use. In many cases, theoff-line program is touched up or editedusing

the teach pendent during slow-speed playback.
Writing an off-line program involves generating a sequence of pro-
gram steps that provide information as to end effector location, robot path
between programmed points, speed of the end effector, and basic sensor
inputioutput. In addition, the off-line program can specify welding par-
ameters and monitor other aspects of the robots operation.
As an example of other off-line programming features, a plane can be
defined by using the teach pendent to find three different pointson a fixture
which define a plane. If the fixture has moved from the assumed position
when the off-line program was written, all of the points are then moved
relative to the new plane.Thus,a new programdoesnothaveto be
generated.
When someone is programming off-line, it is necessary for the pro-
grammer to completely visualize the 3D space and all of the fixtures in
the work volume of the robot. It would be very easy to program points
and paths that would try to force the robot through a stationary object.
These collisions canbe checked for by a slow-speed playbackof the program
prior to operating the robot at full speed. There are also computer-aided
design (CAD) programs that can be used for robot programming and/or
collision-avoidance detection.
176 Palmgren

The final method of robot programming is known as lead-through

programming.This is accomplished by therobotprogrammergrasping
the end of the robot and physically leading the robot through the appro-
priate motions at the correct speeds. The robot controller then measures,
at equal, but small, time intervals, the position and speed of the robot arms
through sensors that are attached to the robot arms.
When the robot motion playedis back, the robot controller moves the
arms to the position and speed measured for time interval 1 and then the
robot controller moves the robot to the position and speed for time interval
2. This process continues until the last time interval as been played back;
at this point, the robot program is complete.

1.5. IndustrialRoboticSystemsandApplications

The use of robots in the industrial environment is common andvery diverse.

However, the majority of robotic applications are in the areas of welding,
materialhandling,assembly,andspraypainting.Fromthe perspective
of therobotuser,theimplementation of arobot is based on selecting
an off-the-shelf robot from a robot manufacturer and selectingidesigning
the appropriate end arm toolingifixturing. Finally, the robot user must put
the system together in a manner that may coordinatewith other automated
systems and has safety features that are unique to robotic systems.
Resistance spot welding was one of the early applications of robotics.
This was an ideal robot application because of the fact that it was tedious
for an operator to handle a spot-welding gun which is usually heavy even
when counter balanced. The other reason why this was an early application
of robotics was that as long as the part that was being spot welded was
not moved, the robot could operate in a point-to-point mode and thus
the robot movement was path independent.
However, as the parts began to move on the assembly line, it was
necessary for the spot-welding robotto track the locationof the point where
the spot weld was to be made because resistance spot welding is not an
instantaneous operation. Thus, the robot needed to track a prescribed path
and, therefore, the need for control models that would move the arm joints
to prescribed positions at predicted velocities were developed. Robot pro-
gramming is usually accomplished using a teach pendent, but off-line pro-
gramming is also very acceptable.
Because the algorithms for robot motion had been developed, it was
logical to include other welding processes such as gas tungsten arcwelding
(GTAW) and gas metal arc welding (GMAW) (see Fig. 6). Both of these
welding processes require precise positioning over the weld seam and close
control of the welding travel speed. Anyone who has welded knows how
Robotics: An Overview 177

Figure 6 Two robots performing a GMAWoperation. (Note:The robots are mounted

over the fixture!) (From Ref. 3.)

important it is to track the weld seam and to move the welding torch at the
correct speed!
Material handling is also a very good example of using a robot in a
manufacturing environment. Imagine a person having to place a 50-lb sacks
of cement ona pallet every day! What a wonderful opportunity for a robot!
Using a robot that has a lift capacity of capable of picking up atleast 50 lbs
and end-of-arm tooling thatuses vacuum suction cups, it becomes an easy
task for the robot. Also, programming using a teach pendent or off-line
program is very easy, as you only have to program the first point and then
use the palletizing mode for the rest of the robot program. The palletizing
program simply increments in the X,Y and 2 directions from the first point
by incremental amounts that have been input by the robot programmer.
Other material-handling applications include usinga robot to load a
part into a vertical or horizontal maching center. Once again, this robotic
application reduces operator fatigue and improves productivity. The teach
pendent program is probably the most commonly used method with mech-
anical grippers comprising the end-of-arm tooling.
Electronic assembly of circuit boards is very popular becauseof high
assembly speeds and minimal assembly errors. Programming with a teach
pendentand off-line programmingarethecommonmethod of pro-
gramming. The end-of-arm tooling for electronic assembly varies by appli-
cation and is usually a special design.
178 Palmgren

The use of robots in spray painting removes a human from a very

undesirableatmosphere.Inaddition,there is less variation with robot
playbackthan with humanoperators.Robotprogramming is generally
accomplished by using the"lead-through''method.Thespraygun is
attached to the robot and other highly specializedspraying equipmentallow
for easy paint color changes, which increases productivity.
Often robotic systems are used inconjunction with automated cells.
This requires that the robot controller communicate with other controllers
or a host computer. This varies from system to system and oftenraises
interesting communications problems between the systems.
Robotic systemsafety is very important. Those persons working a
around robotic systemsneed to be awareof the robot's operationin addition
to external safety sensors that are located at the robot system perimeter.
These external safety sensors determine if someone has entered the robot
workspace and will shut the system down using the robot controller emerg-
ency stop system. The sensors may be sensitivefloor mats, light beams,
or limit switches.

2. GEOMETRIC DESCRIPTION OF AN INDUSTRIAL ROBOT

The geometric description of an industrial robot is useful from the stand-

point of developing the robot's workspace, and in the next sections of this
chapter, a robot is described mathematically. For the following discussion,
a two-link, planar manipulator will be used to describe work space and
kinematic relationships.
The work spaceof a robot is the volumein which a robot can douseful
tasks. Often this workspace is shown as an area representing a slice out of
the work volume. Shown in Fig. 7 are both a top view and aside view
(a slice) from the actual robot working volume.
It is often necessary to make adjustments from the actual work-space
drawingsthatareavailablefromtherobotmanufacturer.Thereason
for the adjustments is the direct result of end-of-arm tooling dimensions,
which are not known when the robot manufacturer determines the robot
work volume.
Using a compass and protractor, it is possible to redraw the work
space in Fig. 8 using the following steps:
Step 1. Holdlink 1 at 90", rotate link 2
Step 2. Holdlink 1 at 30", rotatelink 2
Step 3. Holdlink 2 at O", rotate link 1 through 30"-90"
Step 4. Holdlink 2 at -120", rotatelinkthrough 30"-90"
Robotics: An Overview 179

E~-I7

Figure 7 Exampleofthework :volume for a six-axis robot. (From Ref. 4.)

Figure 8 Work-spacedevelopment.

3. ROBOT KINEMATICS

3.1. Forward Kinematics

The forward kinematics of a robot determines the location of the end-of-arm
tooling, giving the locations and the length of the robot arms.In Fig. 9, P,
and P>,are the locations of the end-of-arm tooling. Knowing 01 and 02
as well as the lengths of the arms,rl and 1-2, the position of the end-of-arm
tooling can be determined.
180 Palmgren

Figure 9 Two-link manipulatorconfiguration.

Figure 10 Three-linkmanipulatorconfiguration.

A few other comments regarding the two-link planar robot the devel-
opment of the forward kinematic equations follow. As shown in Fig. 9,
revolute joints are used, but prismatic (linear) joints can be used as well.
Additionally, more rotational (or prismatic) joints can be used and the
forward kinematic equations can be developed in a manner similar to that
shown in Fig.10. Finally, the originof this drawing is known as the world
coordinate system, and points P,,and PJ, are associated with the tool
coordinate system. The joint variables 81 and 82 canthenbeusedin
Robotics: An Overview 181

the forward kinematic equations to relate the tool coordinate

system relative
to the world coordinate system.
Kinematic equations for a two-link manipulator:
P, = r1 cos(O1) + r2 cos(O1 + 02)
P,, = rl sin(81) + r2 sin(O1 + 02)
Kinematic equations for a three-link manipulator:
-
+ +
P, = ~ I C Ir2C1+2 r3C1+2+3
Py = rlSl + r2Sl+2 + o S 1 + 2 + 3
I

4 = 01 + 0 2 + 03

3.2. Inverse
Kinematics

Solving the inversekinematicequations is not simply thealgebraic

manipulation of the forward kinematic equations and then the simultaneous
solution of the equations. Thus,it is not simply a matter of knowing the tool
coordinate systemassociatedwiththeend-of-armtoolingandthen
determining the joint variables or angles 01 and 02 associated with the robot
joints. Thisis, of course, because the sine and cosine functions are nonlinear
and we must therefore linearize these equations before we can solve them.
To linearize thekinematicequations,the followingderivation is
presented: Assume that we make smallchangesinangles(i.e., AOs are
small), or stated another way, the next location (not necessarily the final
location) is close to the initial location. The previous or old position
is given by the tilde symbol over the respective P , O or 6
(m)

S ,. - sln(O,) = sin(6;
+ 8;) = sin(t);) cos(6;) + cos(8;) sin(6;)
6; is a small-angle approximation.
s;= S, + s;C,
I
182 Palrngren

That is the expanded form of the kinematic equations. Then, we substitute

Eqs. ( 3 ) and (4) into Eqs. (5):
P, = q(Cl - &SI) +r,(C, - 61SI)(C, - &) - rz(S, + 612'1)
( S , - &C,)
Robotics: An Overview 183

The first part of Eqs. ( 6 ) and (7), r l c l + r2(C1C2- ilk,) and

t-151+ rz(klk, + $1 cz), respectively are replaced by P, and P,, because
of equations 5 being true for the previous position. The result is

Substituting the above equations into Eqs. (S), we get

TheJacobianJ is thefollowing 2x2 matrixcontainingthepartial

differentials:
aP, aP,
-~

ao2
"

sol
Thus, for a three-link planar manipulator, it is only necessary to take the
partial derivatives of the following kinematic equations to determine the
Jacobian:
Kinematic equations for three-link planar manipulator
184 Palmgren

The Jacobian J for the three-arm robot is the following 3 x 3 matrix

containing the partial derivatives:

ao, ao, ao3

The Jacobian ( J I ~J l, 2 , J.1, J ~ wcan
) also be used to determine joint
velocities given the velocities in the X and Y directions associated with
the end-of-arm tooling.
Knowing
Robotics: An Overview 185

then

S O P =JO.
For

l%%
and assuming

the relationship can be written as

186 Palmgren

m. ..
The acceleration for a two-link planer manipulator is
P=JB+J 8
0.

Note: The only difference is .

Remember the following for the Jacobian:

l+
4. DYNAMICS OF ROBOTS

Robot dynamics is complicated because of the interactions among position,

speed, and acceleration as they relate to inertial, centrifugal, Coriolis, and
gravitational factors. In addition, as the number of robot links increase,
the complexity of the mathematical solution also increases. However, often
generalizations have to be made that will simply control the robot.
The generalized equation for motion of a robot is

+ + g(U) + J(0)k = T
0.

H(fl)U C(U.
where H(O) is the generalized moment of inertia, C(0. f l ) is the centrifugal
and Coriolis factors, g(0) is the gravitational factor, J(U)k are the external
forces and moments on links, and T is the torque or force on each link.
Some very generalcommentscan be madeaboutthisequation.
Obviously, if there is no motionof the robot, only the gravitational, external
forces. and moment factors need to be considered, which reduces this to a
staticsproblem.Second,asthespeed of therobotend-of-armtooling
increases, the joint velocities increase as well and, therefore, the inertial,
centrifugal
andCoriolis
factors become important as well asthe
gravitational, external force, and moment factors. Which factor is more
important is not only dependent on joint velocity and acceleration but also
position. Therefore, any exact "up-front" prediction of the robot dynamic
Robotics: An Overview 187

response prior of knowing the exact path and speed is of little use to the
robot designer.
In thespirit of continuing with themuch used two-linkplanar
manipulator, a dynamic model will be presented that uses the Lagrangian
method of analysis. Simply stated, the Lagrangianis equal to thedifference
betweenthekinetic andpotential energiesof thesystem.Theequation
for the Lagrangian is
L = Kinetic energy - Potential energy

The torque (force) on a particular joint can be related to the Lagrangian

through

T = -a a~ a~
---
at 3; a0

where T is the torque (or force on the joint.A simple example of using the
Lagrangian method canbe demonstrated used a onelink robot (see Fig. 11):

X = RI COSU
Y = R1 sin H

X = Rl(sin 0 ) 0
Y = Rl(C0S 0)O

and knowing that the kinetic energy

1 ,
K z= - t n V-
2
188 Palmgren

YI
I PM. P"

A Mass of Link acting through

the Center of Gravity
/

Figure 11 Example using the Lagrangian method using a one-link robot.

then

1
K = -m(R:b')
2

Knowing that the potential energy

P = mgh

then

P = mgRl sin 0

The Lagrangian becomes

1
L = -m(RTb') - mgRl sin 6
2
Robotics: An Overview 189

and

Therefore, the torque T

~ Io
T = rr1R;ij - i ? ~ gCOS
From thissimple
application of the
Lagrangian ato one-link
manipulator, it is easy to see the effect of the angularacceleration
and angular position on the variation in torque of a single revolute joint.
By examiningtheequation,the effect of gravity is thegreatest when
H is 0" or 180". Also,note thatforthe one-link manipulator,there is
noCoriolisaccelerationbecausethere is onlyonelink that is moving
relative to itself!
Consider once again the two-link planar manipulator, but, in this case,
the arms are rotating as if they were on a flat table and thus there are no
gravitational considerations. The equation of torque's for the two links,
using the Lagrangian analysis method, yields (Ref. 5)

Unlike the previous example for a one-link manipulator, this equation has
aCoriolisandacentrifugaltermshown;notermforthegravitational
efiect is shownbecausethistwo-link manipulator lies in theplane of
a flat table.However, if themanipulator is nowpositionedvertically,
190 Palmgren

the effects of gravity must be taken into consideration and a third term can
be added to the above equation:

5. TRAJECTORYGENERATION

A path is the distance along a straight line or a curved path. However. a

trajectory involves time along the path. Because time is incorporated into
the function of developing a path, the joint velocities and accelerations must
be incorporated into the control methodology.
The actual trajectory of the robot will be different from the desired
trajectory by an amount that corresponds to the robot systemdynamic
repeatability. The robot system dynamic repeatability is a value that can
be measured and is usually considered to be equal to the robots published
repeatability.
(Caution
must be exercised when considering
robot
repeatability information, as test methods used by one robot manufacturer
are not necessarily thesameforotherrobotmanufacturers!)Thus, if
onecanimagine a straighttrajectorytherobotmusttake between two
points, the actual path that the robot takeswould be contained i n a "tube,"
where the "tube's'' radiuswould be equal to the dynamic repeatability of the
robot.
From a robot operational standpoint, the trajectory that is taken by
the robot can be articulated (i.e., not a straight line), a linear trajectory,
or a circular interpolated trajectory. Obviously, the path that is taken will
be determined by the task that must be performed by the robot. However,
an initial discussion of each oneof the pathtypes from a robot programming
standpoint without considering how the controller actually determines the
path would be useful.
Robotics: An Overview 191

The robot programmer can simply select articulated motion if the

endpoints of the trajectory are more important than the motion between
these points. This allows the robot joint actuators to move virtually inde-
pendent of each other provided that the joint angles arrive at final values
that will position the end-of-arm tooling at the appropriate location. This
is just simply point-to-point programmingof the robot or path-independent
programming.
Linear programming involves teaching endpoints and then the robot
controller will determine the motions between these endpoints. In addition
to teaching the endpoints, the robot programmer must also instruct the
robot controller that the robot should take a linear trajectory.
Circulartrajectorygeneration involves programmingaminiumof
three points. Obviously. three points are necessary to define a curve or a
circle. Thecircularinterpolationthen is achieved by movingtherobot
through a series of linear incremental moves that are very small, which
approximate the circular trajectory.
Another practical issue that occurs during robot operation is when
there is anabruptchange in thedirection of therobottrajectory.For
example, consider a robot having to make a 90 turn. The robotwould have
to deceleratequickly andthenacceleraterapidly in anotherdirection.
Depending on the speed of the robot, problemswith the robot overshooting
or jerking may occur. To address this problem, a rough position func-
tion may be invoked by the robot programmer that effectively rounds
thecorner.Thelargerthecornerradius,themoresmoothly the robot
can move through the corner. However, the corner radius cannot be too
great or the robot will have deviated to far from the desired trajectory.
Clearly,the lowertheaverageacceleration,the smoothertherobot
movement.
Although there are many approaches to trajectory planning at the
robotcontroller level theexploration of oneapproach is based onthe
two-link planar robot inverse kinematic solution presented earlier in this
chapter.Itmust be remembered thatthepointsthatlocatethe end of
arm tooling represent a location relative to the world coordinate system.
However, the robot controls the joint variables whether they are revolute
orprismatic.Therefore,thetrajectoryplanning must transformthe
end-of-arm tooling coordinates to move the joint.
First, consider two points that would be programmed by the robot
programmer. These programmed points are a reasonable distance apart
(say 6 ins.)Next,therobotcontrollercould divideupthislength into
intermediatepoints.Thesepointsshould be sufficiently close together
SO the motion from one intermediate point to the next intermediate point
produces joint angle changes that are sufficientlysmallwhencalculated
192 Palmgren

using theJacobian.(Rememberthat in ourearlierderivation,the way

that we linearize the equation was through a small-angle approximation.)
However, small changes at the joint level will not produce a straight
line between the intermediate points, but rather a curve. If the curve does
not deviate farther from the desired path by an amount greater than the
dynamicrepeatability of the robot, the trajectory has been achieved. If
the path deviation between two adjacent intermediate points is too great,
then more intermediate points should be chosen and new joint angles cal-
culated between each intermediate point.
Circular interpolationis dependent on dividing the curved path up into
straight-line segments. Then each of these straight-line segments can be
divided into intermediate points. Then, joint angle changes canbe calculated
as described in the above paragraph.

6. SUMMARY

The application of robotics to industrial manufacturing problems is com-

mon place and involves understanding of the robot, manufacturing pro-
cesses, robot programming,
and
robot
control. Implicit in the
understanding of programming a robot control is theinversekinematic
anddynamicbehaviors of therobot.Havinga basicunderstanding of
kinematic and dynamic relationships of a two-link planar manipulatorgives
insightintothekinematic anddynamicbehaviors of industrialrobots
withouthaving to explorethe specific relationships in detail.Theend
result is the ability to implement an economicallyviableroboticsystem
in an industrial environment, which, after all, is the reason for industrial
robots!

REFERENCES

1. R. Biekcrt, Robotics technology.i n CIM Tdlrlology. Goodheart-Wilcox, Tinley

Park, I L (1993).
2. ADEPT Technology. Mntllrrll Control Ptwtlmt USCYG l t i d ~ADEPT . TechIlology
San Jose. CA (1991).
3. P.Waurzyniak.Roboticsevolution. Mrrt?l!f:E t q . 122(2):40-50(1999).
4. Cincinnati Milacron. T.'-786 I t ~ d l r s t r i t r Robot
l Brochzcrc, Cincinnatl Milacron.
Cincinnati, OH (1985).
5. R. Murray. L. Zexlang, and S. S. Sastry. z4 hlat/~rt~~crtic~rrlIr~trotluctior~ t o Robotic
M ~ ~ t ~ i p u l CRC.
~ ~ t i ~Boca
t ~ . Raton. FL (1994).
Robotics: An Overview 193

BIBLIOGRAPHY

M. Brady. J. Hollerbach. T. Johnson, T. Lozano-Perez,and M . Mason, Robot

Motion Plunning w d Control. MIT, Cambridge. MA (1982).
P. CoiKet and M. Chirouze, An Introduction to Robot Technology, McGraw-Hill.
New York (1982).
GeneralElectricRoboticsandVisionSystems, P50 Process Robot Operator.s
Munuul. General Electric, Orlando, Florida (1983).
S. Nof, Hmribook oflnrlustriml Robotics, John Wiley & Sons, New York (1985).
This Page Intentionally Left Blank
Fluid-Structure Interaction

Mohammed Anwer
Independent University, Dhaka, Bangladesh

1. INTRODUCTION

Rarely are there machines that do not have some interaction with one or
several fluids. The range and the typeof these interactions can be very wide,
and theydependmainly on thetypeandapplication of themachines.
Machineswhichproducemechanicalenergy(e.g.,internalcombustion
engines, gas or steam turbines, etc.) invariably use a fluid as a medium
fortransfer of thermalenergyproduced by the fuel.Fluid is also used
forcoolingthesemachines or theircomponents. A wide range of
fluid-structure interactions appears in these machines or their components.
For example, the variety of flows appearing in a gas turbine can be flow
in straight pipes, flow in bends. flow over curved surfaces, and so forth;
in a combustor, these can be jet in a confined flow, jet in a swirling flow,
flow with suddenexpansion,and so forth; in aheatexchanger,these
can beflow overbanks of pipes, flow in abend, flow in coaxialpipes,
and so forth; in an internal combustionengine, thesecan be flow ina straight
pipe, flow in bends, jet in a cross-flow, confined flow in a cylinder, and so
forth. The physicsoffluid-structure interaction has a major impact on
the overall performance of these machines.
Fluid-structureinteractionrefers to both ( 1 ) howthe flow field is
modified because of the presence of the structure and (2) how the structure
reacts to the properties of the flow. Generally, when there is a structure
in a flow, the flow field is modifiedby the appearance of a wake region,
redistribution of momentum and stressfields, generation of secondary flow,
and so forth. In a similar fashion. the reaction of a structure placed in a flow

195
196 Anwer

may be to develop a lift or drag force, vibration of the structure, and so

forth. The reactionof a flow on the structure invariably depends different
on
properties of the flow, such as Reynolds number, turbulence level, Mach
number, and so on.
It is very difficult to draw a general picture of fluid-structure inter-
action in machinery.Eachapplication is unique; even in oneparticular
machinery,differentbehaviorsmaybepresentindifferentparts of the
machinery. A similar flow situation appearing in two different machines,
or in two different parts of the same machine, may have totally different
characteristics.
Real flow configurations appearing in
machines are
extremely complicated.To understandthese flow configurations, itis necess-
ary to understand lesser complicated flows. Hence, in this chapter, before
discussing some practical aspects of fluid-structure interaction, a few fun-
damental flows are discussed, so that these may form a base for the under-
standing of morecomplicated flows arisinginamachinery.Therefore,
this chapter is divided into two major parts. Thefirst part, Fluid-Structure
Interaction:Fundamentals,looksintosomefundamental fluid-structure
configurations; the second part, Fluid-Structure Interaction: Application
looks into some practical aspects of fluid-structure interaction.

2. FLUID-STRUCTUREINTERACTION:FUNDAMENTALS

In fluid mechanics, certain flow configurations form a base for the under-
standing of other fluid flow phenomenon. These are (1) flow bounded by
solid walls, such as pipe flows and channel flows, (2) flow bounded by a
solid wall on one side and a fluid on other sides, such as boundary-layer
flows, and (3) flow bounded by another fluid of different density andlor
velocity on all sides, such as jets, wakes, and free-shear layers. The under-
standing of these flows helps us to understand more complicated flows.
In a practical flow situation, more than oneof these basic flows are usually
present. These basicflows are notdiscussed in this chapter, but the concepts
of these flows are used to explain more practical flow situations. As dis-
cussedpreviously,alargevariety of fluid-structureinteractions appear
in machines and their elements. A discussion of all these flow situations
is beyond the scope of this chapter. Only some general flow configurations
will be discussed. These are flow downstream of stationary and vibrating
bluff bodies, such as cylinders, spheres, cubes, and so forth, and curved
boundary layers.

2.1. Bluff Bodies in a UniformFlow

Understanding flow downstream of bluff bodies flows greatly helps us to
understand fluid-structure interaction in turbomachinery, internal combus-
Fluid-Structure 197

tion engines, and a wide variety of other machines. In addition to appli-

cation in machinery, results from flow around and downstream of bluff
bodies are also used in the design of buildings, determining the flight path
of small aircraft, spread of pollutants in the atmosphere, and so forth.
When a solid body moves through an infinite fluid of density U , with
velocity U. or whenfluid flows pastastationary bodywitha velocity
170, dimensional analysis reveals that it is neither the velocity of the body
northe fluid thatdeterminesthe physics of the flow, rather it is the
nondimensionalquantityReynoldsnumber,Re = &L/\? (where L is a
characteristic length and v is the kinematic viscosity of the fluid) that deter-
mines the physics of the flow. It is conjectured that two different flows
at the same Reynolds number would be similar. Therefore, the Reynolds
number is an important parameter in understanding the physics of a flow.
In addition the
Reynoldsnumber,
there
are
several
other
similar
nondimensional quantities used to understand the physics of a flow.
The geometries of bluff bodies considered in this chapter are circular
cylinders,spheres,rectangular(including square) cylinders, and cubes.
In machineries, the results obtained from the study of flow downstream
of thesestructureshelpstounderstand forces of supportsandstruts,
vibration of structures, forces on valve stems, vibration of tubes in boilers
andheat exchangers,heat-transfercharacteristics of bundle of rodsin
boilers and heat exchangers, cooling of machine elements, and so forth.

2.1.1. Steady flow past a circular cylinder

In the case of flow past a circular cylinder, depending on the Reynolds
number (Re = UoD/v; D is the diameter of the cylinder), threedifferent flow
configurations arise. When the Reynolds number is low ( < l), the flow
remains completely attached to the surfaceof the cylinder, and an approxi-
mate analytical solutionof the Navier-Stokes system may be obtained. This
flow, shown in Fig. la, is called creeping flow or Stokes flow.
As the Reynolds number increases, the flow separates near thetop and
bottom of the cylinder, and vortex rolls appear on the rear face of the
cylinder. However, the vortex rolls remain attached to the body (Fig. lb).
With a further increaseinReynolds number, the vortices separate from
thecylinder and are shed into the flow. The shedding is antisymmetric,
as shown in Fig. IC. This vortex shedding is called Karman vortex-street.
Although a Reynolds numberof around 40 is considered to be the Reynolds
number when the vortices start shedding from the cylinder, vortex shedding
has been observed to commence at a Reynolds numberas low as 30 [l] and as
high as 80 [2]. An excellent pictorial view of these flow configurations is
given by Van Dyke [ 3 ] .
198 Anwer

Figure 1 Schematic rcprescntation of flow around a circular cylindcr: (a) attached

flow, low Reynolds number; (b) separated flow, no vortex shedding:(c) separated flow,
KLrmrin vortex-street.

In all of these flow configurations, there are two stagnation points in

the flow; both on the flow axis. One on the front face of the cylinder, called
the forward stagnation point, and another on the backface of the cylinder,
called the rear stagnation point.

A t w l J ~ t i c d solution: lOH,-Re~nol~s-nunlhcrf h r : A low-Reynolds-

number flowis called Stokes flow after Stokes [4], whofirstderived the
governing equations for flow at a low Reynolds number. Recognizing that
the Reynolds number is the ratio of inertia force to viscous force,alow
Fluid-Structure 199

Reynolds number means that the inertia force is small compared to viscous
force.* Therefore. the inertia terms are neglected from the Navier-Stokes
equations. The detailed derivation of the Stokes equations may be obtained
from the work of Lamb [5, $3381 or Illingworth [6]. The solution [7] for
the axial velocity U at a point x@, 8) in polar coordinates is

u=u+cu (- - 2l o g - -a- + - 4
I' (l?)
41.2
,;
+Cx- u x ("L)
1
2 2I"
where U is the free-stream velocity vector, U is the radius of the cylinder, and C
is a constant which is quoted from Ref. 5 as
2
C=
In (7.4/Re)
The drag force F(/ on the cylinder is obtained as
F,/ = ~ I T ~ U ~ , C
where p is thedynamic viscosity of the fluid. The drag coefficient C'/ is
obtained from

(4)

It is difficult to measure the drag on a circular cylinder at such a low

Reynoldsnumber.However,thedrag coefficient obtainedfromEq.(4)
satisfies the extrapolated values of the drag coefficient obtained at slightly
higher values of the Reynolds number[8,9]. These comparisons appear later.
An informative, but slightly mathematical, review on the subject of
Stokes flow can be found in Ref. 10.
Hi~}r-Re!nolls-nul7lht.r..floM: At ahigherReynoldsnumber, vortices
are shed from the cylinder. The vortex formation and shedding process at
Re = 100 [l13 is shown in Figs. 2a-2h. The following description of the vortex
formation process is due to Gerrard [12]. Because of the adverse pressure
gradient near the top and bottom of the cylinder, a shear layer is developed
there.Vortices are formed because of the circulation of the shear layer (Fig.
2a). The vortices continue to grow, being fed by the circulation of the shear
layer (Fig. 2b). When the Reynolds numberis low, the shearlayer is not strong
enough to cause the vortices to grow enough to separate from the cylinder.
With a higher Reynolds number, the shear layer is strong enough for the

*It Inay also mean that the viscous force IS high compared to inertia force. Thls option IS not
cons~deredhere.
200 Anwer

Figure 2 Sequences of proposed model for vortex shedding from a steady circular
cylinder at Re = 100. (From Ref. 11.)

growingvortextodrawtheopposingshear layer (Figs. 2c and 2d). The

approach of fluid of opposite vorticity further cuts the supply of circulation
to the growing vortex, which is then shed and moves into the flow (Fig. 2e).
The process starts over from the opposite side of the cylinder.

Sur~cepressureanddru~ co@cient. Among earlier reported results of

investigations on circular cylinder, thedrag coefficient (definedearlier)
and the pressure coefficient C,, are most common. The pressure coefficient
is defined as

Here, p is the static pressure at any circumferential location b, (measured in

Fluid-Structure 201

degrees from the forward stagnation point)and p0 is the static pressureof the
free stream.Pressure anddrag coefficients are directly related toeach
other-static pressure can be integrated around the circumference of the cyl-
indertoobtainthedrag force onthe cylinder(although thedrag force
can be measured directly also). In a seriesof investigations,Wieselsberger [8,9]
reported the drag coefficient of a circular cylinder for the Reynolds number
ranging from 10 to lo6. His results, along with more recent measurements
[13-171, are shown in Fig. 3. The general nature of the curve is that with
theincrease in Reynoldsnumber, C(/ reducesgraduallytoa value of 0.9
around Re = IO. Then, Cd increases slightly to 1.2. Around 3x105, Cd drops
sharply, leading to another gradual rise. The drag coefficient obtained from
Stokes theory is also plotted in Fig. 3 in the lower range of Reynolds number.
It is clear that the Stokes theory matches well with asymptotically expanded
results of Wieselsberger.
The results of surface pressure are used to explain the behavior of Cc/
shown in Fig. 3. Figure 3 shows that for lowervalues of theReynolds
number, C(/ decreases with an increase in Reynolds number. In this range,
with an increase in Reynolds number, the inertia force becomes more domi-
nant compared to theviscous force (recall that forcreeping flow, the inertia
force was negligible compared to viscous force); hence, the drag coefficient
reduces [15]. Many results are available for measurement and calculation
of the surface pressure for, Re < 100 [ l 5 1 8-21]. Some of these results
are shown in Fig. 4. With the increase in Reynolds number, the pressure
on the frontface of the cylinder is not affected substantially, but the pressure
on the back face of the cylinder increases and gradually approaches the
inviscid theory (zero drag) curve; hence, the drag coefficient decreases.
The drag coefficient continues to decrease to a value of approx 0.9 until
Rex2x103.
Beyond Re = 2x IO, in Fig. 3, the dragcoefficient increases slightly. In
this range of Reynolds numbers, the laminar boundary layer that separates
from the surface of the cylinder continues as a free vortex layer into the
flow and becomes turbulent farther downstream into the flow [22-241. With
a further rise in Reynolds number, the transition to turbulence in the free
vortex layer approaches the surface of the cylinder. The flow in the vortex
layer is modified, with the resultthat the pressure on the rear of the cylinder
decreases [22]. This is seen in Fig. 5, where it can be observed that whereas
pressure ontherear of thecylinder doesnotchangeappreciablyfor
Re = 2800 and 5000, it decreases for Re = 9900, 27,700, and 40,700. This
reduction indicates a rise in the dragcoefficient. The dragcoefficient gradu-
ally increases to approx 1.2 around Re = 2 x lo4 and stays constant until
about Re= 1 . 5 lo5.
~ The flat portion of the surface pressure profile on
the rear face of the cylinder indicates separation.
202 Anwer
Fluid-Structure Interaction 203

c!
0
I

9
I

?
0 30 G0 00 120 150 I YO
Anglc on circumference, 0 (deg)
Figure 4 Surfacepressure of a circular cylinder for 5 5 Re 5 100. (From Ref. 15.)

Figure 3 shows that above Re = 1 . 5 lo5,

~ the drag coefficient drops
drastically.Thissuddendrop is a result of thetransition to turbulence
of the laminar boundary layer on the surface of the cylinder. The drag
coefficient behavior in this range of Reynolds numbers is shown in more
detail in Fig. 6. As the boundary layer becomes turbulent, the enhanced
diffusion of a turbulent flow helps to transfer more momentum from the
faster moving free-stream fluid to the slower moving fluid near the surface
of the cylinder. As a result, boundary-layer separation on the surface is
delayed.The flow visualizationstudy by Prandtl(reported in Ref. 26)
has shown that because of transition to turbulence, the separation point
204 Anwer

09
0

-?
0

0 30 00 00 I20 I50 I80

Angle on circumI'crence, 8 (deg)

Figure 5 Surface pressureof a circular cylinder for 2800 5 Re 5 40.700. (From Ref.
22 .)

moves towardtherearstagnationpointfrom 0=70" to O= 120". This

delayed separation results in a drastic increase of pressure on the back face
of the cylinder. This behavior of the pressure can be observed in Fig. 7,
where it is seen that the pressure on the back face of the cylinder remains
almost same for the Reynolds number range below transition (Re=6 . 0 lo4
~
to 1 . 0 6 ~ 1 0 ~However,
). astheReynoldsnumberapproachestransition
(Re = 1 . 6 6 IO5 IO5), the pressure on the back face continues to
~ to 2 . 1 2 ~
increase. The continuous rise in pressure on the back face of the cylinder
results in areduction to avalue of 0.3. Measurements of the pressure
coefficient before, during, and after transition, shown in Fig. 8, show that
action Fluid-Structure 205

0
IO4 2 6 10 2 6 IO6 3 6 lo7
Reynolds number, Re
Figure 6 Drag coefficient of a circular cylinder during the transition to turbulence.

during transition (Re = 6 . 7 lo5),

~ the pressure on the backface of the cyl-
inder approaches very close to the inviscid theory, resulting in a very
low drag coefficient. For theReynoldsnumberafterthetransitionto
turbulence, an experimental study [27] shows that the size of the vortex roll
on the back face of the cylinder continues to grow with the increase in
Reynolds number. This results in the separation point movingback toward
the forward stagnation point, which results in a reduction of the pressure
on the rear of the cylinder (Fig. 8; Re=8.4x loh), leading to a gradual
increase in C(I.It is hypothesized that the drag coefficient will eventually
reach a value of 0.8 asymptotically [27,28].
The effects of the length-to-diameter ratio( L I D ) of the cylinder upon
the c d areshown in Fig.9[17,21,22,29]. Figure9showsthatthedrag
coefficient is highly susceptible to the three dimensionality of the cylinder.
As the ratio D / L (three dimensionality of the cylinder) increases, the drag
coefficient is drastically decreased. These results are
in qualitative agreement
with surface pressure measurements[30] for L / D = 1 to 3, shown in Fig. IO,
where it is observed that with increasein the ratio L I D (decrease D I L ) , the
206 Anwer

30 00 00 I20 I50 I80

Angle on circulnli.rcnce, 0 (Jeg)

Figure 7 Surface pressure of a circular cylinderfor 6 x 10' 5 Re 5 1.12 x IO'.

(From Ref. 25.)

pressure on the back face of the cylinder decreases, thereby increasing the
drag coefficient. Moreinformation, ofhistoricalinterest, on pressure
and drag coefficients and factors influencing these may be obtained from
Ref. 31 ($4 187-194).

Veloci(v i n the ~ * u k e . For Re > 1, vortices exist on the back face of the
cylinder.Figure 11 shows thelength of the wake region asa function of
Reynoldsnumber for Re 100 obtained by experimentalmeasurements
[16.32,33] and by numericalcalculations [14,15,34]. Thegraph shows that
in the low-Reynolds-number range, the wake grows linearly with Reynolds
number.
Fluid-Structure Interaction 207

0 30 60 00 120 I50 I80

Angle on circulnlerence, 0 (dcg)
Figure 8 Behavior of surface pressureof a circular cylinder during the transition to
turbulence. (From Ref. 25.)

Hot-wire measurements [l61of axial velocity inthe wake of a circular

cylinder for Re = 10, 40, and 80 are shown in Figs. 12a-12~. Thevelocity
results for Re = 10 and 40 shown in Figs. 12a and 12b are also compared
with numerical calculations[14]. These results clearly showthat therecovery
of the axial velocity in the wake is very slow. For Re< 40, the axial velocity
profiles have been observed to be self-similar [16]. The following relation-
ship has been suggested:

where U( is the velocity at the centerline of the wake and y is the perpen-
dicular distance from the centerline of the wake.
208 Anwer

0 8.8 x 10'[17)
8 8 x IOJ 117)
v :,ox IO' [ l 7 1

0.0 0.2 0.4 0.6 0.8 1 .o

D/L
Figure 9 Effect of the length-to-diameter ratio of a circular cylinder on the drag
coefficient.(FromRef. 17.)

For Re=80 (Fig. 12c), the axial velocity shows a W-shaped profile.
The W portion is the negative flow inside the vortex on the back face of
the cylinder. However, as the hot-wire anemometer is not able to discern
the direction of the flow, the velocity in the vortex region appears positive.
The W-shaped profile has not been observed for Re= 10 and 40, because
for Re = 10, the length of the vortex is smaller than the first axial location
of measurement (x/D = l), and for Re= 40, the first axial location of meas-
urement ( x / D= 1) is in the vicinity of the length of the vortex (see Fig. 11).
Thedevelopment of the axial velocity on the flow axisdownstream of
the cylinder for Re = 5 to 40 [35] is shown in Fig. 13. These results show
that the vortex region actually does not appear before R e = 10. For values
of Re > 10, the velocity first decreases with increasing x / D ,indicating that
measurements are being conducted inside the vortex.
Velocity measurements in thewakeforhighervalues of Reynolds
number are almost nonexistent. The reason for this is that, because vortices
are being shed intermittently into the flow, the entireflow downstream of the
cylinder is unsteady.Therefore, velocity measurements at aparticular
location do not have much physical significance, as the velocity changes
Fluid-Structure Interaction 209

Figure 10 Effect of length-to-diameterratio of a circular cylinder on surface

prcssure. (From Ref. 30.)

continuously. Nevertheless, a representative measurement of velocity in the

wake of a circular cylinder a t R e = 4 . 7lo4
4 ~will be mentioned briefly in Sec.
2.1.5 to be compared with the velocity in the wake of a square sectioned
cylinder.
Vortex slwdding. Since the early days of research on flow downstream
of a circular cylinder, among other quantities,researchers have concentrated
onthe frequency of the vortices shedding from the cylinder. Shedding
frequency, in terms of the nondimensional Strouhal number, St (St =A.D/
U,, wheref; is the shedding frequency), for Reynolds numbers in the range
10-107, consolidated from different sources [2,13,27,28,36-431, is shown in Fig.
14. Roshko [36] conducted the first detailed analytical study on thefrequency
 Anwer

0 20 40 GO 80 I00
Rcynolcls number, Re
Figure 11 Wake length as a function of Reynolds number for Re < 100. (From Ref.
15.)

of theshedding vortices. Heproposedthe following model between the

Strouhal number and the Reynolds number:
4.5
St = 0,212"
Re
This model fitted the experimentalmeasurements rather wellfor a low
Reynolds number. However,Tritton [l31 first observed that there is a disconti-
nuity in the St-Re curve in the laminar region around Re = 120. Strouhal
numbers reported in the literature around this Reynolds number vary by
as much as 20% [2]. This discontinuity can be clearly observed in Fig. 14
Fluid-Structure Interaction 211

7
i
(a)

-6 4 -2 0 2 J (1

Spanwise disrancc,y/D
Figure 12 Spanwise profile of axial velocity as a function ofdistance downstreamof a
circular cylinder: (a) Re = IO; (b) Re = 40; (c) Re = 80. (From Ref. 16.)
212 Anwer

............
5.63 0
.

0 .
.........
..
4.13

3"
. e .

!
3

Re = 80
x
0
C!

around Re = 180 [38,39]. There is no indication that the discontinuity in the

St-Re curve is because of any experimental uncertaintyand/or irregularities
i n experimental techniques, but the frequency itself is observed to be highly
susceptible to experimental arrangements and conditions. Tritton repeated
his experiment i n 1971 [37] and obtained the same result. He tried to explain
this phenomenon by suggesting that at the low Reynolds number, the wake
originates from thesurface of the cylinder, whereasatahighReynolds
number, thewake originates in the vicinity of the cylinder.Other explanations
provided for this discontinuity includes instabilityof the flow [44], turbulence
in the wind tunnel [45], diffusion of vorticity during the vortex-shedding pro-
cess [l], vibration of the cylinder [46-481, and the vortex-shedding process
switching from a parallel mode to a oblique model [2,38,49-521.
Fluid-Structure Interaction 213

I 2 3 4
Axial distance downstream of the cylinder, x/D
Figure 13 Recovery of the axial velocity on flow axis downstream of a circular cyl-
inder for 5 5 Re 5 40.5. (From Ref. 35.)
214 Anwer
m
VJ
m
Fluid-Structure 215

In addition to a discontinuity at Re = 180, a second discontinuity in

the St-Re curve around Re =230 (Fig. 14) has also been reported [39].
Unlike the discontinuity at Re = 180, where the curve jumps, the second
discontinuityoverlapsovertheReynoldsnumberrange 230-280. The
seconddiscontinuity
has been attributedthe
tochange in the
three-dimensionalstructure in thenearwakefromthevortexloop to
the finer-scale streamwise vortices [39].
Although there is general agreement about shedding frequency in the
laminar region, as the flow become turbulent there is scarcity of results
for shedding frequency. Moreover, thereis large disagreement in the avail-
able data. It maybe observed from Fig. 14 that around Re= 6x IO4 (recall
from the discussionof the dragcoefficient that vortexrolls become turbulent
in the flow around this Reynolds number), the results of the Strouhal fre-
quency [41-431 vary widely from each other. During transition, the Strouhal
number increases by almost twofold. Different investigators have found that
this regime of Reynoldsnumber is characterized by quasirandomand
unsteady vortex shedding [53,54]. Experimental study in the transcritical
region [28] andsupercriticalregion [27] suggests thattheStrouhal
number, again, drops suddenly, and regular alternating vortex shedding
resumes again in the supercritical region [55].
Vortex-shedding control. The control of Karma, vortices has been the
subject of several investigations. The most common control is the use of a
splitter plate along the flow axis, downstream of the cylinder, so that the
stationary vortices on the back face persist for a longer distance [21,56,57].
Strykowski and Sreenivasan [58] have shown that for Re = 80 and 90, placing
a second cylinder of diameter one-seventh of the main cylinder, downstream
of the flow, accordingto following location completely destroys vortex
shedding:

Re SID ylD
80 1.2 1.o
90 1.6 1.2

Control of vortex shedding by imparting a rotation to thecylinder has

been known for a long time. When rotation is imparted to the cylinder, in
addition to the Reynolds number, a rotation number x , defined as

[where (00 (rad/s) is the angularvelocity of rotation], determines thephysics

of the flow. The modified vortex structure downstream of the cylinder is
216 Anwer

called theBirrnard-Karminvortex-street.Experimentalworkforthe
Reynoldsnumberup to 8000 [26,31,59-611 andnumericalcalculations
for the Reynolds number up to 106 [62-641 show that for lowervalues
of a, vorticesareshedonboth sides ofthecylinder to formthe
B3rnard--KZrm2nvortex street.Around c1 2.5, thevorticescompletely
disappear.
2.1.2. Developing flowfor a circular cylinder
The behavior of physical quantities is quite different in a developing flow
than a steady flow. These differences canhavea significant impacton
the overall performance of the machinery. For example. the difference in
drag coefficient or vortex-shedding pattern may result in a different load
pattern for the machinery, hence different structural stresses. Developing
flow invariablyappears in machineriesduringstart-upandshutdown.
,Therefore, the study of developing flow is vitally important for machinery
dynamics.
By integrating the Helmholtz vorticity equation, Payne [65] found that
for Re = 40, the drag coefficient starts with a value of 3.0 and reduces to a
steady value of 1.618 at t*= 2(t*= Uot/D, t is time in seconds). However,
similar calculations for Re = 100 failed to give an equally good comparison.
Further numerical work [66-711 has consistently shown that for developing
flow, numericalresultscomparepoorly withexperimentalfindingsfor
Re > 50. First, reliable numerical calculations for Re > 50 were performed
using a fourth-order compact scheme to calculate the Poisson equation,
andasecond-orderalternatingdirection implicit scheme to solve the
vorticitytransportequationfor R e = 300,550, and 1000[72] andfor
Re = 9500 [73].
Results indicate that the characteristicsof wake development are dif-
ferent for Re < 5000 and Re > 5000 [72,74-761. For Re 5000, a pair of
secondary eddies develop at t* = 2.85 on the back face of the cylinder (Fig.
15a): one near the shear layer at the top (or bottom) of the cylinder and
another the flow axis downstream of the cylinder. The eddy near the top
(or bottom) of the cylinder continues to receive vorticity from the shear
layer, and continues to grow. On the other hand, the eddy near the flow
axis continues toreceive a vorticity of opposite sign from the eddy growing
alongtheshearlayer;hence, it gradually loses strengthanddisappears
around t* = 5.0.
For Re > 5000, a very thin recirculating wake is formed which divides
the recirculating zone into two parts (Fig. 15b). One part of the vortex
moves toward the separation point at the top (or bottom) of the cylinder;
the other part of the vortex grows to become the larger main vortex. This
development process is completed from t* = 0.5 to t* = 2.5.
Fluid-Structure Interaction 217

( 4 Re 5,000 ( b ) Re > 5,000

Figure 15 Characteristics of the development of vortex rolls on the back face of a
circular cylinder: (a) Re < 5000; (b) Re 5000. (From Ref. 74.)

Figure 16 shows the developmentof the dragcoefficient and thelength

of the wake as a function of time for Re < 1000. It is clear that forall values
of the Reynolds number, thewake initially develops linearly with respectto
time. It should be mentioned here that this linear behavior will soon flatten
as thewake length stabilizes. The dragcoefficient shows a remarkable result
that at the transient value of the dragcoefficient is as high as 4.0 compared
withapproximately1.2forsteady flow. This is importantfor design
purposes, because structural compensation will have to be made for the
higher value of the dragcoefficient. Further, fort* < 2.0, the dragcoefficient
reduces to less than 1 .O before increasing again. Such a rapid change in the
drag coefficient generates acceleration, which, in turn, induces additional
forces. These factors have to be included in the design consideration.
Thedevelopment of axial velocity calculated onthe flow axis
downstream of the cylinder [73,74] for a Reynolds number of 300-9500
is shown in Figs. 17a-17e. Figures 17d and 17e hastheexperimental
measurements [77] for the comparison also. The development of the wake
(velocity reducing with increasing s l D ) , both in terms of time and axial
distance downstream of the cylinder, can also be observed in Fig. 17.

2.1.3. Circular cylinder mounted on an end plate

The region of interest hereis the junctionof a circular cylinder mounted on a
flat plate at one end. The junction is submerged within a boundary layer. In
the neighborhood of the base of a three-dimensional bluff body within a
boundary layer, an adverse pressure gradient is developed as a result of
the deflection of the flow by the obstacle. Therefore, the boundary layer
is forced to separate from the wall, and one or more vortices are induced,
being stretched around the obstacle in the shapeof a horseshoe. These horse-
21a Anwer

Figure 16 Evolutionof drag coefficient and wake length of a circular cylinder for
Re = 300, 500, and 1000. (From Ref. 74.)

shoe vorticeswrap around the base of the bluff body and trail downstream in
multiple vortex pairs with their axes parallelto the direction
of the mainflow
(Fig. 18). These vortices persist, moving withthe main flow, until they reach
farther downstream, where they are diffused by viscosity. This description
provided by Sakamoto and Arie [78] adequately shows the complex nature
Fluid-Structure 219

Figure 17 Evolution of axial velocity on flow axis downstream of a circular cylinder

for (a) Re = 300, (b) Re = 550. (c) Re = 1000, (d) Re = 3000. and (e) Re = 9500. Solid
lines arc calculations; points are measurements. (From Refs. 73 and 74.)
 Anwer

2.0
 221

I .o 1.5 2.0

-i

(e) Re = 9,500
.

ofthe flow atthejunction of a circularcylinderand a flat plate.In

unpublished smoke flow visualization pictures (see opening pages and Fig.
XII.34 of Ref. [77]),the complex nature of these horseshoe vortices can
beseen. This f o w configurationhasdirectimplicationfor flow in
turbornachinery. Flow at theroot of a blade in turbomachinery
demonstrates the same three-dimensional vortical structure (discussed in
Sec. 3.2).
In a detailed smoke flow visualization study, Baker [79] has shown
that, depending on certain parameters, two, four, or six horseshoe vortices
may be developed around the base of the cylinder. The numberof horseshoe
vortices depend on the diameter of the cylinder, the displacement thickness
( h * ) of the boundary layer, and the Reynolds number of the flow. Figure
19 shows the dependence of Reynolds number and the nondimensional ratio
Did* on thenumber of horseshoevortices.Thevortexsystemremains
attached to the body of the cylinder at a low Reynolds number. As the
Reynolds numberincreases. the vortex systembegins to oscillate in a regular
fashion. With a further increase in Reynolds number. the vortex system
222 Anwer

Figure 18 Horseshoe vortices in the junction of a circular cylindcr and a flat plate.

0
N

F0
Q'

0.0 2.5 5.0

Reynolds number, Re
Figure 19 The effect of Reynolds number and diametcr o f a cylinder on the number
of horseshoe vorticcs. (From Ref. 79.)
Fluid-Structure 223

detaches from the body. The proposed structure of the two-, four-, and
six-vortexsystem is shown in Fig. 20. Velocity measurements also show
that the axial velocity inside the horseshoe vortex may reach as high as
75% of thevelocity outside the boundary layer, and height
the of the vortices

4 vortex system

Figure 20 Schematic rcprcscntation of two-, four-. and six-shoe-vortex structures.

 Anwer

4
LID

Figure 21 The influencc of length-to-diametcrandboundary-layerthickness on

vortex shedding from a circular cylinder. (From Ref. 78.)

may reach as high as 20'%,of the boundary-layer thickness. These figures

haveimportantimplications in flow aroundthebase of ablade in
turbomachinery.
The influence of the boundary-layer thickness and L i D ratio of the
cylinder mounted on a flat plate upon the frequency of vortex shedding
in the Reynolds number range 2 . 6 IO3~ to 5 . 7 ~lo4, shown in Fig. 21, shows
that vortex shedding from the cylinder mounted inside a boundary layer on a
flat plate is consistently lowerthan that in a free stream.Even for a cylinder
with L i D = 9 , Fig. 21 shows that the Strouhal number is almost equal to
0.15, which is less than the valueof 0.18 obtained from Fig. 14 for a cylinder
placed in a free stream at this Reynolds number.

2.1.4. Steady flow for a sphere

There is remarkable similarity between flow downstream of a sphere and
flow downstream of a circular cylinder---at least for a considerable large
Fluid-Structure 225

range of Reynolds number (Re = UoD/v, D is the diameter of the sphere).

The features of thesetwoflows start to differ as the Reynolds number
approaches the transition to turbulence. Strictly speaking, the properties
of flow downstream of a sphere during and after transition are yet notunder-
stood.Thereare still differences betweenresults obtained by different
researchers for flow in this range of Reynolds number.
Similar to a circularcylinder,atlowReynoldsnumbers,the flow
remains attached to the surface of the sphere. As the Reynolds number
increases, the flow separates on the back surface of the sphere, generating
a vortex roll in the shape of a ring. Beyond a certain Reynolds number,
some large structure start to shed into the flow. Many researchers have
hesitated to call this phenomenon shedding; some would even hesitate to
refer to the structuresbeing shed as vortices. Thesewill be discussed shortly.

Low-Reynolds-number j l o ~ :Stokes problem. The underlyingtheory

behindStokes flow hasbeendiscussed in Sec. 2.1.1. The following results
are quoted directly from Ref. 80. The velocity field (U, v, MI) and the pressure
fields in a rectangular Cartesian coordinate (x, y, z), placed at the center
of the sphere, are

3 U,,
p - p . = - - ,L1 -U.K
2 r3
where a is the radiusof the sphere andI is the radius vector
of the point(K, y, 2).
Integrating the pressure around the surfaceof the sphere, the drag force and
the drag coefficient of the sphere are respectively
F,/ = 6y1DU0 (10)

Equation (11) shows that,at least for a low Reynoldsnumber,thedrag

coefficient decreaseswithincreasingReynoldsnumber. It wasverysoon
realized that Eq.(1 1) does not comparewell with the experimental observation
of thedrag coefficient forRe > 1. Subsequently,Oseen [81] provided an
improved theory for low Reynolds numbers by partly accounting for the iner-
226 Anwer

tia terms in the Ndvier-Stokes system. The details of the derivation of the
problem and its solution may be obtained fromRefs. 6 or 82. As a final result,
the drag coefficient is obtained as

Cd = ?Re
(l +$Re)

It would be shown shortly that the dragcoefficient predicted by Eq. (12) com-
pares well with experimental result for Re < 5.
High-Re-vnolds-number,flow As theReynoldsnumberincreases, the
curvature of the sphere induces a shear layer on the surface of the sphere.
The circulation of the shear layer induces a flow separation and generates
a vortex roll onthe back face of thesphere. Because thesphere is
axisymmetric, the vortex roll resembles aring.Flowvisualization exper-
iments [83] have revealed that thisvortex roll is formed for a Reynolds number
of approx. 24. It was further observed that around Re = 130, the vortex roll
begins to oscillate. The source of instability for this oscillationhasbeen
attributed to the wake. At a higher Reynolds number, the roll oscillates with
a larger amplitude. Flow visualization experiments[84,85] have revealed that,
sometime during this large-amplitude oscillation, some of the fluid in the
region of the vortex roll breaks away and is carried downstream in the form
of elongated horseshoe vortices. A schematic representation of these vortices
is shown in Fig. 22. These hairpin vortices continue to elongate, and there
is no evidence that these actually separate from the surface of the sphere.

Side view

J] ~opview
I
Fluid-Structure 227

Hence, many researchers have decided not to call this shedding.It should be
pointed out here that, although there is overwhelming evidence of the flow
structure being as described here, this is not agreed upon unanimously [ W .

cmd drug coeficient. The variation of drag coefficient

Sur:firc.epr.c..~.~lll.c.
consolidated from different sources[86-941 is shown in Fig. 23. The theories
of Stokes and Oseen are also shownin Fig. 23. It is clear that theStokes theory
is applicable for Re < 1, and Oseen improvement of the Stokes theory is appli-
cable forRe < 5. The dragcoefficient is veryhigh at alow Reynolds number,a s
viscous force is more dominant than inertia force. As the Reynolds number
increases, the viscous force become less dominant, hence the drag coefficient
starts todecrease. This behavior can be further observed in the computational
results [98] of the pressure coefficient along an equatorial plane of the sphere
for Reynoldsnumbers i n therange 5-40, shown in Fig. 24. The profiles
of pressure around the surface of the sphere show that with the increase
in Reynolds number, the pressure on the back face of the sphere increases,
which reduces the drag on the sphere.
The reduction in the drag coefficient continues with 21 further increase
in the Reynolds number. The pressure coefficient on the back face of the
spherecontinuestoincrease,ascan be observedinthecalculations by
Fornberg [95] forReynoldsnumbers i n therange 100-5000 in Fig. 25.
It was discussed earlier that with the increase in Reynolds number, insta-
bility appears in the ring eddy, which results in the eddy being distorted
a s a horseshoe vortex and carried downstream into the flow. This behavior
may be observed i n Fig. 25. For aReynoldsnumbergreaterthan 200,
in addition to the flat portion, a wavy nature of the surface pressure profile
can be noticed near I ) = 130" i n Fig. 25. This wavy nature of the surface
pressure is due to one of the limbs of the horseshoe vortex (compare this
with the location of the limb of the horseshoe vortex in Fig. 22). Figure
25 reveals that the ring eddy on the back face of the sphere deforms to
an elongated horseshoe vortex after R e = 100.
The drag coefficient continues to reduce to a value of approximately
0.4 around Re=5000, after which the drag coefficient rises to a value of
0.46 (Fig. 33). The reason for this is that the horseshoe vortices are those
being carried downstream become turbulent somewhere within the flow,
which readjust the pressure on the surface of the sphere, resulting in a slight
increase in the drag coefficient.
Figure 23 shows a suddendrop in drag coefficient around Re= 2 x lo5.
The flow on the surface of the sphere becomes turbulent. As a result of
enhanced diffusion of a turbulent flow, the fluid near the surfxe of the
sphere receives increased momentum from fluid in the free stream. Hence,
separation on the surfaceof the sphere is delayed. Comparing surfacepress-
 N
N
Q)

I oo 10' 10' 10; I o4 1O j 1 o6

Reynolds number, Re

Figure 23 Drag coefficient as a fu~ictionof Reynolds number for a sphere.

Fluid-Structure Interaction 229

0 30 60 00 I20 1 so 180
Angle on circumll-rence, 0 (dcg)
Figure 24 Surface pressure of a sphere for 5 5 Re 5 40. (From Ref. 94.)

ure results at different Reynolds numbers through the criticalregion [96,97]

(Fig. 26), it is observed that as a result of delayed separation, the pressure
on the back face rises sharply, which results in a sharp reduction of the
drag coefficient.
Figure 23 shows the results of Wieselsberger [90] during transition to
turbulence.Otherstudies [84,98-1011 haveobtaineddifferentresults of
the behaviorof the dragcoefficient during the transition to turbulence. Some
of these resultsare shownin Fig. 27. The wide variation in results of different
investigators is not dueto uncertainties in experimental procedure but to the
fact that this flow configuration is highly dependent on experimental con-
ditions, such as thelevel of turbulence in theflow, effect of supports, surface
230 Anwer

0 60 120 180'
Angle on circumference,6 (deg)
Figure 25 Surface pressure of a sphere for 100 5 Re 5 5000. (From Rcf. 95.)

roughness, tunnel blockage, Mach number, pressure in the tunnel, and so

forth. Except for the result of Wieselsberger [90], all other investigations
show that during the transition to turbulence, the drag coefficient decreases
to as low as 0.08.
For a Reynolds number larger than the critical Reynolds number, Fig.
23 shows that the drag coefficient increases slowly. The surface pressure
nleasurements [84] in this range of Reynoldsnumbers is shown in Fig.
28. During the transition from Re = 1 . 6 2 ~10' to 3.18 x lo5, Fig. 28 shows
thatthesurfacepressure profiles changesharply.However,afterthe
transition is complete, there is very little difference among the pressure pro-
files of Re = 3 . 1 8 lo5, ~ and 5 x IO6. I t is predicted that the drag
~ 1 . 1 4 IO6,
coefficient will reach an asymptotic maxima eventually [84]. It is further
observed from Fig. 28 that at a higher Reynolds number, the wavy nature
alongtherearface of thesphere persists. Thisindicatesthatthe
horseshoe-vortexstructures also are present at suchahighReynolds
number.
The point of separation and the point of transitiona sphere on [84,102]
are shownin Figs. 29 and 30, respectively. Figure 29 shows that for laminar
Fluid-Structure Interaction 231

2.51 x 10'1971
2.98 x IO' [97]
v 4.35 x 10'1')61

0 30 60 90 120 150 180

Angle on circumference, 8 (deg)
Figure 26 Surfacepressureof a sphcre for Reynolds numberapproaching the
transition to turbulence.

flow, the flow separates around 0 = 60' from the forward stagnation point.
After the transition to turbulence, the point of separation moves suddenly
to around 0 = 100" from the forward stagnation point. Figure 29 further
shows that, after the transition is complete, the point of separation does
not varysignificantly with afurther increase in the Reynoldsnumber. Figure
30 shows that the point of the transition to turbulence moves toward the
forward stagnation point with the increase in the Reynolds number.

V o r t c ~dwdding. One of the less understood features of flow

downstream of asphere is therelationship between shedding frequency
and other flow parameters. It is clear from the results of different investi-
gations that for a range of Reynolds number, two totally different Strouhal
numbers are obtained by different researchers. For example, Achenbach [98]
 Anwer

I 0 1o6 I 0
l
Reynolds number, Re

Figure 27 Drag coefficient of a sphere for Reynolds number during the transition to
turbulence.

5
0

5
l

Angle on circumference, 8 (deg)

Figure 28 Surface pressureo f a sphere for Reynolds number beyond the transition to
turbulence.
Fluid-Structure Interaction 233

4 6 8 IO5 2 4 6 8 IO6 2 4 6 R lo7

Reynolds number,Re
Figure 29 The pointof separation on a sphere as a function of the Reynolds number.
(From Ref. 84.)

1o5 2 4 6 S IO6 2 4 6 S 10'

Reynolds number, Re
Figure 30 The point of transition on a sphere as a function of the Reynolds number.
(From Ref. 84.)
234 Anwer

reports both a high and a low Strouhal number, without giving any expla-
nation for this behavior. Spectral analysis of the velocity inthe wake of
the sphere [S51 has indicated that two distinct dominant frequency modes
exist in the wake; one corresponds to the lower Strouhal number, and the
othertothehigherStrouhalnumber. The St-Re relationship for higher
and lower frequencies consolidated
from different investigators
[84,85,98,103-1061 is shown in Fig. 31. The higher frequency is detectable only
near the sphere, whereas the lower frequency is also detectablefarther
downstream of the sphere [M]. Using this observation, it is explained that
the higher frequency is associated with the small-scale instability of the shear
layer, and the lower frequency with the large-scale instability of the wake
[85,103,104]. For Re < 800, the higher frequency was not observed.

2.1.5. Cylinders of rectangularsections

For the flow configurations considered so far, the parameters determining
thestructure of the flow were few: theReynoldsnumberandthe
length-to-diameter ratio. However, for a rectangular section, several other
quantitiesappearasparametersdeterminingthestructure of the flow.
Among these areangularalignmentoftherectangular section andthe
height-to-depth ratio. Notwithstanding thecomplex nature of the flow, this
flow configuration has extensive application in machinery.
To understandthegeneralnature of the flow, let us considera
two-dimensional cylinder of rectangular cross section as shown in Figs.
32a and 32b. The length of the side facing the oncoming flow is denoted
as the height I t , and the length of the side along the direction of the flow
is denoted as the depth d of the cylinder. The ratio h i d is referred to as
the aspect ratioof the rectangular section; the rear face of the rectangular
section is referred to as the base.
As theflow arrives near the rectangular section, a shear layer is formed
near the corners a and b and the flow separates (Fig. 32a). Two separation
bubbles are formed on the sides of the cylinder. If the h i d ratio is smaller
than a certain value, the shear layer separated from the corners a and b
remains separated (Fig. 32a); otherwise, the shear layers reattach to the
sides (Fig. 32b). In either case, asecond shear layer is formed at the corners
c and d, developing a secondseparation. Thecomplex nature of the resulting
flow is adequately described as [l071
It is known that two shear layers, free to interact, are basically unstable,
and roll up to form discretevortices. During formation, the growing
vortices (and, to a much lesser extent, the shear layer) draw in fluid from
the base region and it is suggested that it is this entrainment process that
sustains thelow base pressure. The removal of entrained fluid is balanced
Fluid-Structure 235

0
2 4 6 810' 2 4 6 8 Io4 2
Reynolds number, Re

Figure 31 Strouhal number as a function of Reynolds number for a sphere: (a) high
frequency: (b) low frequency. (From Ref. 84.)
236 Anwer

-
Figure 32 The nature ofvortices of a rectangular cylinder for (a) short depth and (b)
long depth.

by an induced reverse flow into the formation region. The base pressure
determines the amount of vorticity that is being shed from each side
of the body and this in turn is related in some way to the strength of
the fully formed vortices.
Eventually, these vortices shed into theflow as an alternating Karman
vortex-street. It is conjectured that once vortices are shed, the structure of
the vortices does not depend on whether the shedding has taken place from
a rectangular cylinder or a circular cylinder. Therefore, an attemptis made
to understand many of the features of this flow configuration from the case
of a circular cylinder.

Surfacepressureand drag coeflcient. Because of theextremecom-

plexities associated with this flow configuration, neither has this geometry
been the subject of as much attention as othergeometries nor is there asmuch
information about this flow configuration as there is for other geometries.
Fluid-Structure 237

Ivd = 0.5

2 .0
ci 2.0 \
- v
-
~

N
l
front side base
.
I /l d h *

9
m
I

Figure 33 Surface pressure of a rectangular cylinderfor (a) h/d = 0.5. h/d= 1 .O. and
(c) k/rl=2.0. (From Ref. 108.)

Bostock and Mair [l081 experimentally investigated the effect of Izld upon the
surface pressure on four sides of a rectangular section. Results for hid= 0.5,
1.0, and 2.0 are shown in Fig. 33. Theseexperiments were conductedat
Re = lo5 (Re = Uoh/v), with the height side facing the flow at 90. Figure
33 clearly shows that theeffect of changingof hlcl upon the pressurecoefficient
is more prominent upon the base; and the effect isminimum on the frontface.
Therefore, in most research, only thepressure coefficient onthebase is
reported.
The surface pressure coefficients for the specialcase of kid= 1 .O
(square section cylinder) at Re = 4 x IO5 [108], Re = 1 . 7 6 lo5 ~ [109], and
~ [ 1 101 are shown in Fig.34.The
Re = 4 . 7 4 lo5 difference in pressure
coefficients fordifferentReynoldsnumber is not as distinct in thiscase
as was observed for a circular cylinder and a sphere.
238 Anwer

Figure 34 Surface pressure of square cylinder for Re = 4 x IO'. 1.76 x IO', and
4.74 x 105.

The base pressure coefficients for different values of h i d are shown in

Fig. 35. It is interesting to observe that for h l c / = 0 . 5 to 1.7, the pressure
coefficient on the entirebase decreases (-C,,,, is plotted) with increasing hid.
However, h l d increasesbeyond 1.7, thepressure coefficient on the base
increases again. This behavioris further shownin Fig. 36, where the average
pressure on the base,
consolidated
fromdifferent
investigations
[107,108,11 l], is plotted as a function of hid. It is observed that around
h i d = 1.5 the base pressure is minimum.Thisbehavior is attributed to
the separation on the sides of the rectangular section[ 1071. As hldincreases,
theseparationbubbleonthe sidegrowsgradually, which increases the
vorticity of the shear layer separating from c and d (Fig. 32). As a result,
thebasepressuredecreases. As h l d increasesbeyond1.5,the flow on
the side reattachsaftertheseparationbubble.Hence,the influence of
the separation at corners a and b upon the shear layer separating from
Fluid-Structure Interaction 239

1
l
l

0.0 0.1 0.2 0.3 0.4 0.5

Figure 35 Base pressure of a square cylinder as a function of h/d

c and d decreases, which, in turn, increases the base pressure. It is remark-

able to observe that the data forwide a range of Reynolds number collapse
on one line in Fig. 36.
The effect of changing h l d upon the surface pressure on the front and
side faces is minimal. Therefore, as the base pressure decreases, the drag
coefficient should increase. This is observed in Fig. 36, where it is appears
that the profiles for the drag coefficient and base pressure coefficient are
almost parallel to each other.
240 Anwer

0 1 2
-.
J
Wd
Figure 36 Drag and pressure coefficients on a rectangular cylinder as a hnction of
h/d. (From Ref. 107.)

The effect of the Reynolds number upon thebase pressure is shown in

Fig. 37. This figure is for the caseof a square section cylinder. It is observed
that as the Reynolds number increasesfrom 2x104 to 14x104 (a 600%
increase), the base pressure increases from 2.2 to 2.6 only (18% increase
only). It is conjectured from these results that the effect of the Reynolds
number upon the flow downstream of a rectangular section is minimal.
Experimental investigations reveal that the pressure on all sides are
observed to fluctuate sharply, so that the average value of the pressure
coefficient presentedinFigs. 34-37 do notshow thecompletepicture.
To obtain further insight into thisflow configuration, it is necessary to inves-
tigate the root-mean-square (rms) component, C;, of the fluctuating press-
ure (CL =, where is themeanpressure)onthe sides of asquare
Fluid-Structure Interaction 241

2 4 6 8 10 12 1 4 x lo4
I
Reynolds number, Re
Figure 37 Base pressure of a square cylinder as a function of the Reynolds number.
(From Ref. 107.)

section cylinder [109,112], shown in Fig. 38. The high value of C,; on the
sides and on the rear face is attributed to the vortex rolls on these faces.
It is important to recognize that high values of the fluctuating pressure
coefficient on the two sides of the square section will induce vibration in
a direction perpendicular to the direction of the flow. The large difference
in the two measurements is attributed to different levels of turbulence in
the measuring tunnel.
Lee [l091 further investigated the influence of angular alignment of a
square section cylinder upon different properties of the flow. He has found
that a slight realignment of the cylinder causes a tremendous change in
the forces on the cylinder. The pressure coefficient on four sides of a square
section cylinder for an alignment cp = 12.5" (where cp is the rotation angle)
is shown in Fig. 39. A comparison of Figs. 34 and 39 shows that the surface
pressure is a strong function of the alignment of the cylinder.
The behaviorsof the base pressure,drag coefficient, lift coefficient, and
the rms component of the fluctuating forces upon the square section along
two directions as a function 43 are shown in Figs. 40 and 41. In Fig. 40,
242 Anwer

it can be observed that aroundcp % 13.5", the base pressure is maximum, and
the drag andlift coefficients are minimum. This behavioris attributed to the
change in the arrangements of vortices on the walls of the cylinder as cp
changes [109]. These vortex arrangements are shownschematically in Figs.
42a-42e. As discussed earlier, forcp = O", two vortices are generated on sides
ad and bc (Fig. 42a). As cp increases, the separation vortexon face ad gradu-
ally becomes weaker (Fig. 42b) and eventually disappears around cp % 13.5"
(Fig. 42c). At this angle, the separated flow on side bc reattaches at the
corner c. The effects are as follows: (1) a weaker vortex on faced cd, which
increases the base pressure; (2) because the separation vortex on face ad
disappears and the vortex on face bc becomes stronger, generating a lift
force onthe cylinder. All of this contribute to reducetheoverall drag
on the cylinder (Fig. 40). For cp > 13.5", one of the vortices on face cd con-
tinues to become weaker (Fig. 42d) and eventually disappears at cp = 45"
(Fig. 42e). Figure 41 shows the large fluctuating component of the forces
actingonthesquare cylinderwith rotation.It is predicted thatthe
fluctuating forces may be as high as four to six times the stationary forces

c!
0

v -

Figure 38 The fluctuating component

of the surface pressure ofa square cylinder for
47 = 0 . (From Ref. 109.)
Fluid-Structure interaction 243

Figure 39 Surface pressure of a square cylinder for 47 = 12.5 . (From Ref. 109.)

Figure 40 Lift, drag. and base pressure coefficients o f a square cylinder as a function
of angular alignment cp. (From Ref. 109.)
244

-0 10 20 30 40 50
Angular alignment, (p (de@
Figure 41 Forces on a square cylinder as a function of angular alignment v. (From
Ref. 109.)

when the oncomingflow isnot aligned perpendicular with one of the faces of
the square cylinder [ 1091.

Vortex ,shedding. The shedding frequency, expressed in terms of the

Strouhal number, is very stable with the rise in Reynolds number and the
change in aspect ratio. Figure 43 shows the Strouhal number as a function
of the Reynolds number for a square section cylinder [113]. Figure 44 shows
Fluid-Structure Interaction 245

( c ) (p = 13.5" ( d ) 13.5" (p < 43'

(C) v =45"
Figure 42 Schematic representation of vorticeson a square section cylinder as a
function of angular alignment of a square cylinder.

experimental results [ 107.1111 of the Strouhal number as a function of the

aspect ratio of a rectangular section. Both Figs. 43 and 44 show that the
Strouhal number remains almost invariant with changes in the aspect ratio
and Reynolds number.
 Anwer

0 -7 4 6 S 10 12 14 x lo4
Reynolds number, Re

Figure 43 The Strouhal number as a function ofReynolds number for a square

cylinder. (From Ref. 113.)

uenlan [ 1071

0.2 0.4 0,s 1 .o I .2

Figure 44 The Strouhal number asa function of d / k of a rectangular cylinder. (From

Ref. 107.)
Fluid-Structure 247

Angular alignment, (p (deg)

Figure 45 The Strouhal number asa function of angular alignment of a square sec-
tion cylinder. (From Ref. 113.)

On the contrary, the Strouhal number is strongly dependent on the

alignment of square
a section
cylinder. The
consolidated
results
[ I09,113,l14] of the Strouhal number as a functionof the alignment angle,
cp, for a square section cylinder are shown in Fig. 45. A sharp jump of
the Strouhal numberis observed at = 13.5". The sharprise in the Stroughal
number is an outcomeof large-scale instabilitiesof the vortices at this angle
as a result of the increased circulation of the shear layers.

Velocity in the wake. The recovery of the axial velocity in the wake of a
square section cylinder has been measured [l101 for Re = 4 . 7 4 ~lo4. These
results, along with the results of recovery of axial velocity in the wake of
acircularcylinderatsame Reynolds number,areshown in Fig. 46. It is
248 Anwer
Fluid-Structure Interaction 249

2.1.6. Rectangular section or a cube inside a boundary layer

Occasionally, rectangular (or cubical) structures appear in machinery, as
part of the design to enhance mixing or heat transfer. Rectangular sections
may also be present in a flow to increase the structural strength of a par-
ticular part of a machine. This flow configuration also helps to understand
the inception of cavitation on blades in a turbomachine. Unfortunately,
in spite of several review papers written on this subject [l 15-1171, infor-
mationavailableonthis flow configuration is extremelylimited.There
are several reasons for which the understanding of this flow configuration
is difficult. In addition to the Reynolds number, several of the other par-
ameters whichdeterminethe physics ofthe flow aretheratio of the
boundary-layer thickness to height of the rectangular element, the ratio
of length to height of the element, the characteristicsof the boundary layer
(such as displacement thickness momentum thickness, and shape factor),
thealignment of therectangularelement,theturbulence level of the
incoming flow, and so forth.
In thisflow configuration, the structures are assumed to be deep within
a boundary layer. Hence, it is conjectured, that the resulting flow will be
influenced more by the properties of the boundary layer rather than the
conditions of the free-stream flow. Therefore, it is conjectured that theeffect
of the Reynolds number is minimal for this flow configuration. There is
limited information available to support this conjecture, but for Reynolds
numbers of the same orderof magnitude, there are some measurements181[l
to show that the flows downstream of an obstacle are similar to each other.
Amongtheearlier results on the flow downstreamofrectangular
elements placed inside a boundary layer are surface pressure measurements
[l 191 for a square section cylinder of L / H = 2.0 ( L is the length and H
is the height of the roughness element). Their results, in the formof isobars,
are shown in Fig. 47. The variation of surface pressure is a result of the
secondary flow generated by theshear layers separatingalongthetop
and sides of the roughness element. The measured results of surface pressure
coefficient [ 1181 for a two-dimensional square cylinder are shown in Fig. 48.
Similar results for a cube [l201 are shown in Fig. 49. It is clear that the
variation of surface pressure for a cube is slightly higher than that of a
two-dimensional section. As a result, the induced velocities would be larger
for the case of a cube, which indicates that the recovery of velocity in
the wake of a cube is quicker than that of a two-dimensional section [121].
The velocity field in the wake a rectangular-section roughness clement
is particularly complicated. The recirculation zone flow over the element is
accompanied by a reversed flow at ground level. Flow aroundtheends
of the element is partly returned via an inward flow toward the back side
250 Anwer

Figure 47 Isobars of a rectangular element placed inside a boundary layer. (From

Ref. 119.)

of the element. These two secondary flows accompanying the main flow
aroundtheroughness element formtherecirculating regionbehind the
element. The lengthof the recirculation region for a two-dimensional body
has been estimated to be nine times the height of the element [l 19,1221.
Further investigation hasrevealed that thelength of the recirculation region
decreases linearly with the increase in the depth (length in the direction of
the flow) of the rectangular section[123,124]. As the depthof the rectangular
sectionincreases, the flow reattaches on the top of theelement.After
reattachment,the length of therecirculationregiondoesnotdecrease
any further [125]. It should be recognized that although the velocities in
the recirculation region are small (not more than 20% of the undisturbed
value), these have major implications on the heat transfer in the immediate
vicinity of the element.
The rateof recovery of the axial velocity is extremely important in the
case of flow inside a machine-as velocities determine the level of mixing of
convective heat transfer. The recovery of axial velocity in the wake of a
square cylinder placed inside a boundary layer has been investigated for
Fluid-Structure 251

Figure 48 Surface pressure on a square cylinders of two sizes placedinside a bound-

ary layer. (From Ref. 118.)

selected values of the Reynolds number by different investigators. In the

lower range of Reynolds numbers (Re= UoH/v), the recovery of axial vel-
ocity as a function of the length-to-height ratio is shown in Fig. 50. This
figure includes results for Re = 5570 for L / H = 1.0 (cube) [126], and for
Re = 3,750 for L / H = 3, 6, 9, and 00 [122,127]. As expected, Fig. 50 shows
that as the length of the element increases, it takes longer for the flow
to return to upstream conditions. For the caseof a cube, the axial velocity
almost recovers by X I H = 10.0 downstream of the cube, but for the case
of a two-dimensionalelement ( L / H = o o ) , theaxialvelocitydoesnot
recover even by X / H = 1 12. The vertical extent of the velocity disturbance
is limited to about YI H = 1.5 for the case of a cube, whereas the disturbance
region is as high as Y l H = 3.5 for the case of a two-dimensional element.
Theseindicatethatthewake diffuses vertically morethan it diffuses
laterally. The lateraldiffusion of the wakeis depicted in the spanwise profile
of the axial velocity measured in the wake of the square-section roughness
252 Anwer

Figure 49 Surface pressure on a cube placed inside a boundary layer. (From Ref.
120.)

II)

2
h
.
gm
C
-mn
--
._
m m
-
._
L
0)
>
-

-
nn 0.5 0.0 0.0 0.0 0.0 0.5 I .o
Asia1 velocity, U/ci,

Figure 50 Vertical profile of the recovery of axial velocity downstream of a

rectangular element of different L/fZ placed inside a boundary layer.
Fluid-Structure 253

element of L / H = 2 . 5 and 8.5 [128], shown in Figs. 51a and 51b. Figure 51a
shows that the span wise profile of the axial velocity for L / H = 2.5 almost
recovers by X/H = 12.86, whereas for L / H = 8.5 (Fig. 51b), the spanwise
profile does not recover completely, even by X I H = 40.0.
AthigherReynoldsnumbers,the influence of thelength-to-height
ratio of the section on the flow downstream of the roughness element is
considerably less. Results for L I H = 2.5 and 8.5[l281 at ReX 34,000, shown
in Fig. 52, show that the difference between the velocities for the two L I H
ratiosarehardlynoticeableforX/H>10.5. Because oftheenhanced
diffusion at higherReynoldsnumbers,the flow becomes more uniform,
hence minimizing the effect of the length of the element.
Thecombinedeffect ofthelength-to-heightratioandReynolds
number upon the recovery of the axial velocity in the wake of roughness
element is rather complicated. Figure 53 shows the vertical profile of the
velocity defect (velocity deficit at that height from the undisturbed velocity
atthesameheight)as a functionofaxiallocationfromtheroughness
element,length-to-heightratio oftheroughnesselement,andReynolds
numberobtainedfrom differentinvestigations [ 1 17,122,127,1281. For
L I H = 3, the defect at higher Reynolds number seems to be higher at
X /H = 10. However, for L / H = 9 and CO,the velocity defect is lower for
higherReynoldsnumber.This resultshould be acceptedwithcaution,
as sufficient dataarenotavailableforfurtherunderstanding ofthis
phenomenon.
Considerable effort has been made for theoretical modeling of flow
downstream of a roughness element placed inside a boundary layer. Hunt
[125,129] has demonstrated considerable success in understanding the flow
downstream of aroughnesselementthroughtheoreticalmodeling.The
details of Hunt's theory is beyond the scope of this chapter and may be
obtained in Refs.129 and 130. This theory is applicable only in the far wake.
An important outcome of Hunt's theory is that it gives a universal form of
the vertical profile of the velocity defect for all axial locations in the far
wake.Thistheory,predictsthatforatwo-dimensionalcase,the profile
for the meanvelocity defectat various locations along the wake be canmade
to collapse one
on line by plotting [ u / U O ( H ) ] ( X / H )against
(Z/H)[k'n(X/H)]['/"'+')l, where U is the velocity defect, Uo(H)is the velocity
atthe heightoftheroughnesselement in theundisturbedboundary
layer, k = 0.41 is the von K6rman constant, and n is the exponent of the
power law of the turbulentvelocity profilein the undisturbed flow. A similar
result can be obtained for
the
three-dimensional case by plotting
[ u / U o ( H ) ] [ ( X- a)/H]'(3+")/(2+")1 against ( Z / H ) [ X- u)/H]['/("+')],where ( I
is a property of the boundary layer, which is considered constant. Because
n is small (n X 117), Hunt's theory predicts that the mean velocity decays
 Anwer
254

0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 1.0
Axial velocity, U/Uo

Figure 51 Spanwlse profile of the recovery of axial velocity downstream of a

rectangular elements placed inside a boundary layer: (a) L / H = 2.5; (b)
L / H = 8.5.(From Ref. 128.)
Fluid-Structure Interaction 255

0
0 0 0 0.5 1 .o
Axial velocity, U/U,
Figure 52 Vertical profile of the recovery of axial velocity downstream of a
rectangular elements for Re = 34.000. (From Ref. 128.)

approximately as .x" for two-dimensional

a case, and
as
for a
three-dimensional case. For a two-dimensional case, the validity of Hunt's
theory can be seen in Fig. 54, in which the data of Castro [l 181 (which
are beyond X i H = 12; i.e., in the far wake) are plotted in Hunt's variables.
Figure 54showsthatHunt'stheorycan be appliedquitesatisfactorily
to predict the axial velocity in the far wake. Hunt has also given a similar
modelforturbulentfluctuations and stresses.However, thecomparison
of fluctuating velocities and stresses are rather poor [l 18,1281.
An estimate of the vertical region disturbed by the roughness element
may be obtained by plotting the axial velocity in the log-law form. The
region disturbed by the roughness element is considered to be the region
where the slope of the velocity profile deviates from the undisturbed profile.
The estimateof the disturbanceregion obtained by this method[ 1281, shown
in Fig. 55, further substantiates that the wake region diffuses vertically much
more than it diffuses laterally. While the upper limit of the disturbance
region continues to grow, thelower limit of the disturbance region remains
256 Anwer

C?

Figure 53 Vertical profile of the recovery of velocity defectas a functlon of L / H and

the Reynolds number.

parallel to the surface untilX i H = 10, after which it begins to rise. Figure 5 5
further shows that it takes a very long distance (more than 200 times the
height of theelement)fortheaxial velocity profile toreturn to an
undisturbed condition.
Fluid-Structure interaction 257

Figure 54 Comparison of experimental data with Castros

model for flow
downstream of surface-mounted obstacles. (From Ref. 118.)

Plotting theaxial velocity profile in thelog-law form alsoallows forthe

determination of the skin friction coefficient. Figure 56 shows the result of
the skin friction coefficient as a function of the axial distance downstream
in the wake of the rectangular element of different length-to-height ratio
consolidated from different investigators [ 118,131-1331. This figure shows
that
the
skin
friction coefficient is not strong
a function of the
length-to-height ratio of the roughness element. This is remarkable from
the point of view that the skin frictioncoefficient is related to the convective
heat-transfer coefficient. Therefore, heat transferin the wakeof a roughness
element will notdependstronglyonthelength-to-heightratio of the
roughness element.

2.2. Vibrating Bluff Bodies in aUniform Flow

Two types of vibration maybeinvolved when fluid interactswitha
structure. The first kind of vibration is free vibration, where the structure
258 Anwer

Axial distance do\\ nstrearn of the roughness element, .dH

Figure 55 The limits of inner and outer disturbanceregions as a function of distance

downstream of a rectangular elements of diferent L/H. (From Ref. 127.)

vibrates because it is influenced by the vortex shedding from the structure.

This kind of vibration is generally present in machinery where no substantial
moving partsare involved(e.g.,vibration of pipes in heatexchangers,
boilers,etc.). The secondkind of vibration is forcedvibration,where
the structure vibratesbecause it is forced by an externalinfluence. This kind
of vibration is generallypresent in machinerywheremoving partsare
involved (e.g., vibration of blades or other parts in turbomachinery). In
either case, the flow has to adjust to the vibration of the structure. It is
conjectured that downstream of the vibrating structure, the flow will not
depend on whether the structure is vibrating freely or is being forced to
vibrate. The practical importance this of topiccan be adequately understood
by the number and frequency of review articles [134-1391 written on this
topic.
It is discussed in previous sections that as fluid flows past a cylindrical
structure (circular or otherwise), a Karman vortex-street is developed. If the
structure is vibrating (either forced or free), the vortex-shedding pattern
can be substantially altered. Thediscussion of properties of flow associated
with vibration of bluff bodies is complicated, because, at any one time, there
Fluid-Structure 259

Figure 56 Recovery of the skin friction coefficient on the flow axis downstream of
rectangular elements of diffcrent L / H .

may be as many as four different frequencies of vibration involved in the

analysis.Theseare (1) theStrouhalfrequency t i , associatedwiththe
vortex-shedding frequency corresponding to a stationary cylinder placed
in the free-stream velocity, which is a property of the flow, (2) the natural
frequency of vibration ti, of the cylinder, which is a structural property
of the cylinder, (3) the implied frequency of vibrationti upon the cylinder,
which is a boundary condition, and (4) the vortex-shedding frequency ,f;.
260 Anwer

under the flow condition, which is different than the Strouhal frequency in
most cases.
The geometrywhich has been the subject of most research on vibrating
bluff bodies is circular
a cylinder. For circular
a cylinder,
the
vortex-shedding frequency j;. and the Strouhal frequency .f;. are generally
the same. However, asfF comes closer to the natural frequency of vibration
jif of the cylinder, the vortex-shedding frequency J;. locks in to the natural
frequency of vibration of the cylinder J f , and the Strouhal frequency .fi
is lost. This means that both cylinder
the and the wakehave the same charac-
teristic frequency. Moreover, there is a narrow band of frequency around
the Strouhalfrequency, where the vortex-shedding frequencyf, corresponds
to the natural frequency of vibration of thecylinder fif and not to the
Strouhal frequencyf;. Underthese conditions,if the dampingof the cylinder
is less, self-excited resonant vibration may develop in the cylinder. For a
narrow band offluid velocity, the amplitudeof vibration can be of the order
of 1 D [ 1401. The planeof vibration of the cylinderis generally perpendicular
to theflow, although under certain conditions thecylinder may also vibrate
in-line with the flow.
The first detailed investigation of flow downstream of a circular cyl-
inder vibrating freely under the influence of a flow was conducted by Feng
[141]. The most outstanding result of this investigation was the discovery
of a hysteresis characteristic. Hysteresis describes the phenomenon that
the characteristic properties of the flow are different for increasing and
decreasing cylinder frequency. The results of Feng showing the hysteresis
of amplitude of vibration of the cylinder, alongwith more recent hysteresis
result of basepressure [140], areshown inFig. 57. Figure 57a shows
experimentalmeasurements [140,141] and numericalcalculations[l421
for a hysteresis loop of A I D (where A is the amplitude of vibration and
D is thediameter of thecylinder) as afunction of reduced velocity
UOlfhD. The difference between the two results shown in Fig. 57a is indica-
tive of the sensitivity of these
results to
experimental conditions.
Nevertheless, the overallhysteresis nature of thetwoinvestigationare
similar.Asthevelocityincreases,theamplitude of vibrationgradually
increases. Around UO/hD = 6.5, the amplitude ratio drops by almost 40%.
With a further rise in reduced velocity, the amplitude ratio continues to
drop gradually. However, as the UOlhD is gradually reduced from higher
values to lower values, A / D follows a different path. Although the results
of Feng [l411 do not identify any discontinuity in the change of A I D with
the reduction of UO/fbD, the results of Brika and Laneville [l401 identify
a second discontinuity in the reduction route also. Figure 57b shows the
hysteresis natureforthe basepressure. Thephenomenonof hysteresis
has been the subject of long discussions, but it is yet to be fully explained
Fluid-Structure Interaction 261

-
0.4 0.6 0.8 1 .o l .2 I .4 I .6
Reduced velocity, Vd(Zxj$)

Figure 57 Hysteresis characteristics of a vibrating circular cylinder: (a) amplitude

ratio; (b) base pressure.
262 Anwer

and
understood [135]. These results
indicate that
the
vibration
characteristics,hencethemechanicalloading,formachinerieswith no
predominantinduced frequency will be different
for
increasing and
decreasing speeds.
Figure 58 shows Fengs result of lock-in of a freely vibrating cylinder.
The frequency of vibrationf;, of the cylinder remainsconstant as thevelocity
increase, as it is thestructuralproperty of thecylinder. Witha rise in
velocity, the reduced velocity UoLfhD increases; hence, the vortex-shedding
frequencyJ;. increases. As,f;./f;, approaches 1, the vortex-shedding frequency
locks in to the cylinder vibration frequency. With a further rise in velocity,
thevortex-sheddingfrequencyremains locked to thecylinder vibration
frequency. Although Fengs results showthat thevortex-shedding frequency
locks on to the cylinder vibration frequency in a range 1 .O S.f;./fil5 1.25,

C
4 5 6 7 8
Fluid-Structure 263

different synchronization range has been reported by different researchers.

Some of these results are discussed later.
Results of investigation of lock-in for forced vibrationof the cylinder
by Koopman [143], as shown in Fig. 59, indicate that the lock-inrange
of the cylinder (1) depends on the amplitude of vibration of the cylinder
and (2) is almostsymmetricaroundthenaturalfrequency of vibration
of the cylinder. Koopmans results also suggest that lock-in is a very weak
function of the Reynolds number. In later investigations, lock-in has been

Figure 59 Lock-in of amplitude for forced vibration of a circular cylinder. (From Ref.
143.)
264 Anwer

observed for a Reynolds number as high as 4000 [l441 and 2 . 4 lo4 ~ [145].
Other investigations have reported the lock-in range as 0.85 i f ; . / f h 5 1.0
[146,147], 0.85 if;.l.fb5 1.4 [148], and 0.8 i.f,,l.f;,
i 1.2 [149]. It is further
reported that a certain critical threshold of the amplitude ratio A I D has
to be exceeded for lock-in [l351 to happen. There is a wide difference in
the reported critical amplitude ratio also. The different values of the critical
amplitude ratio, as reported, are0.05 for Re < 150 [143], 0.004 for Re< 150
[150], 0.05 for Re% lo4 [151], 0.15-0.17 for 1 . 5 ~ 1 0 ~ < R e ~[152], 3x10~
and 0.084 for lo4 < R e < lo5 [159].

0 4 8 12 16 20
Reduced velocity, U,/fbD
Figure 60 Surface pressure at location U = 90 of a vibrating circular cylinder as a
function of amplitude ratio and reduced velocity. (From Ref. 157.)
Fluid-Structure 265

The identification of lock-in is important, because the forces on the

cylinder undergo a large variation during lock-in [ 151,152,153-1 561. These
variation are quite clear from the measurements of pressure [ 1451 at 0 = 90"
on the surface of the cylinder, for different values of AID, shown in Fig.
60 as a function of the reduced velocity. It maybe noted that for largevalues
of A / D,the pressure coefficient increases by more than 10 times that for a
stationarycylinder. As the reducedvelocityincreases, the influence of
vibration on surface pressure decreases.
The effect of A / D upon dragcoefficient on a circular cylinderis shown
in Fig. 61 for Re < 150 [148]. I t is noted that dragcoefficient reaches a maxi-
mum beforereducing.Themaximumdrag coefficient is observed at a
reduced velocity of approximately 1 /St, where St is the Strouhal number
corresponding to the frequency of vortex shedding of a stationary cylinder

9
c4

c:
i
c
- 0.75
.-9
L)
W
g"
t-

d
U I
WJ
c3
h-? -l

N
c
0.25-

9 L

0.00 0.04 0.08 0.12 0.16 0.20 0.24 0.28:

Reduced velocity, UJ(2xf@)
Figure 61 Drag coefficient of a vibrating circular cylinder as a function of the ampli-
tude ratio and reduced velocity. (From Ref. 148.)
266 Anwer

0.0 0.1 0.2 0.3 0.4

Strouhal number, lid(2xfbD)
Figure 62 Drag coefficient of a vibrating circular cylinder function of reduced vel-
ocity for Re = 80 and 4000. (From Ref. 144.)

at the free-streamvelocity. This value for the maximum dragcoefficient has

also been reported elsewhere [135]. Figure 62 shows a comparison of drag
coefficient measured at two different Reynolds numbers [144]. It is clear
from Fig. 62 that the positionof maximum drag coefficient remains almost
close to 1 /St. The effect of increasingReynoldsnumber is an overall
reduction of the drag coefficient.
The dragof a vibrating circular cylinder hasbeen well predicted using
the von Karmhn drag formula [145]. The formula is

where K is the initial circulation of the vortices, I,. is the longitudinal spacing
betweenvortices, and Id is thelateralspacing betweenvortices. Other
variables are asdefined previously. It has been observed [l581 that the drag
coefficient obtainedfromEq.(13),andnormalized withitsvalue cor-
responding tothestationary cylinder CdA,,, predictstheexperimental
measurements of drag coefficient quite well. This comparison, shownin Fig.
63, has been consolidated by Griffin [l 571 from differentexperimental
measurements [144,158-1621 againstamodifiedStrouhalnumberSt*
Fluid-Structure 267

Moditicd Strouhal number,

Figure 63 Comparison of experimcntal measurements of drag coefficient and base

pressure of a vibrating circular cylinder with prediction of the von-KLrmindrag for-
mula [Eq. (13)]. (From Ref. 157.)

defined as

st*= ( +-;),;
1 .- st
further shows that the same curve also predicts the normalized base pressure
rather well [ 1571.
For a stationary circular cylinder, a universal behavior of the Strouhal
number as a function of Reynolds number was observed in Fig. 14. For a
vibrating circular cylinder, Griffin [ 1571 has also been able to define a uni-
versal St-Re relationship. Figure 64 shows that if the Strouhal and Reynolds
268 Anwer

2 4
Wake Reynolds number, IJ,dYv

Figure 64 The wake Strouhal number asa function of the wake Reynolds number for
a vibrating circular cylinder. (From Ref. 157.)

numbers are defined using the wake width d and the mean velocity at the
edgeoftheboundarylayer u h (denotedasthewakeStrouhalnumber
and the wake Reynolds number, respectively, by Griffin), the dependence
of the Strouhal number on the Reynolds numberreduces to a very narrow
band. Griffin [l 571 has further reevaluated his earlier results [163,164] to
show that the normalized wake width also indicates a smooth behavior when
plotted against the wake Strouhal number.
The formation lengthof vortices 1, is shown in Fig. 65 as a function of
several flow parameters.This figureshows thattheformationlength
decreaseswithincreasingmodifiedStrouhalnumber,amplituderatio,
and frequency of vibrationof the cylinder[163]. The wake widthd increases
withincrease in themodified Strouhalnumber,asshown in Fig.66.
Experimental results [l631 suggest that the ratio k / d is a significant par-
ameter of the wake and approaches a unit value asymptotically, as shown
in Fig. 67. At this asymptotic limit, there is a breakdown in the regular
Fluid-Structure Interaction 269

Figure 65 Formation length of vortices as a function of frequency of vibration,

amplitude ratio, and the wake Strouhal number. (From Ref. 163.)

vortex-shedding pattern when conditions of cylinder amplitude, synchron-

ized frequency, and Reynolds number combine to produce a sufficiently
short formation length and a wide wake of formation of vortices [168].
The effect of frequency of vibration and the amplitude of vibration
uponthe
geometry of the
wakehas been thoroughly investigated
[143,148,149,165-1671. As the amplitude of vibration is increased, keeping
the frequency of vibrationsame,thelongitudinalspacing between the
vortices
remains
the
same,
but
the
lateral
spacing
decreases. The
vortex-street approaches a single line of vortices of opposite signs as the
amplitude of vibration approaches values close to a full cylinder diameter.
On the other hand, as the frequency of vibration is increased,keeping
theamplitude of vibrationsame,thelongitudinalspacing between the
270 Anwer

0.9 I .O 1.1 1.2 1.3 1.4 I .5 I .G

Strouhal number ratio, Sf'/St

Figure 66 The width of wake as a function of the wake Strouhal number for forced
vibration of a circular cylinder. (From Ref. 157.)

vortices decreases, keeping the lateral spacing the same. A 35% reduction in
longitudinal spacing between vortices hasbeen observed as the frequency of
vibration is changed from 0.856, to 1 .l,!;, [149].
Other geometries which have received attention in research involving
vibrating bluff bodiesarecylinders of squareandtriangularsections
[146,147]. Lock-in has been observed for a square section cylinder also under
forced vibration [168,169]. Results shown in Fig. 68 for two values of the
amplitude ratio show that the behavior of a square cylinder is similar to
a circular cylinder. Lock-in starts at about O.S/;, for both valuesof the ampli-
tude ratio. Surface pressure measurements [ 1681 on a squaresection cylinder
for several values of the amplitude ratio and reducedvelocity are shown in
Figs. 69a and 69b. A comparison has also been provided in Fig. 69 with
data of a stationary cylinder. Figure 69 shows that vibration has almost
no effect uponthesurfacepressureonthefrontface of thecylinder.
Therefore, any changes in drag willbe reflected by a change in the base
pressure. A comparison of Figs. 69aand 69b shows that the result of increas-
ing both the amplitude ratio and reduced velocity is to increase the back
pressure, which results in a reduction of drag on the cylinder. These results
Fluid-Structure Interaction 271

0.16 0.20 0.24 0.2s

Wake S t r o u h n l number, S/*

Figure 67 The ratio I, /(l for forced vibration of a circular cylinder. (From Ref. 165.)

are reflected in the measurements of base pressure as a function of the

reducedvelocity,shown in Fig.70,fora square sectioncylinder [ 1681
andatriangular sectioncylinder [170]. For asquaresection cylinder,
the sharply rising base pressure on the oscillating model as the reduced vel-
ocity is decreased below about 7 indicates a substantial reduction in drag.
Similar behavior is observed for a triangular section cylinder for a reduced
velocity of about 8.
For a vibrating cylinder, the fluctuating component of the surface
pressure (C;) is an indication of fluctuating forces on the cylinder. The
results [l681 of the fluctuating component of surface pressure for a square
section cylinder for different values of the amplitude ratio are shown in Fig.
71.Theseresultsindicate thatthere istremendousvariation in the
272 Anwer

i
0
6 7 8 9 IO 11 I2
Reduced velocity, U,,$
Figure 68 Lock-in of a square cylinder for two amplitudes of vibrations. (From Ref.
168.)

fluctuatingsurfacepressurebetweenreduced velocities below lock-in

(UO/fbD = 6.2 and 6.5) and above lock-in (Uo/j,D = 7.0, 7.8, 8.7, and 12.0).
Another reason for the spread in data in Fig. 71 has also been attributed
to the difference in Reynolds number [171]. Results in Fig. 71 indicate that
fluctuating forces011 a vibrating structurewill undergo substantial variation
through lock-in.

2.3. Array of Bluff Bodiesin a Uniform Flow

In this arrangement, multiple bodies of different geometries (e.g., circular

cylinders,ellipticcylinders, square cylinders,flatplates, etc.) are placed
either in tandem or across the arrangementin an oncoming flow. The inter-
ference of two bodies, which produce separated flows when placed close
to each other, drastically changes the flow around them. This interference
results in unexpected forces and vibration patterns for the array of bluff
Fluid-Structure 273

Figure 69 Surface pressure o f a square cylinder as a function of reduced velocity: (a)

A / D = 0 . 1 ; (b) A / D = 0 . 2 5 . (From Ref. 168.)

bodies and a different velocity field downstream of the array. The results
obtained from these investigations help to provide a mathematical model
for flow arising in several kinds of machinery (e.g., cascades of blades in
turbomachinery, pipes in heat exchangers or boilers, etc.).Because the com-
bination of geometries and their arrangements are numerous, only a general
nature of flow resulting from the array of the bluff body is presented here.
For a circular cylinder, an interesting result is that both in tandem and
across the arrangement, the pressure on the surface of the cylinder switches
betweentwostablepatterns (so-calledswitch phenomenon) [172-1771.
Anexampleoftheswitchphenomenon is shown in Fig. 72, indicating
the surface pressures of two cylinders placed in tandemand in contact with
each other [178]. The surface pressure on the two cylinders switch between
thesetwoprofiles. As theprofiles in Fig. 72 arenotsymmetricabout
any axis, the cylinders placed in this arrangement experience both drag
and lift forces.Thevariationof lift coefficient andinterferencedrag
coefficient as a function of cylinder spacing S is shown in Fig. 73 [ 1781. Inter-
ference drag is defined as the difference between the drag of the cylinders in
combination with the total drag of thecylindersmeasured in isolation.
274 Anwer

u4 6 IO 12

Figure 70 Base pressure of a vibratingsquare and triangularcylinder as a function of

reduced velocity. (From Ref. 134.)

Results of experiments conducted at Re= 2 . 5 IO5, ~ shown in Fig. 73, shows

that with the increase in (5,the lift coefficient drops very fast. Compared to
this, the interference drag takes much longer. For 6 > 4 0 , the presence
of one cylinder did not have any effect upon another cylinder. The switching
of pressure between two profiles is further depicted by the measurement of
the base pressure of one cylinder, shown in Fig. 74, as a function of dis-
placementbetweenthecylinders.This figure clearlyshows thatfor
0.1D < (5 < lD, the base pressure on the cylinder fluctuates between the
two values.
The presence of second a cylinder remarkably
changes the
vortex-shedding pattern from the combination of cylinders. For two circular
Fluid-Structure 275

Figure 71 Surface pressure fluctuation of a square cylinder for amplitude ratios

above and below lock-in. (From Ref. 168.)

cylinders, Fig.75 shows that the Strouhal numer as a function of 6 [ 1781. It is

also observed here that for 0.1D < 6 < 1 D,the vortex-shedding pattern is
very unstable. For 0.10 < 6 < 10, although a predominant frequency of
vortexshedding is found,the vortex shedding itself has been foundto
be very weak [ 1781. This is also obvious from the fact that for 0.1D 6 1D,
different values of vortex shedding are recorded immediately downstream of
the cylinders and 6 0 downstream of the cylinders.
For more than twocylinders placed in tandem, the characteristics of
the wake and the dragcoefficient on the cylinders are shown in Figs. 76-78,
as function of Reynolds number, and 6 [ 1791. These figures show that there
is remarkable difference between results of two cylinders and more than
two cylinders. The Reynolds number has a major impact uponthese results.
These results indicate that for high values of Reynolds number, a major
change occurs in the characteristics of the wake as the spacingis increased
above 16. Although the wake remains slender up to this point, essentially
only stretching in lengthwith the Reynolds number (shown in Fig. 76),
the width remains almost unchanged (shown in Fig. 77). During this period,
the center of the wake moves toward the endof the wake. As 6 is increased
above 16, thewakebubble widensrapidly,beginningfromtherear of
the wake [179]. The increase in the width of the wake continues until6 = 40,
276 Anwer

Figure 72 Surface pressures on two circular cylinders in contact with each other i n
across the arrangement. (From Ref. 178.)
Fluid-Structure 277

0.0 0.5 1.o

Cylinder spacing, &/D

Figure 73 Effect of cylinder spacing upon lift and interference drag coefficients of
two cylinders placed across the arrangement at Re = 2 x lo5. (From Ref. 178.)

1 2 3 4 6
Cylinder spacing, VD

Figure 74 Base pressure of a cylinder as a function of lateral distance between the

two cylinders at Re = 2 x IO5.(From Ref. 178.)

beyond which the length of the wakeas well as the widthof the wake become
invariant of the spacing of the cylinders. Figure 78 shows that the drag
coefficient drasticallydecreaseswiththeincreasein 6. Onceagainwith
6 > 40, the rise in the drag coefficient with the Reynolds number is almost
close to that of a single isolated cylinder.
 Anwer

0.5 I .o I .S 2.0 2.5 3 .o

Cylinder spacing, V D
Figure 75 Frequency of vortex shedding fromtwocylinders placedacross the
arrangement as a function of the spacing h between them. (From Ref. 178.)

The geometry used most often to model the flow through cascades of
turbomachineryblades is that of multiple flat platesperpendicularly
blocking theflow, placed at tandem. For 50% a blockage ratio (areaof plates
to the total area of the tunnel), the drag coefficient as a function of the
Reynolds number [l801 is shown in Fig. 79. It is observed from Fig. 79 that,
for a low Reynolds number, when plates are placed close to each other, the
drag can be as high as six times that of an isolated plate. This is clearly
an indication that the spacing between turbine or compressor bladesis very
Fluid-Structure Interaction 279

Figure 76 Wake length downstream of a row of cylinders placed across the arrange-
ment as a function of the lateral spacing and Reynolds number. (From Ref. 179.)

Figure 77 Wake width downstream of a row of cylinders placed across the arrange-
ment as a function of the lateral spacing and Reynolds number. (From Ref. 179.)

critical, as the drag on closely placed blades could be several times higher
than those placed apart.
Investigations on arrays of rectangular [ 1271 and cubical elements
[l261 placed inside a turbulent boundary layer show that downstream of
280 Anwer

W i n d e r spacing, 6/D

Figure 78 Drag coefficient of a row of cylinders placed across the arrangement as a

function of the lateral spacing between them and Reynolds number. (From Ref. 179.)

the array. the vertical extent of the disturbance region remains similar to
that of a single element.However, thehorizontalwidth of thewake
may reach as high as three times that of a single element. Furthermore,
the friction coefficient downstream of the array is substantially lower than
that of a single element. These results further indicate that characteristics
of cascade of turbine and compressorblades would be substantially different
than that of a single-blade element.

2.4. CurvedSurfaces,CurvedDucts,andCurvedPipes

It was stated in Sec. 2 that most practical flows are extremely complicated,
so that their investigation becomes very difficult. Therefore, flow involving
several geometries of bluff bodies in different kinds of flow were discussed
in previous sections. These results help us to understand more complicated
geometries appearing in actual flow. On the contrary, flow over curved
surfaces and flow in curved ducts and pipes are cases which are applicable
to machinerydirectly,asthesestructuresare extremely common in
machinery.Flow inside heat-exchangerpipes, flow overpressureand
suction sides of blades, flow between blade passages, flow in intake ducts
Fluid-Structure 281

PI

1 2 4 6 810 2 4 6 8 100 2 4
Reynolds number, He

Figure 79 Drag coefficient of two flat plates placed acrossthe arrangement as a func-
tion of the Reynolds number. (From Ref. 180.)

ofseveraldesigns of aircraftengines, and so forthare alldifferent

applications, where results of investigationson curved surfaces have a direct
implication. Separate discussions on curved pipes and ducts and curved
boundary layers follow.

2.4.1. Curved pipes of circular and rectangular cross section

When a fluid element movesin a curved path, two forces act on the element.
Because of curvature of the path, a radial pressure gradient acts toward the
center of the curvature of the path, which pushes the fluid element toward
the center of curvature of the path. In addition, a centrifugal force acts
on the fluid element, which pushes the fluid element away from the center
of curvature. In a curved boundary layer, these two opposing forces remain
in balance. However. for fluid flowing through a curved pipe or a duct,
an imbalance is set up between the centrifugal force and the radial pressure
gradient. This imbalance sets up a secondary flow within the bend section.
282 Anwer

K - 96 K = 606

Figure 80 Schematic representation of axial veloclty contour and secondaryvelocity

streamlines for flow through a circular pipe bend for two Dean numbers.

The secondary flow moves from the inner bend (closer to the center of cur-
vature of the bend) to the outerbend (farther from the center of curvature
of the bend) along the plane of the bend, and it returns to the inner bend
through the top and bottom surfaces of the bend. As a result of the second-
ary flow, the maxima of the velocity profile is shifted toward the outer bend.
Schematic representation of the axial velocity contours and secondary flow
streamlines are shown in Fig. 80. The secondary flow superimposed upon
the axial flow results in a flow of helical nature in the top and bottomhalves
of the bend separately. These secondary flow cells are called Dean cells,
after W. R. Dean who first predicted these secondary motions in his theor-
etical analysis [ 181,1821. The flow is completely three dimensional within
the bend. The general nature of the flow as described here does not depend
on whether the geometry of the cross section of the bend is circular or
otherwise.
The theoretical analysisof Dean showed that the structureof the sec-
ondary flow in a curved bend depends on the dimensionless parameter Dean
number K, defined as

K=Re -
&h

where a is the radiusof the pipe (of half-widthof the duct),R,, is the radiusof
the bend, and Reis the Reynolds numberbased on a and the velocity in the
straight pipe (or duct). The Dean number can be interpreted as the ratio
Fluid-Structure 283

of the square rootof the product of the inertia force and the centrifugal force
to viscous force. Since the original investigation by Dean, flow in curved
pipes and ducts have received extensive attention. An overview of these
investigations may be obtained from the review articles written on this sub-
ject [ 183,1841.
Thethree-dimensionalnature of the flow within the bendsection
makes this flow extremely complicated for experimental investigation. Sev-
eral numerical investigations have been conducted both for curved pipes
and ducts, but experimental results are limited so that the results of these
numerical investigations have not been completely validated. Furthermore,
there are several variations of flow through curved pipes and ducts; for
example, the flow can be laminar or turbulent, the flow can be fully devel-
oped before entering the bend,or the flow may be allowed to develop within
the bend. Each of these variations of the flow produces different results.
Hence,acompletediscussion on flowin curvedpipes and ducts would
be very lengthy and not desirable here. Therefore, only some general fea-
tures of flow through curved pipes and ducts are presented.
As a result of the secondary flow set up within the bend section, the
maximum velocity shiftsfromthecenter of thepipe (orduct)toward
the outer bend. Extensive results are available foraxial and circumferential
velocities within the bend section for both laminar flow in pipes [185-1891
and rectangular ducts[ 190-1931, as well as turbulent flow in pipes [ 194-1991
and rectangular ducts [193,200]. These results include both experimental
measurements and numerical calculations.
The development of the axial velocity in bends of circular and square
cross sections for both laminar and turbulent flows are presented in Figs.
8 1 a-8 1 d. These results are atdifferent Dean numbers. Theshift of the maxi-
mum of the velocity toward the outer bend is obvious. These figures further
indicate that the axial velocity is perturbed by the curvature of the bend
immediately as the flow enters the bend. The shift of the velocity toward
the outer bend is almost complete by 90" into the bend. The axial velocity
does not change substantially after 9 0 into the bend.
A substantial amount of research has been conducted to decipher the
nature of the secondary flow in circular and rectangular sectioned bends.
The general nature of the secondary flow is that two helical cells are set
upwithin the bendsection,symmetricaroundtheplane of thebend.
Although the existence of secondary flow within the bend section is agreed
upon, there is wide disagreement about the nature of the secondary flow.
Besides a two-vortex Dean cell structure, a four-vortex Dean cell structure
has also been detected within the bend section. The four-vortex structure
has been observed both in a square sectionedbend [201-2061 and in a
circularsectioned bend [207,208]. Althoughmost of thework cited on
 Anwer

Figure 81 Evolution of axial velocity within the bend section: (a) laminar flow in a
curved pipe[188]; (b) laminar flow in a curved duct [191]; (c) turbulent flow in a curved
pipe [194]; (d) turbulent flow i n a curved duct [200].
Fluid-Structure Interaction
286 Anwer

the second helical structure have been conducted numerically, these have
also been observed by flow visualization [209] and experimental measure-
ments [187,210,21 l]. What makes matter more complicatedis that whereas
some researchers have detected the second helical cell near the inner bend
[210,21 l], others have detected it nearthe
outer bend [187,191]!
Furthermore,althoughthe second cell has been reportedfortheDean
number range 145-852 [190,191], they have not been observed for Dean
numbers 500 and 1093 [ 1881.
Although several issues regardingthesecond helical cell remains
unresolved, it is generally agreed that the appearance of the second helical
cell is related to instability within the bend. This instability maybe triggered
by any internal or an external factor. Daskopoulos and Lenhoff [212] have
performedabifurcationstabilityanalysis to show that i n acircular
sectioned bend, a two-vortex cell structure is the stable helical cell structure
for a Dean numberbelow 956. This result is in apparent conflict with results
reportedearlier [207,208], whichhavereportedastablefour-vortex cell
structure for a Dean number below 956 [201,202]. The numerical investi-
gation of Daskopoulos and Lenhoff is conducted for a wide range of Dean
numbers. The variation of axial velocity, in terms of isovelocity contours,
and secondary flow streamlines with respect to Dean numbers are shown
in Figs. 82a-82d. These streamlines are for laminar flow at a 90 location
within thebend.The general natureof thesecond helical cell reported
for turbulent flow [l961 is similar to Fig. 82. Further confusion arises in
the numerical calculations of Daskopoulos and Lenhoff by the fact that
for a high Dean number, both a stable two-vortex solution and a stable
four-vortexsolutionarereported.These twosolutionsare shown i n
Fig. 83. Therefore,astherearemoreconfusionthananswersfor
thecase of second helical structure, further discussion of thematter is
avoided here.
The obvious effect of shifting of the velocity maxima toward the outer
bend is an increase in shear stress along the outer bend. Forflow through a
circular pipe bend, the behavior of friction factors for laminar and turbulent
flows are shownin Figs. 84a and 84b, respectively. These figures, reproduced
fromRef. 213, have been consolidatedfromdifferentinvestigationson
laminar [213-2161
flow turbulent
and flow [213-2191 for
15 < R[,/a < 2050. Figure84ashowstheratio C f ; / C t ;(where C,; is the
coefficient of friction in the curved section andCf<is the coefficient of friction
in the straightpipe section) as a function of Dean number for a laminar flow.
The rise in the coefficient of friction in curved section is remarkable. Figure
84a also shows that for each radius ratio, the flow becomes turbulent at
different values of the Reynolds number. In fact, with the rise in curvature
of the bend, the transition to turbulence is delayed. The critical Reynolds
Fluid-Structure

Axial
velocity
Contours
L
L
U

-
C
5

3
W L
W
C.
-
C
g
h
v

Secondal.y
veloclty
streamlines

K - I ,OW (dJK = 5,uqo

Figure 82 Axial velocity contours and secondary flow streamlines for laminar flow
through a pipe bend: (a) K = l: (b) K = 500; (c) K = 1000: (d) K = 5000. (From Ref.
212.)

number for transition from laminar to turbulent flow is reported [213] to

have the relationship
Re,.,.= 240L0.39, 15 < Rh/u < 8.6 x 10' (16)
For & / a > 8.6 x lo', thecriticalReynoldsnumbermatches that of a
straight pipe. Figure 84b shows that for turbulentflow through a pipe bend,
with an increase in Reynolds number, the coefficient of friction eventually
attains the value in a straight pipe. However, with the increase in the cur-
288 Anwer

Axial
velocity
conlours
- -
c-
L
W L
-
0 2
-
-
c
r

--
r

Secondary
velocity
streamlines

(U) Four-vorlex
solunon

Figure 83 Two-vortex and four-vortex cell patterns of flow through a pipe bend for
K = 5000. (From Ref. 212.)

vature of the bend. the straight pipe value is attained at a larger Reynolds
number. For the case of a turbulent flow through a circular pipe bend,
experimental measurements of shear stress [ 194,2201 along inner and outer
bends,usingawall-mounted hot-film probe, are shown inFig. 85. The
tremendous perturbation in shear stress caused by the curvatureof the bend
is apparent.
The coefficient of friction is indicative of the convective heat-transfer
coefficient. The variation of shear stress around the circumference of the
bend indicates that heat transfer around thecircumference of the bend will
not be uniform. Therefore, if hot fluid passes through the bend, transferring
heat to the wall, as the shear stress along the outer bend is higher, the outer
bend is expected to have a higher temperature than the inner bend; con-
versely, in boiler tubes, the inner bendis expected to have a higher tempera-
ture than the outer bend.

2.4.2. Curvedboundary layers

Flow over curved surfaces, both convex and concave, have directrelevance
to flow over blades and between blade passages in turbomachinery. The
difference between flow inside curved ducts and flow over curved surfaces
is that no radial pressure gradient is present in a curved boundary layer.
In spite of the absence of the radial pressure gradient, both the pressure
gradient,due to thecurvature of thesurface,andthecentrifugalforce
are presentinthe flow. A simplestabilityargumentproposed by von
Fluid-Structure Interaction 289

(a)

0
IO" I u' IO' 10'

Figure 84 Variation of coefficient of friction through a pipe bend: (a) laminar flow;
(b) tubulent flow. (From Ref. 213.)
290 Anwer

0
-20
- upstream
pipe
straight

-10
I
"

0
bend section "++

90"
downstream
pipe
straight

180"
l
10
-"

20
xlD Degrees xlD
Figure 85 Evolution of shear stress along the inner bend and the outerbend for
turbulent flow through a pipe bend. (From Ref. 220.)

Kirman [221] predicted that a concave surface (curvature similar to the

pressuresideofaturbineblade)hasadestabilizing effect on the flow,
and a convex surface (curvature similar to the suction side of a turbine
blade) has a stabilizing effect on the flow. Later experimental investigation
[222] hasindeedshown thatthetransitiontoturbulence is accelerated
on a concave surface and delayed on a convex surface. In a turbulent flow,
turbulence generation is enhanced on a concave surface and inhibited on
a convex surface [194,223].
An outcome of the centrifugal force acting on the curved surfaces is
that the axial velocity becomes "more full" on a concave surface and "less
full" on aconvexsurface.Experimentalmeasurements of axial velocity
for turbulent flow over a convex surface [224] are shown in Fig. 86, where
it is observed that fluid nearthesurface loses momentum.In these
measurements, the boundary layer was allowed to become fully turbulent
on aflatsurfacebeforeenteringthecurvedsection. As the flow enters
the curved section, the shear stressin 70% of the boundary layer disappears
[224]. Furthermore, the near-wall flow remains substantially
two
dimensional.
Fluid-Structure Interaction 291

Figure 86 Evolution of axial vclocity i n a boundary layer over a convexsurface.

(From Ref. 222.)

Theimmediateoutcome of reduction ofvelocity in thenear-wall

region of the flow is a reduction in the shear stress on the surface. The
streamwise development of the coefficient of friction in a convex boundary
layer [224] is shown in Fig.87.Thisfigureclearlyindicatesthatwithin
the curved section, thereis an almost 30% reduction in the wall shear stress.
For turbulent flow over a concave surface, the behavior of axial vel-
ocity and coefficient of friction is oppositethat oftheconvexsurface.
Themeasurements of axialvelocity andstreamwisedevelopment of
coefficient of friction for flow over a concave surface [225] are shown in
Figs. 88 and 89, respectively. The development of the axial velocity, shown
i n Fig. 88, shows that as a result of centrifugal force, the near-wall flow
receives additional momentum from the farfield. Therefore, the streamwise
component of shear stress is expected to increase as the flow enters the
curved section. This is fairly reflected in Fig. 89, where it may be observed
that within the curved section,the coefficient of friction increases by 1most
6.5%.
Flow in a concave boundary layer is substantially more complicated
than a convex boundary layer. Although the near-wall flow on a convex
surface is nearly two dimensional, the near-wall flow on a concave surface
is completely three dimensional. Destabilizingeffects of a concave boundary
layeramplifiesthelarge-scale motion normal to the wall [226,227]. The
momentum thickness of a concave boundary layer is reported to vary in
 Anwer

0 l 1 I 1 1 I l I I
-50 -25 0 25 50 75 100 125 150 175

Figure 88 Evolution of the axialvelocity in a boundary layer over a concave surface.

(From Ref. 225.)
Fluid-Structure 293

-100 -50 U 30
Distance in flow direction, x/&

Figure 89 Evolution of the coefficient of friction in a boundary layer over a concave

surface. (From Ref. 225.)

the spanwise direction [228,229]. This variation is believed to be caused by

large-scale roll cells that develop within the boundary layer. Theseroll cells
are aligned in the streamwise direction and are produced by the same type
of centrifugalinstabilitymechanismthatleads to theformation of
Taylor-Gortler vortices in a laminar boundary layer on a concave surface.
However, theroll cells in the turbulentcase are not as well defined. Although
someexperimentalinvestigationshavefoundevidence of somekind of
organizedstreamwisestructureswithinaconcaveboundarylayer [230],
othershave declared that these large-scale structurescouldnot be
"described as vortices under any reasonable definition of terms" [23 l]. Evi-
dence of these vortices in numerical calculations have been obtained for
mildly curved surfaces [232].
The short discussion on curved boundary layers indicates that the
heat-transfer coefficient on a concave surfaceis higher than that on convex
a
surface. If this information is applied to the case of flow of hot gases over
turbine blades, the pressure side of the blade will be hotter than the suction
side of the blade. This information are especially necessary for choosing
materialfortheconstruction of blades and designingcoolingchannels
for the blades.
294 Anwer

3. FLUID-STRUCTUREINTERACTION:APPLICATIONS

Fluid flow configurationsappearing inmachinery are extremely com-

plicated and enormously wide ranging. The objective of this section is to
show the complicated nature of some of these flows. From the standpoint
of complications of fluid-structure interaction. few of the more complicated
machinery and/or their elements are flow in a combustor, flow through
valves, flow over blades in turbomachinery, flow between blade passages
in turbomachinery, flow over bundlesof rods in heat exchangers andboilers,
and so forth. In industrial applications. there are several designs for eachof
thesemachineelements.Each of the designs gives rise toa different
fluid-structure interaction. Of the machinery and/or their elements listed,
perhaps the most complicated and comprehensive fluid flow configuration
is encounteredwith flow overblades and betweenbladepassagein
turbomachinery (i.e., turbines and compressors).
Turbines and compressors are of axial, radial, and mixed types. The
presence of centrifugal force and geometrical skewness of theblades in
a radial and mixed-typemachinesmakesthemsubstantially more com-
plicated to study. The discussion in thissection is concentratedmainly
on axial-flow machines. Nevertheless. manyof the principles associated with
all thesetypesofmachine aresimilar. Flowassociatedwithbladesin
turbomachinerycontainsfeatures like curvedboundarylayer, skewed
boundary layer, vortex shedding, flow-induced vibration, wake flow, sec-
ondary flow, separation, and so forth. Therefore, a discussion of flow over
blades and through blade passage in turbomachinery will be truly compre-
hensive and would also help in understanding the fluid flow configuration
arising on other machinery. Before discussingthese
particular
fluid-structure interactions and their relation to turbomachinery. an ideal
model of flow in a blade passage is presented.

3.1. Ideal Model for Flow in aBladePassage

In a n axial-flow turbine, before the flow enters the rotor stage, the fluid
passes through nozzles (1) to increase themomentun1 of the fluid and
(2) to deflect the flow in a direction appropriate for the blades in the rotor
stage. Similarly, in anaxial-flow compressor, the flow passes through inlet
guide vanes (IGV), primarily to deflect the flow in a direction appropriate
for the rotor stage. If there are multiple stages of the machine, the flow
entersastatorstagebeforeenteringthe next rotorstage.Thepurpose
of the stator stage is the redirect the flow for the next rotor stage. In some
turbines,additionalmomentum is alsogenerated in thestatorstage by
reducing the static pressure.
Fluid-Structure 295

In both the axial turbine and the axial compressor, the active stage is
therotorstage.Fluid is compressed,ormechanical energy is extracted
in the rotor stage. Therefore, the thermodynamic analysis of a compressor
or a turbine is concentrated on the rotor stage. In an ideal analysis, the
backbone of thisthermodynamicanalysis is the velocity diagrams.An
example of a velocity diagram is shown in Fig. 90. The different quantities
shown in Fig. 90 are defined as follows:
U I= the absolute velocity of the fluid exiting from the nozzle (or IGV)
M'I = the relative velocity of the fluid as received by the rotor blade

V8

Figure 90 Stagevelocity diagram for a turbomachinery.

296 Anwer

U? = the absolute velocity of the fluid leaving the rotor (the stator stage
receives the fluid at this velocity)
M'? = the relative velocity of the fluid leaving the rotor
v0 = the circumferential velocity of the rotor
v, = the axial velocity of the fluid through the turbine (or compressor)
= the nozzle exit angle; the blade inlet angle; the angleof the absol-
ute velocity of the fluid which leaves the nozzle (or IGV)
p2 = the blade exit angle; the angle of the absolute velocity of the fluid
leaving the rotor
yl = the inlet air angle; the angle of the absolute velocity of the fluid
which is received by the rotor
72= the exit air angle; the angle of the relative velocity of the fluid
leaving the rotor; the blade of the next stator stage receives the
fluid at this angle
Figure 90 is shown for an axial turbine. The velocity diagram for an
axial compressor is similar, except that the direction of 1'0 would be opposite.
In the ideal analysis,it is assumed that thefluid leaves the blades of the
stage tangentially. The work doneby the turbine (or work absorbed by the
compressor) is calculated by consideringthechange in themomentum
of the fluid entering and leaving the rotor stage. The ideal work is deter-
mined to be
W = vo(u1 sin + U? sin ,!l2)
or
= v,J(M,~sin y1 + "2 sin y2)
or
= vov,(tan y2 + tan 7 , )
or
= v,)v,(tan ,!lI + t a n [L)
The ideal stage efficiency is obtained from

&b =
+ (W; -
(24; - U;) \l$

2
4
;+ (W; - W);
The primary feature that makes an actual flow through blade passages
substantially different than the ideal model is viscosity. Because of the vis-
cosity of real fluid, the boundarylayers are developed on all surfaces inside
the blade passage. These surfaces include the concave pressure side,the con-
vex suction side, thebase, and the hub surfaces. These boundary layers have
laminar, transitional, and turbulent characteristics.AS some of these bound-
Fluid-Structure 297

ary layers develop on curved surfaces, the characteristics of curved bound-

ary layers discussed in Sec. 2.4.1 are directly applicable here. The charac-
teristics of the development of these boundary layers are such that some
behaviors of the turbomachinery become dependent on the physical state
of the fluid flowing through the machine. For example, stalling and surging
mayoccur in machineshandlingbothliquidandgases,cavitationand
water-hammer effects are characteristicsof machines handling only liquids,
and shock waves are characteristics of machines handling only gases. In
this chapter, features of flow through turbomachinery which are discussed
are (1) flow between blade passage, ( 2 ) stall, and (3) cavitation.
In Sec. 2.4.1, it was discussed that over a convex surface, the velocity
profiles are less full. Therefore, over the suction side of a blade, especially
over thetrailing edge of theblade,there wouldberegions of rapid
deceleration of fluid, resulting in momentum loss of the fluid. If the
momentum loss of the fluid is high, the resulting inertia force of the fluid
near the wall is unable to keep the fluid attached to the surface. Hence,
the flow separates from the wall. Such a separation of flow is called a stall.
Some separationmay experience reattachment. The immediateeffect of stall
is a loss of lift of the blade, which substantially reduces theefficiency of the
stage. Although stall is discussedhereinrelation to turbomachinery, it
may occur in any machinery or partof machinery where rapid deceleration
of fluid is present. Another such example is a diffuser, where if the angle
of expansion is higher than some critical value, the flow separates from
the wall. Under such a condition, the diffuser is also said to stall.
In a machine handling liquids, if at any location the local pressure
becomeslower than the local vapor pressure of theliquid,thestate of
the fluid changes from a liquid to a vapor. As machines are specifically
designed either for a liquidor a gas, such change in the state of the working
fluid affects the performance of machines. Such a change in the state of
the working fluid is called cavitation. As will discussed later, cavitation
is extremely detrimental to machines handling liquids.

3.2. Flow BetweenBladePassages

To have anunderstanding of flow throughblade passagesin an
axial-flow turbine or a compressor, it is necessary to know the following
quantities. Figure 91 is used to explain these quantities.
(a) The development of the boundary layers depends on the shapeof
the surface. Therefore, the curvature of the surfaces have to be
known. In other words, the profile of the section of the blades
must be known.
298 Anwer

I S

Figure 91 Different physical quantities of a stage of turbomachinery blades.

(b)The crosssection of mostblades is theairfoilsection.The

thickness of the airfoil section is denoted by t .
(c) For airfoils, drag coefficient, lift coefficient, and stall character-
istics are all functions of the angle of attack of the airfoil. In
turbomachinery, because of a change in rotational speed of
the machine and a change in the velocity of the incoming fluid,
the angle 01 (refer to Fig. 90) changes during operation; hence,
the angle of attack changes. As the operational characteristic
of the blades, hence the machine itself, changes with the change
in the angle of attack, it is necessary to know the angleof attack
of the blade.Followingconvection (in Fig. 91), theangle of
attack is denoted by c(.
Fluid-Structure 299

The work done by a turbine or the work absorbed by a com-

pressor depends on the angle P I , as well as the angle 1): (Fig.
90). Therefore, the characteristics ofa machine also depends
on the deflection angle, defined as A/j = PI - /l2.
In the ideal analysis of a turbineor a compressor, the analysisis
performed on one isolated blade. In Sec. 2.3, it was discussed
that the fluid-structure interaction of an array is substantially
different than an isolated structure. In turbomachinery, there
are always multiple bladesin the rotor. Therefore, itis necessary
to know the spacing of blades around the rotor. Blade spacing is
quantified in terms of solidity ratio,(T = c i s (where c is the chord
length and S is the circumferential distance between two consecu-
tive blades; see Fig. 91).
For asymmetric bodies, like a rectangular element or a square
cylinder,thealignment of theelementwithrespect to the
oncoming flowis important.Therefore, in turbomachinery,
thealignmentoftheblade is alsoimportant.Thealignment
is quantified by the stagger angle, 1)s (see Fig. 91).
The height of the blade passage is h. In certain blade stages, the
blades are also given a geometric twist along the height. Such
twists are very common in compressors of an aircraft jet engine.
The Reynolds number and the turbulencelevel of the oncoming
flow. There are several ways of defining the Reynolds number.
The velocities U I and w 1 and the lengths c, S, t , and h are used
by different researchers to define the Reynolds number.
The level of surface roughness of the blades.

With so many parameters governing the characteristics of the flow, it is

easily understood that it is extremely difficult to construct a general model of
flow between the blade passages of an axial compressor or a turbine. The
description given below will help to understand a general natureof the flow.
An attempt is made to list the different parameters in each case.
There has been interest in turbomachinery since the beginning of this
century. This is mainly because of the demand from the aviationand power
industries. The developmentof knowledge in this field may be obtained from
some of the books[233-2361 or fromreview articles [237,238] written on this
subject. Constructionof a theoretical model forflow between blade passages
has been a very active subject of research for a long time. Following a com-
prehensive inviscid model [239,240], an extension of boundary-layer theory
[241,242] was provided for flow between blade passages. The greatest limi-
tation of these modelsis that these analyses are performed on a single blade
in an infinite fluid, and no effect of solidity is considered.
300 Anwer

The experimental investigation of flow between blade passages is dif-

ficult due the fact that the blades are moving, whichmakesit difficult
for probes, like hot-wire or pitot tubes, to be placed within the passage.
Withtheadvent of opticaltechniques like laser-Doppler anemometry
(LDA), it has become easier to conduct measurements within the passage.
A technique called the phase-lock averaging (PLA) technique is used with
LDA to conduct these measurements. The details of PLA may be obtained
elsewhere [243]. Numerical calculations of flow in the blade passage is com-
plicated by ( I ) the complexity of the flow field, (2) the unsteadyflow, and (3)
the three-dimensional transition [244].
Velocity within the stuge. Large axial, radial, and centrihgal pressure
gradients exist within the flow passage due to the turning of the fluid within
the blade passages. This turning redistributes the incoming vorticity field.
At higher velocities, strong shocks exist within the passage. These shocks
can be complex and interacting and, in turn, generate their own vorticity field
[245]. The ideal analysis of the flow in a blade passage assumes that the vel-
ocity profile is uniform across the cross section of the exit. Experimental
measurements [246] have shown that both thevelocity as well as the direction
of the outlet velocity varies widely over the cross section of the blade. An
example of these measurements, as presented in Fig. 92, shows that both
the exitvelocity and its direction vary substantially over the cross section
of the blade. The cross-sectional variation of the velocity and direction of
the flow is particularly important in cases in which the solidity ratio is small
[246]. It should be noted here that in these measurements, the blades did
not have any geometric twist. Occasionally, twist is introduced along the
height of the blade to reduce the variation in the directionof the outletvelocity.
But such a variation in outlet velocity and direction has been observed in
experimental measurements [247] and numericalcalculations [248]of twisted
blades also.
The velocity development within the passage depends on the angle of
attack of the oncoming fluid. The velocity development in a compressor
cascade for two angles of attack, shown in Fig.93,shows that velocity
decays faster when the angle of attack is higher [249].
Ithas been observed that the outlet anglefromthebladepassage
depends to a large extent on the Reynolds number also [250]. Figure 94
shows that keeping all other parameters same, the outlet angle of an axial
compressor stage variesby almost 5" for a Reynolds number (basedon inlet
velocity and blade chord) ranging from 8 . 7 lo4 ~ to 4x IO5.
Lift, drug and surfuce pressure ojtke hludes. The effect of the angle of
attack upon the performance of blades may further be understood by static
pressure measurement on the surface of the blade. Some examples of these
Fluid-Structure 301

Figure 92 Variation of the exit velocity and its direction over the height of the blade.
(From Ref. 244.)

measurements in an axial compressor [241] are shown inFigs.95 and 96.

Figure 95 shows the effect of changing inlet angle upon the surface pressure.
In Fig. 95a, for P I = 95", the surface pressure on the suction side and pressure
side areso even that no substantial lift would be produced. The incoming flow
is almost tangential to the blade (PR = 90) but almost no lift will be produced.
In fact, it has been observed that a blade performs best when the angle of
attack of the incoming flow is greater than zero. This fact is observed in Fig.
95b, for = 115", thesurfacepressures onthe suction and pressure sides
are substantially different from each other, which indicates that the lift pro-
duced on the blade would be appreciable. Increasing the inlet angle further
to PI = 125" in Fig. 95c, shows that the surface pressure profile on the latter
part of the suction side becomes flatter. Recalling the behavior of surface
pressure during separation on a circular cylinder and sphere, the flat surface
pressure profile indicates that theflow has separated;in other words, the blade
has stalled.
Thesurface pressure on theblades is dependentontheReynolds
number, especially when the Reynolds number is high. Measurements [242]
at two Mach numbers, but approximately the same Reynolds numbers,
shown in Fig. 96, show that for the lower two Reynolds numbers, the surface
 Anwer

NACA 65(13.4,0)10
, XACA 65(12A,o)10
p 60,0
= = 1.25 (3 = 60,(r = 1.25

l
1
i
i
i
( U ) U:'

70 40
16.1"

60 SO 100 0 20 10 60
l
SO 100
Percentage chord Percentage chord
Figure 93 Velocity ratio of flow through the blade passage as a function of chord
length for two angles of attack: (a) LY = 16.1' ; (b) LY = 24.1 .

pressures on the blade are almost the same. However, the surface pressure
changes drastically for the higher value of the Reynolds number. Moreover,
the change is more prominent on the suction side of the blade. Furthermore,
with thechange in Machnumber,thesurfacepressure profilebecome
steeper over the suction side. This information is important in gas turbine
application, where the velocity of gases is nearly sonic and compressibility
effects cannot be neglected.
The variationof drag coefficient as a function of the angle of attack is
shown in Fig. 97. These experimental measurements [249] show that the
drag coefficient decreases with the increase in the angleof attack, and then
increases again. For the case shown in Fig. 97, the minimum drag coefficient
is obtained when 2% 16". The increase in drag coefficient at low and high
angles of attack is associated with stalling of the blade. At a low angle
of attack, the blade stalls on the pressure side. whereas at a high angle
of attack, the blade stalls on the suction side. Figure 97 further shows that
with real fluid, the blade performs better when the fluid arrives at an angle
of attack.
Fluid-Structure 303

U
m

..
35 40 45 50 55 60
Air inlet angle, PI (deg)

Figure 94 Variationof the air outlet angle as a hnction of the air inlet angle for
different Reynolds number. (From Ref. 250.)

The stall characteristicsof the blades may furtherbe understood from

the variation of the drag coefficient as a function of the lift coefficient.
Examples of such variations are shown in Fig. 98 for two values of the
stagger angle and four values of the solidity ratio. Figure 98 shows the
numericalprediction
using
the
boundarylayer
theory [241] with
experimental measurements [251]. The behavior of these curves is almost
similar to the behavior of the drag coefficient with respect to the angle
of attack observed in Fig. 97. This is not unexpected, as the ideal lift of
an unstalledairfoil is proportional to the angle of attack. The increase
of drag in the lower and higher range of life coefficient is due to stalling.
The effect of changing the solidity ratio is dependent on the stagger angle.
For BB = 90, increasing the solidity ratio increases the drag and decreases
the lift, butfor /j8=3O0, increasingthesolidityincreasesboththelift
and drag. The increase in drag with the increase in the solidity ratiois similar
to the increase in the drag of multiple cylinders with the increase in the
lateral distance between them, as shown in Fig. 78.
304 Anwer

n. o 0.5 IO 0.5
Ratio of distance along chord, */c

Figure 95 Pressure coefficients on the blade surface as a function of the air inlet
angle: (a) Dl = 95.; (b) P, = 115'; (c) /lI = 125 . (From Ref. 241.)

Figure 96
Ratio of distance along0.0E l
chord, r k (b) ,\.la = 0.7

The effect of Mach number and Reynolds number upon surface pressure
of a turbomachinery blade. (From Ref. 241.)
 Fluid-Structure Interaction 305

x NACA 65(12A10)10
p = 60, U = 1.25
G -
M-
C
.-
c)
0
E"-
QJO
0
U

2WJ

12 16 20 24
Angle of attack, a (deg)

Figure 97 Drag coefficient of a turbomachinery blade as a function of the angle of

attack. (From Ref. 249.)

-S
9
0

- 0
0.0 0.4 0.8 I .2 1.6 7.0
S >
0.0 0.4 0.8 1.2 1.6 2.0 2.4 1.8 3.2
Lift coefficient, C/ Lift coefficient, C,

Figure 98 Drag coefficient as a function of the lift coefficient for different solidity
ratios: (a) /ln = 90 : (b) /In = 30'. Blade section NACA 8410.

The lift coefficient as a function of the angle of attack are shown in

Figs. 99 and 100. Figure 99 shows inviscid model calculations l2391 and
experimentalmeasurements [252] of the lift coefficient as a function of
theangleofattack,for differentvaluesof the solidity ratio. All these
306 Anwer

c:
N
0= 1.5

._

-0.1 0.0 0.1 0.2 0.; -0.1 0.0 0.1 0.2 0.3 0.1 0.0 0.1 0.2 0.;
Angle of attack, a (rad) Angle of attack, a (rad) Angle ofatrack, a (rad)

Figure 99 Variation of the lift coefficient as a function of the anglc of attack for
different solidity ratios, p = 45 . (From Ref. 239.)

measurements are for inlet air angle /l = 45". Figure 99 clearly shows that
within the unstall limit, the lift coefficient is proportional to the angle of
attack. With the decrease in solidity,the rate of the increase of the lift
coefficient with the angle of attack increases and the limit of the stall angle
decreases.Figure 98 alsoshows that, at least for low angles of attack,
the inviscid model for the prediction of the lift coefficient is not too far
experimental measurements.
Figure 100 shows the variation of life coefficient as a function of the
stagger angle and solidity ratio. Increasing the stagger angle while keeping
thesolidity ratiothesamehastwoopposing effects. Ononehand.as
the stagger angle increases. the lift coefficient of the blade increases. At
the same time, the blade stalls at a lower angle of attack. This is because
as the stagger angle increases, the blockage to flow increases. This means
that the fluid will have to change direction within the blade passage faster.
This causes thefluid to accelerate ordecelerate at a higher rate, thusleading
to early separation.
On the other hand, keeping the stagger angle the same, the effect of
increasing the solidity ratio also has two opposing effects. On one hand,
with the increase in the solidity ratio, the rate of the increase of the life
coefficient with the angle of attack decreases, hence the lift on the blades
decreases. At the same time, the blade stalls at a higher angle of attack.
Increasing the solidity ratio while keeping the stagger angle the same helps
to guide the fluid through the blade passage more efficiently, hence separ-
ation is delayed.
l4t1h-c of hlrdes. As discussed in earliersections,a wake region
develops downstream of any bluff body. The recovery of the velocity in the
wake may take considerable distance downstream of the body and generally
depends on the geometry of the body. In the caseof turbomachinery, a similar
Fluid-Structure Interaction 307

30" 45" 60"

2.0

'-0.1 0.1 0.3-0.1 0.1 0.3-0.1 0.1 0.3-0.1 0.1 0.3

Angle of attack, a (rad)

C
.2 zi
g;
0
L

50'
=:

0
) /
I

I
/
piI
I
I
I

I
I
I .o

_Ic
2 I

'0.1 0.1 0.3-0.1 0.1 0.3-0.1 0.1 0.3-0.1 0.1 0.3

Angle of attack, U (rad)

Figure 100 Variation of the lift coetticient as a function of the angle of attack for
different stagger angles and solidity ratios. (From Ref. 239.)
308 Anwer

wake region develops downstream of the blade. It takes some distance for the
velocity to recover. This information is important, especially inmachines
where there are multiple stages. The fluid near the surface of the blades must
be allowed to gain some of its momentum back before it is allowed to pass
through the next stage. If the momentum of the near-wall fluid is less, sep-
aration becomes easier. The development of the axial velocity in the wake
of a blade is shown in Fig. 101. Figure 101 shows numerical calculations [253]
along with comparison of experimental measurements [254] for three angles
of attack.This figure shows thatthe velocity developmentimmediately

x 'P
P
I IP

Spanwire distance, y/c

Figure 101 Recovery of the axialvelocity in the wake of a turbomachinery blade: (a)
a = 2 ; (b) a = 0 ; (c) CI = -6 . (From Ref. 253.)
Fluid-Structure Interaction 309

U
A
-0.3 -0. I5 0.0 0.15 0.3
Spanwise distance,y/c

downstream of the blade is slower' for the negative angle of attack. However,
for all three angles of attack, the velocity develops by an appreciable amount
by xIc = 0.56. Furthermore, it is also clear from Fig. 101 that numerical tech-
niquesarequitecapable of predictingtheactual velocity developmentin
the wake of a blade.
One of the mainobjectives of investigating flow through bladepassage
is to determine the losses within the blade passage. Losses associated with
flow within a blade passage consistsof losses in the nonseparated boundary
layer, of additional losses due to separation, andof losses due to turbulent
 Anwer

(C) CY. = -6

-0.5 -0.25 0.0 0.25 0.5

Spanwisc distance, .v/c

mixing i n the wake. Losses within the blade passage are quantified in terms
of the loss coefficient c,., defined as

where p ! is the pressure upstream of the stagep 2 is the pressure downstream

of the stage, and 1\31 is the inlet velocity. The loss coeflicient is a function of
thelargenumber of parameters. Primarilythe loss coefficient depends
on the angle of the incoming flow P I . Experimental measurements [249].
Fluid-Structure Interaction 311

A(3 = 3U0 p, = 30"

30"

0 0.8 1 .G 7.4
Solidity ratio, o
Figure 102 Loss coefficient as a function of solidity ratio for different values of air
inlet angles and deflection angles. (From Ref. 249.)

shown in Fig. 102, shows the loss coefficient as a function of the solidity
ratio. three values of angle of the incoming flow, and four values of the
deflection angle. The figure shows that for low values of the solidity ratio,
the loss coefficient asymptoticallyapproaches infinity. There is a value
c,.
of solidity ratio were is minimum. As S increases beyond this is increases
gradually. The reason for this is that when the number of blades is low,
S is high; the blades are susceptible to separation on the suction side. As
the number ofblades increases, (T decreases. The passage between the blades
act as a guide for theflow, hence stabilizing the flow on the suction surface;
as a result, separationis delayed and Cl.decreases. As D continues to decrease
further,strongersecondary flows are set up within the passage,which
312 Anwer

( b )Re = 4 x IO'
I

Figure 103 Loss coefficient as a function of the airinlet angle forfive airfoil shapes at
two different Reynolds numbers. (From Ref. 242.)

increases c,,. The increase of cl.

with AI is obvious in that with a larger
deflection angle, the strong adverse pressure gradient causes the separation
of the flow in the cascade, thus increasing losses due to pressure forces.
In this case, the loss coefficient is a very weak function of the Reynolds
number. However, a critical Reynolds number may occur, for which the
loss coefficient decreases very suddenly with increasing Reynolds number
in a manner similar to the drag coefficient of a circular cylinder [255-2601.
The effects of the air inlet angle PI upon ll.along with the effect of
thickness of theairfoilare depicted in Fig. 103. The high values of cl,
for low values of PI is associated with stalling on the pressure side, whereas
the high values of c,. for high values of is associatedwithstalling on
the suction side. Theinfluence of thickness on CV at a low Reynolds number
is quitedifferent. At a low Reynolds number, c,.
depends on l i e , but at
a high Reynoldsnumber, c,. isalmostindependent of thethickness of
the blade. The strong increase of C,. for moderate /jI at a low Reynolds
number is due to laminar separation without reattachment. For a high
Reynoldsnumber,there is a transition to turbulence, thus separation is
avoided.
The effect of compressibility upon loss coefficient for airfoils of five
different thickness is shown in Fig. 104. These investigations [261] confirm
that a strong increase of cl,
withincreasingthickness is found at a low
Reynoldsnumber in the wholesubsonicMachnumberrange,whereas
atalargerReynoldsnumber,the thicknesshasonlyasmall influence
on the losses.
Fluid-Structure interaction 313

0 NACA 6S(A I O)6O8

v
0.0 0.3 0.G 0.9
Mach number. Ma

Figure 104 Loss coefficient as a function of the Mach number for five airfoil shapes
at two different Reynolds numbers. (From Ref. 242.)

The Reynolds numbers effect is due to the presence of the boundary

layer.Investigations at different Reynoldsnumbersshowthatat a low
Reynolds number, in the whole subsonic Mach number (Ma) range, the
cascade efficiency suffersconsiderablybecauseoflaminarseparation.
However, as shown in Fig. 105, for incompressible flow, there is a very
314 Anwer

Figure 105 Loss coefficient as a functionof the Reynolds number for Ma=0.3.
(From Ref. 242.)

strongdecreaseof ;,,-by a factor of nearly 10 [261]-in theReynolds

number range shownin figure. This decreaseis associated with the transition
from the laminar flow to the turbulent flow in the boundary layer. Surface
pressure measurements, shown earlierin Fig. 96a, show that for the smallest
Reynolds number(5 x lo4),there is laminar separationof the boundarylayer
onthesuctionside of the blade and,consequently,a very largedrag
coefficient of the blade is developed. For the medium Reynolds number
(IO), the flow patternchangesfromlaminarseparation with turbulent
reattachment. This results in a drag coefficient that is nearly half that of
the smaller Reynolds number. Forstill larger Reynolds numbers( > 4x IO),
the flow pattern settlesdown toaturbulentboundary layerwith no
separation. The drag coefficient now decreases to nearly one-tenth of the
value at thesmaller Reynolds number. The critical Reynolds number, where
transition of the boundary layer from laminar to turbulent flow occurs, is
approximately 2x io4.
The influence of the Mach number on loss coefficient for different
Reynolds numbers is shown in Fig. 106. These investigations [261], conduc-
ted at threedifferentReynoldsnumbers,showthat at a high Reynolds
number, with attached flow, the influence of compressibility is indicated
by asuddenincrease of the loss coefficient owing tothe shockwaves,
Fluid-Structure 315

0.9

Figure 106 Loss coefficient as a function of the Mach number for three values of the
Reynolds number. (From Ref. 242.)

whereas at low Reynoldsnumber,theincrease in the loss coefficient is

steadier.
It may be conjecturedthat increasingtheturbulence level of the
incoming flow shouldhelpto reducetheloss coefficient, asturbulence
enhances mixing. Figures 107-109 present the influence of turbulence on
the loss Coefficient. Figure 107 shows the effect of the turbulence level of
the incoming flow upon loss coefficient. These investigations [262] were con-
ducted at a Mach numberof 0.5. In the rangeof Reynolds numbers shownin
Fig. 107, the loss coefficient reduces by almost 50% as the turbulencelevel of
the flow increased from 1.2% to 4%. Figures 108 and 109 show the effect of
artificial roughening of the blade surface upon the loss coefficient. Figure
108 shows that for alower range of Reynolds numbers, theeffect of artificial
roughening of thesurface is to reduce the loss coefficient. Artificial
roughening of the surface is accomplished by roughening the leading edge
of the blade and by installing a trip wire along theleading edge of the blade.
The use of a trip wire along the leading edge of the blade seems to have a
better effect upon reducing the loss coefficient than a rough surface. For
Re > 2 . 5 lo5,
~ both a rough surface and a trip wire seems to increase
316 Anwer

x10
Reynolds number, Re
Figure 107 Effect of the turbulence level of the inlet stream upon the loss coefficient
as a function of the Reynolds number for Ma = 0.5. (From Ref. 242.)

the loss coefficient. The effect of compressibility upon artificial roughening

of surfaces is shown in Fig. 109. Comparing Fig. 109a and 109b shows that
thereduction of the loss coefficient is effective forthe lowerrange of
Reynolds numbers whereas for higher Reynolds numbers, all three surface
conditionshavesimilarresults.AthigherReynoldsnumbers,the effect
of theadditionalsurfaceroughness decaysfaster [263]; therefore,the
effect of all three surface conditions is similar.

Srcondrtrj* flow in bIu& pussuge. Inaddition to losses duetothe

boundary layer and the turbulence level, a major component of losses within
a blade passage is due to the generation of secondary flows within the blade
passage. These secondaryflows are generated by several means. It was noticed
in Sec. 2.1.3 that horseshoe vortices are generated alongthe base of a cylinder
mounted on a flat plate.
Similar horseshoe vortices have been observed along the base of a
bladealso [264-2661. Furthermore,asthe passage between the blade
resembles a curved channel, secondary flow similar to Dean cells are also
set up within the passage. I n addition to these two, there is also a leakage
of flow from the pressure side of the blade to the suction side through
the clearance at the tip of the blades, which also gives rise to a secondary
Fluid-Structure Interaction 317

1 I

Figure 108
0.5 0.8
lI .o 2.0
Reynolds number. RC,

Effect of the artificial production of turbulence upon the loss coefficient

as a function of the Reynolds number. (From Ref. 242.)

flow. These secondary flows are called the corner flow, the circulatory flow,
andtheclearance flow, respectively.Thesethreesecondary flows are
superimposed on the two-dimensional flow through the passage. It is quite
clear that theresulting flow is extremely complicated. Several attempts have
been made for theoretical modeling of the secondary flows, with limited
success [267]. The secondary flows cause considerable losses, because their
kinetic energy is lost and adds to the wake losses. The secondary flow in
many cases amounts toalmost 5Ooh of the total losses [268]. Factors affect-
ing these losses are blade height, boundary layer thickness of the incoming
flow, the profile of the incoming flow, the shape of the leading edge of
theblade,andthetipclearance. As aresult of thesesecondary flows,
the losses are not uniform across the cross section of the blade passage.
Results of measurements [242] show that the losses are considerably higher
318 Anwer

Figure 109 Effect of the artificial production of turbulence upon the loss coefficient
as a function of the Mach number: (a) Re = 1 x IO5; (b) Re = 4 x lo5.(From Ref. 242.)

near the walls. These losses are caused by premature separation influenced
by secondary flows.
Limited informationregardingsecondary flow is availablefrom
measurements [250]of the four test conditions shown in Fig. 110. The figure
shows that the secondary flow is mostly negative near the wall. The intensity
is not very high, but, more importantly, the secondaryflow redistributes the
profile of the axial velocity near the wall substantially.
eraction Fluid-Structure 319

a = O.8,chord = 13 cm
o a o v
0, 20.4' 48.3' 55.5" 562"
U, 44.9
44.6 46.8 41 mk
Re 3.S9 4.05 4.26 4 2 s x 10'
IJ, -23.8'' 20.9' 14.6" 24.4'

3.2 0.0 u.2 0.4 0.6 0.8 1 .o

Velocity ratio, u h 1 ,v/ul
Figure 110 Vertical profile of axial and secondary flows at the exit of a blade passage
for four configurations of flow. (From Ref. 242.)

3.3. Stall
As statedearlier,stalling is associatedwiththeseparation of flow on
machines or their elements. Surfaces with convexcurvature, such as airplane
wings andturbomachinery blades, andmachineelements withsudden
expansion,suchasvanelessdiffusersandpassages between blades in
turbomachinery,are highly susceptible to flow separation.Stalling is a
majorconcernfor allthesemachineelements.Thissectiondealswith
stalling in turbomachinery only.
Stalloccurs in turbomachinerywhen an adversepressuregradient
causestheflowtoseparateoverthesuction side of theblade.Once
separated,theshearlayer is highly unstableandthe flow can rapidly
undergo the transitionto turbulence. The turbulentflow entrains morefluid
than the laminar flow, and as a result, the turbulent shear layer bends toward
the solid wall, causingthe flow to reattach as a turbulent boundary layer. A
320 Anwer

small plateau of almost uniform static pressure is normally observed, cor-

responding to the region where the flow is separated in the bubble.
Inviscid calculations show that there is a suction peak near the leading
edge on the suction side of an airfoil. The flow accelerates as it is made to
follow the curved surface of the leading edge. Downstream of the peak,
the steep decelerationis sufficient to cause separation. If the incidence angle
is not too large, the flow reattaches a short distance downstream to form a
separation bubble. Because the bubble effectively increases the radius of
curvature followed by the flow in theleading-edgeregion, it has a pro-
nounced effect on the local pressure field. Inviscid calculations have shown
that the pressurein the leading edge contributes substantially to theoverall
lift and dragof the airfoil. Therefore, the behaviorof pressure in the leading
edge of the airfoil as a function of different flow parameters is extremely
important. As such, this topic has reached great importance in research
[269-2731.
The effect of leading edge of the airfoil on the overall performance of
turbomachinery is further amplified for asimple practical reasons. Thesizes
of the blades are relatively small so that manufacturing these in their exact
shape become difficult. Therefore, a surface discontinuity invariably appears
on the curvature of the blade profiles. The effect of discontinuity in the cur-
vature of the surfaces has been thoroughly investigated [273], along with
the effect of turbulence on the surface pressurefield of blades. Figures l 1 1a
and 1 1 1 b show the effect of changing the angle of attack and turbulence
level upon the surface pressure field of an airfoil with a circular leading
edge. Similar results for an elliptic leading edge are shown in Figs. 1 1 I C
and l l l d .
Figure 11l a shows that when the turbulencelevel of the incomingflow
is less than 5%,, a separation bubbleis developed evenat anangle of -l". The
size of the bubble is very small, and the bubble reattaches on the surface.
With the increase in the angle of attack, the separation bubble grows con-
tinuously, but eventually reattachesto the airfoil. Althoughit is not obvious
from Fig. 1 l I , even at !x = 3", the trendof the surfacepressure shows that the
flow will reattach. But at @4", the separation bubble does not reattach on
the surface. The blade is completely stalled.
The effect of raisingtheturbulence level of the incoming flow, as
shown in Fig. 11 lb, is to increase the peak suction pressure on the blade.
More importantly, the size of the separation bubble decreases drastically
so that the flow reattaches quicker on the surface. This behavioris obvious
because with increase in the turbulence level, the slower-moving fluid near
the wall is able to gain momentum from the faster-movingfluid away from
the wall, hence allowing the flow to reattach quicker. For angles of attack
of 4" and 5", it was noticed for a turbulence level less than 5% that the flow
Fiuid-Structure 321

stays separated, but theflow reattaches to the surface as the turbulence level
is increased.
The effect of a 1.S9 : 1 elliptic leading edgeis shown in Figs. 11I C and
11 Id. Figure 11 I C shows that theleading-edge separation is greatly retarded
even for a turbulence level of less than 5%. It was observed at angles of
attack of 4" and 5", although the flow was separated for a circular leading
edge. However, for an elliptic leading edge, the flow remains well attached
to the surface. In the case of a circular leading edge, the effect of raising
the turbulence level of the incoming flow is mainly to help the flow reattach
to the surface. There was no substantial increase in the surface pressure
of the airfoil. On the contrary, for an elliptic leading edge, the effect of
increasing the turbulence level of the incoming flowis a drastic increase
in the suction pressureof the leading edge, along with the almost disappear-
ance of the separation bubble, which means that the flow remains com-
pletely attached to the entire surface of the blade.
As thebladesoftheturbomachinerystall,observations in an
axial-flow compressorhavedemonstratedthattheregions of separated
or reversed flow arenot axiallysymmetricbutoccur in moreor less
well-defined patches around the circumference of the compressor annulus.
The regions of retarded flow remains approximately the same shape and
are propagated circumferentially with a velocity proportional to the speed
of the rotor. These stalls are called "rotating stalls." The rotating stall
has been explained as successive stalling and unstalling of bladesin a rotor
or cascade. Referring to Fig. 112, the stalled blade channel offers a high
resistance to the flow through the cascade, and the approaching flow tends
to be diverted to each sideofthestalledregion. The incidenceangle is
reduced to the left of the stalled blades and increasedto the right. This tends
to stall the next blade on the right and unstall the last blade on the left.
Hence, the stalled region moves to the right. Apparently, as the average
flow angle of a cascade approaches stalling, the preferred flow pattern is
one with groups of blades severely stalledalternatingwithgroups of
unstalled blades rather than a uniform stalling of all blades. The flow pro-
cess involved can be termed unsteady only within the individual blade pass-
age of the affected blade rows. Across any flow annulus throughout the
length of the machine, the flow rate stays constant with time.
To analyze stalling in annulus of turbmachinery, a flow coefficient C,!.
and pressure coefficient C,, are defined as
Mass flow
c,,,= Flow when mean actual velocity equals tip speed
Total pressure increase across rotor
c" -- Dynamic pressure corresponding to rotor tip speed
 0.0 5.0 10.0 15.0 20.0
Distance along airfoil, 2.dl

Figure 111 Effect of angle of attack upon the separation on the blade: (a) circular
leading edge, turbulence level 15%; (b) circular leading edge, turbulence level 5%;
(c) elliptic leading edge, turbulence level 15%; (d) elliptic leading edge, turbulence
level 5%. (From Ref. 273.)
Fluid-Structure 323

'0.0 5.0 10.0 15.0 .o

Distance along airfoil, ?S/I

' 0.0 5.0 10.0 15.0 20.0

Distance along airfoil, 2s/f
324 Anwer

Unstalled blades
.
1 """

.,..:.*:.;

.... ........
.:.:.>
$~~.~;.'
.: j:
- - "_"
,,+S:?$?
..:.:<
.
....
.........

.. .. .
?

"_
Stalled blades

Figure 112 Deflection of flow because of separation in a blade passage.

Whenthecompressorcharacteristicsareplottedagainstthesetwo
parameters,thecharacteristicsatallspeedscollapseononecurve.An
example of such curve is shown in Fig. 1 13. Because the Reynolds number
based on the chord length is of the order of lo5 and the Reynolds number
based on blade thickness is in excess of lo4, the effect of the Reynolds
number is minimum [274]. Toward the high end of C,, the operation of
the compressoris stall-free. As the throttleis closed, C, reduces and a peak
in C, is observed. This peak is identified as the surge limit. Below the surge
limit, a rotating stall is set up. For very low values of C,, the compressor
operates in complete stall condition. The pressure rise curve at the surge
limit might take on one of the two forms. In one case, the onset of stall
is smooth, and no discontinuity in pressure is observed; in the other case,
there is a discontinuity both inC, and C,-the discontinuity in C, exceeding
20% of thepeakpressure coefficient [274]. The C,-versus-C, curve
demonstrates a hysteresisat the surge limit, showing that the curve follows
a different path for decreasing and increasing throttle. is difficult
It to predict
the nature a priori.
There is a controversy about the number of rotating cells within the
annulus [275]. Figure 113 also shows [274] that depending upon C, and
other flow conditions, anywhere from onefive to cells may be rotating within
the annulus. In a different investigation[276], it was found that depending
upon C,, one, two, or three rotating stall cells are observed within the
annulus. These structures of flow appear for a very narrow range of flow
coefficient and are very stable. One cell appears for 0.39 < C,, < 0.4, two
cells for 0.37 < C,,, < 0.39, and three cells for C,,,< 0.37. An alternating pat-
Fluid-Structure 325

0
0.0 0.25 0.5 0.75 1 .o
Flow coefficient, C,

Figure 113 Pressure coefficient across the stage as a function of the flow coefficient
for a blade passage. Also shown is the number of rotating cells. (From Ref. 274.)

tern of stall is more stable than anaxially symmetric stall. The strong retar-
dation of the flow in the stalled region causes an increased flow rate, hence
an unstalling tendency over the remainder of the annulus. The blade tends
to stall near the hub.
An example [274] of the structure and the circumferential extent of the
stall cells is shown in Fig. 114. As the throttle is closed, the circumferential
extent of the stall cells continues to grow linearly. The structure changes
326 Anwer

Flow coefficient, C,

Figure 114 Circumferential extent of rotating stall asafunction of the flow

coefficient. (From Ref. 274.)

gradually from small widely spaced cells to multicell regime to large widely
spaced cells-to complete stall. The change of the stall cell structure from
one structure to another structure can be sudden or gradual [274].
The speed of the rotatingcells depends onwhether the stallis partial or
complete.The speed of partialstall cells have been measuredas 0.38~0
(where (U is the rotational speed of the rotor) in the direction of the rotor.
The propagating speed of full stall cells is 0 . 2 6 ~which
. is comparable with
a speed of 0 . 2 5 ~obtained in an earlier investigation [277]. The speed of
the rotating cells does not seems to depend strongly on the flow coefficient
or the number of cells rotating within the annulus [275].
There are somedefinite geometric and aerodynamic requirements that
must be achieved by an operating cascade before rotating stall will occur.
The requirements for obtaining rotating stall might be divided into three
basic categories: ( 1 ) aerodynamic andflow qualities, (2) cascade geometries,
and (3) stability factors. In addition, a stimulus or initiating trigger must be
considered a necessary factor [278].
The major flow qualities break down primarily into the magnitude of
the blade relative flow velocity and the cascade incidence angle. It has been
demonstratedthatthere is aminimum velocity below which stalldoes
notoccur [276]. I t is reasonabletoassumethatthere is an upperlimit
of velocity at which the blade passage is choked so that the transportmech-
anism does not work [278]. This means that for each cascade, there is a
Fluid-Structure 327

range of velocity for stall to propagate. This range may or may not with vary
incidence angle. The stall point of a cascade is a function of the detailed
geometry of the blades andthe
blade row
assembly as well as
boundary-layer and free-stream flow conditions. The operating Reynolds
number, compressibility effects, and the flow turbulence level are highly
influential factors.
The cascade geometryis extremely important in determining whether
propagating stall is possible. The blade mustbe packed so closely that aero-
dynamic characteristics do not reflect directly the isolated airfoil perform-
ance of anindividualblades.Inotherwords, if the flow transport
mechanism is tofunction, thebladepassage flow must be sensitive to
stalling, or flow separation, of the blades that form the passage. It has been
demonstrated that reducing the solidity virtually eliminated the multiple
rotating stall problem[274]. This would imply that there is a minimum value
of solidity below which rotating stall cannot occur in a cascade of a par-
ticular blade section and stagger [278].
The clearance between the tip of the blade and the hub is another
factor affectingstall characteristics [279]. Astheclearance is increased,
the blade as a whole stalls at a slightly higher inlet angle,although the maxi-
mum static pressure increase across the cascade does not increase. The direct
influence of clearance is concentrated in a region near the clearance whose
magnitude is of the orderof 25%) of the chord. Furthermore, as the clearance
is increased, the region that can withstand the highest angle of attack before
stalling moves slightly from the tip toward the root of the blade.
Stabilityfactorsforrotatingstallareprovided by uniformityof
pressures, massflow distribution, and symmetryin the geometryof the pass-
age parts.
It should be noted that because the blade design varies spanwise in a
typical blade row of an axial compressor, a portion (root or tip) of the blade
will stall before the rest. The subsequent redistribution of flow the then tends
to inhibit stalling in the remainder of the span, thus sharpening the bound-
ary between stalled and unstalled regions. The actualflow through the com-
pressor row, or cascade, consistsof part good flow and part separated flow.
The loss coefficient in the two sections are different.
Damping of therotatingstall is achieved not only by aero-
dynamicallyunstalledstagesbutalso by combinations of bladerows
desiring to instigate a different rotating stall pattern. This creates an insta-
bility of pattern, which causes an intermittent jumping or hunting between
two stall patterns.Airfoil geometry appears tobe another highly significant
factor. It is possible to operate a stage in which rotating stall does not
occur [280]. The unusual feature of the stage is that the tip section had
a very high camber.
328 Anwer

3.4. Cavitation
As the volume of a given mass of gas increases, the pressure exerted by the
gas decreases. Nevertheless, the pressure remains positive; however, large
the volume may be. The same is not true for liquids, owing to a quite dif-
ferent form of their equations of state. Liquids havea very small coefficient
of compressibility, such that a small change in volume is associated with
a very large change in pressure. Under such conditions, it is possible math-
ematically thatpressureatanylocation within the liquid will become
negative. Analyzing the Bernoulli equation
7
1
p+,+,/, =C
P -
where C is a constant throughout the liquid, it is not difficult to note that
the pressure p will become negative at locations where the local velocity
exceeds J-. I n practice, however, liquids are not able to withstand
thetension of negativepressure. The state of theliquidchanges to the
gaseousphase andtendstoform cavities of vapor, which expandand
relieve the negativepressure. Thecontinuity of liquid is thenlost and
thedescription of the flow involvesposition andmotion of cavity
boundaries. The formation and subsequent history of such cavities consti-
tutesthephenomenon of cavitation.Tests on liquids at restshow that
the tendency toform cavities when pressure is reducednearly tozero
is associatedwiththecontinual presence of nuclei which are believed
to be tiny pockets of undissolved gas-some liquid vapor is certain to exist
in small pockets. But gas-usually air-appears to be the more essential
element for cavity formation.
Understanding cavitation is extremely important for machines hand-
ling liquids. Cavitation results in a drop of hydraulic efficiency, increases
damages to machinery, induces vibration in machines, and increases noise
generated by the machines. Cavitation occurs when the minimum pressure
within the flow at any locationis approximately equal to the vapor pressure.
Generally. there are three mechanisms which may lead to such a conditionin
machinery handling liquids. These are as follows:
(a) The pressure on the suction side of a pump may fall below the
vapor pressure of the liquid at the local bulk temperature. In
such a case, the liquid in the entire inlet piping cavitates.
(b) I t was discussed in earlier sections that the lower pressure is influ-
enced by the curvature of the surface (e.g., curvature of the lead-
ing edge of anairfoil).Cavitationmay be initiated by low
pressure influenced by such a structure. This is the cause for cav-
itation from the tip of an underwater propeller.
Fluid-Structure 329

(c) It was discussed in Sec. 2.1.6 that the local pressure downstream
of a surface-mounted elementis substantially lower than the sur-
rounding fluid. In a machine handling liquids, it is possible to
have unwanted nicks, scratches or surface irregularities on pipe
walls or blade surfaces. Such features on surfaces occasionally
cause the local pressure to fall below the local vapor pressure,
resulting in cavitation.
Experience has shownthat if a body is sufficiently smooth, the onsetof
cavitation can be adequately determined from the theoretical value of the
minimum pressure. The onset of cavitation is described by the Thoma par-
ameter [281], defined as

where h,, is the suction head andH is the total head across the machine. This
description of onset of cavitation is defined for the overall cavitation of
machines. For local cavitation in machines, the onsetof cavitation is defined
by the incipient cavitation number, G,, defined as

where p is the local pressure, p,. is the vapor pressure at bulk temperature,
and v is the local velocity. One can define a minimum pressure coefficient

1pvL
2
wherep,,, is the minimumpressure in the fluid. In thefield of cavitation, it is
usually assumed that at the state of incipient cavitation, the minimumpress-
ure is equal to vapor pressure. Furthermore, it is assumed that small vapor
bubbles do not alter materially the pressure field from that obtained from
thenoncavitating-flowregime. From theseassumptions, it follows that
(T,= C,,,,,,".In most instances, the fundamental theoryof incipient cavitation
has proved tobe correct. However, extensive experiments on bodies in uni-
formstreamhaveindicatedthat (T,< C,,,,,,,,[282]. It is thoughtthatthe
departures from vapor pressure are due to theso-called time effects associ-
ated with the growth of a vapor bubble to macroscopic size.
It has been very difficult to determine any general functional behavior
for cavitation. For some structures, cavitation depends on the Reynolds
number; for others, the Reynolds number does not have any effect. It is
330 Anwer

0.4 0.6 0.8 1.0 2.0 4.0 6.0 8.0 1 0 . 0 ~IO6

Reynolds number, Re
Figure 115 Inception cavitation number as a function of the Reynolds number for
cavitation on airfoil bladcs of different chord lengths. (From Ref. 282.)

generally believed that cavitation depends on absolutevelocity and a length

scale of the body. For a symmetric Joukowski airfoil of 12%)thickness, CT,
varies as shown in Fig. 11 5 as a function of the Reynolds number for dif-
ferent chord lengths [282]. It is clear that in this case, c, depends largely
on thephysical dimension of the body. However, for cavitation from a disk
of dimensions 0.5-4 in., the behavior of CT, as a function of the Reynolds
number [282] is shown in Fig. 115. This figure may be considered as a rep-
resentativeforstreamlinedbodies,andFig. 116 representativeforblunt
bodies. It may be conjectured that for blunt bodies, even a small physical
dimension is sufficient for the liquid to cavitate.
Motion pictures of cavitation [282] show that bubbles grow for a time
at a fixed location on the body. Then, when they have attained a diameter
roughly equal to the displacement thickness, they are lifted up slightly from
the body, transported downstream, and distorted into toroidal-shaped rings
[283]. For streamlined bodies, the transportvelocity is roughly equal to 50%
of the free-stream velocity [282]. In each cycle of generation of bubbles,
three phases have been distinguished [284]. These are (1) formation and
Fluid-Structure Interaction 331

X 1 Oj

Figure 116 Inception cavitation number as a function of the Reynolds number for
cavitation from a circular disk. (From Ref. 282.)

growth of the bubble, (2) filling, and (3) break-off from the surface. The life
cycle of these bubbles have been estimated to be 0.003 S [285].
As mentioned earlier, cavitation may be influenced by unwanted sur-
face irregularities. These surface irregularities may be nicks or scratches
ormismatch of matingparts.In machineshandlingliquids,these are
one of the major concerns for avoiding cavitation. Thedesign of the entire
machine does not anticipate these surface irregularities, but these appear
as a matter of practical effects. Results of the artificial inception of cav-
itation [286] and the effect of the pressure gradient of the boundary layer
[287] upon artificial inception of cavitation are shown in Figs. 117a and
117b. These figures show the effect of h l d (where h is the height of the
protrusion and dis the boundary-layer thickness) on theincipient cavitation
number for circular and triangular protrusions. Figures 1 17a and 1 17b show
thatfor a circularprotrusion of heightequal totheboundary-layer
thickness,theincipientcavitationnumberincreases by afactor of 3.
For a triangular protrusion,, the increase is almost a factor of 6. For both
332 Anwer

Hcigh of protrusion. /L%

Height of protrusion, hi6

Figure 117 The eKect of the pressure gradientof the boundary layer on the inception
cavitation number as a functionof the relative height of the isolated structure for arti-
ficial inception of cavitation: (a) circular protrusion;(b) triangular protrusion. (From
Ref. 287.)

geometries, the increase in incipient cavitation number is more prominent

for a boundary layer withapositivepressuregradient. As the trend of
increase of cl with respect to kid is linear on log-log plot, it indicates that
the cl varies as (hid). This indicates that with an increase in the physical
Fluid-Structure 333

dimensions of structures, cavitation would start at a much higher pressure.

In the similar investigation [287], the effect of shape factor of the boundary
layer was alsoinvestigated, and it was concluded that 6, increaseswith
the shape factor also.
Theeffect of roughness of thesurfaceontheincipientcavitation
number is observed [288] that on a turbomachinery blade with an increase
in roughness, the cavitation inception is advanced toward the leading edge.
The size of the cavitation bubble is also reduced.
One of the primary concerns of cavitation is the damage done to the
surface. After breakaway from the surface, the cavitation bubble reconnects
the surface at some distance downstream from the breakaway point. At this
point, generally the pressure is higher than the breakaway point; hence, the
cavitationbubblecollapses.Rayleigh [289] presented a simpleanalysis
of the collapse of an empty cavity in an ideal fluid which demonstrated that
very high forces would be produced at the instant of collapse. This analysis
was extended to show that pressure waves generated by the collapse of
a cavity in water are, in fact, shock waves [290]. The pressure generated
by these shock waves have been estimated to be of the order of lo4 atm
[291]. The classical theory of bubble collapse shows that around the final
stage of bubble collapse, the velocity of the collapsing bubble is sonic; hence,
compressibility effects cannot be neglected [292]. Thesecollapses are
referred to pitting in literature. Damage due to pitting is caused by rela-
tively frequenthigh-intensity blows whicheitherremoveparticles of
material by each blow or by early fatigue. The amount of pitting is high
in the vicinity of the point of reattachment. An example [283] of number
of pits per unit area measured downstream of the point of reconnect is
shown in Fig. 118.
At first it was thought that the pitting rate (measured as theweight of
material removed per unit time) is proportional to sixth power of velocity
[284]. Thisresultwasbased on an investigation on annealed aluminum.
A later investigation [293] shows that the pitting rate increases with time,
which indicates that material fatigue is a major factor in pitting damage.
If the pitting rater,, is to be assumed as r,, cx v, the variation of the exponent
n with hours of operation is shown in Fig. 119. This curve is obtained based
on results of tests performed on aluminum, stainlesssteel, and carbonsteel.
The pitting damage hasbeen observed to be maximum for a water tempera-
ture of 100-120F (38-49C) [294,295]. The increase in temperature which
must occur at the instant of indentation, from the absorption of work
by metal, would give rise to energetic though transient chemical reaction
between the water and the metal [296].
Most commonly used metals like cast iron and brass are highly sus-
ceptible to pitting. Rolled steel and aluminum bronzeshow a high resistance
334 Anwer

0 1 2 3
Distance downstream ofcavity startingpoint (ins)

Figure 118 Pitting per second in the vicinity of a cavlty of two lengths. (From Ref.
283.)

Figure 119 The value of exponent II inrelation r,, 0: V'' as a function of hours of
operation. (From Ref. 293.)
Fluid-Structure 335

to pitting. To protectamachineelementagainstcavitation, it must be

designed so thatitoperates well abovethevaporpressure.Nicksand
scratches should be avoided.The junctionsof mating parts should be made
smooth.Inpumps,sharpeningtheleading edgeoftheblades by filing
may be beneficial [297]. Asmallamount of prerotationor prewhirl in
the direction of the impellers is often helpful [298]. An artificial coating
of approximately 1.5 mm thickness of synthetic material like neoprene,
polyurethane, styrene-butadiene, and natural rubber have proven helpful
in preventing pitting [299]. Some metals are protected from cavitation when
it is made the cathode of an electrolyticcell.Testsperformedon 4340
stainless steel in 3% salt solution show that cavitation damage is reduced
by almost 40'Yn when a current of 100 mA is passed through the metal[300].
In this method, the reductionof cavitation weight loss is associated with the
evolution of hydrogen gas on the surface of specimen.

4. CONCLUSION

An attempt has been made in this chapter to give an overall concept of

fluid-structure interaction appearing in different machines. As mentioned
at the onset of this chapter, this subjectis extremely broad for any general
model to be constructed. A few simplified flows were discussed, which help
us to understand more realistic flows appearing in machines. These were
the flow downstream of several geometriesof stationary and vibratingbluff
bodies, and curved boundary layers.
Among the general ideas developed from the discussion on the flow
downstream of bluff bodies is that when a bluff body is placed in a flow,
forces are developed on the body. forces The haveboth static and fluctuating
components. Surface pressure profilesindicate that these forces undergo
radical change with the transition offlow from the laminar to the turbulent.
Theseforces areoccasionallyamongthemajorloadingsonmachine
elements.
Wakes are developed downstream of bluff bodies. This is a major
factorwheremixing is important-asinacombustor-orwhereheat
transfer is important-as in a heat exchanger. The recovery of velocity
in the wake was observed to be dependent on several parameters. The rate
ofrecovery of velocity in thewake is amongthefactorsdetermining
optimum spacing between pipes in boilersand heat exchangers, the number
of stages in turbomachinery, and so forth.
The geometry of the wake includes periodic vortex shedding, which
may involve vibration of the structure. The effect of vibration is bilateral.
The flow may induce structural vibration, which, in turn, affects the flow
336 Anwer

itself. These vibrationsare of specialconcern in high-speed rotating

machines, where it is very easy for the rotational speed of the machine
to be oneofthe higherharmonics of thenatural frequency of vortex
shedding.Inthepast, such vibrationhascaused severe problems in
turbomachines.Suchvibrationmayalso be significantin thevibration
of supports and struts, valve rods, underwater shafts for transmission of
mechanicalenergy, and so forth. Similar to forces on the structure, the
behavior of the vortex-shedding pattern also changes with the transition
to turbulence.
It was foundthat flow associatedwith anarray of structure is
substantially different than thatof a single structure. An array of bluff body
develops a different wakefield, a different vibration pattern, different struc-
tural loading, and so forth. These results are used to determine the most
effective compactness of pipes in heat exchangers andboilers. the mosteffec-
tive compactness of blades in a turbine or a compressor, and so forth. The
heat-transfer characteristics of a heat exchanger or a boiler and the energy
extraction of a turbine are also directly related to these factors.
When a structureis placed inside aboundary layer, theresulting flow is
considerably different and substantially more complicated than when the
structure is placedin a uniform flow. Itwasfound that anywhere from
two to six horseshoe vortices may develop in this region wrapped around
the base. These results are of special interest around the root of blades
ina turbomachine. These resultsalsopoint to the fact that in supports
and struts, the behavior of the junction of the support is considerably dif-
ferent than the rest of the structure.
The physics of the unsteady flow downstream of structures aredirectly
applicable to machines during start-up and shutdown These results show
that
during
start-up
and
shutdown,machineelements experience
substantially higher structural forces than during normal operation. The
vortex-shedding pattern is alsoconsiderablydifferent in unsteady flow.
The velocity field associatedwiththeseunsteady flows suggests that
heat-transfer characteristics of machines are expected to be substantially
different during start-up and shutdown than during normal operation.
Discussion on curved boundary layers and flow through curved pipes
and ducts indicate that curvature has a major influence upon the flow.
For flow through curved pipes and ducts, secondary flow develops within
the bend section. There is confusion about the natureof the secondary flow.
Thesecondary flowmayhavetwovortical structures or fourvortical
structures. In either case, the nature of the secondaryflow will have a major
impact on the heat-transfer characteristics within the bend section. These
results are also indicative of the complex nature of flow within the curved
channel of blade passage in turbomachinery.
Fluid-Structure 337

Within the bend section, shear stresses undergo radical change. The
shear stress increases along the outer bend and decreases along the inner
bend. Turbulence generation is enhanced along the outer bend and sup-
pressed along the inner bend. In some cases, the transition to turbulence
may also be suppressed. As bends are extremely common in heat exchangers
and boilers, these results indicatethat heat-transfer characteristics should be
given due concern in these machine elements.
Discussion on developmentof flow over curved surfaces indicate that a
concave surface has a destabilizing effect on the flow, and a convex surface
has a stabilizing effect on the flow. Shear stress is reduced on a convex sur-
face and increased on a concave surface. These results demonstrate that
heat-transfercharacteristicsontwosides of a turbomachinebladeare
remarkably different.
The discussion in this chapter indicates that the fluid-structure inter-
action in a machine is influenced by local factors and parameters. The par-
ametersdeterminingthe
characteristics of the flow are enormous.
Therefore, to understand the nature of the fluid-structure interaction in
a particular machine, it is necessary to consider the parameters, factors,
and conditions peculiar to that particular machine.

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This Page Intentionally Left Blank
Structural Dynamics of Flow Control
Valves

Prapoj Phataraphruk
Honeywell, Phoenix, Arizona

1. INTRODUCTION

A valve is a device used i n controlling the pressure, temperature. or flow

rate. The major components ofvalves are an areamodulating element,
a n actuator which controlsthemovement ofthemodulatingelement,
and a control element which controls the actuator position. A description
of typical valves used in aerospace and aircraft systemswill be summarized
in this section.

1.1. ButterflyValves

Figure 1 shows typical

a configuration
of
the
butterflyvalve.
The
modulating elementof a butterfly valve is a circular disk mounted on a shaft.
I n order to minimize the shaft stress. the optimum angle between the shaft
axis and the duct axis is between 75" and 80'. To maintain lower stresses
on the circular disk, a spherical shape isused on the surface facing the
high-pressureside,
andribs
are
attached
on
the
opposite
surface.
Occasionally. material is added to the edge of the disk to reduce the aero-
dynamic torque. For a pipe diameter greater than 2 in., the butterfly valve
is lighterthanothertypes ofvalvesbecausethebutterflyvalve can be
designed to have the same diameter as the inlet pipe. External and internal
leakagecan be a problem i n the designof
these valves. Pressure,
temperature, and the leakage at the valve must bedefined so the proper
seals can be utilized.

355
356 Phataraphruk

Figure 1 Typical configuration of a butterfly valve.

1.2. PoppetValves

A poppet valve uses a metal disk to open or close the valveby inserting the
disk into the flow stream, as shown in Fig. 2. The disk and shaft assembly
is usually called a poppet. Typically, the pressure force on the poppet is
designed to be statically balanced. The relationship between the position
of the valve and theflow area is not as linear as isit with the butterfly valve.
This canbe a problem for valves which needto close slowlyto prevent water
hammer. The advantage of the poppetvalve overthe butterflyvalve is that it
can be made leak-tight because the valve sealsdirectly against the valve seat.
Most of the poppetvalves havea bellows to provide sealing and spring rate.
Thus, the failure of the bellows during the vibration could occur if the
bellows surge frequency matches the frequency of the input vibration.

1.3. BallValves

There are two types of ball valve: full ball valvesand segmented ballvalves.
Figures 3 and 4 show the configuration of these valves. The advantage of the
ball valves is that theflow passage has no restriction when isit in the open
position. Therefore, it can achieve a higher flow rate than any other type
of valve in an identical flow line. These valves are used extensively in
Structural Dynamics of Flow Control Valves 357

Figure 2 Poppet valve.

cryogenic systems; however, at a low temperature and a high pressure, a seal

design is very challenging.A spring-energized, nonmetallic seal is commonly
used for ballvalves. In addition, ballvalves are heavy becauseof the weight
of the ball. For this reason, valves larger than 3 in. are rarely used in the
aerospace industries.

1.4. GateValves

Figure 5 shows a typical gate valve configuration. This typeof valve iscom-
monly used in industrial applications and aircraft fuel systems. Thevalve is
a linear-stroke mechanism. The sliding flat surface gate seals against a face
seal. To open the valve, the gate retracts from the flow stream; therefore,
the valve can be thin, but it has to be high so that the gate can be fully
retracted. For example, a 6-in. gate valve must have a height of 18 in.
For ahigh pressure, the gate must be thicker than the butterfly plate because
it has the flat surface; thus, the valve can be as heavy as the ball valve.

1.5. Check Valve

A check valve isa shutoffvalve whichallows thefluid to flow in one direction

only. The valve is usually placed in severe environments. Consider a check
358 Phataraphruk

Figure 3 Full ball valve.

(Valve Closed For Clarity)

Figure 4 Segmentedball valve.
Structural Dynamics of Flow Control Valves 359

Figure 5 Gate valve.

valve in an enginebleed air system; in this application, will it be exposed to

high pressures and temperatures, high vibration, high-impact loads due
to high-pressure reversal rates, and highwearrates on the flapper due
to aerodynamic excitation.
There are four different types of check valve: split-flappercheck valves,
single-flappercheckvalves,poppetcheckvalves,andumbrellapoppet
valves. Figure 6 shows the configuration of the split-flapper check valve.
It is typically used in aircraft systems. The valve has two semicircular clos-
ure elements, called flappers, which rotate about a hinge pin. The total
rotation of each flapper from the seat to the stop, called the stop tube,
is between70" and 90". Wear between the flapper and the stop tube is caused
by aerodynamic forces combined with vibration. Increasing the pressure
force on the flapperby minimizing the rotating anglewill result in reducing
the wear. The pressure drop across valve the determines how small the angle
can be. Figure 7 shows the single-flapper check valve configuration, which
can be designed either as a two-port or a three-port valve. These valves
are difficult to fabricate because they are not symmetric, and they are chosen
overthesplit-flappercheckvalvesonlyforspecialenvironmentalcon-
ditions, such as in the environmental control system of the Boeing 767/757
and 737-300 airplanes. The single-flap valve is selected for these applications
360 Phataraphruk

, ///l ' - ,
-$,)..l/ .,
* , / / . x ,
/,
Figure 6 Split-flappercheckvalve.

Figure 7 Single-flappercheckvalve.

because it has fewer stagnation areas where ice can form. In line sizesaround
1 in.,the single-flapper check valve haslowerpressuredropthanthe
split-flapper check valve.
A poppet check valve configuration is shown in Fig. 8. The primary
advantage of this valve isthat it can resist vibration-induced damage better
than the split-flapper checkvalve. The umbrella poppet valve, shown in Fig.
9, is used primarily in low-flow control circuits that require zero reverse
flow. These valves are also effective in keeping washwater and rainwater
out of control vents.
Structural Dynamics of Flow Control Valves 361

Figure 8 Poppet check valve.

Figure 9 Umbrella check valve.

362 Phataraphruk

2. DYNAMICLOADS

In designing the valves, there are many areas that must be considered, such
as performances, materials. operating conditions, static loads (such
a s proof
or burst pressures), and dynamic loads.In this chapter, we will consider the
dynamic loads associatedwith mechanical vibration, as this typeof loading
is one of two primary factors in low-cycle and high-cycle fatigue f ci I lures
invalves. Theotherprimaryfactor is shockloading.Vibration is the
oscillating motion of a system abouta reference state.Themechanical
vibration occurs a s a physical displacement in space as evidenced by sight
touch, and, indirectly, by sound. Two type of vibrations will be discussed
in the chapter: sinusoidal and random vibrations.

2.1. Sinusoidal
Vibration

Sinusoidal vibration canbe simply described using a spring-mass system as

shown i n Fig. 10. Typically for a valve,theinertiamass ( 1 1 1 ) is assumed
to be concentrated at the center of gravity (c.g.) of the valve. The stiEness
( k ) , which is used in the calculation of natural frequency, is assumed to
be linearwithdeflection, which is areasonableapproximation.With a
finite-element model, the natural frequencies can be determined accurately.
For a butterfly valve with an actuator c.g. away from the valve body axis,
the natural frequency is between 200 and 400 Hz. The frequency can be
as high a s 600-800 Hz for the solenoid valve with the c.g. close to the valve
body axis. In designing the valves, the damping is often expressed in term
of an amplification factor one divided by two times the critical damping
ratio.Forthe butterflyvalves,theamplification factor is between 15
and 20. The calculation of the factor will be discussed in Sec. 3. The forcing
functioncan be obtainedfromthe enginevibration,transportation,or
assembly procedure.

2.2. RandomVibration

Figure 11 shows an example of random vibration. Because the vibration

cannot be predicted as a functionof time, the key properties are statistically
characterized. Consequently, the random vibration is frequently described
interms of powerspectraldensity,root-mean-square (rms) response,
and peak response.
In order to understand the random vibration, the random function will
be described by its average or mean value. Instantaneous values of a random
wave fluctuate about the average value. This is called the dispersion of the
wave. The mean value of a randomwave is analogous toits centerof gravity
Dynamics
Structural of Flow Control Valves 363

Spring, K = Stiffness element

Excitation, F(t) or y(t)

Forcing function, cause of
vibration
Response, x(t) = Motion of the
inertia element relative
to its reference state

Basic Elements of a Simple Spring Mass System

t"--- 7 Penod,T 1

Figure 10 Basic clcments of a simplc spring-mass system

and is called the first nmnent of the mean. The mean value of a random
function can be measured by a full-wave rectified voltmeter (see Fig. 13).
The mean square valueof the random function, or the second moment
ofthe mean. is analogous to the moment of inertia in engineering mechanics.
The mean square value is very useful because it is proportional to power or
energy.Measuringthemeansquarecan be accomplished by a true
voltmeter.Therootmeansquare is obtained by takingthesquareroot
364 Phataraphruk

Figure 11 Typical time plot of random vibration.

Figure 12 Averagevalue of a random wave.

of the mean squarevalue or the square root of the total area under the
power
spectrum curve. As a result, the acceleration in the random vibration is in
grins. In most cases, theg,,, and the standard deviation (la) are equivalent.
The distributionof mean power with frequency inrandom vibration is
called the power spectral density with a unit of $ / H z Figure 13 shows a
power spectral density curve. The power spectral density contains the same
information in the frequency domain as the autocorrelation contains in
the time domain. In fact, the two are Fourier transforms of each other.
A random wave is assumed to be stationary if its primary statistics do
not vary with time. The significance of a stationary random wave is that
a valid sample can be obtained at any time during the sequence of a test.

2.3. Shock
Recently, shock loads, such as pyroshock, transportation shocks, and drop
test, are included in valve specifications. Shock can be described as a rapid
load applied to system
a for ashort durationof time (i.e., a transient random
Structural Dynamics of Flow Control Valves 365

Figure 13 Typical random vibration spectrum.

vibration). The shock can be expressed either in the time domain or in the
frequency domain. When the frequency domain is used, the shock is called
the shock response spectrum(SRS). A detailed discussionof shock response
will be included in the following section.

3. DESlGNlANALYSlS

This section will provide an overview of key factors in thedesign of a valve.

Although all factors have some utility, the designer must carefully weigh
each factorin termsof its relative importance to the particular requirements
of the valve application. In the analysis section,we will concentrate only on
the dynamic loads described in the previous section.

3.1. Design
Considerations

3.1.1. System considerations

For every system, the flow capacity determines the optimum size of the
valve. A large deviation from the optimum size will make the valve and
system difficult to control as well as result in an excessive pressure drop.
On the other hand, a valve that is too small will not meet the flow-rate
requirements due to the flow reaching a choked condition.
366 Phataraphruk

3.1.2. Requirements
A complete understanding of the valve requirements, such a s weight, line
size, andmaximumoperatingtemperature, is necessary to assure that
all importantfactors have been considered.Theserequirementscan be
i n the form of military specifications, customer specifications, or govern-
ment regulations.

3.1.3. Schematic diagram

A schematic diagram is used to describe the operation and functional con-
struction of the valve. Thus, it is important that the schematic diagram
be clear,complete.accurate,andconsistent.Figure 14 showssomeof
the standard symbols that appear in schematic diagrams.

3.1.4. Hardware andperformancefactors

Whenthe
requirementsand
outline
drawings meet thecustomer's
specifications, the designer can give specific consideration to the individual
components of the valve. Theprimaryparts of the design process will
be described in the following paragraphs.

Conml clntl ~fiwlh(u%-.To achieve the specified position of the

modulating element, the element is conmonly electrically or electronically
driven. A fluidic control system is rarely used. The selection of control devices
is based on the application and system environment.

Elcctrkcrl ( i d o l w r m i c control. Normally, the

torque
motors,
hydraulic servovalves, orelectromechanicalactuatorsare used to position
the modulating elementof the valve. These actuators are used i n conjunction
with position feedback devices such aspotentiometers.linearvariable
differential transducers (LVDT), or rotary variable ditrerential transducers
(RVDT). One disadvantage of electronic control is that the limit switches,
which turn off thepower when theextremes oftravel arereached,are
required,but they are not reliable and are susceptible to electromagnetic
interference.

Fluidics control. Fluidic devices consist of ;Llaminated block of indi-

vidual elements. The elements comprise internal passageways with special
design geometry. Such a device is used for sensing, amplifying, and control-
ling the pressureand flowof fluids without moving partsorelectronics.
The device is not susceptible to electromagnetic pulse or interference.
Structural Dynamics of Flow Control Valves 367
368 Phataraphruk

Sarling. A proper seal design is one of themajorconsiderations in

designing the valve. The specifications usually state allowable internal and
external leakage. The selection of the seal design depends on the pressure,
temperature, and type of fluid being sealed.

ElrctriccIlpo~~~er,~ilureposition.A typical requirement is fail-safe. The

fail-safe requirement defines the preferred positionof the modulating element
when electricalpower is lost. Three most common requirementsare fail
closed, fail open, and fail in the last position selected.

Hzrmun .fuctot: Human factors involve limits of human capabilities

such as occur in check out, operation, or maintenance. The design should
achieve the best compatibility between equipment and human performance.
The specific requirement for military equipment
can
be
found in
MIL-STD-l472 and MIL-H-46855.

Producihilityfuctor. Producibility factors concern how a valve can be

assembled and manufactured. A few factors which can affect the producibility
are material, geometry, tolerances, and use of nonstandard parts.

3.2. Analytical
Methodology

Vibration is a factorin the majorityof cases of mechanical failure of valves.

Such failures are due to fatigue, wear, and noise. For military equipment,
the vibration requirement can be found in MIL-STD-810. This section will
concentrate on random vibration and sinusoidal vibration.

3.2.1. Random vibration

In random vibration,all of frequencies in a given bandwidth are presented at
all times; thus, resonance of the valve components will be excited
simultaneously. The random vibration is described in terms of the power
spectral density (PSD) which carries units of g'/Hz. The random motion
is referred to as white noise when the PSD is flat. This implies that all fre-
quencies are presented at an equal energy level. The energy level of the
PSD is typicallyexpressed in term of grins. The grmais the square root
of the area under the PSD curve. Most of the PSD curves are plottedusing
a log-log scale. Table 1 summarizestheconstants needed to determine
the area under the PSD curve for various configurations. The following
example will show how to utilize the table.
Structural Dynamics of Flow Control Valves 369

\ 12 dbloct

Using Table 1, the area under the 12-dB/octave curve (see figure) is
given by

[
Area = 0.5g~fi 1 - ($)l
where g1 = 0.3giHZ.ji = 1390 Hz, andfi = 2000 Hz. Here, the resulting
area is 107.8g. The flat part of the curve
has
an
area of
0.3( 1390-47) = 402.9g. The g,,, is obtained from the square root of the
total area under the curve; g,,,,, is 22.66g.
Further analysis to obtain predicted response can be performed by
either hand calculation using Miles equation or by finite-element analysis.
3.2.2. Handcalculation
UsingtheMiles equation is aquick way to obtain resultsforasimple
system.Theprediction of theresponse is close to thetestresult when
the frequencyused in the equationis the dominant frequency. Most butterfly
valves have fundamental frequencies between 200 and 400 Hz. The ampli-
fication factor (Q) depends on howthe valve is supported. Typically, Q
ranges from 15 to 20. The Miles equation can be written as
370 Phataraphruk
- -
n
S n
I I
c
U U
>lm ml:
-
I
U
Cl m * 'A W P 00
W m
Dynamics
Structural of Flow Control Valves 371

COMPARISON
OFPREDICTED
AMPLIFICATION
FACTOR(Q) . .
25

20

15

10

0
0 100 200 300 400 500 600
FREQUENCY (HZ)

Figure 15 Comparison of empiricalequations for Q.

where Q is the amplification factor,,f'is the natural frequency (Hz), andPSD

is the input power spectrum ($/Hz). An approximation of the maximum
response is given by
g111u = 3grtm
The grmsis used to calculate stresses for fatigue analysis. The stresses
obtained from the maximum response are commonly compared with yield
orultimatestrengthtodeterminethecriticalloads.Thefactor Q is an
important parameter for calculating responses. The most accurate method
of determining the factoris by performing a test.Because a test canbe costly
and time-consuming, one can use one of the empirical equations to estimate
the factor i n preliminary design. Figure 15 shows a comparison of three
empirical equations used to predict Q. The equations are
Q = j'I/? (1)
Q = 5 + 0.025f (2)
+
Q = 10 0.025f (3)
where is the natural frequency.
.f'

In some cases, the input power spectrum is not in the same plane as the
vibration table. I n such a case, it is required to transfer the spectrum to the
372 Phataraphruk

test plane in which the analysis is usually performed. The procedure for
transferring the spectrum is contained in the following example problem.
Example Problem

where g,,,(o) is the PSD response ($/Hz), W(to) is the PSD input (g/Hz),
IH(to)l is the transfer function, I , nz, and n are the direction cosines of x
with respect to X , Y , and Z , respectively, l, m, and n are the direction
cosines of with respect to X, Y , and Z , respectively, and P m, and n
are the direction cosines of z with respect to X, Y , and Z , respectively.
f

Consider a vibrating system having two degrees of freedom. Assume

that the input PSD is in the x axis, white noise=0.5g2/Hz, fi =200 Hz,
and the angle 8 = 45. From Eq. (3), we obtain Q = 15; thus,

where

[=[
cos U -sin 8
s i n 0c o s 8 1
Similarly for the transmissibility, we have
Structural Dynamics of Flow Control Valves 373

For the given data, we have

[ S;.(200),
cos
S,.(200)y ] = [ [
45 - sin 4 5 1 0 5 1
sin45cos45
and

= + S;.y = 112.5g
Hz
~

For the same inputPSD and 0 but withy= 250 Hz, Eq. (3) gives Q = 16.25;
theresponsebecomes = 132g/Hz andthehandcalculation yields
the final result:
g,,,, = [0.5(132+ 112.5)50]o.5= 78.183

3.2.3. Finite-element analysis

For acomplicatedsystem,finite-elementanalysis (FEA) is the rec-
ommended method. It is very difficult to perform the hand calculations
forthesystembecauseofmorethanonefrequency.Theadvantage of
FEA is that the natural frequencies in the spectrum range can be taken into
account. FEA is now commonly used because modern computers havebeen
improved significantly. Computer codes are also getting more friendly.
Typically, the finite-element code will determine the model frequencies
first. Then, a forcing function will be supplied to the code. In some computer
code, such as ANSYS, the numberof requested frequencies could be deter-
mined by the parameter called master degree of.freedom. Thus, it is rec-
ommended that the procedure for the code be clearly understood.
Figure 16 shows a finite-element model of one of the space stations
component. For a demonstration, partial results are shown. 2Table presents
the systems natural frequencies and the participation factors which show
the influence of eachmode.Thesystemhasmorethanonedominant
frequency. Thus, it makes the hand calculation results less accurate. The
analysis predicts the first mode of the actuator frequency to be 106.65 Hz.
The PSD input is described in Fig. 17. The test results in Figure 18 show
theactuatorfrequencyaround 110 Hz.Thepredicted g,,, andthetest
results are also close to 41g,,,.
Whenthemodelwascreated,there were someimportantconsid-
erations. For example, the total weightofthemodel conformed to the
component,the stiffness of themodelwas that of thecomponent,the
location ofc.g.wasthesame,thetypeofelementused in theanalysis
was selected with care, and the proper number degree of freedoms were
used.
 3
P
ANSYS 5.1
NOV 6 1995
15:13:21
PLOT NO. 2
ELEMENTS
TYPE NUM
XV 50.4129
YV =-0.8206
ZV ==Q.321
*OIST=7.79
XF ~ 4 . 8 2 6
YF =-0.234256
ZF =4.96
A-250-63.82
PRECISE HIDDEN

k x
Flgure 16 Finite-element model.
Dynamics
Structural of Flow Control Valves 375

Table 2 NaturalFrequenciesandParticipationFactors

Frequencies used for random vibration solution

Mode Frequency

1 106.651
2 193.691
3 202.468
4 247.582
5 274.855
6 284.382
7 420. I26
8 430.042
9 558.005
10 683.921
11 744.804
12 942.492
1151.35 13
1267.80 14
15 1329.97
16 1678.57
17 1770.66
1824.21 18
19 1869.16

GPRV C3 PSD Analysls x Dlrectlon [Acceleration Results (in./s)]

Degree of freedom results i n global coordinates

NODE ux UY uz USUM

2000 1 7262.5 24.551 121.95 7263.5

20002 1 1726. 222.55 3088.5 12128.
20003 9620.7 48.487 5094.2 10886.
20004 9377. I 181.96 9438.5 13306.
20005 12584. 83.724 1717.1 12701.
2001 2 6663.9 266.47 3088.5 7349.7
200 1 3 6024.3 190.41 5093.3 7891.2
20014 6793.3 550.78 8867.1 1 1184.
2001 5 7870.9 34.118 121.94 787 I .9
200 16 8878.3 42.723 121.95 8879.2
200 I7 9271.0 45.799 121.95 927 I .9
200 18 12584. 69. I64 121.95 12585.
30064 5083.3 0.00000E+00 0.00000E+00 5083.3
30074 5083.3 0.00000E+OO 0.00000E+00 5083.3
30086 5083.3 0.00000E+00 0.00000E+00 5083.3
30096 5083.3 0.00000E+00 0.00000E+00 5083.3
Maxlmutn absolute values
Node 20005. 20014 20004 20004
Valuc 12584. 550.78 9438.5 13306
376 Phataraphruk

--
-
10

l.

O-

0.01

( HZ.)

Figure 17 PSD input.

(HZ.)

Figure 18 Actuator frequency.

Dynamics
Structural Valves
Control
of Flow 377

3.2.4. Sinusoidal vibration

Typical formulas and variables used in sinusoidal analysis are shown in
Figs. 19 and 20. The earlyrevision of MIL-STD-810 (e.g., MIL-STD-810C)
specified the required maximum g used in the sinusoidal vibration test. It is
assumed that the componentis vibrated at its natural frequency for speci-
a
fied length of time. Figure 21 shows a typical input. The response is shown

Figure 19 Sinusoidalvibrationfrequency
378 Phataraphruk

l la 100 101
WWCllY. -K VALUW
UIILIRATION. PEAK VALUlS
O I S L U r Y I K I . PEAK-TWEAK V A b W
FRECNPICY
Hz-
Figure 20 Primary variables in sinusoidal vibration.

in Fig. 22. Using the Miles equation (3) the amplification factoris 15.13 at a
frequency of 205 Hz.Thus, the predicted response is 30.3g, and the test
showsaresponse of 32.6g. Theamplificationfactorcanalsoapplyto
the sinusoidal vibration prediction.
This sectionwill concentrate only on the relationship between the ran-
dom vibration and the sinusoidal vibration, because most of the present
PSD input. The purposeof the following
vibration tests are described in the
derivation is to determine the sinusoidal level, which is equal to the g,,
Structural Dynamics of Flow Control Valves 379
c
8
380 Phataraphruk
?
a
!
m
ii
Dynamics
Structural of Flow
Valves
Control 381

value that can cause the same fatigue damage as the random vibration
spectruminput.The g,,, of a single degreeoffreedomsystemfora
broad-band random vibration is defined as

where W ( t )is the PSD input (g2/Hz) at theJ,,f,, is the natural frequency
(Hz), and Q is the amplification factor [-1/(25)], where 5 is the critical
damping ratio. The correction factor is defined as

Thus, the relationship between the sinusoidal g and the g,,,, response is

where g,, is the equivalent sinusoidal response g, 2, is the constant from

experimental data, and a is the slope of the fatigue curve when plotted
on a log-log scale.
In order to specify the equivalent sinusoidal input for a laboratory test,
the equivalent sinusoidal response is defined as

qey= QVeq (7)

where U,, is the equivalent sinusoidal input (peakg). From Eqs. (4) through
(7), we find that

For typical aircraft materials, values of l.= 2 and a = 6 fit well with
experimental data.
Therefore, Eq. (8) can be written as

U,, = 2.68[ 6) W(t)]

I/ 2

The magnitude of the equivalent sinusoidal input givenby Eq. (9) will cause
the same fatigue damage as the level of g,,, obtained from W ( [ ) .
382 Phataraphruk

3.2.5. Shock analysis

Shocks can be described as velocity shocks; pulse shocks, and the shock
spectrum. To analyze the first two typesof shock, the lumped mass system
is usually assumed in orderto simplify the problem. The detailed analytical
methodcanbefoundinmosttextbooks.Foracomplicatedsystem,
finite-element analysis will be utilized.
In this section, we will concentrate on the shock spectrum which is
widely used in most specifications. The source of the shock becan explosive
devices orimpacts.Theshockspectrum is sometimescalled a shock
response spectrum (SRS) or a response spectrum. The SRS is defined as
the maximum response of a base-excited mechanical oscillator (single degree
of freedom system)to the predicted or measured acceleration time history of
the transient, as a function of the natural frequency and damping of the
oscillator. It is also applicable to transient random vibration.SRS Thecom-
putation consists of determining the maximum value of acceleration as a
function of natural frequency for a given amplification factor (Q). The
amplification factor (Q) is defined as 1/[2(damping ratio)]. Typically, a
Q of 10 is used;this corresponds to a damping ratio of 0.05. The mechanical
analog of the acceleration SRS computation is shown in Fig. 23.
When a mechanical componentis subjected to the SRS, the component
will respond to all of its resonance frequencies that fall in the frequency

I
Nanrral Frequency. Hz
Figure 23 Mechanical analogy for shock response spectrum measurement.
Dynamics
Structural of Flow Control Valves 383

Figure 24 Shock test on a valvc.

range of the transient. If each component hasa damping value equal to the
damping used to define the SRS. thenthemaximum peak acceleration
response of the component due to the transient vibration is represented
by the SRS. In the test, all natural frequencies of the component do not
have to be identified because the SRS yields the maximum acceleration
response for any resonance frequency that may exist within the frequency
range of the analysis. However, the response may be higher if the ampli-
fication factorof the componentis larger than theQ used in the SRS. Figure
24 shows that the response of a valve is higher than the SRS at 575 Hz,
which indicated that the amplification factor of the valve is larger than
10 at that frequency. The SRS is also a very useful tool for design and
testing.
Using the SRS for a design,the best estimate of the naturalfrequencies
should be obtained first. They can either come from a previous test or afrom
finite-element analysis. Forthepreliminaryanalysis,themode with the
highest participation factor should be selected to determine the response
from the SRS curve. This allows the designer to estimate the applied load
forthestressanalysis. Typically, the highermodeshave less influence.
For a preliminarydesign, the response from the highermodes might be
ignored.Whenthenatural frequencies andthe amplification factorare
defined, the peak response of the component canbe obtained from theSRS.
384 Phataraphruk

Then, the peak stress resulting from the peak response will be compared with
the ultimate strength of the material. It is important to recognize that the
ultimate strength of materials changes depending on the rate of applied
strain. Figure 25 showstheproperties of A16061-T651 aluminium([l]).
At the strain rate of 600 in./in. S, the ultimate strength is approximately

6061-TW AI

STRAIN (Y4

Figure 25 Stress-strain curves for 6061-T651 aluminum.

Dynamics
Structural Valves
Control
of Flow 385

55 ksi, whereas the typical strength of the6061-T651 aluminium is around

40 ksi. Theshockrequirementforaircraftvalvesarenotassevere as
the requirement for aerospace applications which may involve pyroshocks
such as occur in space stations. If finite-element analysis is used, the proper
mode combination must be selected. It can be found in the computer code
manual. The mode combinationis the procedure that the codeuses to com-
bine all the responses.
In testing, a dummy unit that can represent the weight and stiffness
oftheactualcomponent is required.It is used in calibratingthetime
history shock input. At the specified amplification factor, the proper time
history input will produce the SRS. This time history will be used in the
test.
It is interesting to identify waveforms that can produce a similar SRS.
Table 3 shows the peak acceleration of three different types of waveform,
transient random, which is shown in Fig. 26, sawtooth pulse, and half-sine
pulse. In order to produce the SRS shown in Fig. 27, the sawtooth and
half-sine pulse require the acceleration peak of 9400g, whereas the timehis-
tory pulse requires only3500g.Figure 27 suggests that the component might
be overtested and overdesigned at low frequencies, if the shock pulses are
used.

SHOCK PULSE

Shock pulse synlhcrized from Shock Spectrum

.; .{ .; .: .'
. .:
: i
.; :!. ,. ,. .. :. !.
- 4 o o o i : ; ; ; ; : i
0 0.0050.01 0.0150.020.0250.030.0350.040.0450.05
mm ( W

Figure 26 Timehistory of a shock pulse.

386 Phataraphruk
x
0
0
0
3
m
2
0
0
d
Q\
0
d
0
0
m
VI
J
8
5
Structural Dynamics of Flow Control Valves 387

-
SHOCK RESPONSE SPECTRA PYRO SHOCK CRITERIA
VENT 6 S C U m E VALVE

10
IO too 1000 10000

Froquoncy (H.)

Figure 27 .Comparison of responses from different shock pulses.

4. TESTING

The vibration test is essential to assure the qualityof products. Because we

have to perform a test, why the vibration analysis is needed? Typically,
the test failure occurs during the qualification test. is very
It costlyto correct
the problems at that stage. The analysis is performed to discover the weak-
nesses of the design and makes corrections so failures will not occur.
Figure 28 shows a shock table. When the direction of the input is
defined, the componentwill be mounted on the table accordingly. Typically,
an accelerometeris attached to the component by using wax, dental cement,
or bolting the accelerometer to the flange. This is one of the problems in
testing responsible for results that might not be consistent.
388 Phataraphruk

Figure 28 Vibrationtest fixture.

As mentioned earlierin the previous section, using random vibrationis

more advantageous than sinusoidal vibration. Richard Morgen presented
the comparison in [2]. Morgen concluded that the random vibration test
could save testing time. The following example came from his publication
and shows the significant reduction of time from 3 hours to 6.8 minutes.
Example. A 3-hours test with sinusoidal vibration from 15 to 500 Hz
with a 5g input, with the following specifications:
Natural frequency = 225 Hz
Band width = 30 Hz
Q=27
,greS = g!,, Q = 5(27) = 135g
D = 2g;e,/[(9nV;lQ] = 2(135)'/[9~(225)27] = 0.212g'IHz
fi,/f;, = 500115 = 33.33
k = Af/f= 301225 = 0.1333
Structural Dynamics of Flow Control Valves 389

I ' I
I I

lI :
l

I I I
I I I
15 250 500
Frequency, Hz

Nomograph to calculate time compressionfactor

$
Q ,."" Q? P.

Bandwidth of resonance,
k = A f/fn

A tlT
factor*
/ ontheupperscale to the IJI.
Draw a linefrom the k value

value on the lowerscale. The

/
line crossesthe center scaleat
the valueof the time compression
factor, which multiplied times the
swept-sine duration gives the equiva-
lent random-vibration test time.

Figure 29 PSD and nomograph. (From M d i n e Design. February 6, 1992.)

From the curve in Fig. 29 we find A l l T=0.038.

The input level could increase unintentionally due to fixture effects. If
the fixture is not rigid and the control accelerometer is not mounted near
the component, the input acceleration could amplify through the fixture.
390 Phataraphruk

This can be prevented by running a vibration survey on the fixture prior to

performing the test. In order to confirm the effect, a study was carried out.
Figure 30 shows responses of a control accelerometer mounted at the fixture
base and one mounted close to the valve flange. The two significant modes

Figure 31 Control accelerometer at fixture base.

Structural Dynamics of Flow Control Valves 391

Figure 32 Controlaccelerometer a t valve flange.

occur at 600 Hz and at 1700 Hz. The responses to a Ig input are 4g and 5g,
respectively. The response of the control accelerometer at 600 Hz is shown
in Fig. 31 and is close to 40g. On the other hand, when the control acceler-
ometer is moved to the valve flange, the 600-Hz response is only 8g, as
shown in Fig. 32. Because the input level is specified at the valve flange,
the latter value is reported; however, the variation noted here occurs well
as
with random vibrations.

REFERENCES
This Page Intentionally Left Blank
10
Axial Loading in Turbomachines

Dave Mohr
D& Propulsion & Power Systems, Mims, Florida

1. INTRODUCTION

Thischapter will focusonanarea of rotatingmachinery designoften

overlooked in various discussionsat the senior undergraduate and graduate
academic levels. This area involves the generation of forces which impose
axial direction loads on a turbomachine rotor. We will attempt to show
why this topic is important and will reinforce several points through the
presentation of some examples. Next,we will demonstrate some techniques
by which the character of theseaxial loads (also referred to as thrust
loads)can be predictedandanalyzed.Finally, we will showthatthe
presence of these forces can substantially affect the design and packaging
of a piece of rotatingmachinery. To thisend, we will presentseveral
real-world case studies which vividly demonstrate the compromises that
are sometimes necessary. They will also demonstrate some common mis-
takes which can be easily made and the consequences of proceeding into
machine building and testing underthese erroneous pretenses. It is sincerely
hoped that the presentation of this in some detail will help prevent similar
errors in the future.
The entiredesign process for a piece of turbomachinery canbe arather
complex one, often involving interaction between numerous engineering
specialists. In many ways,thedesignprocessresemblestheassembly of
a jigsaw puzzle. Each piece of the puzzle must be skillfully fitted together
for the finished puzzle to look as it should. In a similar fashion, the con-
straints of each aspect of the
machine design (rotor axial loads,
hydro/aerodynamics, rotordynamics,
thermal
matters,
etc.)
must be

393
394 Mohr

skillfully fitted together by the designer(s) for a machine to function as

intended. Although we will be focused in this chapter on the considerations
dictated by rotor axial thrust loads, it must be stressed that the successful1
operation of adesigndependscompletely onthesatisfactorytreatment
of (1111 constraints and requirements. Thisis a subject that would be imposs-
ible to cover adequately in a book of any length. The experience gained
in participating in progressively more complex design projects is the only
tool that will enable the engineer to function effectively.
For these reasons (and others), the material in this chapter should be
put into its proper perspective before we pursue the specializedissues related
to rotor axial thrust loads. We have stated that attention to thrust loads is
but one piece of a larger overall plan. For the reader interested in that
plan, the next section provides a somewhat simplified look at the tight syn-
thesis of diverse fields that the design process entails. It is hoped that this
section might make the role of each of the fields of specialty involved some-
what less confusing.

2. THEDESIGNPROCESS: A SHORTOVERVIEW

The design of rotating machinery hardware andsystems is, as many readers

are probably aware, a rather complex topic. To address it in its totality,
various corporate entities routinely devote vast resources to this area. A
typical engineering department for rotating machinery design and test will
includespecialists in alarge number of fields. Thesemayinclude (but
not be limited to) fluid dynamics,thermodynamics,heattransfer,solid
mechanics, chemistry, mechanical elements (design of bearings and seals
falls in this category),rotordynamics,instrumentation,andmaterials
science. In addition,a number of nonspecialists will probably be resident.
These nonspecialists are generally the individuals responsible for guiding a
machinery design project from conception to completion. One acquaintance
of mine refers to himself in this capacity as a blacksmith-level engineer.
As a designianalysis effort proceeds, these individuals will enlist the assist-
ance of the required staff specialists. Consultants mayalso be hired on
an irregular basis to supplement the in-house expertise in any particular
area.
The design of a rotating machinery system is, by its very nature, an
iterative process. We could arguably state that the same is true of the design
of any system that is of substantial complexity. Contrary to popular belief, a
designerdoes not formulate a set of simultaneous equations that, when
solved, yield the valuefor every major design parameter for a piece of
machinery.Rather,a designer will generally begin witha set of basic
ding Axial 395

requirementsthatstipulatewhat a piece of rotatingmachinery will be

required to accomplish.
Sometimes, these basic requirements will be straightforward and easy
to understand. For example, a boiler feed jump pump might be explicitly
required to supply water at a given flow rate and given pressure at or near
its discharge flange. These characteristics will be stipulated by the nature
of the power plant intowhich the pump discharges. Another example might
center around theneeded packaging of the samefeed pump. If the pump fits
into an installation thatis crowded, the space available in the axial direction
mayactto limit thenumber of pumpstages which can be used.
Alternatively, limited radial space may set the maximum diameter of the
impeller(s) that can be employed. Requirements such as these aregenerally
basedonthephysicsof a particular application and, as such, are fairly
readily understood.
Often,however,someofthebasicrequirements will be somewhat
nebulous and will invite considerable interpretation. In this event, it is gen-
erallynecessary forthedesigner and theindividual(s)responsiblefor
formulating the requirements (andthey may be the same person) todiscuss
in detail the origin of each requirement. The discussion should include,
in unambiguous language, thepossible ramifications of a given requirement
being manifested in a piece of hardware.
A discussion ofa topic like basic requirements may at first seem out
of place i n a technical publication.Normally, we thinkofthedesign
engineers involvement witha piece of machinery as occurringin the design
and development phases of a project. However. it should be emphasized
that a project actually begins when a group sits down to define the formal
requirements for a piece of machinery or a system. As a product of this
discussion, a publicationknownasarequirementsdocument willbe
produced. This is perhaps the single most crucial process in a project. I t
is at this point that the experience and judgmentof a good design engineer
is neededthe mostand is oftensolicited theleast.Thisprocessshould
. be consideredcrucialbecausetheverbagethat is debatedandultimately
written into the requirements documentwill comprise all of the formal cri-
teria to beused in both the design and verification phases for a piece of
machinery. It could also be accurately stated that the content of the formal
requirements document will, in fact, determine the minimum possible cost
of a given development etrort. For this reason, the initial determination
of basic requirements is deserving of the broadest and deepest mix of engin-
eering skills that can be provided. In the absence of such a group of skills.
certain desired goals which seem harmless enough can find their way onto
the pages of the requirements document. However. when a group of these
seemingly harmlessrequirementsaretakentogether,theircumulative
396 Mohr

effect may be to create an environment for thedesign that is unnecessarily

restrictive and that may be difficult or impossible to change once develop-
ment begins. Care and discipline will be necessary to delete all candidate
requirementsthatdonotcontributemateriallytothe successof a
turbomachinery development effort.
When basic requirements have been definedto the satisfaction of those
involved, the designer begins his work. For some projects, this may include a
preliminarydesignprocess in which anumber of overallphysical con-
figurations are sketched and examined. In some cases, one or more of these
candidates is dismissed outright.Thiscanoccurformanyreasons.
Limitations in a given area of technology may make a particular configur-
ation of a machine impractical or impossible tobuild and run successfully.
Some aspects of the environment into which a machine is to be placed
may make a particular configuration unsuitable or undesirable. There is
also an option open to the design engineer to look at a candidate sketch
and say, I just dont like that. The engineer may point to a location
of the sketch and make a cautioning statement to effect the of, In this area,
the failure of a single seal could put us in a dangerous situation. This is
usually a sign of previous relevant experience and should be heeded.
A process like that described above will generally lead to a physical
machine configuration that is considered most promising. With the target
configurationestablished,the first detaileddesigniterationprocesscan
begin. Thedetaileddesignofvarioushydrodynamic,aerodynamic,and
mechanicalcomponents willbe carriedoutwiththeaid of thevarious
specialist mentionedpreviously.Thisportionofthe effort mayinclude
isolated testing of various components, depending on the nature of the need
and available resources.
When the detailed designof each component has been completed,
results are communicated to thedesign engineer responsible for the project.
These results generally take the form of both component drawings and ana-
lyticalresults,suchasperformancemapsforaturbine,pump, or com-
pressor.Careneeds to be exercisedhere toensurethatcalculatedor
predictedperformance of acomponent is notconfusedwithactual
component-level test results. At this point, a detailed drawing (preferably
to full scale) is produced of both the internal components and the exterior
envelope of the entire machine. From this drawing, and from the component
analyses and test data, many questions canbe addressed. A typicalseries of
suchquestionsmight be as follows: If themachine in question is a
turbine-driven pump, is the pump component being driven toward rotating
stall or boilout at any point as a result of its operation in thesystem?
In the case of a turbine-driven compressor, is the compressor forced into
the region where surge can be expected? Is the turbine component actually
ding Axial in Turbomachines 397

operated close enough to its design conditions that any efficiency require-
ments are satisfied? Are any high-pressure vessels in the machine (pump
impellers, diffusers, and discharge volutes, for example)designed with suf-
ficient strength to tolerate both the worst-casequasistaticanddynamic
loads that are expected? If the machine is to be of limited life, are the
worst-case applied loads such that the expected fatigue life is indeedin
excess of the total number of cycles required? (Both low-cycle and high-cycle
fatigue cases should be examined here, depending on the component.) If
elevated temperature working fluids are involved, are thermally induced
loadssuchthatthefatigue life requirementsareagain satisfied? What
are the predicted critical speeds of the entire rotating assembly? If these
speeds are analytical estimates, how accurately are the actual component
masses and bearing stiffness known?Wheredoes the range of expected
operating speeds fall with respect to these critical speeds? Does any portion
of the operating speed range lay above the subsynchronous whirl inception
speed? If so, is sufficient damping being provided to suppress rotordynamic
response in this region? Will the machine (with instrumentation attached)
fit intotheinstallationspace provided?Are theconnecting flanges on
the machine in therightplacesforinstallationintotheoverallsystem?
Are bolt holes (if any) on both structural attach and fluid fittings at the
correct locations, are they of the correct size, and are bolt circles clocked
correctly? (This is a common problem.)
The above list of questions is by no means exhaustive andis intended
only to provide a sample of the type of scrutiny to which a design should
be subjected. If a machine is the product of an aggressivedesign (aero
and rocket power plants are an example), this evaluation process takes
on a renewed importance. The desire for reduced weight not only makes
answers to the above questions more important, but opens a list of others.
Machinery that is considered flightworthy generally takes unit loading
to a substantially higher fraction of material capability thanwould be done
otherwise. Furthermore, thinner cross sections in components (primarily
load-reactingstructure) inevitablymeanreducedmachinestiffness and
lowered natural frequencies. Under thesecircumstances,thecomplexity
of variousdynamicinteractivephenomenacanincrease very quickly.
For example, in a conventionally designed rotating machine, it is common
practice to model a rotating assembly as a distribution of lumped masses
linked to rigid structure by a set of stiff springs which approximate the
bearings. Approximations of the natural frequencies and mode shapes of
the rotating assembly follow from this line of inquiry. However, in the case
of amachinedesigned specifically for lowweight,such asa high-
performance turbopump, it is entirely possible that one or more natural
frequencies of the pump housing (the structure that ultimately supports
398 Mohr

the rotating assembly) may lay within the range of some excitation source
withinthe turbopump.Inthisevent, thedynamicallygeneratedforces
may (at the very least) prevent the pump housing components from reaching
theirrequiredfatigue life if theseforces are not considered. A grimmer
possibility is that of uncontrolledresonancesbetweenthehousingand
rotating assembly if theirrespective natural frequencies are allowed to
coincide.
The above paragraphs demonstrate someof the essentials of a single
design iteration cycle. When the adequacy of the design is addressed by
all the disciplines involved (represented above by the series of questions),
it would not be unusual for some unsatisfactory condition to be discovered.
Inthisevent,theconditionmust be rectified.Designmodifications, or
fixes, will have to be formulated and evaluated. For any given problem
condition, several different options for a fix may be possible. Generally
speaking, it is wise to preserve as many of these options for aslong a period
as possible in order to cope with any unforeseen events or circumstances.
Each candidate modification must be assessed analytically for its effective-
ness as a remedy for the problem condition. It must also be assessed to
determine whether or not the modification itself will bring about some other
unsatisfactory condition. This constitutes the start of the second iteration of
the design process.
After some suitable number of design iterations, a configuration will
be generated which inspires sufficient confidence in its performance poten-
tial and integrity that a prototype canbe built. This prototype may include
instrumentation that is considerably i n excess of that planned for the oper-
ational units. This is often referred to as development instrumentation.
Provisions for it should be made generously in the prototype even if the
instrumentation itself is notdeemednecessary attheoutset.This is
especially true in areas in which any appreciable analytical uncertainties
may exist. At the same time, each development measurement that is added
should be scrutinized to be certain that the measurementis, in fact, provid-
ing a quantity that is of some definite physical interest. Care mustbe taken
to ensure that the quantitysensed by the instrumentationis indeed the quan-
tity of interest. For example, a transducer intended to measure a staticpress-
ure should be carefully oriented so as to be as insensitive a s possible to
dynamic pressures that are present.
Testing of the prototype may be performed either in the actual oper-
ational system, or on a stand-alone basis in a component test facility. Such
a Facility will provide a unique capability to gather data 011 the operation
of a machine under a variety of off-nominal circumstances. For example,
it may be desired to map the head-flow performance of a boiler feed pump
alongload lines otherthantheonealong withthe pump will normally
ading Axial 399

operate. Such comprehensive componenttesting is not inexpensive, but the

decision to doit or not should notbe based solely on the costof the testing.
The engineerseconomicgoalmay be to minimizethe life-cycle cost of
a piece of rotatingmachinery.In thisevent,thecostsassociatedwith
downtime and troubleshooting of a poorly understood machine can easily
exceed thecosts of thetesting necessary to thoroughlycharacterizethe
machines performance.
During testing of the prototype, it is entirely possible that one or more
problem conditions which were not anticipated may present themselves. A
turbine may exhibit lower performance than predicted, a pump may not
develop sufficient head, machine internal pressure distributions may vary
from
those
prescribed,
internal
leakages
may exceed predictions,
rotordynamic difficulties may occur, andso forth. In this case, the root cause
of the condition mustbe sought. Problemsof various types canbe caused by
inadvertently forcing the machine to function at an unintended operating
point. Data provided by development instrumentation can quickly expose
these nonproblem cases before they adversely impact development costs
and schedules. In other cases, problem conditions maybe the result of actual
design deficiencies. The most disturbing of these occur when a particular
aspect of adesign is theresult of analyticalmodelsthatare yielding
inaccurate results. In this event, determining how to proceed can be difficult.
If budgets and schedules allow, a set of incremental changes based on the
best available judgment can be tested and their effect on performance (if
any) can be evaluated.
When the fundamental cause of a problem conditionis identified, vari-
ous corrective actions can be formulated and examined. In some cases, it
may be deemed thatnoactualhardwarechangesare necessary.If, for
example, a boiler feed pump exhibits an unforeseen rotor resonance at a
speed significantly below the operatingrange,a simplerestrictionmay
be putonthe pumps operationtoavoid dwells in the speed rangeof
theresonance. If aturbines performance is onlyslightlylower than
expected, an increase in turbine inlet temperature of only a sn1all amount
mayrestorethe systems performancewithoutsignificantdetrimental
efiects.
In contrast to the above,some problem conditionswill make operating
the machine as intended either unwise or unsafe.For instance, a turbine that
is already operating at or near its inlet temperature limit may fail prema-
turely if inlet temperature is furtherincreased. A pumpthathasgreat
demands made of its inlet suction performance may operate cavitated if
the pumps inlet fluid conditions have been misjudged. Under these ~011-
ditions, the operatinglife of components exposed to the cavitating flowfield
can be severely curtailed.
400 Mohr

Conditions such as these normally require modifications to rid the

machine of the fundamental cause of the problem. These modifications
may vary from a single, rather slight change to a comprehensive set of
changes. The nature and extent of the necessary changes willbe guided
by data from development instrumentation. Large numbers of fundamental
changes are often viewed (appropriately) with distaste. However, it should
be remembered that the costs entailed in design modifications are, almost
withoutexception,smallcompared tothecostsaccruedoveryears of
operating a machinewhose life expectancy and reliability fall short of prior
commitments.

3. SOURCES OF AXIALTHRUSTLOADSIN
TURBOMACHINERY

In this section, we will examine some of the sources of axial direction thrust
loads in turbomachinery. The analytical treatments in this section will con-
sist (for the most part) of simple and straightforward applications of the
basicprinciplesof fluid mechanics.Becausethesetreatmentsarebased
on first principles,theiressentialsarenotdependentonthetypeof
machinery under consideration, nor do they depend on any of the funda-
mental flow regimes that may be involved.
We will examine some of the phenomena that contribute to axial direc-
tion loads in turbine components and make some inferences on how these
phenomena impact turbine design. We will also examine this situation in
regard to pump elements and begin to explore how pump-stage designs
are affected by axial thrust forces.
We will also examine the subjectof flow losses in this section.It should
be understoodthat when we speak of losses in thiscontext, we are
normally referring to losses of total pressure that are due to the irreversible
nature of all real flow fields. Until veryrecently, losses werequantified
purely on the basis of past experience, with nosignificant attempt to predict
them from first principles. With computational methods rapidly gainingin
usefulness, ourabilitytoaccuratelypredict losses in turbomachinery is
steadily improving. Thisis indeed fortunate, for as we continue to increase
demandsonmachineperformance,theaccuratepredictionof losses
becomes critical to the successful performance of a new machine design.

3.1. TurbineThrustLoads
Turbines (both axial and radialflow) are subjected to a number
of externally
applied forces as they operate. Someof these forces have components that
oading Axial in Turbomachines 401

act in the axial direction. Thus, they are of interest in our discussion of rotor
axial thrust loads. The character of the various axial load components can
differ significantly from axial-flow turbines to radial-flow ones, and forthat
reason wewill considerbothseparately.Itshould be noted here that
although axial and radial turbines are not generally considered as competi-
tive acrossalargeportionoftheirperformanceregimes,thereexistsa
portion of both regimes that could be satisfied (roughly equally well) by
eithermachine.Forexample, when sizing aturbineforaparticular
application, it may turn out that a radial-flow machine or a long-bladed
axial-flow machine may be acceptable from the standpoint of the specific
speed range that is indicated. In this case, other factors may determine
the machine selection. The axial thrust loads involved and/or structural
considerations may come into play here.
Consider a turbopump where both a turbine and a pump are to be
placed on a common drive shaft. If the thrust load generated by the pump
component of the turbopump were stipulated, the thrust load component
generated by a radial-flow turbine could bring about a resultant rotor thrust
load thatis beyond the capacity of the thrust load reaction system employed
in the turbopump. In that event, modification of either the operating speeds,
the diameters involved, or other aspects of the geometry may resolve the
situation. Alternatively, an axial-flow turbine, with the somewhat different
character of its axial loads, may be indicated.
A slight modification of this scenario might be that a radial-flow tur-
bine is incorporated into the turbopump in question; however, a device
known as a balance pistonis required for the axial thrust balance. The bal-
ance piston is shown in rough form in Figure 19. The balance piston is
capable of reacting substantial thrust loads; however, the device requires
that the rotor translate a small amount in the axial direction. Although
the amount of motion varies with thesize of the machine, valuesin the tens
of thousandths of an inch aretypical.Variations ofthismagnitude in
the tip clearance of an open-faced radial turbine are likely to result in sub-
stantial changes in the turbine blade tip leakage. This may degrade the tur-
bineperformancetoanunacceptabledegree.Inthisevent,itmay be
desired to add a shroud to the turbine rotor to render it (more or less)
insensitive to rotor axial position. As we will see in a subsequent section,
the addition of the shroud changes the character of the turbine thrust force
significantly. As we analyze our shrouded rotor modification we may
determine that the turbine rotor shroud becomes marginal from a structural
standpoint, particularly if the turbine operates athigh tip speeds. This con-
dition will, of course, worsen as the turbine operating temperatures are
increased. Conditions such as these could again make the axial-fiow turbine
an attractive alternative.
402 Mohr

Static Pressure=Pl

Static Pressure=P2
-x-
%- -
P2 2 P1
v2 <v1
Blade Row Radial Pressure Gradient
Inlet Outlet

M
H
P y p *PhH

S
S S
U U
r r
e blade row span e blade row span

Static Pressure=Pl

Pressure=PZ
Static
W 1%
?bDDD:
-4- S; -
I X

P2 P1
v,= v,
Blade Row Radial Pressure Gradient
Inlet Outlet

(b)
Figure 1 ( a ) Turbineblade row cascades-negative reactionblade row. (b) Turbinc
blade row cascades-zero reaction(impulse) blade row. (c) Turbine blade row
cascades-"high reaction blade row.
Axial Loading in Turbomachines 403

Static Pressure=Pl

Static Pressure=PZ
y 19
:>>PRP!
-K- S, -
1 X

p2 << P1
v2 v1
Blade Row Radial Pressure Gradient
Inlet Outlet

r(ir
e blade row span

It should be kept in mind as one reads the above scenarios that they
have been recounted (and/or fabricated) for the sake of illustration only.
They are intended to provoke thought and should notbe taken as a general
indicator of the suitability of one type of hardware over another. They
should serve only to highlight afew of the many constraints that may need
to be considered if a system design effort is to proceed to a successful com-
pletion.

3.2. AxialDirectionLinearMomentumChanges

The blade row(s) of a gas-operated (or liquid-operated) turbine derive its

power by effecting a change in the linear momentum vector of the particles
of working fluid as those particles pass through the blade row. Refer to
Fig. 1 . When we are concerned with turbine power generation, we normally
deal with this momentum balance in the tangential direction. However, a
linearmomentumbalancealsomust exist in theaxialdirection. The
balance of linear momentum in theaxialdirection can be expressed as
follows:
404 Mohr

It can be seen from the above expression that acceleration of the working
fluid in the axial direction through the blade row will result in a force acting
in the axial direction. This forceis referred to as momentum thrust andis
analogous to the mechanism used to generate thrustin thenozzle of a rocket
engine.
Although many axial-flow turbines are designed to stage velocity dia-
grams that stipulate constant axial velocity,thisis not universally true.
For instance,asmallsingle-stagesupersonicimpulseturbinecould be
designed with symmetrical blading (for ease of fabrication) and with rotor
upstream and downstream pressures that are essentially equal. Figure l a
illustratesapossibleexample of a design of thistype.Inthiscase,
pressure-area-type forces on the rotor can be assumed equal in magnitude
and opposite in direction. In the absence of a static pressure change, flow
across the rotor decelerates due to losses. (More detail on this topic is con-
tained in subsequent
a section.)
Therefore,the
magnitude of the
rotor-relative exit velocity (V,) is less than the inlet velocity ( V ] ) .If flow
is assumed to be steady,thetimederivativeterms in themomentum
equation are eliminated and the equation reduces to

This can be recognized as theclassic momentum thrust expression in steady

flow.
Radial-flow turbines can present a somewhat modified form of the
same situation. Many radial-flow turbines operate with essentially zero axial
velocity at the rotor inlet. Theaxial velocity at the rotor outlet
will vary with
the application andwith the details of the outlet design, but will, in general,
be significant. In this event, the momentum thrust term again cannot be
neglected when computing the axial thrust contribution of the turbine.
3.3. Blade Row StaticPressureChanges

As was mentioned in the previous section, the blade row(s) of a turbine

generatesenergy at aratedetermined by therateat which theblade
row alters the linear momentum of the oncoming working fluid particles.
In a gas-operated turbine, the workingfluid linear momentum that is avail-
able to the blade row is derived by expansion of the working fluid as it
traverses both the nonrotatingvane and the rotating bladerows. The upper
and lower surfaces of both vanes and blades are designed so as to bring
this about.
In some turbines, the ideal blade-relative momentum (i.e., the fluid
momentum that would be measured by an observer sitting on the rotating
bladerow, and intheabsence of losses)does notchangefromblade
row inlet to exit. In this case, there is no expansion of working fluid in
ading Axial 405

the rotor blade row, and thus no changein static pressure across the blade
row. Turbines of this type derive the working fluid momentum entirely
in the nonrotating vanerow(s). These machinesare referred to as impulse
turbines and constitute a large fraction of the total number of axial-flow
turbineimplementations(particularlysmallones).Figure l a illustrates
an example of this. Impulse turbines are often characterized by any or
all of the following: A working fluid flow rate that is small in proportion
to thelargepressureratiothatexistsacrosstheturbine,arelatively
low value of the specific speedterm ( N s ) , and a relatively low value of
the so-calledvelocity ratioterm (UIC), where U representsblade
tangential velocity and COrepresents the ideal gas velocity associated with
isentropic expansion across the turbine (or turbine stage) pressure ratio.
Due to the less favorable nature of these conditions, impulse turbines gen-
erallyrepresentthelower-performance regime of axial-flowturbines,
although this must often be tolerated.
In othertypes of applications, the basic turbine operating environment
can be made more favorable. In this context, favorable means higher
specific speed,higherbladespeeds,highervalues of the velocity ratio,
and so forth. This regime is favorable for several reasons. Among them
are the following:

0 Increased blade speeds mean an increased rate of work extraction,

ascan be seen by examiningEulersequationas itappliesto
turbines:
Ah = A:uc,, (3)
Itcan be seen fromtheequationthatworkextraction is
proportional to blade speed.
0 Increased
bladespeeds
maketurbine
a stage
incorporating
reactionpractical.
In
this case,
a portion of the total
blade-relative momentum is derived from expansion of the work-
ing fluid withinthe rotating bladerow, rather than entirely in
the upstream stator row. Under the proper circumstances, stages
incorporatingreaction(predictably calledreactionstages)
can produce a net gain in turbine stage efficiency. Why? Because
only a portion of the total stage expansion now takes place in
the nonmoving vane row,losses in that row (which are a function
of theamount of expansionattempted)aredecreased. Also,
thereducedgas velocity at theinlet of the moving blade row
(reduced because of the lesser degree of expansion in the upstream
row) lowers the losses incurred in traversing the moving blade row
leading edge (theselosses are a functionof the blade-relative Mach
406 Mohr

number of the working fluid). The working fluid then undergoes

expansion within the blade row to the turbine (or turbine stage)
outletpressure. Because thisexpansion is also of a reduced
magnitude, it can also occur with low losses.
It should be notedherethatthestrategy of incorporating
reactionintoaturbine orturbinestageshould be used with
caution. In turbines with a relatively low bladespeed(such as
a small impulse turbine), the single largest source of energy (and
therefore efficiency) loss is often the high kinetic energy possessed
by the working fluid as it exits the turbine. This is often referred
to as a leaving loss or an exit loss and can be a far greater
detriment to turbine performance than nonoptimum blading, par-
ticularly in small-diameter machines. Incorporating reaction into
the rotor of a low-blade-speed turbine makes the blade row func-
tionsomewhat like a nozzle in itsown right.Thisaccelerates
theworking fluid pasttheblade rowtrailingedge,increasing
the exit velocity and increasing losses.
If the environment of a given turbine application is favorable enough
to warrant the incorporationof reaction stages, then a new set of consider-
ations must be investigated by the design engineer.
In the design of a reaction stage (or stages) for an axial turbine, a
quantity that is of substantial importance that must be decidedupon is
the so-called degree of reaction of the stage or stages. To be free from
ambiguity, the degree of reaction can best be defined mathematically. Sup-
pose a turbine stage operates with the following conditions:
0 A nozzle row (another name for the nonmoving vane row) inlet
total enthalpy of / ? l .
0 A nozzle row outlet (alsoblade row inlet) static enthalpy of h 2 (the
stagnation condition here is still 1101).
0 A blade row outlet static enthalpy of 1 1 3 , with stagnation enthalpy
h 3 .

In this case, the total work extracted from the turbine stage is simply
110, - h03. Theblade row liberatesmomentumfortheworkingfluid by
expanding the fluid from enthalpy / I ? to /Q. The degree of reaction of this
stage is defined astheratio of theenthalpy drop acrossthebladerow
( h 2 - / l 3 ) to the total work extraction of the stager. Thus, the reaction,
R. is
ding Axial in Turbomachines 407

This value can range from zero to unity. As described earlier, an impulse
turbine liberates no additional fluid momentum across its rotor. Therefore,
/ l 2 = } l 3 for a degree of reaction of zero. For values of the velocity ratio
of less than approximately 0.45, this type of stage generally delivers the
highest performance. However. when higher velocity ratios are possible,
the highest turbine performance is attainable at degrees of reaction greater
than zero. For example,when velocity ratios as high as 0.6 can be achieved,
a stagewith a valueof R of 0.50 (referred toas a 50%,reaction stage) could
be designed for, if other conditions permit. For intermediate values of the
velocity ratio(say, between 0.45 and 0.60), values of reaction between
Ol/o and 50%,might be implemented if other factors permit.
The decision process regarding the degree of reaction for the stage(s)
of a turbine is of great importance not only to the issue of turbine aerody-
namics but also to the balance of axial forces that act on a turbomachine
rotor. Refer to Fig.I . This illustration is of a single-stage axial turbine that
operatesatatotal-to-staticpressureratio of poI/p3, withadegree of
reaction R. It should be apparent that the static enthalpy required at station
1 toproducetherequiredreaction R will worktostipulatethestatic
pressure, p I , that must exist at station 1. Note in the figure the difference
in the blade row upstream and downstream static pressures for the high
reaction case as compared to the impulse case. The static pressures, p1
and p , acting over their respective blade row annulus areas, A , and A ? ,
respectively, constitute an approximationof the blade row pressure thrust
force that accompanies the specified reaction R. In turbines that operate
either at high absolute pressures or that operate athigh flow rates (and thus
have blade rows with large spans), this pressure thrust force can become
quite large.
There are two other factors that are worth noting at this point. First,
although it was stated that the static pressures p1 and p2 form the basis
for the componentsof the blade row pressure thrust, it should be understood
that these static pressures are not constant in the radial direction across the
blade row leading edge (in the case of P I ) and trailing edge (in the case
ofp?). Rather, the assumptionof equilibrium in the radial direction requires
that both of these pressures vary in that direction (i.e., from blade hub to
tip). If thebladespan is sufficient thatthispressuregradient becomes
significant, it will be necessary to divide the blade annulus into several dis-
cretestreamtubesorstreamfilamentsandintegrate pressure-area
forces in the radial direction to obtain correct results.
Second, it is possible thatsurfacesotherthanthebladesmay be
exposed to blade row pressure in some form and may contribute to turbine
axial thrust. For example, a turbine thatis constructed with discrete wheels
or disksforeachstage will normallyexposeboth wheel faces (top
408 Mohr

and bottom sides) to blade hub static pressure. A disk pressure thrust
force componentwill be created on eachside of the disk, with thedifference
between the upstream and downstream forces depending on degree of reac-
tion, exposed disk areas, internal clearances, and so forth. A subsequent
section will discuss these phenomena in more detail.
As we will see in one of our case studies, the axial forces induced by
blade row reaction can become dominant forces in the turbine and may
makeaerodynamically desirable
degreesof
reaction
impossible to
implement successfully.

3.4. Pump Thrust Loads

Likethe turbineelementsdiscussed in theprevioussection,pumping
elements have a number of axial thrust forces that are consistent with their
normal operation. These forces include changes in fluid axial momentum
and static pressure changes across blade rows. In this way, the pumping
elements are also similar to the turbine elements. In addition, axial direction

pressure-area forces are present between the inlet and exit areas of a
stage. Figure2 shows an exampleof such a situation for a typical centrifugal

Fi = Inlet Pressure-area Force

Fs = Shroud Pressure-area Force

F,, = Hub Pressure-area Force

Figure 2 Centrifugal pump stage impeller showing axial pressure-area thrust force
components.
Axial Loading in Turbomachines 409

pump stage impeller. It should be noted that, in the case of a pump, the
pump inlet and discharge areas typically represent the lowest and highest
pressures, respectively, that are presentin the system. The pressure gradient
presenthere is, therefore, also the highest in the system. The axial pre-
ssure-area force generated across this pressure gradientcan become a domi-
nant component of the resultant thrust force. At the same time, the large
magnitude of the pressure gradient can make theprecise prediction of this
dominant force componentalsothemostuncertain. Because thispre-
ssure-areaforce acts over the impeller frontshroud,this force is also
referred to as the shroud thrust force.
The impeller rear side (or hub) canalso be subject to a large pressure
gradient. Referring again to Fig. 2, we can see that the reference pressure
on the outboard side of the hub is, again,theimpellerdischargestatic
pressure. The inboard side reference pressure is somewhat dependent on
the precise anatomy of the pump in question. In some cases, the leakage
flow is allowed to drain into the impeller inlet through holes in the hub.
In this case, the hub pressure-area force is bounded on the inboard side
by the impeller inlet pressure (plusthe losses in flow through the hubholes).
In other cases, the leakage flow is used other places in the machine (as a
coolant for instance). In this event, the leakage flow rate can be controlled
by a shaft seal, with the precise pressure at the base of the impeller hub
controlled by a combination of the seal leakage characteristics and the pre-
ssure-flow characteristics of the downstream hardware. If further control
of the static pressure on the hub is needed, a dynamic seal may be placed
on the hub at any radius desired. The exact radius on which the seal is
to be placed and the required dynamic seal gap can be determined by trial
and error. Examples of thisexercise are contained in our Case Studies.
Another possibility involves the use of what are referred to as antivortex
ribs. These are simply a set of radial ribs on the impeller hub, which func-
tion as a small radial-vaned pump. Actually, the term antivortex ribs
is something of a misnomer because these vanes simply substitute one type
of vortex pattern for another. In cases where the axial clearance between
the ribs andthepumphousingcan be keptsmall,theseribscanexert
the greatest controlof the hub side thrust force. If the rib-to-housing clear-
ance is kept large, these ribs will be substantially less effective. Large internal
clearancesaresometimes designed intoamachineintentionally. For
example, in a pump that is movinga highly reactivechemical(such as
an aggressive oxidizer), rubbing contact between rotating and stationary
parts mustbe prevented at all costs. If a pump uses a separate balance piston
to react rotor axial thrust, changes in the pump operating point can result in
significant rotor axial motion. In this case, clearances between the balance
ribs and the pump housing can vary appreciably, resulting in inconsistent
410 Mohr

performance of the balance ribs.(Note thatit is possible to use both impeller

balanceribs and aseparatebalancepiston in thesameturbomachine,
although this is arguably unlikely.)
Axial-flow pump stages are subjected toforces generated by the same
mechanisms as mentioned earlier. They are quite analogous to axial turbine
thrustforces, and theprevioussection will provideinsightintothese.
However, we shouldremember that because an axial-flow pumpblade
row is a driving member, not a driven member (as in the case of a
turbine blade row), the directions of certain pressure differentials will be
reversed from thosein the turbine blade row. Also, because most axial pump
blade rows accomplish diffusion (as opposed to the acceleration generated in
most turbine rows), the direction of many axial momentum thrust forceswill
also be reversed from those in a typical turbine.
It should be evident from the above discussion (as well as that in the
previoussection)thatnumerousdesignstrategiesarepossible in regard
to rotor thrust loads. It should be emphasized that it may be necessary
to design and analyzeseveralconfigurationsbefore oneisfoundthat
satisfies all operating requirements.

4. VORTEX FLOW FIELDS AND THEIR IMPORTANCE IN

TURBOMACHINERY DESIGN

When we engage in the detailed design of a turbomachinery component,we

are attempting a process by which we manage the energy and direction
of flow of a working fluid both in a bulk sense and a local sense as
it progresses through our machine. Various quantities of interest in the flow
field (enthalpy, velocity, etc.) are tracked in a coordinate system of some
kind. As we might expect, the geometryof the component under design will
normally dictate the type of coordinate system into whichwe place our
componentforanalysis.Manyturbomachinecomponentsandsystems
(an axial-flow turbine, for example) naturally lend themselves to analysis
in a cylindrical coordinate system.
Atypeof flow field which dominatesthe design and analysisof
turbomachine components is referred to as the vortex. This term simply
denotes a body of fluid which is undergoing rotation as a (more or less)
solid body about some given axis. This rotation may or may not involve
the transfer of work. Numerous types of vortex flows exist, but two types
areimportantenoughthat we will explorethem in somedetail.These
are the so-called f i e e and forced vortex. When these two flow fields are
understood, a substantial number of analyses that are of interest to us
can be carried out with relatively simple models.
Axial Loading in Turbomachines 411

Fluid
Particl e

Figure 3 Inlet of turbine stator cascade looking down Z-axis of cylindrical

coordinate system.

Refer to Fig. 3. This figure represents aview of an axial turbine stator

row, with the viewer looking at the turbine down the Z axis of our ( R ,
0, Z ) coordinate system. Inthese views, the annular geometryof the turbine
flow path should be apparent. If we make certain simplifying assumptions,
we could argue that a particleof working fluid at a radius11 moves through
the gapbetween the stator exit and rotor inlet in a helical path (i.e., its radius
11 from the turbine centerline remains unchanged). The same argument
could be made for the fluid particle at the radius12. These conditions imply
that the flow field is in equilibrium in the radial direction; that is, that
the sum of the radial component of all of the external forces on fluid a par-
ticle is balanced by centrifugal acceleration of the fluid particle, therefore
no radial motion of the particle can occur.
Thestatementmade by theaboveverbagecanalsobeexpressed
mathematically. If we isolate an arbitrary fluid particle from the turbine
annulus in Fig. 3, theparticle will haveashape definedby differential
elements of the three coordinate directions. Thefluid particle is acted upon
by pressure forces as shownin Fig. 4. A force balance in the radial direction
is also shown in the figure. (The reader should note here that this free-body
412 Mohr

r
d0 F4

r = distance from centerof curve.

Since (10 is a "small" angle, we will assert that sin(dO/2) = d0/2.
This leads to the following expression giving the pressure gradient associated with
radial equilibrium:

?)P- c;
"

a,. - "7

Figure 4 Free-body diagram of fluid particle in turbine stator annulus.

diagram is rather simplified-certain forces have been neglected forthe sake

of this discussion.) The mathematical result of imposing the radial equilib-
rium constraint is easily seen to be
ding Axial 413

Severalthingsshould be noted here. First, the above expression is

valid for any fluid particle that we wish to isolate in the flowfield. Second,
this expression gives us part of the information necessary to construct a
distribution of the tangential velocity component V,, (often called
swirl) with radius.Additionally, if we neglect losses, assumeradially
constantaxial velocity (V:), andassumethatnowork is done in this
region, we have part of the information necessary to construct a distri-
bution of staticpressurewithradius.Itshouldbe easily seen that the
staticpressureincreaseswithradiusundertheseconditions.The final
ingredient needed to construct our velocity and pressure distributions
in the annulus is a reference condition. This is simply a value of radius
where the tangential velocity component is known such that the constant
in Eq.(4)may be evaluated.Wherethis reference condition willbe
derivedfrom is dependentontheparticulardesignproblemunder dis-
cussion. For example, in the case of the outlet of an axial-flow turbine
stator, our reference values for r and V0 will be derived from the velocity
vector diagram derived for the stator. It should be emphasized here that
the vector diagram is dependent on radius and that the design vector
diagram willbe associatedwith a particularradiallocation.Normally,
themeanradius willbe thelocation of thedesignvectordiagram.
It should be understood, however, that the selection of a meanline dia-
gram can often be effected by the nature of the vector diagram at radii
other than the meanline. When a meanline diagram is selected, we should
make a habit of checking the diagram that results at other radii (hub and
tip, for example) to ensure that no undesirable pressure distributions are
induced.
The final point we shouldmakeregardingEq.(4) is its physical
significance. The reader should recognize the quantity rV0 as the specific
angular momentum of the fluid particle. From this, Eq. (4) simply states
that in this example, the angular momentum ofall fluid particles in the flow
field is constant.
The above discussion will hopefully facilitate a somewhat intuitive
understanding of thefree-vortex flow field. As we have seen, the free vortex
is defined by Eq. (4) as having radially constant angular momentum. This
allowsthe velocity component V0 to be easily computed.Also, in the
presence of constant total pressure, the radial distribution of static pressure
is easily calculated. Examplesof free-vortex flows are abundant-theflow in
anaxialturbine betweenbladerows as in theabovediscussion.Other
examples of a free-vortex situation be canfound in a centrifugal pump stage.
The flow outboard of the impeller but upstream of a radial diffuser can be
approximated as a free vortex. The flow downstream of the radial diffuser
and in the volute of the same pump stage is another example.
414 Mohr

It should be noted here that the analysis of a free vortex could be

refined somewhat from that shown in Eq. (4). We should recall that the
equilibrium analysis leading up to this equation ignored losses in the flow
field. For situations such as the flow between blade rows ofan axial turbine,
this assumption maybe entirely satisfactory. However, other situations may
not be modeled adequately if losses are ignored.
The flow in thevoluteofacentrifugalpumpcould be one such
example. Due to high impeller outlet velocities, the losses in a centrifugal
pumpvolutecan be substantial,particularly if a vaneddiffuser is not
employed to decelerate flow prior to entering the volute. We should recall
that losses are proportional to kinetic energy or the square of the fluid
velocity. Significant reductions in volute losses can be realized with a rela-
tively small amount of diffusion if the matching of diffuser to volute is
proper. If a pump is intended for a flight application, other motivations
may be at work. By the very geometry of a centrifugal pump, the volute
is wrapped around the
largest
diameterpresenton
the
pump.
Additionally, because the volute carries the highest-pressure loads in a fluid
delivery system, it tends to require the thickest metal sections for structural
support. A desire to reduce the weightofa pump could lead to efforts
to reduce the cross-sectional area of the volute flow passage, in order to
reduce the amount of metal structure required to carry the volute pressure
loads. The inevitable product of this will be to increase losses in the volute
due to increased fluid velocities. In this event, accounting for losses when
analyzing the volute, the angular momentum distribution becomes even
more important. In an extreme case, a flowivolute mismatch can lead to
large static pressure distortions around the pump impeller. These pressure
distortions, when integrated circumferentially. can result in a radial load
that is large enough that the bearing life of the machineis adversely effected.
For this reason (and others), significanteffort has been appliedtoward
understanding the loss mechanismsthat are presentin the volute of a pump.
However, to thisauthorsknowledge,noclosed-formcorrelationshave
proven completely satisfactory. Simple pipe-flow-type models have been
employed, which imposefrictionallossesthatarerelated to thevolute
wetted area. However, these models tend to underpredictlosses in a volute
(particularly a symmetrical one) because they give no credit to the radial
direction circulation present, with its accompanying energy dissipation.
Another type of fluid rotation pattern, or vortex, which dominates
certain aspects of turbomachinery component design is a pattern known
as a forced w r t e s . Like the free vortex, radial equilibrium considerations
requiretheexistenceofaradiallyincreasingstaticpressuregradient to
support the fluid rotation. However, i n contrast to a free vortex, the dis-
tribution of tangential velocity in a forced vortex varies directly with radius
Loading Axial in Turbomachines 415

rather than inversely. The usual expression of the tangential velocity dis-
tribution in a forced-vortex field is
V/,= KIW (5)
where is the fluid bulk tangential velocity, K is a constant, which we will
definebelow, I is thedistancefromtherotationalaxisofthevortex,
and o is the angular velocity of the vortex (radls).
The reader will also note that the above tangential velocitydistri-
bution indicates radially increasing angular momentum. In the case of finite
flow throughourcontrolvolume,themoment-of-momentumequation
indicatesthatatorqueinput is required tosupport fluid rotation. As
the reader will no doubt infer from the above line of inquiry, the forced
vortex is associated with work-transfer processes. For our purposes, these
processes differ only in the value of K . K is defined here as the ratio of fluid
tangential velocity to the tangential velocityofalocal rotating surface.
As we shall see, the various phenomena occurring in differentplaces in
a piece of machinery will bring about substantially different values of K.
In the case of flow in awell-guidedpassagesuch asthechannelsofa
shrouded centrifugal impeller, K is equal to unity.
An intermediate setof these circumstances canbe seen in Fig.5a. In
this example, the rotating member is smooth (i.e., nonbladed) and is in prox-
imity to a smooth stationary surfacein the machine. For this case, value a of
K of 0.45-0.5 is classic, depending on the details of the physical situation.
The physical interpretation of a value for K less than unity is simply to
indicate that the fluid lags behind the velocity of the rotating surface
at any particular radius.
Figure 5b illustrates a case of a low K value. In this example, the
rotating member is again smooth and is again in proximity to a stationary
surface in the machine. However, in this example, the stationary surface
is bladed (or slotted,if one prefers). Configurations such as this are com-
mon when it is desired to avoid the pressure gradients associated with strong
vortex flow. In this case, the isolation provided by the slots tends to prevent
rotation of the fluid mass by the rotating smooth surface. In instances such
as this, K values of 0.15-0.2 have been recorded. Values of K which are
even lower can be achieved when transient contact between the rotating
and stationary surfaces can be tolerated.
It should be mentioned here that Daily and Nece, in their 1960 pub-
lication [l] published what is (to this authors knowledge) the most complete
and systematic investigation of the regimeof smooth rotating members and
smooth stationary surfaces. Their investigation included not only the K
values and their associated pressure gradients (which have great relevance
to axialthrustformulations)butalsovalues oftheso-called torque
416 Mohr

4
,
V0 = K r o a u i d Particle

K- 0.5

L
.
V0 = Kro m u i d Particle

K- 0.1-0.2

Figure 5 (a) Smooth rotating disk with smooth stationary wall. (b) Smooth rotating
disk with slotted stationary wall.
Axial Loading in Turbomachines 417

coefficient C,,,. The torque coefficient is defined as

where M is the fluid resistive torque, p is the fluid density, W is the disk
angular velocity, and a is the disk radius. This quantity is related to the
resistive torque generated by the recirculating flow and, thereby, to the
powerconsumed by therecirculationas well asheating of the fluid in
the process. The former can be quite important in small machinery, where
the recirculation fed by various leakages is a higher percentage of totalflow
than in larger machinery. The latter becomes important when temperature
differences in various flow legs, when combined, would result in phenomena
such as localized phase changes. Refer to Fig. 2. Fluid that is recirculating
from the high-pressure to the low-pressure side of the impeller will tend
to form a vortex on the impeller shroud with a value ofK equal to approxi-
mately 0.5 under many circumstances. Some heating of this leakage flow
will also result. Combining the leakage flow that is being recirculated to
the front wear ring with the impeller inlet flow will then act to raise the
fluid temperature near the periphery of the impeller inlet. If the pumped
fluid were a cryogen that is near saturation conditions, the resulting inlet
flow could be warmed enough to produce a vapor content high enough
to impede the impeller hydrodynamic performance. Accurate prediction
of the thermodynamic stateof fluid in this area will be essential for arriving
at a designwith sufficient inlet flow area to achieve the intended pump
suction performance.
The abovediscussion is but thebriefest introduction to some aspects of
vortex flow and their impact on turbomachine design and analysis. The
experienced reader will know of any number of important points which
could meaningfully supplement this discussion. Also, detailed reading of
thepublication by DailyandNece [l] is stronglyencouraged.During
our coverage of some real-world case studies, the importance ofthe topics
discussed in this section will be reinforced.

5. LOSSES IN TURBOMACHINERY

Students and practicing engineers are all familiar with the concept of empiri-
cal predictionof losses in flow fields. Perhaps thefirst consistent exposure of
students to this strategyis in the first elementary course in fluid mechanics.
As apartofthistraining,studentsareintroducedtotheideaofthe
prediction of pressurelosses in pipe flow components (elbow andtee fittings,
straight pipe runs, etc.) using loss coefficients. These are usually supplied
418 Mohr

in tables that specify the applicability of each loss coefficient listed. It is

strenuously stated that each of these data points was arrived at under a
very specific set of experimental conditions, and that use of them in any
dissimilar circumstances is done at ones own risk. Fortunately, the largely
excellent agreementthat existsbetweenvariousinvestigators datasets
for pipe flow loss coefficients enables them to be used in flow system design
with high confidence. This confidence is due to the talent and dedication
of the investigators that have made these data available.
Losses exist in all real flow fields, and the accurate predictionof them
can be important in thedesign of virtually anytype of turbomachine.
As the performance requirements and subsequent designs for machinery
become more aggressive, prediction of losses is assuming a progressively
more dominant role in the design process. Accurate knowledge of the vari-
ous losses that occur i n a machine is important for a number of reasons.
First, to assure that performance goals are met, each loss mechanism
that exists in the machinemust be acknowledged and accurately
characterized. Because the energy required to power these mechanisms is
skimmed off the top of the energy available in a machine, ignoring or
underestimating them will lead to performance shortfalls of varying degrees.
Generally. losses in a machine are categorized and theexpected magnitude
of each loss is either computed from existing analytical models or estimated
using any previous applicable test data. Even here, it must be kept in mind
thatourapproach is oftenimprecisebecause we are discretizing a
complex physical phenomenon which is. in fact, continuous. Thisis signifi-
cantbecausecategorizing can force us to considerthevariousloss
mechanismsasindependent of each other.This is oftennotthecase.
However, until computational methods are more consistently successful,
we must often accept this limitation. Once losses are categorized, models
using amixture of analyticaltechniques and empiricism are often built
by formulating a model (or models) that make certain assumptions about
the physical processes at work. These models contain some arbitrary con-
stants in their formulation. These models are then anchored to the avail-
able test data using thearbitraryconstants. Such a model can, when
used with care, provide useful information. However, it must be understood
that models of this sort represent something of a curve-fitting exercise,
and they possess all of the same limitations. Under these conditions, great
care must be taken to avoid using the original data in regimes where they
are not applicable.
Accurate assessment of losses can effect mechanical integrity as well as
influencing performance. It must be understood that pressure gradients in a
machine are strongly influenced by the various loss mechanisms that are
a t work. These pressure gradients become the boundary conditions from
Loading Axial in Turbomachines 419

which axial thrust load components are computed. In this manner, if the
internalpressureschedule i n a machinedeviatessubstantiallyfrom that
intended, the machines basic structural integrity can become questionable.
As higher performance, lower weight, and smaller diameters are sought,
this issue becomes more critical.
The engineer attempting the detailed design of turbomachine com-
ponents and systems is faced with a task that can be substantially more
complex than the design of a pipe flow system. Whereas pipe flows can
(in mostcases) be regarded a s onedimensional.the flow fields in
turbomachinerycomponentsare decidedlymultidimensional.Thiscom-
plicates the mass. momentum, and energy considerations (by the introduc-
tion of at least a seconddegree of freedom)tothe point thathand
computations are impractical for geometries of reasonable interest.next The
step in the solution of these flow fields usually involves a two-dimensional
attempt. I n these cases, the so-called stream function and/or the potential
function can be discretized over a domain of interest. Although a complete
derivation of these functions is beyond the scope of this text, it is interesting
to note that both of these functions wind up satisfying the same partial
differential equation---Laplaces equation
v% = 0 (6)
After enforcement of the appropriate boundary conditions (these involve
specifying the normal derivatives and are where the stream and potential
functions differ), solutions are generated which enable fluid velocities to
be computed at each point in the domain. This velocity distribution is
in itself useful a s a check on the ability of the flow passage in question
to perform its intended function. Often, flow passage design is performed
iterativelyuntil a prescribed velocity distribution is achieved.Further,
the velocity distribution can be used in conjunction with the components
geometrytocomputeapressuredistribution overthe domain.These
analyses can be performediteratively while changingthecomponents
geometry until any desired boundary condition is obtained.
The analysis technique described has its roots i n early and mid-1960s
developmentworkandformsthe basis of whatmight be calledthe
standard design tools that are in use today (mid-1990s). However. these
techniques possess several limitations, twoof which are relevant here. First,
because they are two-dimensional techniques, they obviously cannot pro-
vide solutions that encompass the entire domainof interest, a s that domain
is threedimensional.Second.thesetechniquesprovide only idealor
inviscid solutions, which by definition neglects all loss mechanisms such
a s boundary layer buildup, secondary flows, and so forth. The former con-
dition is addressed by using the two-dimensional planar analysis tech-
420 Mohr

nique repetitively over the region of interest. An example of this could be

found in the analysis of an axial flow turbine stator. Referring to Fig. 6 ,
the planeshownbetween the two stator blades is referred to as the
meridonalplaneand is theplane defining the throughflowdirection.
When this plane is specified, a solution of the potential function provides
an ideal approximationofthe velocity distributioninthisplanefrom
the blade hub (root) to the blade tip. When a thin streamis tube cut from
this meridonal plane, as in Fig. 6 (a plane near the blade tip is specified in this
particular case), velocity components existing here are used as input to a
similar analysis performed in the plane indicated in Fig. 7. This plane is
referred to as the blade-to-blase plane. A solution in this plane yields
values of fluid velocity between the blade pressure and suction surfaces.

,Meridonel Plane

Figure 6 Turbine stator vane cascade showing orientation of meridonal plane.

Blade-to-Blade
plane I

Figure 7 Turbine stator vane cascade showing orientation of blade-to-blade plane.

ding Axial in Turbomachines 421

Also, the solution provides actual blade surface velocities, which are of great
interest. When stream tubes are cut from the meridonal plane at several
radii,blade-to-bladeanalysescanbeperformed ateach ofthese radii.
The combinationof these two sets of analyses provides what would be called
a quasi-three-dimensional look at the flow field between blades.
Itshould be pointedoutthatthesolutionmethodologypresented
above contains a number of simplifying assumptions. Among them is an
assumption that there is no radial interaction between the stream tubes.
This is required in order for the numerical approximation in each plane
to stand on its own. Another is anassumptionthat viscous effects can
be neglected, whichmeans that the streamipotential function methods carry
the free-stream flow field all the way to the blade surfaces. Thisis a con-
dition which is obviously not true. To overcome this, a numerical scheme
which uses thebladesurfacegeometryandthecomputedcoreflow
characteristics to approximate the growth of the boundary layer can be
employed.Thiscomputedboundarylayercanthen be superimposed
on the computed free-streamflow field. If a more refined estimate is desired,
the computed boundary layer canbe substituted for thephysical blade geo-
metry,andthestreamipotentialfunctionapproximatingthecore flow
can be solved again. This second iteration can be used to generate another
boundary-layer estimate and so forth. When successive iterations do not
result in any significant change to the coreflow or boundary layer, the prob-
lem can be considered solved to the accuracy that is desired. Incidentally,
this convergence may take no more than two iterations.
The above paragraphs are simplified
a description of the channel-flow
analysis for the first nozzle or stator of an axial-flow turbine. The number
ofradialplanes in which flow solutionsaregenerated will dependon
theradialheight of the flow passage,theaccuracythat is desired,and
so forth. The flow field at the outlet of the nozzleistator that is computed
from the above procedure is then used as the inlet boundary conditions
for the first turbine rotor, and the above process is repeated. In this manner,
the flow fields in the entire turbine can be approximated one blade row at a
time. Blade sections whichdo not satisfy our desires will, of course, be modi-
fied as we proceed through the design process.
The design procedure we have just discussed will attempt to account
foronetype ofloss, thatduetoboundary-layergrowth.The presence
of the boundary layer on the blade surfaces and on the hub and endwalls
essentially causes a new flow passage to be defined, with an aerodynamic
flow area that is less than the geometric flow area. Accelerations due to
this area reduction will result in total pressurelosses due to the acceleration
itself and losses due to diffusion which may occur downstream. However,
the stream tube flow assumption suppresses radial direction secondary
422 Mohr

flows and their accompanying energylosses. In addition, losses due to inci-

dence (the fluid velocity vector not being parallel to the blade camber line
at the blade row inlet) are not taken into account. To properly account
for these mechanisms, it is necessary to use an empirical approach where
asetof loss coefficients (similarinconcept to those usedinpipeflow
problems) are employed to characterize the losses experienced by the fluid
as it traverses the blade row.
Although some mayfind it most intuitive to think of loss coefficients as
expressing pressure losses,it must be remembered that thedesign process for
turbomachinery components is essentially an energy management process.
For this reason, loss coefficient data that relate losses in total energy (or
enthalpy) to physical variables is often employed. An example of this is
shown in Fig. 8. These data represent a portion of the information that
can be used to characterize losses through an axial-flow turbine stage. This
information is presented in Ref. 2 and is the result of considerable systematic
testing at NASA's Lewis Research Center.
Referring to Fig.9, the expansion processof working fluid through an
axial-flow turbine stator is depicted. The upstream total pressure(P,,,o)and
the downstream static pressure ( P I ) are considered defined. The object of
this phase of the design process for a turbine would be to define a stator
geometry and pressure distribution that fulfill the requirements of the vel-
ocity vector diagram (velocity triangle) for the stator. Therefore, the desired
stator exit velocity(C?)might be considered as known, andwe would wish to
arrive at the corresponding valueof the stator exit pressure P I . If we begin
on the assumption of isentropic expansion through the stator, we could com-
pute an enthalpy drop through the stator according to the classic energy
balance:

The energy liberated per the above expression to duethe decreasein pressure
is known as c>sprrn.sionenergj'. Because no work is performed across the
stator and adiabatic flow is assumed. the energy balance requires that this
expansion energy be manifested as an increase i n the working fluid kinetic
energy. This change of kinetic energyis most intuitively shown in graphical
form,as in Fig. 9. Thisgraphshowsenthalpy ( / I ) onthe verticalaxis
and entropy ( S ) on thehorizontal axis. Assuch, it is referred to as an
/!-S diagram. The diagonallines on the graph arelines of constant pressure.
Graphs of this type are presented in any classical thermodynamics text. To
follow our isentropic assumption, the fluid state at station 0 (the stator inlet)
is first located on the h-S diagram. Next. the isentropic state at station 1 is
Axial Loading in mrbomachines 423
-. . ... - -..-....
, .E .E .E .E
.E
I n c O ~ W O I n O
O O O O r r N
0
W
424 Mohr

Pstaticl

P static2

S
Figure 9 Enthalpy-Entropy (h-S) diagram of axial turbine stator expansion process.

located by following a verticalline (a line of constant entropy,because this is

our assumption of the character of the expansion process) to the known
statoroutlet pressure. Thelength of the vertical line representsthe
magnitude of the working fluid kinetic energy increase, labeled Ahisen.
The above analysis, assuming isentropic flow, is academically instruc-
tive but not accurate enough for design purposes because losses in flow
through the stator are neglected. If we decide to attempt to account for
these, ourassumption of isentropic flow is no longervalid. Losses
(expansion losses, in this case) are energy-dissipation mechanisms and their
presence results in an entropy increase of the working fluid as it crosses
the stator. The expansion processis,therefore,irreversible. If we refer
now to Fig. 9 and compare the irreversible case with the isentropic case,
we can observe that the presence of an entropy increase from S1 to S?
due to expansion losses results in a lower yield of expansion energy than
when isentropic flow takes place betweenthe same pressures. This nonideal,
or actual, expansionenergy is labeled as Ah,,, . We can see that to liberate
expansion energy equal to Ahisen in a real flow field, expansion to a lower
staticpressure(shownas P?) is required.Thefraction of isentropic
expansion energy that is yielded as actual expansionenergy is the definition
of the so-called e.xpmsion loss coqficient. As shown in Fig. 8, it is chiefly
ading Axial 425

a function of the blades axial direction dimension and of the amount of

turning performed in the blade passage. If these two quantities are known,
thenthevalue of theexpansionenergyloss coefficient (referred toas
Q?) is uniquely specified.
The value of theactual expansion energy liberated in the blade row can
then be computed using
Ah,,, = @Ah;,,,, (8)
where Ahisen represents the expansion energy computed from Eq. (7) on the
basis of isentropic flow. It should be understood that Ah,,, represents only
that portion of the blade outlet kinetic energy that is generated as a result
of expansion. Any kinetic energy that the flow possessed on entry to the
bladerowmust be treatedseparately,as willbe discussed in the next
paragraph. As might be expected, the loss of expansion energy increases
approximatelyquadratically with an increase in bladepassageturning.
Additionally, the loss of expansion energy increases (for any given turning)
with a decrease in the axial width of the blade. It should be noted that these
data are experimentally derived for blade rows of otherwise good aerody-
namic design. These losses can be thought ofas the best that are reason-
ably attainable,andbladerows of poordesign will certainlyexhibit
losses higher than those indicated here.
The above discussion deals with only one of the major loss mechanisms
that we must consider in the context of the axial turbine stator example.
Another is a mechanism referred to as kinetic energy loss. Although the
expansion energy loss would fully account for losses through our stator
row if the inlet conditions were stagnant, the real flow entering the stator
does possess some kinetic energy. Indeed, as thesize and weight of machin-
ery become greater concerns and inlet manifolding (the highest pressure
area in a turbine) is sized progressively smaller, kinetic energy can account
for a substantial fraction of the total blade row inlet energy. Figurel a shows
a blade row where the inlet and outlet flow areas are equal and across which
there is nostaticpressurechange. If isentropicflow is assumed,the
magnitude of the outlet velocity vector( V ? )is equal to that at theinlet ( V l ) .
However, in real flows, kinetic energy is dissipated during flow through the
passage such that the magnitude of V, is less than VI. If we assume the
magnitude of V I to be less than the local speed of sound (subsonic flow),
then thediKerence in statorinlet and outlet kinetic energies can be quantified
through the use of a kinetic energy loss coefficient.
Representative data for kinetic energyloss coefficients (referred to as
$) areshowninFig. 10. Asinthecaseoftheexpansionenergyloss
coefficient,this quantity is chiefly a function ofbladerowaxialwidth
and the amount of turning within the blade passage. If the stator inlet vel-
426 Mohr
0
T
9
0
3
0
.E
.E
.E
.E
.E
.E .c
L D w r . w o m 0
0 0 O O r - N
0
-3
-
m
v)
0
x
0
N E?
U
9
- 0
ading Axial 427

ocity vector is known, then the statorinlet kinetic energy can be expressed as

The stator outlet kineticenergy canthen beexpressed (accountingfor

kinetic energy losses) a s
I?klll2 = Y2hllll (10)
Then, the magnitude of the stator outlet velocity can be expressed as

with the axial and tangential vector components defined by the sine and
cosine, respectively, of the stator outlet angle.
Let us now refer to Fig. 1 again. We will now explicitly state that the
inlet conditions are nonstagnant (i.e., ( 1 I>>O). We will further assume that
P I and P? are known and that P? is specified such that the stator outlet
flow is entirelysubsonic.Thestatoroutlet kineticenergy can now be
expressed as
/1kl117 +
= Y2hklIll @ A / I ~ ~ ~ ~ , (12)
where Ahisell is the kinetic energy liberated by expansion across the stator,
is the flow kinetic energy at the stator inlet,Y 2is the stator row kinetic
/1klI1l
energy loss coefficient, and @? is thestator row expansionenergyloss
coefficient; the magnitude of the stator outlet velocity can be expressed a s

I n the above discussion of stator row kinetic energy losses, we made

the assumption that the Mach number at the inlet and exit of the stator
was everywhere less than unity. For many types of turbine blade rows, this
assumption is entirely satisfactory. However, another concern exists when
gas velocities become supersonic relative to a moving blade row or a station-
ary stator row. (One or both of these conditions exists in certain highly
loaded turbines.) Blade cascade tests indicate that the expansion energy loss
coefficients are essentiallyindependent of the blade inlet and exit Mach
numbers.However,thecharacter of thekineticenergy loss mechanism
changes when the inlet velocity relative to a blade row exceeds the local
speed of sound. Under these circumstances, further kinetic energy losses
are incurred in addition to those mentioned previously. These additional
energy losses correlate very nicely with the blade row inlet relative Mach
number. To account for these. a new loss coefficient known as the Mach
number coefficient (C,,,)is defined. Figure 1 1 shows C,,, graphed against
428 Mohr
T "1
N
t N
l
I
Axial Loading in Turbomachines 429

the blade row inlet relative Mach number. (Notehere that for a stator row,
the inletrelative Mach numberis identical to the absolute Mach number.)
Accounting for theeffects of supersonic relative inletflow, a new expression
for the blade row kinetic energy can be written as

Insometurbine-flowsituations,theworking fluid approachesthe

blade row in a direction that is not perfectly parallel to theblade inlet
camber line. The resulting nonzero angle between the blade inlet camber
line and the fluid velocity vector is known as an incidence angle desig-
nated by i . The sudden turn that must be negotiated to cross the blade lead-
ing
edge at nonzero
a incidence
leads
to an energy loss called
(predictably) an incidence loss. The energy lost is a fraction of the blade
row inlet kinetic energy and is correlated with the incidence angle by a loss
coefficient knownasthe incidence loss coefficient, C,. C, is presented
as a function of i in Fig. 12. Note again that C, represents the fraction
of inlet kinetic energy remaining after traversing theblade row leading edge.
We can now account for the effects of incidence on blade row outlet kinetic
energy by modifying our blade row energy balance equation:

The above discussion is but one simple example of how various loss
mechanisms aredealt with in onetype of turbomachine,the axial-flow
turbine. At this point, we could question the value of this exercise, because
our interest in this chapter is rotor axial thrust loads. It should be under-
stood that accurate accounting of the losses in the turbine will be critical
to the prediction of rotor thrust. The various losses will conspire to deter-
mine the pressure distribution needed in the turbine stages to satisfy the
velocity vector diagram (and, therefore, the turbine work) requirements.
When working with the design of an axial-flow pump, losses in the
machine can be tracked in a manner somewhat analogous to the turbine
example. Accurate characterization of these losses is important to thrust
load predictions because losses influence the choice of stage velocity dia-
grams in order to obtain the required stage pressure rise.
Centrifugal- or radial-flow machines present a more difficult problem
where the prediction of losses is concerned. Cascade experiments, which
providemuchapplicabledat to axial-flow designs, arenotablyabsent
for centrifugal-flow machinery. Although many companies engaged in cen-
trifugal machine development have cataloged their own loss correlations,
these are usually linked to a particular design philosophy. As such, their
utility should be viewed skeptically.
430 Mohr
0
CV
tl
l
ading Axial in Turbomachines 431

6. AXIAL LOAD REACTION SYSTEMS IN TURBOMACHINERY

In the previous sections,we have carried ona preliminary discussion of the

various axial loads applied to a turbomachine rotor, and the mechanisms
responsible for these loads. We must complete this topic with a short dis-
cussion of the mechanism(s) necessary to react these loads.
Figure 13 is a conceptualschematic of therotor of a simple
turbomachine employing both a turbine element and a pumping element.
Theturbineelement of themachinegenerates an axialthrust force
component which we will label F,. Likewise, the pump element generates

Figure 13 (a) Simpleturbomachinerotorwithpumpandturbineelements. (b)

Simplc turbomachine rotor with thrust bearing added to generate rcaction forcc.
432 Mohr

an axial thrust component which we will call 4,.The resultant rotor thrust
+
load is therefore F, FP. If the machine rotor is to be maintained in static
equilibrium, the classic formulation of statics tells us that

Because our turbine and pump component thrustforces do not, in general,

meetthisrequirement,it is necessary to imposeanotheraxialforceon
the turbomachine rotor. We will consider this new force to be a reaction
force and will label itF , . . F,. will be constructed in such away that it satisfies
the above condition for static equilibrium of the rotor; that is,
Fr = -(F, + 4,) (17)
In this section, we will discuss two major hardware implementations
forprovidingthis reactive thrust force-rolling-element bearingsand
devices known as balance pistons.

6.1. Rolling-Element
Bearings

Rolling-element bearings (this includes ball bearings, roller bearings, and

theirnumerousderivatives)have been thesubject of intensiveresearch
and development by government and industry alike for nearly 100 years.
Their current state of refinement is a direct result of massive coordinated
efforts in numerous fields. Theseincludekinematics,materials science,
tribology, manufacturing, and quality control, to name just a few. A com-
plete
description of the principles
involved
in
the
application of
rolling-element bearings to machine designs is worthy of several volumes.
We will make no attempt to duplicate the excellent references available
on this subject. However, the configuration of bearings for reacting thrust,
and some of the principles involved in their usage represent unique points
and deserve ourattention.Thereareanumber of basicconfigurations
of bearings that are suitable foruse in reacting axial thrust.We shall exam-
ine several of them in turn.
Figure 14 shows a conceptual cross section of a general-purpose type
of ball bearing known as a deep-groove Conrad ball bearing. As can
be seen from the schematic, the bearing is composed of two concentric
annular rings known as races. The races are segments of right circular
cylinders, and each contains a groove in one of its faces. The outside face
of the inner race contains such a groove, as does the inner face of the outer
race.Thesegroovesprovide fixed tracksforpiloting of the rolling
elements. Ball bearing refers, of course, to the use of rolling elements
which are spherical. The term Conrad refers to theprocess by which
thebearing is assembled. In aConradbearing,thenumber of rolling
Axial Loading in Turbomachines 433

Inner Race

Outer Race

Fradial = applied radial load

F,hrust = applied thrust load

FreSultant
= resultant force vector

8 = contact angle

Figure 14 Cross-section of deep groove Conrad ball bearing.

elements (balls in this case) that is used is less than the number which can
actually fit circumferentially in the space between the races. This enables
the bearing to be assembled by locating the races nonconcentrically and
placing the rolling elements in the gap between the races. The inner race
is then snapped into its final position, concentric with the outer race.
In order to ensure that the rolling elements remain equidistant, a component
known as a cage is necessary, as shown in Fig. 14. Cages can be con-
structed of a single piece of plastic or metal (steel or bronze is typical)
or assembled in placeinthebearingusingariveted construction.The
grooves in the inner and outer races can be seen to be circular in cross
section. The radiusof curvature of these grooves is very slightly larger than
that of the rolling balls (typically the groove radius is set to approximately
101% of the ball radius). This facilitatesassembly and also allows the bear-
434 Mohr

ing to react an applied axial thrust load. Application of a thrust load to the
shaft supported by the bearing causes the bearing inner race to translate
slightly relative to the rolling elements, as shown in Fig. 14. The magnitude
of the bearings internal clearances and the relationship of the race and ball
radii of curvature cause the applied force to be reacted within the bearing
at an angle 0 , as shown in the figure. The angle, known as the contact
angle, is shownexaggerated in the figure forclarity.Inactuality,
deep-groove Conrad bearings operate at quite a small contact angle due
to low internal clearances. We can easily see that a contact angle close
to zero will result in a relatively large resultant force within the bearing.
Significantly higher axial thrust loads could be reacted if the bearing design
were such that the contact angle were greater.
In the above description of the Conrad-type bearing, we noted that
the number of rolling elements was lower than the maximum attainable.
This, as mentioned earlier, is due to the assembly process of the Conrad
bearing.Inanothertype of ballbearing,the filling-slot ballbearing,
a small slot is placed in the inner and outer races. This filling slot allows
balls to be inserted directly between the races, with the races in the con-
centricposition.Thisallowsthemaximumquantity of balls to be
assembled. For this reason, the filing-slot bearing has a noticeably greater
radialloadcapacitythantheConradbearing.However,the presence
of the slots results in axial load relief at those locations in both races. This
renders the filing-slot bearing unsuitable for any application where axial
thrust is involved. The filling-slot bearing is described here chiefly to pro-
vide a point of comparison with the Conrad type. The filling-slot bearing
will not be mentioned further.
In the discussion of the Conrad bearing,we made the observation that
higher axialthrust loads couldbe reacted if the contact angle,0 were greater.
This can be accomplished through modification of the design of the cross
section of both races.Such a modification is shown in Fig. 15. We can
see that both races have been modified to include a shoulder. Through
care in the design of this feature, any contact angledesired can be obtained.
Bearings with this race geometry are generally known as angular-contact
ball bearings. Angular-contact bearings are used extensively in applications
where high speeds and/or heavy thrust loads are involved. As the contact
angle increases, so does the bearings ability to react axial thrust. A contact
angle of approximately 40 represents a practical maximum. This allows
the bearing to react to very heavy thrust loads.
In some applications, it is desirable to have one bearing package that
provides for thrust loads in both directions. In such cases, angular-contact
bearingsmaybeemployedinpairs.Theyaregenerallyconfigured in a
back-to-back arrangement such as that shown in Fig. 16.
Axial Loading in Turbomachines 435

Rolling
(Balls) Race

Race

Figure 15 Cross-section of angular contact ball bearing.

Figure 16 Angular contact ball bearings mounted back-to-back for bi-directional

thrust load reaction.
436 Mohr

In a previous section, we briefly mentioned as issue that can arise

regarding the rotor operating speed and itsproximitytocriticalspeeds
of the system. As requirements for turbomachinery performance increase
andallowable size decrease,a design in which therotor speed is
subcritical (i.e., below the rotors first critical speed) may notbe possible.
In cases such as these, a number of additional considerations arise. Among
them is placement of machineoperating speedswith respect tocritical
speeds. T o a large extent, the critical speeds of a rotor are determined
by that rotors basic geometry. Parameters such as masses of the rotating
elements, distances spanned between bearings, and so forth are all import-
ant factors here. However,we can exercise somecontrol of exact placement
of criticalspeeds by variations of theradial stiffness of thebearing
packages(s).Angular-contactbearingsallow us to do this.Duetothe
geometry of the bearing (refer to Fig. 15), its radial stiffness will be a func-
tion of the axial thrust load that is imposed. If we wish to maintain agiven
radial stiffness, we must ensure that a certain minimum axial thrust load
is imposed onthebearingandmaintained.This is accomplished by
preloading the angular-contact bearing. The bearing can be preloaded
usingseveraldifferent methods.Figure 17 illustratesonesuchmethod.
Inthisexample,theouterraces of theback-to-backangular-contact
bearings are flush, with no axial gap. The opposing inner race faces have
had a small amount of material removed by aprocessknown as flush
grinding. In this process, an axial gap between the inner races is set as
a function of the required bearing preload. The inner race of each bearing
is ground to ensure that this gapexists. When the outer races are mounted
flush, the bearing retaining nut is advanced so as to bring the inner race
faces into contact. When this occurs, the proper preload is generated within
the bearing package.
Figure 18 shows a somewhat different configuration. In this example,
the bearing innerraces are separated by a spacer, and the outer race of each
bearing is supported by a Belleville spring. Note that thrust loads reacted are
through the outerrace of each bearing onto the annular shoulderwithin the
bearing retainer. In this example, the preload on each bearingis dependent
on the load-versus-displacementcharacteristics of the Belleville springs,
as well as onthe axial dimensionof the spacer that separates the inner races.

6.2. BalancePistons
In some turbomachine applications, thrust loads can be generated that are
beyond the capability of rolling-element bearings to react. This can occur
when either operating speeds and/or pressuresbecome very high,when
bearings are poorly lubricated, or a combination of both. When operating
Axial Loading in Turbomachines 437

Outer races in contact

/

Inner races ground

to specified clearance

Bearing retaining nut

The inner races are now

clamped by retaining nut

Figure 17 (a) Back-to-back angular contact ball bearings with flush-ground inner
races. (b) Angular contact
ball bearings with flush-ground inner racesafter mounting.
438 Mohr

Bearing Retaining
Cartridge

Nut \m
Bearing Retaining

Race
Inner Spacer Belleville Spring
(Typical of 2)
/
achine Shaft

\ l \ /

Figure 18 Back-to-backangular contact ball bearings using Belleville Springsfor

preload.

pressures in a machine are high, pressure-area forces generate high axial

thrustloads.Whenrotating speeds arehigh,thethrustcapability of a
rolling-element bearing declines. When lubrication of a bearing is poor,
its maximum speed capability and load reaction capability diminish very
rapidly.Whenrolling-elementbearings areincapableofsustainingthe
applied thrust loads, an alternate device is necessary. One such device is
the balance pistons.
Strictly speaking, a balance piston is simply an exposed area within a
turbomachine over which a fluid pressure acts to produce an axial thrust
component in a desired direction. In the ideal case, the balance piston is
designed to produce an axial thrust component such that the resultant rotor
thrust is zero. In such a case, the balance piston effectively functions as a
thrust bearing, although balance pistons in high-pressure machinery have
enormousthrustloadcapabilitycomparedtoconventionalbearings. In
some instances, it may not be possible to design a balance piston such that
the resultant rotor thrust is reduced to zero. However, the balance piston
can still be used to bring the resultant thrust load within the capability
of a conventional thrust bearing.
I n some turbomachinery, rotor thrust loads are not time invariant.
The most obvious exampleof this is a machine which must supply a working
Axial Loading in Turbomachines 439

L
Low Pressure

Balance Piston
Fluid Sump

Figure 19 Simplified cross-section of balancc piston.

fluid overasubstantialpressurerangeondemand.The next stage of

refinement of the basic balance piston is one which is capable of adjusting
itself to the varying operating conditions of the machine. Such a device
is knownasaself-compensatingbalancepiston. A simplified version
is shown schematically in Fig. 19. Note the areas labeled high pressure
orifice and low pressure orifice. These orifices are annular gaps whose
hydraulicresistance is controlled by theaxialclearancesbetweenthe
rotating and stationary surfaces. In this example, the high-pressure orifice
is fed directly from the pump impeller discharge, and the low-pressure orifice
leads to a sump area wherefluid is deposited. It should alsobe noted that
the rotor (and, therefore, the pump stage impeller) are unsupportedaxially
and, therefore,capableofaxialmotion.Thisidea is centraltothe
functioning of the self-compensating thrust balance piston.
The functioning of the piston is as follows: Suppose the rotor begins
operating with both high-pressure and low-pressure orifices having identical
axial gaps. The magnitude of these gaps, the impeller discharge pressure,
and sump pressure will act to determine the magnitude of the balance
piston pressure-area force. Now, suppose an external force is applied to
440 Mohr

the rotor which acts in the +X direction in Fig. 19. In this event, the rotor
(and impeller) translates in the +X direction. This motion acts to increase
the axial gap at the high-pressure orifice and to decrease the gap at the
low-pressure orifice. This results in an increase in the magnitude of the bal-
ance piston force, which acts in the - X direction. This tends to counter
the externally applied force and restore static equilibrium. If the externally
applied force werein the -Xdirection, the rotor motionwould act toreduce
the axial gap at the high-pressure orifice and to increase the gap at the
low-pressure orifice. This would result in a decreased balance piston force
or a net shift of the balance piston force in the +X direction. Again, this
tends to counter the externallyapplied force and restore static equilibrium.
We have seen that balance pistons are capable of reacting extremely
high thrustloadsunderconditionsthat wouldcauserolling-element
bearings to fail. In addition, the piston can be made capable of reacting
to changes in the machine operating conditions over a fairly wide range.
Despite these virtues, balance pistons have a number of fairly serious dis-
advantages, which bear discussion. Because balance pistonsoperate by gen-
eratinga pressure-areaforce,system operating pressuresmust be high
enough to provide the needed authority. The areas over which these press-
ures actmustalso be highenough to generateforces of the needed
magnitude. For example, if we wished to use the front shroud surface of
the pump stage impeller in Fig. 19 as a balance piston surface, the need
for sufficient shroud area couldplace constraints on theimpeller hydrodyn-
amic design. An impeller of a large radius ratio (inlet radius to outlet radius)
would have a narrow shroud that may not providesufficient balance piston
capacity. In this event, increase
an in the impeller diameter may be necessary
to increase the shroud area. This would decrease the pump-stage specific
speed, adversely effect pump efficiency, and increase the pump bulk and
weight.
To design the balance pistonsuccessfully, the capacity required of the
piston must be accurately known. This requires a detailed knowledge of
all of the axial thrust components present in the machine. Some of these
are easily calculable; others are not. In addition, physical sizing of the piston
itself depends on an accurate knowledge of the vortex strength along the
surface in questionto determine the radial pressure gradient associated with
it. Although we can make whatseems perfectly reasonable estimates of this
vortex strength basedon past experience, these have oftenbeen wrong. Ana-
lytical estimates need not be wrong by more than a few percent before the
absolute magnitudeof the error is intolerable. This is particularly true with
machinery where the operating pressures are very high.
If we refer again to Fig. 19, note again the high- and low-pressure
orifice gaps. If the impeller shown in the figure has a diameter of approxi-
ding Axial 441

mately 12 in., the sumof the axial gaps of the high- and low-pressure orifices
might be ontheorder of 0.030-0.050 in. For machinesofsmaller
dimensions,thebalancepiston orifice gapsmightscaleroughlypro-
portionally. These dimensions, plus some study of the figure, should lead
us to the conclusion that rather precise fabrication is necessary if the balance
piston is to function correctly. The necessity for both the machining and
inspection of the finished hardware to the tolerances involved can act to
significantly increase hardware costs and lead times.
In some cases, the use of a balance piston can significantly degrade the
apparent hydraulic performanceof apump. It shouldbe understood that the
balance piston fluid can be regarded as simply waste or leakage fluid
over which we have little control. In some applications, the waste fluid
isused in other portions of the turbomachine, such as a lubricant or a
coolant. In these instances, the needs of the components downstream of
thebalancepistonmaydeterminethe flow raterequired of thepiston.
In other cases, the balance piston fluid is simply exhausted after existing
the low-pressure orifice. Under these circumstances, we may seek to mini-
mize the balance piston flow rate, consistent with the minimum clearances
thatare reliable obtainable.In still othercases,specialcircumstances
may haveto be considered. If a turbopump is movingan aggressive oxidizer,
such as liquid oxygen, even a slight rubbing contact between impeller and
housing may result in ignition of the metal parts and catastrophic failure.
In these instances, internal clearances are made more generous than usual
to guard against any rubbing contact. This may change the configuration
of a balance piston. In particular, in Fig. 19, we can see that there exists
a slight radial overlap between the impeller high-pressure orifice and the
pump housing. When the axial gap at this point reaches zero, rubbing con-
tact will occur (we should also note that at this point, balance piston flow
will ideally go to zero and balance piston force willbe at a minimum).
If this were a liquid-oxygen application, the impeller high-pressure orifice
might be modified so as to provide for a small radial gap between impeller
and housingwhenthehigh-pressure orifice axialgap is equaltozero.
Theradialgap we providewouldhave to be sufficient toaccountfor
any rotordynamic excursions (if any) that we would foresee. This radial
gap increases flow area at the high-pressure orifice, effectively increasing
the balance piston flow rate for any given balance piston capacity. Because
this constitutes increased internal leakage, the apparent efficiency of the
pump is degraded. The range of effective operation of the balance piston
itself is also degraded. In a subsequent section, we will study just such a
machine.
We have mentioned previously that axial motion of the turbomachine
rotor is necessary for proper balance piston operation. Providing for this
442 Mohr

axial motion turns out tobe quite difficult and is responsible for yet another
set ofproblemsassociatedwiththe use ofabalancepiston. I n some
machinery. the axial motion of the rotor is accommodated by permitting
the outer races of the rolling-element bearingsto slide within their retaining
cartridges while theretainersremainstationary. At thesametime,the
internal clearances between the bearing outside diameter and the cartridge
inside diameter must remain very small in order for the bearings to react
to the radial load. Theseconflicting requirements make it necessaryto con-
trol the dimensions of the hardware in this area to estrc.me precision. A
clearance sufficient to allow thebearingouterrace to rotate is inviting
disaster. However, a clearance small enough to cause a sticking. condition
of the bearing in the cartridge is also undesirable. The subtleties of this situ-
ation are delicate indeed, and are worthy of books on their own. We will
simply say that the use of balance pistons has caused rotordynamics prob-
lems
with
number
a of turbomachines dueto
the
interaction of
rolling-element bearings with the clearances providedfor their axial motion.
The reader may be gaining the impression that balance pistons, par-
ticularly self-compensating ones, are simply not easy devices to implement
successfully. Many considerations are involved, and each design case must
be considered individually. On the other hand, these devices make possible
the routine operationof turbomachines that would otherwise be impossible.

7. CASE STUDIES

The following sections contain example design problems that have been
extracted quiteclosely from real-world situations. These case studies have
been reproduced here for several reasons. First, it is hoped that they will
serve to indicate the substantial diversity of design problems that engineer-
ingpersonnelface.Additionally,theseexamplesattempt to showhow
the design criteria for a component must oftenbe modified and/or compro-
mised in order to address system-level constraints. Finally, certain of
these examples reproduce shortcomings i n the original analytical work that
led to the design i n question. In each case, the analytical error was under-
standable but contributed either toreduced machine performance or tosig-
nificantproblems duringdevelopmentuntiltheerrorwasdiscovered. It
is hoped that these case studieswill reduce the probability of similar errors
in the future.
Although the subject of each of the following case studies is matters
relating to rotor axial thrust, it should be understoodthata significant
amount of other information is required to adequately define the environ-
ment and context of a particular design. We will attempt to provide this
ding Axial 443

required information. Additionally, we will attempt to do so in a manner

that is consistent with the flow of information that design engineers can
expect in industry.
As we proceed through each of the examples which follow, the reader
will notethatfor eachsignificant parameter in amachinedesign,the
justification most often falls into one of two categories: easily quantifiable,
and quantifiable todegrees ranging from weakly to not at all. For example,
certain parameters in a turbomachine design are driven by basic physical
principles that are not open to compromise (the required throat area in
a turbine nozzle row, for example). In other cases, the purely analytical
optimum for a given quantity willbe altered somewhat. This can occur
for a number of reasons. These can include, but are not limited to, manu-
facturing considerations, durability considerations, and/or other analyses
that are performed to ensure compatibility between all of the components
that make up the system.
Finally, there exists a subset of design decisions which are (more or
less) arbitrary.Someaspects of amachinedesignpossess no clear-cut
optimum. In these instances,influences other thanphysical principles will
guide thedesign selection. Theseinfluences can include such thingsas system
packaging requirements, available time and resources, a design engineers
personal preferences, and the collective experience of a particular engineer-
ing department.
In the presentationof these case studies,we will attempt tospecify the
origin of each design constraint to the maximum extent possible.

7.1. Case Study 1: Axial-Flow Liquid-Hydrogen Turbopump

7.1.1. Background
A space propulsion system using liquid hydrogen (LH?) and liquid oxygen
(LOX) as propellants is being designed. The system is to produce a thrust
in vacuum of 230,000 Ibf. The fuel pump for this application is required
to displace a steady-state flow rate of 83.5 lb m / s of liquid hydrogen. This
flow rate was derived fromengine-specific impulse performance and mixture
ratioconsiderations.The desiredmaincombustion chamberpressure is
approximately 750 psia. To move the needed hydrogen flow against this
chamberpressure,a fuel pumpdischarge pressure of 1240 psia willbe
required. To accomplish this, a pump configuration with seven axial flow
stages has been selected, with each stage contributing equally to theoverall
pump work. Thedecision to employ seven stages is the result of both analy-
sis and testing of a variety of candidate pump configurations. A centrifugal
pump configurationwas examined during the design period but was rejected
444 Mohr

for a number of reasons, among them a lower predicted pump efficiency.

Because this system is to burn large quantities of propellant and because
the energy (head rise) required to pump the low-density (4.4 Ib m/ft3) fuel
is quite high, the anticipated efficiency of the multistage axial-flow pump
led to its selection.
Due to the large amounts of propellant to be carried in this application
and thedesire to minimize the empty weight of the spacevehicle, very light-
weight fuel tanks have been constructed. For this reason, thepressure at the
inlet of our fuel pump is only 30 psia. Accordingly, an inducer with a head
rise capability of 10,000 ft has been placed immediately upstream of our
seven axial-flow pump stages.
Theshaftangular velocity specified forthispump is 27,100 rpm.
Although a higher shaftspeed would have been desirable for pump perform-
ance and weight reduction, several conditions have converged to limit the
pump speed to 27,100 rpm. These are predicted cavitation performance
of the pump inducer (this is for the most part a durability issue), a predicted
adverse rotor dynamic condition just above the operating speed, and the
anticipated lifetime of several seals within thepump. Toassure low internal
leakage, two sets of sprig-loaded face-rubbing seals with sintered carbon
sealing elements have been employed. At high rubbing speeds, these seals
have a finite wear rate. In order to guarantee adequate life of the sealing
elements, a rotor speed of 27,100 rpm has been chosen to limit the rubbing
speed of the seal rings to the maximum value recommended by our seal
specialists. Although a smaller diameter of the seal rings would allow a
higher rotor angular velocity (and perhaps somewhat lower leakage), the
required geometry of the rotor with its blading rendered this alternative
impractical.
During the component development phase of this axial-flow pump, the
pump rotor has been driven by an electric motor. However, for its appli-
cation in a flight vehicle, a gas turbine drive is desired. The working fluid
for the turbine will be in the form of products of combustion of hydrogen
and oxygen.These willbe provided by a separate hot-gas generator, or
burner. Based on priorexperience with hydrogeni oxygen combustion prod-
ucts in turbine drive applications, the turbineinlet total temperatureis set at
1200F. The inlet total pressure will be approximately 650 psia. The turbine
pressure ratio is specified to be approximately 6.5, due to a requirement for
the turbine outlet static pressure to be at or above 100 psia. The power
needed by the fuel pump is specified as 7980 hp (horsepower). Additionally,
it is desired that the turbine and pump be on a common drive shaft. This
eliminatesthesubstantial weight penalty(andother difficulties) of a
reduction gear drive linking turbine and pump. Therefore, the rotational
speed of the turbine is specified to be 27,100 rpm. To limit the turbines
ding Axial 44s

propellant consumption to the minimum amount practical, we are requested

to design the turbine to an efficiency of no less than 60%(this canbe taken as
a total-to-static value). Higherefficiency would be considered desirable,if it
can be attained within allotted weight limits and packaging constraints.
There is one additional design constraint that we are required to meet.
The fuel pump that our turbine is driving has been designed with its own
internal mechanism for reacting the rotor axial thrust. This mechanism uses
a portion of the pumped fluid to power a hydrostatic thrust bearing. This
bearing fluidis then recirculated to theinlet of the pump.Because this device
divertsaportion of the pumps output, itdirectlypenalizesthe pump
efficiency. It is desired that the turbine should disrupt the pumpsaxial
thrust balance to the minimum extent possible. Therefore, it has been for-
mally specified that the turbine shouldbe designed such that its axial thrust
is a minimum.
To recap, we will construct a list of the significant design parameters
for our fuel pump drive turbine.
0 Delivered
power: 7980 hp (4,389,000 ft-lbls)
0 Shaft
speed: 27,100 rpm
0 Propellants: LH2lLOX combustion products
0 Gas properties: Total
temperature 1660Rdeg
Average molecular weight 3.93 lblmol
Constant press specific heat
1.868 BTUllb deg R
0 Specific HeatRatio 1.372
0 Inlettotal pressure: 650 psia
0 Outletstaticpressure: 100 psia
0 Minimum efficiency: 60% total-to-static
With the above information as a guide, we may proceed to perform the
preliminary sizing and staging design. Previous experience with operating
conditions similar to these tells us that an impulse turbine represents the
most practical staging scheme. How can we show this to be true? Refer
to Fig. 20. This graph describesthetypically attainable efficiency of an
axial-flow turbine stage as a function of the stage velocity ratio ( UlC).
Although a detailed proof is beyond the scope of this chapter, the reader
should understand that the stage velocity ratio is, in most cases, the single
quantity that predetermines the efficiency range within whicha turbine stage
will operate. It is easily seen from Fig. 20 that the efficiency of a typical
turbine stage is indeed a strong function of the velocity ratio over quite
a wide range. We can easily compute the isentropic velocity obtained in
our turbine by expansionacrosstheabove-notedpressureratio.Doing
so, we arrive at velocities in the range of 7000-8000 ftls. If we are con-
446 Mohr
0
a
0
Q) x 0
N
Loading Axial 4 47

strained to a shaft rotationalspeed of 27,100 rpm, arriving at ablade speed

(tangential velocity in ftisec) necessary to make a reaction stage attractive
would result in a turbine with a diameter in excess of 3 ft. This configuration
would be excessively heavy and generally unattractive. In the range of vel-
ocity ratios that are practical in a rocket propulsion system of this type,
the impulse stagepossesses a definite performance advantage, as canbe seen
in Fig. 20.
During this preliminary phase of a design cycle, it is somewhat CUS-
tornaryto design for a small margin ofefficiency to ensurethatthe
machine that emerges will meet the required performance threshold. In this
case, where we are attempting to reach a 60% minimum, we might carry
out our sizing exercises to a target efficiency of 65%) to provide this margin.
From Fig. 20, it is apparent that to achive our target efficiency with a
single-stage single-rotor inlpulse turbine, a velocity ratio of approximately
0.27 will be required. With a shaft angularvelocity of 27,100 rpm, a turbine
pitch diameter (diameter across the mid-spanof opposite blades) of almost
17 in. results. When we submit this estimate to the Project Engineer respon-
sible for this propulsion system, he informs us that the 17-in. pitch diameter
turbine is considered too largefor ourpurposes.Theturbine inlet
manifolding, which must be designed to contain the turbine drive gas at
the inlet total conditions, contributes to anoverweight condition of the fuel
turbopump. In addition.therearepackagingconstraints placedonthe
rocket engine by the space vehicle into which it must fit. These constraints
mandate a turbine blade pitch diameter of no more than 12-13 in. If we
split the ditrerence here and specify (somewhat arbitrarily) a pitch diam-
eter of 12.5 in., a turbine pitch-line blade speed of 1478 ftis results from
the given 27.100 rpm angular velocity. Further, we can show that at a blade
speed of 1478 ftis. we obtain a stage velocity ratio of approximately 0.20.
As we can see from Fig. 20, the anticipated turbine efficiency falls short
of our requirement.
At this point, we have several alternatives to remedy the situation. Our
turbine could be designed with two or more stages, with each stage con-
tributing a portion of the overall turbine work. With a reduced value of
the gas spouting velocity for each stage ( a lower c,,value in the velocity
ratioexpression), a higher velocity ratio is reached in eachstage.For
example, a two-stageimpulseturbine with eachstagecontributing 50%
of the total work leads (in this case) to a velocity ratio of approximately
0.28 in each stage. From Fig. 20, an efficiency of approximately 67-68%,
could be expectedfromthisconfiguration. A three-stageconfiguration
would provide a stage velocity ratio of 0.34-0.35, with another significant
increase in the attainable efficiency. However, a shortcoming exists when
attempting to implement a two-stage arrangement across a relatively high
448 Mohr

pressure ratio such as exists in this application. Because of the large dif-
ference in static pressure between the first and second rotor rows, there
is a corresponding difference in the working fluid density between the rows.
This results in a first rotor row, which, in this case,has blades whose height
is small. In this case, small means that it becomes difficult to hold tur-
bine blade-to-housing tip clearances that are not a noticeable fraction of
the overall turbine blade passage height. When this occurs, leakage around
the blade tips results in a relatively large decrement of efficiency. It would
be desirable to have rotor blades which have a larger height. This could
be achieved by decreasing the turbine pitch diameter. This would require
that the blade annulus height increase to maintain the required flow area.
However, this would decrease the turbine blade speed (and the velocity
ratio) and decreasethe attainable efficiency. A three-stagearrangement
would tend to worsen this situation, as well as carrying a significant weight
penalty.
We have another option open to us which mayprove to be more
attractive. A second statorirotorcombination placed as shown in Fig.
21 resultsvelocity-compounded
in
a arrangement, also called a
Curtis-staged turbine in honor of its inventor.
In
the
velocity-
compounded turbine, the drive gas is expanded to essentially outlet static
pressure in the turbine nozzle. The first rotor is designed so as to contribute
a high fraction of the total turbine work. The second stator is not a nozzle
per se, butmerely a set of turning vanes thatredirect the swirl component
of the gas velocity to a direction suitable forwork extraction by the second
rotor. The second rotor is designed to recover the remaining fraction of
the total turbine work.
How can we determine the best work split for the two rotors? A
workable procedure is as follows: Construct an arbitrary vector diagram
for the first nozzle and rotor, and compute theefficiency. Increase the first
nozzle dischargeangle(dischargingmoretowardthetangential), which
increasestheloading onthe first rotor.Again,computethe efficiency.
Repeat this procedure until the first rotor efficiency begins to decline. This
occurs when the next increment of work due to increased turning in the
blade passage is overcome by the additionallosses due to the increased blade
loading. With the first nozzle and rotor flow angles held constant, place a
second stator and rotor downstream on thevector diagram. Utilizing only
the swirl from thefirst rotor, arrange thesecond stator and rotorflow angles
until the swirl component from the second rotoris nearly zero. NOW,if the
work of bothrotors is computedandsummed,the worksplitcan be
determined. For our current example, a work split of W % ) / (firstisecond
rotor) is obtained by using theaboveprocedure. If onecomputesthe
efficiency thus obtained, it can be seen that even using the highly loaded
Axial Loading in Turbomachines 449

Turbine Geometric Data

Blade Mranlinr Dia~netcr 6.250 inches (constant throughout turbine)

First Nozzle Vane Radial

Height 0.420 ~nches

First Rotor Blade Helght 0.530 ~nches

Second Stator Vane He~ght 0.640 inches/0.770 inches (inletloutlet)

Second Rotor Blade lle~ght 0.880 inches

Radial
locatton of D y n a m c Seal 5.233 inches

Drwe Shaft Diameter

Figure 21 Case Study #l(a). Axial flow liquid hydrogen turbopump drive turbine
turbine cross section.

first rotor,thetotal-to-static efficiency can increase 10 points using the

velocity-compounded arrangement. If ahigher efficiency isdesired,an
iterative process of unloading the first rotor (by decreasing the turning
in the first rotor blade passages) and increasing the loading on the second
rotor will gradually bias the work split toward the second rotor. Efficiency
will increase in the process because unloading the first rotor results in a
relatively large decrease in the losses incurred. This energy is then available
to be recovered as work in the second rotor.
Although the exact work split for maximum efficiency will depend
somewhat on the prevailing conditions, a split of approximately 75%,/25%)
(first/second rotor)will provide close to optimum performance. In event the
450 Mohr

that the turbine velocity ratio (and therefore blade speed) is too low to
recover the full kinetic energy that is available, it is certainly possible to
add a third rotorrow to capturethis energy,if desired. Below velocity ratios
of approximately 0.20, two rotor rows may not be able to recover a l l avail-
able energy efficiently. When velocity ratios dip below approximately 0.13,
the addition o f a third rotor row will begin to show a noticeable performance
increase if the loading on each row is carefully arranged.
By using the above iterative process, we can arrive at a workable
design vector diagram for our LH2 turbopump drive turbine. We select
a two-row velocity-compounded impulse turbine, which will have a design
velocity ratio ( U / C " ) of 0.20. As seen previously,this velocity ratio is
theresult of both weight andpackagingconstraints.Figure 22 shows
the design vector diagram. In studying the vector diagram. we should take
note of two points.
First, itshould be understoodthatthisdiagram representsblade
mid-span conditions only. Conditions at the hub and tip differ from those
at the mid-span due to the radial equilibrium considerations discussed in
a previous section. These locations (especially the hub) should be checked
for adverse conditions, particularly diffusing flow across a vane or blade.
Diffusing flow (i.e., flow against an adversepressuregradient) in a
high-turning-angle device such asaturbinecanresult in theseparation
of the boundary layer from the blade surface. The region near the blade
hub is particularly sensitive to thiscondition(why'?).Thiscanmake it
impossible for the blade row to pass the intended flow rate. Any unsatis-
factory conditions discovered here may cause us to modify our mid-span
vector diagram.
Second, inspection of the vector diagram shows small static pressure
changes across the second stator and second rotor. These are necessary
to preservetheimpulsecondition(equality of inlet and exit relative
velocities) and avoid diffusingflow in the presence of expansion and kinetic
energy losses. It should be understood that a srnall pressure budget (above
the required exit static pressure) should be maintained at the first nozzle
outlet for this purpose. One notable exception to this is the first rotor row.
For blade rows whose inlet relative Mach number is above unity, diffusing
flow (or "negative reaction") is generally tolerated. Attempts to maintain
an impulse condition ( W , = W2 i n Fig. 33) across supersonic rotor rows
have met with a general lack of success. Therefore, the current convention
(to this author's experience) is to design the vector diagram for uniform
static pressure across the rotor row at the mid-span and accept the adverse
pressure gradient which will follow at the hub. In most instances, the avail-
able kinetic energyat this location will be sufficient to avoid embarrassment.
However, the hub cross section should still be analyzed for behavior of the
Axial Loading in Turbomachines 451

Axial Statlon 1
Nozzle Outlet

Axial Station 2
Firs( Rotor Outlet

Axial Statlon 3
Stator Outlet

Awal Station 4
Second Rotor Outlet
5"
WI

W4

U
C4

Turbine Annulusflow conditions

(Mid-line blade speed=1478 ft/sec. turbine inlet pressure=580 psia)

Axial Station

1 2 3 4

Static Pressure, psia 123.0 123.0 108 100

Static Temperature. deg R 1148 1275 I270 1257

Static Enthalpy, ft-lbf/lbm 2036274 1852480 1845671 1826855

Absolute Velocity, ft/sec 7045 3068 3138 972

Flow Angle (deg to axial) 77 -63 71 -28

Mach Number I .580.669 0.652 0.108

Stagnation I'rcssure, psia 145

50 1 163 103

Stagnation Temperature. deg R 1660

( b)
Figure 22 Case Study #I(b). Axial flow liquid hydrogen turbopump turbinevelocity
vector diagram.

boundary layer, and if separation is predicted, the blade loading should be

reduced.Forthesubsonicstatorandrotor rows,exactvalues of the
upstream and downstream static pressures are determinedby trial and error.
This process may be disguised by implementation on a digital computer.
452 Mohr

Having established theblade mid-span vector diagram for the turbine

nominal operating point, we may now construct a table consisting of
the corresponding conditions at the hub and tip of the annular passage.
This will serve as a final check on our mid-span vector diagram.These data
are presented in Fig. 23. The numerical values for various parameters at
the meanline radius have simplybeen transplanted from the vector diagram
shown in Fig. 22. The data in Fig. 23 for the hub and tipradii were derived
based on the following simplifying assumptions:
0 The turbinedrive fluid behaves as an idealgas.
0 The angular momentum of the flowfield is constant across the
span of ablade or vane at aparticularaxialstation (i.e.,
r V0 = const).
0 Thegasstagnationpressureandtemperaturearebothconstant
across the span of a blade or vane at a particular axial station.
The last assumptioncarries with it theimplicitnotion thatthe
extraction of work from the turbine drive fluid is uniform across the span
of a rotor blade, for the total temperature
would vary radially with the work
extraction (or more precisely, the change in total temperature from blade
inlet to outlet would vary radially with the work extraction). In the case
of radially uniform work extraction, the flow field at the outlet of all blade

Turbine Hub, Mean, andTip Conditions

Nozzle Outlet First Rotor Inlet

MeanHub Tip MeanHub Tip
6.04 6.25 6.46 5.985 6.25 6.515
NIA NIA NIA NI.4 NIA NIA

7103 6642 6865 7169 6865 6585

501.18 501.18 501.18 501.18 501.18 501.18

109.8 l23 136.4 106 l23 1399

1619 1679 1679 1679 1679 1679

Ill3 1148 1181 1103 1148 I l89

1585 1585 1585 l585 1585 I585

3515 3575 3515 3575 -3515 3575

7277 1045 6828 7342 7045 6774
1.5791.655 1.508 1.617 1.519 1.491
(3)

Figure 23 Case Study #l(a). Axial flow liquid hydrogen turbopump drive turbine.
Axial Loading in Turbomachines 453

Turbine Hub, Mean, and Tip Conditions

Rotor
First Outlet Second Stator Inlet
Mean Huh HubMean Tip Tip

5.985 6.250 6.515 5.930 6.250 6.570

1415 1478 1541 NIA NIA NIA
-2865 -2744 -2632 -2892 -2744 -2610
162.9 162.9 161.9 162.9 162.9 162.9
120.5 123 125.5 119.8 123 125.8
1375 1375 1375 1375 1375 1375
1267 1275 1281 1265 1275 1282
-1372 - 1 372 -1372 -1372 -1372 -1372
- 1429 - 1429 - 1429 -1429 - 1429 - 1429
-3 177 -3068 -2968 -3201 -3068 -2949
0.677 0.652 0.628 0.683 0.652 0.625

(b)
Case Study #I(b). Axial flow liquid hydrogen turbopump drive turbine.

Turbine Hub, Mean, and Tip Conditions

Rotor
Second
SecondOutlet
Stator Inlet

Hub Mean Tip Hub Mean Tip

5.865 6.250 6.635 5.810 6.250 6.690
NIA NIA NIA 1374 1478 1582
3 l62 2967 2795 3192 2967 2772
145 145 145 145 145 145
l04 IO8 Ill 103.4 108 1 11.8

1375 1375 1375 1375 1375 1375

1257 I269 1280 1155 1269 1282
-1022 - 1022 - 1022 -1022 -1022 -1022
1546 1546 1546 1546 1546 1546
3323 3139 2976 3352 3139 7955
0.71 1 0.669 0.63 1 0.718 0.669 0.626
(c)
Case Study #I(c). Axial flow liquid hydrogen turbopump drive turbine.
454 Mohr

Turbine Hub, Mean, and Tip Conditions

Second Rotor Outlet

Hub Mean Tip

5.810 6.250 6.690

1374 1478 1582
488 454 424
103 103 103
99.9 100 100.1
1267 1267 1267
1256.5 1257 1257.2
-860 -860 -860
236.4 236.4 236.4
988.9 972.5 958.8

0.2 12 0.208 0.205

U = Blade Speed, ft/sec

C, = Gas velocity tangential component, Wsec

P,,, = Stagnation Pressure, psia

P,,,,,, = Static Pressure, psia

TI,, = Stagnation Temperature, Deg R

T,,,,,, = Static Temperature, Deg R

C,I = Gas Velocity axial component. Wsec

rC, = Gas specific angular momentum, ft2/sec

C,,,,I = Gas resultant velocity, ft/sec

( 4

Figure 23 Case Study #I(d). Axial flow liquid hydrogen turbopump drive turbine.
ading Axial in Turbomachines 455

rows is a free vortex. in accordance with the radial equilibrium conditions

discussed previously.
There does exist a class of advanced turbines that tailor the work
extraction across the blade spans so as to extract more work in the mid-span
region than at either the hub or the tip.Because losses are higher at the hub
andtip(duetoboundary-layerbuilduponthehubandtipendwalls)
unloading these regions aerodynamically can result (under the right con-
ditions) i n noticeable performance increases. However, this class of aero-
dynamics is outside the scope of our present design problem.
The data that we have derived thus far on the turbine annulus flow
conditions are sufficient to allow us to estimate the axial thrust generated
by our two-row velocity-compounded turbine design. A cross section of
the geometry of our turbine can be seen in Fig. 21. Axial thrust component
forces are generated at a number of locations on both turbine rotors. In
particular, for each rotor, we must characterize thefollowing types of axial
forces:
0 Rotor bladerowupstreamsidepressure-areaforce
0 Rotor disk top sidepressure-areaforce
0 Rotor bladerowdownstreamsidepressure-areaforce
0 Rotor diskbottom sidepressure-areaforce
0 Rotor bladerowmomentumthrustforce
The following sectionswill elaborate on eachof the above force com-
ponents for both turbine rotors.

7.1.2. First rotor blade row upstream side pressure-area force

The areas of both rotor blade rows are exposed to static pressures. Because
as discussed previously, the flow field in the blade row annulus is a vortex,
the static pressures varywith radius, or distance from the turbine rotational
axis. Referto Fig.24. Shown is a detail of thefirst rotor blade row, including
the applicable dimensions. For convenience, the figurealso shows the blade
hub, meanline, and tip static pressures. The precise definition of the blade
rowupstreamsidepressure-areaforcewouldrequireintegrationofthe
pressure over the area involved.
Let us place our turbine rotor in a cylindrical coordinate system. A
differentialunit offorceconsists of thestaticpressureacting overa
differential area. This could be expressed as
dF = P ( r , 0) riA
where d F is the differential pressure force, P is the local static pressure (a
function of radius and angular coordinate), and d A is the differential area.
456 Mohr

Stream'l'uk 1

Strean1Tube2

Stream Tube 3

Blade row upstream static pressures, psia

HubMeanTipStreamtube 1 avgStream tube 2 avgStream tube 3

106 123 139.9 1 17.2 134.3 123

Stream
Tube Blade
Total
Areas Row upstream

Tube 1 : A1=sr(6.1672-5.9902)=6.760 in2 Pressure-Area

Force

Tube 2: A2=x(6.3442-6.1672)=6.957 in2 = X-:zl C A ,

FP,',$,

Tube 3: A3=n(6.5212-6.3442)=7.154 in2 F,,,,,=2609

Ibf

Figure 24 Case Study #l. Axial flow liquid hydrogen t u r b o p u m p F i r s t rotor blade
row upstream pressure-areaforce: Diagram of firstrotor bladeshowing radii ofstream
tubes 1, 2, and 3.

From basic calculus, a differential unit of area in a cylindrical coordinate

system can be expressed as
dA = rdrdO
Therefore, the force due to static pressure on the upstreamside of the first
rotor blade row is
ding Axial in Turbomachines 457

where the value of r varies continuously from the blade hub to the tip, and
the angular coordinate, 0, varies from zero to 2 7 ~
To approximate this integral withsimple algebra, we will assume that
the blade row upstream static pressure varies only in the radial direction.
Further, we will divide our computational domain into three annular areas,
or stream tubes, overwhich average conditionswill be applied. Our three
stream tubes superimposed on the blade row are shown in Fig. 24. Also
shown is the average static pressure acting over each stream tube. Although
not shownin detail, the calculations for these pressures are straightforward.
Also shown in the figure are the corresponding stream tube area and the
force contribution of each stream tube. The total pressure-area force for
the first rotor row upstream side can be seen to total 2609 lbs.

7.1.3. First rotor disk upstream side pressure-area force

The areas of the upstream (or top)side of the rotor disks is also exposed to
turbine working fluid static pressure. Like the blade row annulus, this press-
ure varies with the distance from the turbine rotational axis. The fundamen-
tal difference between the disk face and the blade row annulus lies in the
mechanism that controls the vortex flow field. Whereas the flow between
blade rows is assumed to behave as a free vortex, the flow field near the
turbine disk upstream side is strongly influenced by the rotational motion
of the disk. This flow field is assumed to behave in a manner that is similar
to a forced vortex. As we discussed in the previous section on vortex flow
fields, the fluid velocity near the disk upstream side can be expressed as
v,,= Kro
where V,, is the fluid velocity in the tangential direction (ft/s), K is the
fluid-to-disk velocity ratio, also sometimes known as a pumping factor,
r is the radius, or distance from turbine rotational axis (ft), and CO is the
disk angular velocity (radis).
We can see that, in the presence of a known value of K , the fluid
tangential velocity is easily calculated as a function of the radial position
on the turbine disk. The fluid kinetic energy, or dynamic head, is alsoeasily
calculated as

where V is the magnitude offluidvelocity

gravitational acceleration constant. In
( d m ) and g is the
cases such as these, the flow field
is so dominated by thetangentialdirectioncirculationthattheradial
458 Mohr

component of velocity can generally be ignored. We shall assume this to be

so.
If we assume the outer periphery
of the turbine disk forced-vortexflow
field to be bounded by the blade hub static pressure (as shown in Fig. 24),
then the static component of fluid head can be written as
P
ktatic =-
P
where P is the fluid static pressure and p is the fluid density. The fluid total
head can then be written as
htotal =hatic + kkmetic
Thus, the fluid total conditions are now known at the outboard edge of the
forced-vortex field.
Now, aswe proceed inward toward the turbine rotational axis, work is
done on thefluid by the rotating disk.Between any twodisk radii, the change
in total head can be expressed as

where U is the disk rotationalvelocity (ft/s) ata particular valueof radius, ct,
is the fluid tangential velocity (ft/s) ata particular value of radius, and g is
the gravitational acceleration constant.
By dividing the disk surface into a number of stream (as tubes
we did in
the case of the blade row above), thefluid total head may be computed as a
function of our radial location on the disk. Figure 25 shows a plot of fluid
total head as a function of radius for our turbine first-stage disk upstream
side.
We should note here that the fluid kinetic head is also known as a
function of radius. It then follows that
llstatic = htotal - hklnetic
If the fluid density is known, we can express static pressure as
P = ktaticp
In this manner, the disk upstream side pressure can be computed for
various radii in a step-by-step manner when the blade row hub conditions
are known. It should be emphasized here that the blade hub is assumed
to constitute a boundary condition from which the rest of the flow field
conditions can be determined. Fluid densityis known at this boundary from
the blade hub pressure and temperature conditions. For purposes of a first
approximation, the assumption that fluid density is constant with radius
ding Axial in Turbomachines 459

445000 I

440000

E 435000
0
G=
4 430000
S:
i
$ 425000
5
6 420000

415000

410000 I
4 0 3 1 2 5 6
Radius on disk, in

Figure 25 Casc Study # l . Axial fow liquid hydrogen turbopump-First turbine

rotor disk upstream sidc total cnthalpy vs. radial position.

will providesatisfactoryresults. A more detailed analysiscouldinclude

changes i n fluid density with radius caused by both the change in pressure
and changesin temperature due toenergy input to thefluid from the rotating
disk. This type of analysis, however, requires tools and discussion that are
beyond the scope of this chapter. Our analyses of these flow fields will
assume that fluid density is constant with radius.
From the above procedures,it is possible to superimpose a number of
stream tubes on our turbine disk and calculate average static pressures over
these stream tubes. Summing the pressure-area forces for each stream tube
will lead to the resultantpressure-area force for thefirst rotor disk upstream
face. Referring to Fig. 26, we can see these calculations and compute the
resultant pressure-area force as approximately 10,814 Ibs.

7.1.4. First rotor blade row downstream side pressure-area force

This analysis is performed in exactly the same way as that for the blade
row
upstream side. Data and calculations for this analysis are presentedin Fig.
27. Two points need to be made here.
First, the bladerow downstream side pressure force component, total-
ling 2568 Ibs, is not much different from that on the blade row upstream
side. This is due mainly to our choice of impulse staging for our turbine
460 Mohr

Data and calculations for first turbine disk upstream

radial pressure gradient and pressure-area force.

design. By definition, impulse staging means little static pressure change

across rotor blade rows. This attribute makes impulse staging attractive
if minimizing axial thrust is a consideration.
The second pointwe wish to make concerns the radial pressure gradi-
ent on the blade row downstream side. Inspection of Fig. 27 shows that
the magnitude of the racial pressure gradient is quite small when compared
with that on thebladerowupstreamside.A look in Figs. 23, 24, and
27 and comparison of the flow Mach numbers will reveal the reason for this.

7.1.5. First rotor disk downstream side pressure-area force

Analysis of the pressure-areaforce on the first disk downstream side is
performedinexactlythesamewayasthatontheupstreamside,with
Axial Loading in Turbomachines 461

StxamTuk 1

St~eamTube2

Hub
;I 1
R4.344 in
R4.521 i n
V I
I
V
J
1
1
I

Blade row downstream static pressures, psia

Mean Tip Stream tube 1 avg Stream tube 2 aVg Stream tube 3 avg

120.5 123 125.5 121.3 123 124.7

Stream Tube Areas Total

upstream
RowBlade

Tube 1 : Al=n(6.167-5.9902)=6.760
in2 Pressure-Area Force

Tube 2: A2=n(6.344-6.167)=6.957 in2

Tube 3: A3=n(6.5212-6.3442)=7.154
in

Figure 27 Case Study #l. Axial flow liquid hydrogen turbopump-First rotor blade
row downstream pressure-area force. Diagram of first rotor blade showing radii of
stream tubes 1, 2, and 3.

one exception. As we pointed out previously, a dynamic seal exists on the

bottom side of the first rotor disk. This can be seen in Fig. 21. This seal
has been placed where it is to minimize leakage of drive fluid across the
second stator, as thereis a small static pressure change across this element.
The pressure on the disk area outboard of this seal will be controlled by
the first rotorbladeoutlethubpressure.However,frominspection of
the geometry in this area from the figure, we can deduce that the pressure
on the disk area inboard of this seal will be controlled by the hub pressure
at the inlet of the second rotor blade row. This is true because the second
rotor hub is the only pressure source that has access to the first disk
underside. In fact, if we study the Fig. 21 further, we could reason that
thesecondrotorhubpressure will controlboththesecondrotor disk
462 Mohr

upstream side aswell as the first disk underside from the drive shaft radius
to the radiusof the dynamic "stator seal." For this reason, we will perform
the pressure-areaanalysis for the second rotor disk upstream side first.
We will thenassumethatthe first diskunderside pressuredistribution
inboard of the seal will equal the corresponding pressure distribution on
the second rotor disk. These calculations and results are shownin Fig. 28.

Turbine Geometric Data

1" rotorbladehubradius=5,985inchcs

Dynamic seal radius= 5.233 inches

1'' disk hub radius= 1.59

inches

1" blade outlet hub pressure ( e,,,h120.5 psia) acts from r,,,,,=5.985"
4 to

r,,,,,,-5.233"

(p,,,t,r=104 psia) acts from roUle,=5.233"to

2nd stator outlet pressure

rlnner=l,590".
The I" disk underslde thrust force can be found by surnnung the pressure-area

components Inboard and outboard of thc dynamic seal. The outboard component can be

writtenas: f . 4 ,,,, ,,,,,,n, =(120.j)(n(j.985' -5.233')) = 3193Ibf.

~

The inboard cornponcnt can bc computed lrorn Inspection of Figure 30. and can be tbund

to be approxlrnately 7700 Ibf. It could also be approxmated as:

= (104)(n(5.233' - 1.590')) = 812l//If Note the small crror Introduced by

neglecting the eflccts ofthc vortex flow licld

Figure 28 Case Study #l. Axial flow liquid hydrogen turbopump-First rotor disk
First rotor disk and second stator showing
d o w n s t r e a m side pressure-area force.
dynamic seal.
ding Axial in Turbomachines 463

It should be noted here that the radius at which the dynamic stator
seal is placed can, in itself, become a design issue. If we assume a fixed
clearance between the seal elements (independent of radius), then the seal
annular areabecomes a function of radius. Therefore, seal leakagewill vary
directly with the radius on which the seal is placed. It would obviously be
desirable to minimizethisleakage, as it decreases turbine efficiency. On
the other hand, the reader will notethatasthe seal radius is reduced,
the pressure-areaforce on the first rotor diskunderside will increase,
because a larger area will be pressure controlled by the first rotor blade
outlet hub pressure. An exercise for the interested readeris to vary the radius
of the stator seal and reproduce the data in Fig. 28 to observe the effect of
varying seal placement on the overall turbine axial thrust.

7.1.6. First rotorblade row momentumthrust

In thecase of either accelerating or deceleratingflow through a blade row, a
thrust force willbe createdproportionaltothe axialdirection velocity
change. Whenwe derive aturbine stage vector diagram, we attempt tomini-
mize the axial velocity changes (for reasonsof uniformity of cross-sectional
area). For this reason, the momentum thrust force will usually be small
when compared to the other force components. However, careful practice
dictates that this be checked.Figure 29 shows an approximation of the
momentum thrustforce for our turbine first rotor. A more accurate approxi-
mation could, of course, be obtained by dividing the blade span into any
desired number of stream tubes, evaluating each separately, and summing
the results. Experience and critical thinking will help us determine when
this is necessary.

7.1.7. Secondrotoraxialthrustcomponents
The analyses required to determine the thrust components for the turbine
second rotor are carried out in a manner similar to the first rotor. Figures
29-31 show these data and calculations. The only fundamental difference
here concerns the second rotor bottom side calculations for both the blade
row and rotor disk. Referring to Fig. 21, the reader will notice that the
turbine exhaust duct is of a large diameter and relatively nonrestrictive.
For this reason, the second rotor underside will be unable to sustain a sig-
nificant radial pressure gradient. In this instance, a good approximation
of the pressure-area force on the second rotor underside (including the blade
row) can be obtained by assuming that the blade mid-span pressure over acts
the entire underside area. It should be understood, however, that careful
464 Mohr

Turbine Rotor 1

m = 6.22 Ibmkec

C,,,,I, = -1585 fi/sec

= -1 372
CaAla12 Wsec

Turbine Rotor2

m = 6.22 I b d s e c

= -860 Wsec
Caula,2

Figure 29 Case Study #l. (a) Axial flow liquid hydrogen turbopump fluid
momentum forces for turbine rotors 1 and 2. (b) same as (a).
Axial Loading in Turbomachlnes 465

Data and calculations for second turbine disk upstream

radial pressure gradient and pressure-area force.

(.are P u d b I Tvrhlnr A w l Thrust Cdc.ulalion~
2nd Dirk tnp$#dc prcvurrforce c~INI~IIM
lo Stream lvhcr
WehIhlrknan- 0 4 2 2 8n
P m p q Factor (K)- 01
Gar Tcmpcrmrc- 1270 dc8 R
G.% hlolrcular UT- 191 lblrndc
Cas ~ o n m n f - 391 1298
D#%ht i n ~ l a r c l a n v 2817 l raUm

Tvbc # rad wtcr rad mncr Arc. rad mcm Y mean Cu mrnn (uHCu) dluCuY8 S!.llc pres Gal Dcnn S m c h ~ Dvn
i hcad Total head Tube P * A
Inchcl mrhcx 1n2 Inchcl Wsrc NIIC Wred ilhl0(1l.n PI. n
lbrnlnl n ll Ibf
0 5 81 581 117192 6869599 9418211 I 0 1 4 0019822 4992748 7116%9 5 M 1 1 8
l 581 1388 1484176 1199 1114024 M20118 8161191 2090129 l O l O l S 5 0019822 4q71011 b811111 5015214 1510211
2 5188 4966 1112681 5117 12242JI 6121115 1491709 3948101 1024624 0029822 4941474 5825111 5005127 1406481
1 4Vbb 4 144 1260189 4715 I12441P 1622191611181 I l619411 101 8971 0029822 4920194914143 49b9111 1284 l1
4 4144 4 1 2 2 I1 48896 4131 1024616 5121211 5249499 1110 162 1011801 0029822 4891224 4080161 49160II 11M714
5 4122 1 1 1011002 3911 9248117 4624269 4276712 1020891 1009112 0029822 4812171 1124605 4905821 !M6412
6 11 1218 92s109 1489 8210611 4121101 1401631 2711b2 1004902 0029822 4812248 2611851 4878706 9296142
7 1278 2 8 5 6 8112117 1061 7252688 1626144 2610074 2402348 1001172 0029822 4814218 2044121 4814681 8141691
8 285b 2414 7011211 2615 6214764 1121182 1916101 2W1011 W19221 0029822 4818540 1520601 4811752 6998b54
0 2414 2012 589J289 2221 52Jb819 262842 1181718 l181806 W51132 0029822 4805171 1074091 4815914 586512
10 2012 159 4175315 1801 4258915 2129457 W69111 1414515 W28618 0029822 4744110 101CW1 4801169 4141211

Twrl dnk up,!r?m

foac-
PIEIIYI~ W 1 1 Q 1 I Ibl

Figure 30 Case Study #l. Axial flow liquidhydrogen t u r b o p u m p s e c o n d rotor

disk upstream side pressure-area force. Second rotor disk showing radially varying
static pressure.

evaluation should precede assumptionslike this, as our next case study will
show.
The followingis a recap of the various axial thrust components for
our turbine, as well as the resultant turbine thrust.
First Rotor
Component Thrust (16 f)
Blade row inlet -2,609
Disk upstream side - 10,814
Blade row outlet 2,568
Disk downstream side 10,893
Blade row momentum -41
 466 Mohr

Hub
iMean
Blade row upstream static pressures, psia

Tip Stream tube 1 avg Streamtube 2 avg Stream tube 3 a1

103.4 108 1 1 1.8 104.9 108 110.5

Stream Tube
Blade
Total
Areas Row upstream

Tube 1: Al=n(6.103-5.810)=l0.966in2 Pressure-Area

Force

Tube 2: A2=n(6.397-6. 103)=11 .S46 in F,,,.,$ = c:=,e 4

3:Tube A3=n(6.690-6.397?)=12.04Sin2 F,,,,=3728 Ibf

Figure 31 Case Study #l.Axial flow liquid hydrogen turbopump-secondrotor

blade row upstream pressure-area force. Diagram of second rotor blade showing radii
of stream tubes 1. 2. and 3.

Second Rotor
Conlporwnt Thrust (/h.f)
Blade row inlet -3,728
sideupstreamDisk -9,937
Blade rowldisk downstream
side 14,060
Blade row momentum -31
Resultant turbine
axial
thrust 361
ading Axial in Turbomachines 467

It should be apparent from the above computations that impulse tur-

bine stages, with their low blade row pressure changes, represent a method
to minimize turbine axial thrust in instances where this is a consideration.
In addition, the resultant turbine thrust canbe adjusted somewhat through
adjustment of the stator seal. Turbine stages that incorporate high levels
of
reactionmay
pose difficulties in design integration
under these
circumstances.

7.2. CaseStudy 2: LargeLiquidOxygenlRP-lTurbopump

7.2.1. Background
A large rocket engine for the booster stage of a launch vehicle is being
designed.Thisengine is to deliver a sea-level thrust of 1,500,000 l b f.
The propellants are to be liquid oxygen (LOX) and RP-l. (Thedesignation
RP-l refers to a grade of kerosene that is quite highly refined, particularly
with regard to its sulfur content.) The engine chamber pressure is chosen
as 1000 psia. The required propellant flow rates are 1700 lb m i s of RP-l
and 4070 lb m i s of LOX.Thesepropellantareto be displaced by a
turbopump. There will be a hot-gas generator employed for turbine drive,
andtheabove-quoted flow rates include theanticipatedgasgenerator
propellant flows. We have been requested to provide a design for the turbine
component of the engine's turbopump system.
We will also note that this design case carries no formal specification
for turbine axial thrust (at least not at this point). However, we are required
to predict the axial thrust magnitude and direction, as these data will be used
as inputs for the overall turbopump design integration efort as well as
inputs to the turbopump and engine dynamics computer codes.

7.2.2. Configuration
To facilitatepackagingontheengine, it hasbeendecided thatthe
turbopump is to have one rotating shaft, to which will be affixed a pump
for RP-l. a pump for LOX, and a drive turbine. This carries the obvious
constraint that the angular velocity of all three components be the same.
To bring about thespecified engine chamber pressure, LOX and RP-1 pump
discharge pressures mustbe 1600 psia and 1850 psia, respectively. The LOX
and RP-l pump inlet pressures are 65 psia and 45 psia. A combination of
analytical studies and prototype testing has shown that the cavitation per-
formance of the oxidizerpump will be the ultimate constraint on turbopump
shaft speed. In this instance, the turbopump (and, therefore, turbine) shaft
speed specified is 5500 rpm.
The turbine is to be powered by combustion products of LOX and
RP-l. As statedpreviously,thishotgas will be provided by a separate
468 Mohr

gas generator. This gas generator has been designed so as to supply the
turbine with gas at a total temperature of 1700F, at a total pressure of
920 psia.Arequirementexistsfortheturbineoutletstaticpressure to
be approximately 50 psia,whichsets the turbine total-to-static pressure
ratio at 18.4.
The
nominaloperating
parameters of ourturbine
can be
summarized as follows:
0 Delivered
power 62,705 hp
0 Shaft
speed 5,500 rpm
0 Propellants LOXIRP- 1 combustion products
0 Gas properties Total temperature#2150 deg R
Averagemolecular weight 23.2 lb/mol
Constant press specific heat
0.671 BTU/lb deg R
Specific heatratio 1.148
0 Inlettotalpressure 921 psia
0 Outletstaticpressure 50 psia
As with Case Study 1, we can use the above data tobegin our turbine
sizing and staging design exercise. Also, as with Case Study 1, the specified
operatingconditionsarenotparticularlyfavorablefor efficient turbine
operation. In particular, the readers attention is directed to the C,, value
quoted above. When compared to that for Case Study 1, the reader can
see the large difference in the energy level of the two working fluids.
The high C, of hydrogen-based working fluids (as shown in Case Study
1) brings about high spouting velocities even at relatively modest pressure
ratios. For our current turbine case, the working fluid is considerably less
energetic. However, the large pressure ratio available again brings about
highgas spouting velocities.Therefore, efficient turbineoperation (i.e.,
operation of aturbinestage ator near anoptimum velocity ratio,
U / C o ) demands either a large number of stages or a single stage with a
very large diameter to bring about high blade speedat a relatively low angu-
lar velocity. Due to the severe weight restrictions imposed on rocket pro-
pulsionsystems,neither of these situations is generallypermissible.
Indeed, whenwe size a single-rotor impulse turbine for optimum blade speed
under these circumstances, a turbine pitch diameterof almost 7.5 ft results.
The weight of a configuration such as this causesit to be dismissed immedi-
ately.As we can see fromFig. 20, a single reactionstage is similarly
out of the question.
When we inquire as to a maximum permissible diameter, we are told
that a turbine assemblyoutsidediameter of approximately 3.5 ft is the
maximumthatcan be accommodated.This is due to both weight and
ading Axial in Turbomachines 469

packagingconstraintsthatmust be met by the overallrocketengine

system. Allowing for some reasonable external packaging and an antici-
pated range of turbine blade height, we make the judgment that a turbine
pitch line diameter of approximately 35 in. represents
working
a
maximum.This will set thebladepitchline velocity at approximately
850 ft/s. Using the quotes gas properties, we can compute an isentropic
spouting velocity of approximately 4700 ft / s. This would place the velocity
ratio for a single-stage turbine at approximately 0.18. As is usual in rocket
turbomachinery systems, this value is well below what we might prefer. A
two-stage machine might be considered. This would increase the velocity
ratioattainable in eachstage.However,inthiscase,the velocity ratio
for each stage of two-stage machine is still in the range of only 0.25-0.26
(assuming a 50/50 work split). As can be seen from Fig. 20, this is also
noticeably short of the requirement for optimum performance. However,
Fig. 20 also indicates that the two-row velocity-compounded stage would
deliver significantly better performance at this velocity ratio. We therefore
specify atwo-rowvelocity-compounded turbinearrangementforthis
booster engine application. Also, via some initial sketches and calculations
regarding turbine bladeheight and other factors,we set the meanline diam-
eter for this turbine at 34.9 in. We find this diameter to be the practical
maximumthat will satisfy all turbopumpand enginepackagingcon-
straints.
Using the same iterative computational procedure described in Case
Study 1, we can derive a vector diagram for this turbine that accomplishes
a work split of 75'!h/0/25%(first rotor/second rotor). This vector diagram
is shown in Fig. 32. The reader will note from studying the vector diagram
that we have taken certain liberties in the design exercise. Specifically, note
for each blade and vane row that the downstream relative velocities are
noticeably less than those upstream. This is a diffusing flow, or negative
reaction situation, and it is generally avoided. However, it has been done
in this case for the sake of shortening the analytical exercise and getting
prototype turbines into manufacturing and testing as quickly as possible.
A cross section of the prototype turbine is shown in Fig. 33. Note the large
roller bearing for radial support and the ball bearing for reaction of axial
forces. For testing of theprototypeturbine,alargedynamometer will
be used to absorb the generated power.

7.2.3. Prototypeturbineaxialthrustanalysis
To size and properly orient a thrust bearing for testing of our prototype
boosterengineturbine,thefollowinganalysishas been performed. For
the sake of simplicity, blade row mid-span conditions are assumed to exist
 470 Mohr

Axial Station 1
Nozzle Outlet

Axial Station 2
First Rotor Outlet

Axial Station 3
Stator Outlct

Axial Station 4
Sccond Rotor Outlet
U

Turbine Annulus Flow Conditions

(Midline blade speed = 845 ftlsec. inlct total pressure = 921 psia)

Axial Station

4 3 1 2

50 psia
Static Pressure. 50 50

Static Temperature. degI704

R 1693 1656 1528

Static864701
Enthalpy,
ft-lbf/lbm
797460 883740 889424

2494 4595
Absolutc
ftiscc
Velocity. 2235 1033

Flow Angle (deg to axial) 67 -54 57 -1 3

Mach Number 1.24 2.37 1.1 0.50

Stagnation Pressure. psia 742 1l5 97 58

Figure 32 Case Study #2. Large liquid oxygeniRP-l turbopump-turbine velocity

vector diagram.

throughouttheturbine.For clarification ondimensions used in the

following calculations, the reader is referred to the turbine cross section
shown in Fig. 33. Additionally, the signs of the axial force terms are set
in convection with the coordinate axes in the figure.
Axial Loading in Turbomachines 471

~~ Thrust Ball Bearing

Roller Bearing

Turbine Nozzle

First Rotor Blade

Sccond Stator Vane
Second Rotor Blade

Mean Line Radius=l7.45 in ,

I

Curvic Coupling Constant In turbine

(Connects rotor disks)

Turbine Geometric Data

Blade Meanline Radius 17.45 inches

(constant throughout turbine)

First Nozzle vaneradialheight 1.55 inches at nozzle exit

First Rotor Blade Height I .86 / 2.48inches(inlet / outlet)

Second Stator Vane Neight 2.60 / 3.37 inches (inlet / outlet)

Sccond Rotor Blade Height 3.68 / 4.23 inches (inlet / outlet)

Drlve shaft diameter 9.24 inches at I" rotor disk

Curvic Coupling Diameter 16.6

inches

Figure 33 Case Study #2. Large

liquld
oxygeniRP-l turbopumpturbine
cross-section.

First Turbine Rotor

Blade row upstream pressure-area force
Mid-span pressure = 50 psia
Area = n(18.3'-16.52') in.'
Axial force = -10,197 lb f
First rotor disk upstream side pressure-area force
Mid-span pressure = 50 psia
472 Mohr

Area = n(16.52-4.62) in.

Axial force = -39,516 lb f
Blade row downstream pressure-area force
Mid-span pressure = 50 psia
Area= x(18.69-16.212) in.
Axial force = 13,595 lb f
First rotor disk downstream side pressure-area force
Mid-span pressure = 50 psia
Area = ~(16.21-8.30) in.
Force = 30,453 lb f
First rotor blade row momentum thrust

Force
5

where mdot = turbine mass flow rate of 157 lb/s

Caxial= axial velocity at blade row exit
Cuxlall=axial velocity at blade row inlet
Force = -1623 lb f
Second Turbine Rotor
Blade row upstream pressure-area force
Mid-span pressure = 50 psi
Area = n(19.29-15.61) in.
Force = -20,174 lb f
Second rotor disk topside pressure-area force
Mid-span pressure = 50 psia
Area = ~(15.61~-8.30)in.
Force = -27,455 lb f
Second rotor disk bottom sideiblade row outlet pressure-area
force
Mid-span pressure = 50 psia
Area = ~(19.562)in.
Force = 60,128 lb f
Second rotor blade row momentum thrust

n
5
where midot = turbine mass flow rate of 157 lb/s
=axial velocity at blade row exit
Caxial~
C;Ixlall
=axial velocity at blade row inlet
Force = -1025 lb f
Axial Loading in Turbomachines 473

7.2.4. Resultant turbineaxialthrust

From the above calculations, a resultant turbineaxial thrust of 4186 lb f is
predicted. Note that this value (being positive in sign) indicates a thrust
force in the direction opposite the turbine throughflow.

7.2.5.
Test results
We have now reached the point in our development effort that includes
component-level testing of our prototype turbine. In fact, several turbine
units have been tested in our component testing facilities. These turbines
are equipped with sufficient instrumentation to accurately diagnose their
performance. The thermodynamic performance of our turbine prototypes
has been close to our predictions. However, our test reports also state that
virtually every turbine test hasbeen stopped prematurely due to unexpected
indictionsfrominstrumentationontheturbineball-bearing assembly.
Referring to Fig. 33, we can see that this is the bearing packageresponsible
for reacting the turbine axial thrust.
Upon disassembly of turbineunits, we find thattheball-bearing
assemblies show signs of heavy distress. Heavy wear and pitting on the
rolling elements and races all indicate that this bearing is being overloaded.
In addition, abnormal locationsof the load tracks on the bearing races indi-
cate unexpectedly high contact angles between balls and races. This tends to
indicatethattheoverloadcondition is primarily in theaxialdirection.
Finally, load-sensing instrumentation(in the formof strain gauges) has been
placed ontheretaininghardwareforthethrustbearing assembly.This
instrumentation has been calibrated for axial load and is showing a steady
state axial load of 10,000 lbs.
When we question our Instrumentation Engineering group as to the
validity of the 10,000-lb load indication, they tell us that the topof scale
of the instrumentation used in this case is 10,000 lbs. This was considered
suitable because a 4100-4200-1b load was expected. Therefore, it is entirely
likely that the actual load on the turbine thrust bearing has been well in
excess of 10,000 lbs. The exact magnitude of the overload is, at this point,
unknown. Clearly, this is an intolerable condition and further investigation
is needed.

7.2.6. Turbine axial thrust: a second look

Throughthe use of twoindependent means-visual inspection of the
ball-bearingassemblyafterexposure to testconditionsandbearing
instrumentation-wehaveconcluded that we must question the validity
of the original analysis that was used to predict the turbine axial thrust.
474 Mohr

Assumed uniform
50 psia pressure
field

m 1 Rotor Blade

1 Rotor Disk
*:
Radius= 16.52 inches j

b :

Radius= 18.38 inches

Pressure-Area Force

Figure 34 Case Study #2. Large liquid oxygeniRP-l turbopump. First rotor blade
row upstream pressure-area force-initial analysis.

In order to accurately assess our problem,we must look with a more critical
eye at the details of that analysis. As in Case Study 1, the resultant axial
thrust of the turbineis composedof a numberof components. Theseinclude
pressure-area forces over the blade row inlets and outlets, pressure-area
forces over the upstream and downstream sides of the turbine disks, and
momentum thrust forces generated by each of the blade rows.
To begin our reassessment, we will focus our attention on the first
rotor bladerowupstream (or inlet)side.Referring to Fig. 34, we can
see that the static pressure specified at the first blade inlet on the turbine
vector diagram (see Fig. 32) was assumed to act over the blade annulus
area. Is this assumption reasonable? From our previous discussions, we have
found that angular momentum, not static pressure, is conserved across the
turbine blade span. Therefore, a static pressure gradientin the radial direc-
tion must exist. Will that gradient be significant in this case?We have also
foundthatthegradient increaseswithheight of the bladepassage and
themagnitude of thetangential fluid velocity (swirl).Referring to Fig.
35, we can see a table of the flow properties at the hub, mean diameter,
Axial Loading in Turbomachines 475

and tip of the blade annulus. Asin Case Study 1, these properties have been
calculated using the following assumptions:
0 Theturbinedrive fluid behaves as an idealgas.
0 Theangularmomentum ofthe flowfield is constant across the
span of a blade or vane at aparticularaxialstation(i.e.,
I' V,, = const).
0 Thegasstagnationpressureandtemperaturearebothconstant
across the span of a blade or vane at a particular axial station.
We can see that the static pressure at the blade hub is approximately
36 psia, or approximately30'%,less than the mid-span pressure. At the blade
tip, the free-vortex flow field generates a static pressure of approximately
65 psia, or about 130% of the mid-span value. The radial gradientis indeed
significant. As in Case Study 1, the axial force exerted by this free vortex
is given by

FaXKll = 7 i"
0 huh
P(r)rLhdfl

Turbine Hub, Mean, and Tip Conditions

N o n l c Outlet First Rotor Inlet

Hub Mean Tip Hub Mean Tip

Radius 16.67 17.45 18.23 16.52 17.45 18.38

U NIA NI:\ NIA 800 845 890

cu 4427 4229 4048 4467 4229 401 5

Plot 742.3 742.3 742.3 742.3 742.3 742.3

Pstat~c 38.1 50 62.7 36.3 so 65.2

Ttot 2156 1156 2156 2156 2156 2156

Tstatic l477 1527 l573

1527 I466 1581

Cas~al -1795 -1795 -1795 -1795 -1795 -1795

rCu 6149.7 6149.7 6149.7 6149.7 6149.7 6149.7

Ctotal 4777 4594 4428 4814 4594 4398

Mach 7.51 2.37 2.25 1.54 2.37 2.23

Figure 35 Case Study #2. Large liquid oxygeniRP-l turbopump.

 476 Mohr

Turbine Hub, Mean, and Tip Conditions

First Rotor Outlet Second Stator Inlet

Mean Huh Tip Huh Mean Tip

17.45
Radius 16.21 18.69 16.15 17.45 18.75

845 U 785 905 NIA NIA NIA

c u 175 -2
-2021 -1887 -2184 -202 1 -1881

114.7
Ptot 114.7 114.7 114.7 114.7 114.7

50 Pstatlc 45.6 53.8 45.4 50 54

1843Ttot 1843 1843 1843 1843 1843

1656Tstatic 1639 1674 1638 1656 1674

Caxial -1460 - 1460 -1460 - 1460 -1460 - I460

2939rCU 2939 2939 2939 2939 2939

2493Ctotal 2620 2386 2627 2493 2381

1.24 Mach 1.31 1.17 1.31 1.24 1.17

Second Stator Outlet Second RotorInlet

Hub Mean Tip Hub Mean Tip

Radius 15.76 17.45 19.13 15.61 17.45 19.29

U NIA NIA N/A 756 845 934

cu 2075 1874 1709 2095 1874 1695

Ptot 96.7 96.7 96.7 96.7 96.7 96.7

Pstatlc 44.8 50 54.2 44.3 50 54.6

Ttot 1843 1843 1843 1843 1843 1843

Tstatic 1671 I693 1712 1668 1693 1713

Caxlal -1217 -1217 -1217 -1217 -1217 -1217

rCu 2725 2725 2725 2725 2725 2725

Ctotal 2405 2235 2098 2423 2235 2087

Mach 1.18 1.09 1.02 1.19 1.09 1.02

 Axial Loading in Turbomachines 477

Turbine Hub, Mean, and Tip Conditions

Second Rotor Outlet

Mean Hub Tip

Radius
17.45 15.33 19.56

845 U 742 947

cu 266 234 209

Ptot
57.8 57.8 57.8

Pstatic 49.9 50 50. I

Ttot 1736 1736 1736

Tstatic 1704 1704 1704

Caxial - 1006 - 1006 - 1006

rCu
340.3 340.3 340.3

Ctotal
1033 1041 1027

Mach 0.508 0.505 0.502

where

Radius= distance from turblne rotational axis, in

Cu= fluid tangentialvelocity, Nsec

Ptot= fluid stagnationpressure,psia

Pstatic= fluid static pressure, psia

Ttot= fluid stagnationtemperature,deg R

Tstatic= fluid static temperature, deg R

Caxial= fluld axial velocity. Wsec

rCu= fluid specificangularmomentum,fi2/sec

Ctotal= fluid velocity.ftkec Jc;x

Mach= fluid Machnumber
478 Mohr

P s t a t i ~ 6 5 . 2psia
Pstatic=36.3 psia
ri-\rnn First
Rotor Blade
.. .. ..
. . .
.. .. .. .
First Rotor Disk .. .. . ..
. . .
inches
Radius=
16.52 . .. .
. .
c
inches
Radius=
17.14 . .
b :
.. ...
Radius= 17.76 inches .

Radius=18.38 inchcs

Blade RoInner radius Outer radiusMeanrad Avg PressArea Force (PA)

stream tub inches inches inches psia it12
Ibf
I 16.52 17.14 16.83 40.87 65.56 2679.84
2 17.14 17.76 17.45 50.51 67.98
3433.43
3 17.76 18.38 18.07 60.14 70.39
4233.55

First Blade Row InletPressure For 10346.82 Ibf

Figure 36 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor blade
row upstream pressure-area force-second look analysis.

where P ( r ) is the static pressure, which is a function of the radius. If we

discretizethe annulus into three stream tubes (as shown in Fig. 36), we
can approximate the blade row pressure-area force as
&ix,;il = -10.346 lb f
Note that this force, acting in the direction of the turbine throughflow, is
negative by the sign convention in Fig. 33. If we compare this with the first
rotor
blade row
pressure-area thrust
term
obtained originally
(-10,197 Ib f), we find that although the numerical value is quiteclose
toourapproximation,the logic by which it was derivedwascertainly
questionable.
Next, we will reevaluate the original calculation of the first rotor disk
upstreamsidepressure-areathrustforce.Inspection of theoriginal
calculation shows the assumption to be that the blade row mid-span static
Axial Loading in Turbomachines 479

Assumed constant
50 psia pressure

First rotor disk showingthe assumed 50 psia static pressure

Turbine Geometry

Drive shaft radius= 4.62 inches

First rotor blade inlet hub radius= 16.52 inches

=(50)[n(16.52-4.62?)1

Figure 37 CaseStudy #2. Large liquid oxygeniRP-lturbopump. Firstrotordisk

upstream side pressure-area force-Inltial analysis.

pressure acts over the area of the disk from the bladehub down to the radius
of the drive shaft.If we refer to Fig. 34, we find that the sourcepressure at
the rotor disk periphery is approximately 36 psia. An assumptionof 50 psia
constitutes a significant error. Further, from our previous discussion, we are
aware that a noticeable radial pressure gradient (produced by rotation of the
disk) can exist in cases such as this.
It should be noted here that, in many turbine examples, the actual
radialpressuregradientcaused by thesemiforcedvortex flowfieldis
not very large. This is due to the fact that, although the changes in head
from one stream tube to the next may be large, the working fluid density
is quite low. This results in low delta pressures from one stream tube
to the next. However, we should also be reminded that the exposed areas
480 Mohr

in this particular example are quite large. Changes in static pressure that are
relatively small as a percentage may bring about differences in forces that,
although also small as a percentage, may be large in absolute terms.
If we discretize the first rotor disk upstream side into 10 stream tubes
and carry out the calculations for the change in static pressure with radius,
we generate a table similar to that shown in Fig. 38. The initial estimate
for this thrust component gave us a value of -39,516 lb f. Accounting
for the radial gradient in the blade annulus, as well as the gradient over
the disk, results in
Faxlal
= -27,675 lb f
The reader should note that the difference in the axial force predicted
between the original analysis and our second look is on the order of
12,000 lbs. It should alsobe noted that the result indicated here would imply
an increase (in the positive direction) in turbine thrust, increasing the load to
be reacted by our thrust bearing. This appears (at this point) be consistent
to
with our test experience and physical evidence. Although it would be a
mistake to consider our problem solved at this point, the original analysis
clearly contains at least one very substantial error. A discrepancy such
as this would cause us to scrutinize the remaining parts of the original analy-
sis quite carefully.
Theremainingportions of oursecondlookthrustanalysisare
shown in Fig. 39-47. The figures containside-by-sidecomparisonsof
the original thrust analysis with our second look. The reader is strongly
encouraged tostudy these figures carefully.Theerrorsintroduced by
ignoring the radial pressure gradients are frightening when one considers
the nature of the machinery under discussion here.
When our second look analysis is completed and the new turbine
thrust components are totaled, we find that the actual axial load to be
reacted by our turbine thrust bearingis 16,453 lbs. At this point, the turbine
test failures, as well as the overloaded thrust bearing hardware, become
substantially less mysterious. With this information, our turbine test hard-
ware canbe modified suchthat component testing can proceed with a strong
confidence of success.
The purpose of this case study has been to illustrate the importance of
accounting for radial pressure gradients in one aspect of turbomachinery
design. Not all machinery will produce the dramatic results displayed here.
However, it is hoped that the reader has gained an appreciation for the
importance of accuratelyaccountingfortrue physical conditionswhen
analyzing a design case.
A point of comparison with Case Study 1 is also instructive. Ifwe
compare Figs. 21 and 33, we can see that the turbine in Case Study 1 con-
Axial Loading In lbrbomachines 481

1'' rotor disk upstream side pressure-area force

Znd Look Analysis

Stream tube 10
Stream tube 1
l

Stream tube areas and pressures

1745 m
186m
l 6 52 m
462 m
IO
I19
05
IWIkgR
23 L1
M 3x42
58 I rai'uc

r!kq mmnd I- r n d Mnd .&m u r m Cu

m (uXCu) Ylcuyg S I ~ I &&m
K ~ S m r h a Q n h A TaalkaiT~kPA
m m m mz LUC W%= wac2 3ttaal.n pa ~tnw n n n Ibr
0 l 6 52 799W 39092 31W47 3 6 M 0053611 5'750194 2.18659 9998853
I 1652 I533 15'92 11907
74223 37111
2754508
137962 3591 0053611 W 6 7 6 5 214125 -9 Q7643
2 1533 1414 14735 11017 W 6 1 2.1231 22.14166 127653
3556 0053611 9551065 1 8 2 1 7 2 9733237
391762
3 I4 I4 1295 13415 10128 62703 313% 185619 117344 3 5 0 00536lI %MW 152RM % l % W 354806
4 12% 1176 12355 '238 56938 28469 lh2096R 1 0 7 0 4 1 M93 OOSMll 938?851 l2hoo8 W28859 322690
5 1176 11165
1057 8348 51176 25588 Ix)9513 8 7 2 5 YM0053611 9310317 1017'77W121Y 289361
1057 6 938 VV5 7458 4 9 1 5 22707 1031254 86116 41.12 00536lI P 4 5 5 5 2 ROlM 9325718 S5724
7 93s RI9 87R5 6569 3 8 5 3 l5827 7861901
76107 YZI 0053611 91881%61116 924%Il 224702
8 R 19 7 7595 B79 33892 I6946 5743225 65797 YO3 0053611 9139168 444469183814 193221
9 7 581 6435 47R9 2 8 l M 1.1065 3956508 54188 3387 0053611 XU7569 M7569128326 l6zZ05
IO 581 ,162 5215 3890 E 3 6 9 Ill84 ?%l749 45179 3374 UOSYJII m 3 6 9 0 IpIJ85083147 I31577

Figure 38 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor disk
upstream side pressure-area force-second look analysis.

tains a rotating seal at the second stator, whereas our current turbine does
not. In fact, the computation of axial thrust components in Case Study
1 was complicated slightly by the presence of the discontinuity in pressure
in the radial direction across this seal. What accounts for the difference
482 Mohr

Radius= 18.69inches I
I
I,

l
Radius= 16.21 inches I I

7
1-7
I I
l I
h I
I l

; Rotor First Blade

l
I

First Rotor Disk

iiTiTTiiTi
Assumeduniform
50 psia pressure
/
field

Pressure-Area Force

F,,,,I= 13595 Ibf

Figure 39 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor blade
row downstream pressure-area force-initial analysis.

in design between the two machines? As part of the turbine design in Case
Study I , we chosetoconstructavectordiagramthat preserved the
impulse condition (equality of relative velocities) across the stator row.
Inthepresence of losses, thisrequiresa staticpressurechangeacross
the stator to prevent deceleration. Consequently, a noticeable delta P
exists acrossthe stator at the hub. The dynamic seal acts tominimize leakage
across this pressure differential. In the current turbine design, the negative
reaction condition across the stator results in almost no pressuredifference
at this location. A seal is, therefore, unnecessary.

7.3. CaseStudy 3: High-pressureStagedCombustionRocket

Engine Liquid-Oxygen Turbopump

A design effort has begun fora new high-performance cryogenic rocket pro-
pulsion system. The engine will employ liquid hydrogenand liquid oxygenas
Axial Loading in Turbomachines 483

Radius= 18.69 inches

J
1 1
I
Radius= 17.86 inches I
1
1
1
l 1
I 1
L I 1
1 1 1
Radius= 17.04 inches 1
1
1
1
1
1
1 1 1 1
1 1 1 1
d l 1 1
1 1 I I
Radius= 16.21 inches 1 1 1 1

&First Rotor Blade

I

First Rotor Disk

P,,,,,,=psia45.6 P,,,,,,=psia53.8

Stream Tube Areas and Pressures

Blade Row Inner radiusOuter radius Mean rad Avg PressArea Force,(PA)
stream tube inche inches psiainches in2 Ibf
1 16.21 17.04 16.62 47.07 86.34 4063.96
17.04 2 17.86 17.45 49.80 90.64 45 13.80
17.86 3 18.69 18.28 52.53 94.93 4987.12

First Blade Row outlet Prcssure Force=

13564.87 Ibf

Figure 40 CaseStudy#2. Large liquid oxygcn/RP-l turbopump. First rotor blade

row downstream prcssure-area force-second look analysis.

propellants. This engine system is to be unlike any previously attempted in

the United States. Severalfactorsset it apart frompreviouspropulsion
systems. Some of these factors profoundly affect the requirements fordesign
of the engines turbomachinery. For instance, we should recall from Case
Study 2 that the pressure selected for operation of the combustion chamber
was 1000 psia. The present engine, however, is to operate at a maximum
chamber pressure of approximately 3300 psia. The system is also required
to be throttleable;that is, capable of operatingatanycommanded
chamber pressure from a maximumof 3300 psia to a minimum of approxi-
mately 2000 psia. It is understood, however, that the 3300-psia levelwill
be reserved for emergency situations, and most of the operation of the sys-
484 Mohr

Assumed constant
50 psia pressure

First rotor disk showing the assumed 50 psia static pressure

Turbine Geometry

Curvic
Coupling
radius= 8.30 inches

First rotor blade outlet hub radius= 16.21 inches

FZxlal= 30453 lbf

Figure 41 CaseStudy #2. Large liquid oxygen/RP-l turbopump. Firstrotor disk

downstream side pressure-area force-initial analysis.

tem will be at a rated chamber pressure of approximately 3000 psia. This

pressure level is to correspond to a generated thrust of 475,000 lb f in the
vacuum of space. The specific impulse of the new engine system is to be
approximately 455 S. The ratio of oxidizer-to-fuelconsumption is to be
6-to-l by mass and activelymaintainedconstant overtheaboverange
of chamberpressure. Because bothcombustionchamber pressure and
mixture ratio are to be actively controlled, a basic decision
is made todesign
Axial Loading in Turbomachines 485

Stream tube areas and pressures

l 7 45 n
248m
1621 n
n3m
IO
0 791
05
1639 k g R
23 23
66 m -
581 rad.=
Tukb rxnsrad Irmrrrd b h r d Arca u r n r Um (uXCu) 'Yt01Yg W K p a C m h S m bM M TadWTtixPA
c
ncha ncha VI m? n i v ~ W.rr Wur2 J h t d . f l p n a IWR R R R bf
0 1621 7ffl83 392 42 N 7 W 3 4563 0 06 0m I r n L394l4 lll402I
l 1621 15419 I58145 7860 74651 17327 2786584 910611 4 5 3 1 O W 2 2 4 1083252 216619 llM914 356162
2 15419 14628 I50235 7467 70824 35112 Zy)8012 86513 45OI 0050218 lUl6167 1949U IS6263 336.32
3 I4bB 13G7 14232s 7074 W'U 3UVl 244108 81958 4479 OWL18 1070522 174449 1088057 316797
5 13LL17 13016 134415 M80 6 3 l M 31582 I W87 TI403 44% O W 2 3 I W 8 1 9 155074 1080327 297563
5 l3016 12255 12650s 6287 59335 m 6 7 1760299 72848 4431 0060228 I059358 1x1839 l07iM2 278621
6 l2255 llsbl 1185'55 58% 55505 27752 IS03995 68293 WIOOo(nL1R IoYL18 119745 IoM213 255937
7 IlW 10673 1 1 0 6 8 5 5501 51675 25838 1335158 61738 43W 0060228 IN% l037W lOS'w39 251500
8 10673 9 8 8 102175 5108 47845 L1923 II4458Y 59123 53720060L18 IN5023 88976 1053921 2.3294
9 9882 S(nl 94865 4715 W 1 6 X I 0 8 9686862 41628 4351 0050233 IDWZ8 75102 IMffl58 B5303
O
I 9091 8 3 8W55 4322 40186 -X093 M74505 IC071 4339 0 W ? U 1037174 627oR IN345 187503

Taalls&kdarm 270NOSbf
m fa

Figure 42 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor disk
downstream side pressure-area force-second look analysis.

the fuel and oxidizer pumps as separate and independent units, each with its
own drive turbine.
The engine also employs a new thermodynamic power cycle that is
referred to as a "staged combustion" cycle. A simplified schematic of this
cycle is shown in Fig. 48. Although a complete description of the cycle
is beyond the scope of this text, a brief overview is in order.
486 Mohr

Assumcd uniform
50 p s ~ apressure
lield

I \+ Second
Rotor Blade

Disk
Radius= 15.61 lnclles
.
Radius= 19.29 Inches

Pressure-Area Force

F,,,,,= l,,,,,,[n(R,,,?-Kh,h)I = (50)[n(10.29L-15.61)1

F,,,,= -201 74 Ihf

Figure 43 CaseStudy #2. Largeliquid oxygen/RP-lturbopump.Secondrotor

blade row upstream pressure-area force-initial analysis.

Istatic=54.6 psia
PstatIc-44.3 ps1a ~

fl
Rotor Blade

Sccond Rotor Disk

b

Radius=l5.61 Inches

Radius=16.84 1nrht.Y
Sec(lnd
Radius= 18.06 inches
.
c
Radius-19.29 inches

Stream Tube Areas and Pressures

Bladerot\ lmer radiu outer radiusMcanrad Avg pressArenI.orcc. PA

tube
stream Inchesin2 psia
lnchcs
inches Ihf
I 1.5.61 16.84 16.225776.79
125.04
46.20
1718.06
16.84 2 45 48.84 134.40 6568.78
52.27
318.68
19.2918.06 143.95 7524.76

Second rotor Inletpressureforce=19870.33 Ihf

Figure 44 CaseStudy #?. Largeliquidoxygen/RP-lturbopump.Secondrotor

blade row upstream pressure-area force-second look analysis.
Axial Loading in Turbomachines 487

Assumed constant
50 psia pressure
\

Second rotor diskshowing the assumed 50 psia static pressure

Turbine Geometry

Curvic coupling radius= 8.30 inches

Second rotor blade inlet hub radius= 15.61 inches

-17455 Ibf

Figure 45 Case Study #2. Large liquid oxygen/RP-l turbopump. Second rotordisk
upstream side pressure-area force-initial analysis.

The rocket engine systems in Case Studies 1 and 2 powered their drive
turbines with a smallcombustor called a gas generator. This combustor is
supplied propellant from the discharge of both propellant pumps,in parallel
withtherocket engines maincombustionchamber.After passing
through the turbine, this fuel-rich hot gas was dumpedoverboard through
any of a number of schemes. However, the central idea of the staged com-
bustion cycle is to use this turbine exhaust gas as the main combustion
chambers fuel source (this avoidswaste of significant quantities of raw fuel,
and results in a noticeable increase in specific impulse performance). This
carries the implication that the exit of the turbopump drive turbine(s) is
at a static pressure significantly higher than the main combustion chamber
pressure. For example, the turbines in Case Studies 1 and 2 had exit static
pressures of100 psia and 50 psia, respectively. However, the new engine
will require a turbine exist static pressureof on the orderof 3500 psia when
operating at its rated chamber pressure of 3000 psia.Consideringthis,
the workingfluid flow rate through the turbine should be as high as possible,
in orderto keeptherequired turbine inletpressurefrombecoming
unreasonable (this high turbine inlet pressure would have to be supplied
 Mohr

Stream tube 10
Stream tube 1

Stream tube areas and pressures

1745 m
3 68 ~n
IS 61 ~n
8 1 C"
In
n 731
01
1668 Dc8 K
21 21
66 10882
581 radf,r

Tub. t hmrr md M-n rad Area "mean c'"me." ("MC") ""C"V8

lncha n m2 Rwc ruwr rt2rrcc2 M XOUI rt
0 1561 751 78 37789 285MJO
I I J 879 11>J 7002 720 19 36020 259482 811 21
I 4 148 I451 W66 685 W 342 50 234611 8 772 37
1 I I 417 13 78 61 10 639 61 324 SO 21059.I 2 713 46
J 12686 1105 1991 61421 307 I1 188629 3 694 56
5 I1 1 5 5 1232 S619 S78 82 28941 167517 6iSW
6 I1 224 I1 59 0 23 54141 271 l 1 147657J 61670
7 10491 1086 4987 508 (Y 2 U O 1 I2MIO 1 577 86
n 9762 10 I3 4652 312 M 23612 1116959 138%
v 9011 940 J3 16 43725 21861 9559418 SW05
10 83 8 67 3980 401 86 2W918074506 461 I5

Figure 46 CaseStudy #2. Largeliquidoxygen/RP-lturbopump.Firstrotordisk

upstream side pressure-area force-second look analysis.

by the propellant pumps). The obvious limiting condition for turbine flow is
theentireengine fuel flow-approximately 149 l b m / s (Thisquantity is
derived from the engine thrust, specific impulse, and mixture ratio require-
ments mentioned earlier.) From studiesof possible variations of this power
plant cycle (theinputformost ofwhich camefrom people otherthan
ourselves), itis decided that approximately80"h of the total engine fuel flow
will be made available to serve as turbine drivefluid. The other 20% is to be
used elsewhere in the cycle. The 119 lb m / s of available hydrogen is to be
splitbetween the fuel and oxidizer turbopump drive turbines. The split
of hydrogen between the two turbines will be such that thefuel turbine con-
sumes the majority of the available fuel. This is simply because the fuel
pump system requires approximately three times the generated power of
the oxygen pump system (simple calculationsby the reader can easily show
 Axial Loading in Turbomachines 489

Radius= 19.56 inches l

Radius= 15.33 inches l ~

, - , . ~

. Second
Rotor Blade

Sccond Rotor. Disk t t tttt t t t t

Assumed uniform
50 p i a pressure
/
,

field

Pressure-Area Force

F,,,,I= 23 182 Ibf

Figure 47 Case Study #2. Large liquid oxygen/RP-l turbopumpSecond rotor

blade row downstream pressure-area force.

Oxygen Flow
Control Valve Oxygen Flow
Control Valve

Hydrogen
490 Mohr

this). The final hydrogen split is determined by a set of considerations that

balance available hydrogen, required(or desired) turbineinlet temperature,
and implications of flow rate on turbine bladeheight and turbine efficiency.
A detailed explanation of all of this is beyond the scope of this chapter,
but the general idea is to use all available fuel reacted with the minimum
amount of oxygen that will raise thehydrogentemperature sufficiently
to extract theneeded turbine power. The turbine pressure ratio is, in general,
to be minimized because increases in the turbine pressure ratios demand
increased discharge pressures from both propellant pumps (which, in turn,
requiresgreaterturbinepower).Therefore,theturbomachineryforthis
engine emphasizes efficiency to a substantially greater extent than previous
rocketengines. This is particularlytrueforthehydrogenturbopump
turbine, which mustgenerateapproximately 75% of thetotal power in
the engine cycle.
To support this engine project, we are requested to evaluate the suit-
ability of someaspects of the design of theliquid-oxygen turbopump.
To do thissatisfactorily, we must familiarizeourselveswith the design
of the turbopump. A schematic of the turbopump's rotorassembly is shown
in Fig. 49.

Second
Stage
First 1 urhlne

Turbme Interstage
Impeller

Second S t a y 'lurblne ~ i r s Smge

t Turbmc
Nozzle Noulc

Figure 49 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbopump rotor cross-section.
ading Axial in Turbomachines 491

The reader will note that the turbopump is composed (for purposesof
this discussion) of three main elements. A two-stage turbine delivers the
power needed for turbopump operation. This turbine uses the combustion
products of hydrogen and oxygen described earlier as its propellant.
Themainpumpstage impeller is, asitsname implies,the main
pumping element in the turbopump. It supplies the liquid-oxygen require-
ments of the engine's main combustion chamber. The discharge pressure
forthemainpump is, therefore, set by thepressureiflowrequirements
of the main combustion chamber and other hardware (ducting, valves. etc.)
between the pump and the chamber. When the engine is operating at its
full power level, the main pump stage is required to displace a mass flow
of 1160 lbsis of liquid oxygen. This rate of oxidizer flow constitutes the
total required by the main combustion chamber, as well as other places
in the engine cycle.At this condition, the main pump stage discharge press-
ure is predicted to be 4600 psia.
The preburner pump stageis shown at the farleft of Fig. 49. The pur-
poseofthepreburnerstage is to supplytherequiredliquidoxygen to
the preburners, as shown in the figure. The preburners are the hot-gas gen-
erators which create the propellant needed by the two turbopump drive
turbines. The liquid-oxygen feed pressure required of the preburner pump
is computed by addingtotheturbine inletpressure(whichcan be
approximated by multiplyingtheturbineoutletpressure by theturbine
pressureratio),thepressure drop acrosstheinjectionsystemofthe
preburner,thepressuredropassociated withtheoxygen control valves
shown in Fig. 48, and the pressure drop associated with the ducting between
the preburner pump and the oxygen control valve. When we carry out this
computation, we arrive at a preburner pump outlet pressure of approxi-
mately 7900 psia. The preburner pump mass flow rate will simply be the
sum of the oxygenflow requirements of the two preburners. From the engine
cycle considerations mentioned previously, this combined rate is (at the
engine's full power level) approximately 120 Ib m/s.
Aquestionthatcould be raised at thispointconcernsthebasic
packaging of our turbopump. Why use two pump stages instead of one?
TWOpump stages are certainly more complex than one. They also lengthen
the turbopump axially and result in increased weight. One of the answers
to thisquestion lies in thethermodynamics of ourengine cycle. To
implement only one pump stage, that stage would have to generate the single
highest pressure required by our engine (7900 psia). We should note that
only about 10"% of the pump working fluid is required to be delivered at
this pressure. Raising the pressure of the remaining oxygen(1000+ lb m/s)
by an additional 3300 psia would require considerably more turbine power
(and
thereforeturbinepropellant)
than
two-pump-stage
a scheme.
492 Mohr

Additionally, the desire to minimize the weight of the turbopump assembly

plays a role here. The discharge volute of the main pump stage is already
one of the single heaviest portions of the turbopump. Increasing theneeded
main pump discharge pressure would, in this particular case, require an
increase in the main impeller diameter (the impeller speed is limited by
suction performance considerations, so a speed increase is not possible).
The result would be wrappingthe main pump volute cross section around
alarger-diametercircle,thusincreasingthe volutes circumferencesub-
stantially. This volutesection is thick walled, as it is a high-pressure vessel.
Thus, the volume of metal contained in the volute would increase greatly.
Our trade studies have indicated that, in this case, the small preburner
pump stage implementation results in both increased turbopump perform-
ance and reduced weight.
Some operating parameters of the turbine that is to be incorporated
into this turbopump is summarized in the following subsection.

7.3.1. LOX turbopumpturbine s u m m a r y

Pitch diameter 10.1 in.
Rotating speed 29,190 rpm
Blade speed 1285 ftis
Turbine flow rate 67 Ibis (38 lbis H?, 29 Ibis 0,)
Turbine inlet temp 1625 deg R
Turbine inlet press 5785 psia total pressure
Turbine outlet press 3640 static
Turbine press ratio 1.59 total-to-static
By studying the above data, the reader can conclude that this turbine is
a significantly different kindof machine from the turbines discussedin Case
Studies 1 and 2. First, we can see that the hydrogenflow through this turbine
is on the order of 30% of the engines total fuel flow. Second (and as
mentioned earlier), we have sought to minimize the turbine pressure ratio
and have set that pressure ratio atonly 10-20%,of that found in the turbines
of Case Studies 1 and 2. The pressure ratio that hasbeen selected is such that
flow in all of the turbine blade and vane rows remains subsonic. For this
reason, the velocity ratios is both turbine stages are in excess of 0.40. With
velocity ratios at this level, we can make constructive use of the reaction
built into the turbine stages. In this case, a stage reaction of 35% has been
chosen, with a design target of zero stage outlet swirl. As this machine
is operating in a considerably more favorable regime than our previous
turbines, significantly higher efficiencies should be possible. Indeed, we esti-
mate an isentropic efficiency in excess of 77% based on total-to-static con-
ditions. A vector diagram for the turbine is shown in Fig. 50.
 Axial Loading in Turbomachines 493

Turbine Annulus Flow Conditions

Mid line blade speed= 1284 ft/sec, inlet total pressure=5785 psia

1 4 2 3

980 psia
Pressure,
Static

Temperature,
Static
deg R 1478
1503
1553
1578

6310072443Wsec
Velocity,
Absolute

(deg
Angle
Flow to axial) 74 -35 74 -28
Figure 50 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbine configuration #l. Turbine velocity vector diagram.

Themain-stageimpeller is shroudedand is equippedwithtwo

series-flow balance pistons. This scheme uses both left and right side shrouds
of the impeller as surfaces against which high-pressure liquid oxygen (which
is tapped off the pump discharge) creates an axial direction pressure-area
force. The pressure acting on the shrouds is determined by the axial position
of the impeller withrespect to the pump housing, which form small annular
orifices. This arrangement is shown in Fig. 51. This device is used for
reaction of residual rotor axial thrust. As one can see from the figure, a
force which would tendto push the rotor to the left would openthe left-hand
494 Mohr

Main Pump Stage

Outlet Diffuser Balance Piston
High Pressure
Orifice (Typ of 2)

Balance Piston Balance Piston

Low Pressure Low Pressure
Orifice

CL-
Y
- CL
Main Pump Stage
Impcllcr

Figure 51 Case Study #3. High-pressure staged combustion rocketengine.Liquid

oxygen t u r b o p u m p d o u b l e suction balance piston.

high-pressure orifice and close the left-hand low-pressure orifice. This will
act to increase the average pressure over the left-hand impeller shroud.
Atthesametime,theright-handhigh-pressure orifice closes while the
right-hand low-pressure orifice opens. This lowers the average pressure over
the right-hand impeller shroud. The result of thisis a net force acting to the
right in the figure. This acts to restore rotor equilibrium in thefaceof
perturbing forces.
We have beengiven the following assignment: to evaluate the suit-
ability of the componentsof this turbopump and gauge their ability to func-
tion properly together, particularly with regardto rotor axial thrust. We are
given the following guidelines from which to work:
0 Themainpump-stage impeller is assumed togeneratenoaxial
thrust (other than that generated by a pressure difference across
the balance pistons) due to the symmetry of the double-suction
arrangement.
0 It is desired that theaxialthrustforces of thepreburnerpump
stage and turbine should balance each other as nearly as possible
at the engines full-power operating level. This avoids the need
for the thrust ball bearings to react large loads at high speeds
in steady state. At theengines full-power level, the main impeller
balance piston has an axial restoring force capability of approxi-
mately 65,000 Ibs.
ading Axial 495

0 Because this exercise represents only a "first cut" at a design pro-

cess, we will considerourobjectives satisfied if thedifference
between preburner pump and turbine thrusts is significantly less
than the balance piston restoring force capability.
It will be assumed for the remainer of this case study that the reader
hasalready reviewed (andunderstands)thecontent of CaseStudies 1
and 2. For this reason, and in the interest of conserving space, the detailed
explanation of the derivation of the various axial thrust components has
been omitted. The procedures used to derive the numerical data presented
in this section are the same as the previous case studies. If, after reading
the rest of this case study, the reader has gaps in his/her understanding,
a review oftheapplicableareas in CaseStudies l and 2 should fill in
the appropriate details.

7.3.2. Baselinedesignaxial thrust analysis

The liquid-oxygen turbopump contains three main components that
general significant axial thrust loads. Theseare-the preburner pump stage
impeller,theturbine,andaportion of asealpackagelocatedbetween
the pump stages and the turbine. As designed, the seal package generates
approximately 5000 pounds of axial forcein the +X direction. Our analyses
for axial thrust will focus on the preburner pump and the turbine.
Prehurner Pump Axiul Tllrust. As discussed in a previous section, the
axial thrust components on a pump impeller are composed of pressure-area
forces and forces resulting from a change in the axial component of the fluid
linear momentum. A free-body diagram of the preburner pump impeller
showing these forces is shown i n Fig. 52. We shall deal with each of the force
components in turn.
0 Pump inletpressure-areaforce. The followingassumes thatthe
static pressure at the impeller inlet is uniform across the spanned
radius.
Impeller eye radius 1.385 in.
Impeller
inlet
static
pressure 4430 psia
area inletImpeller 6.03
Impeller
inlet
pressure force 26,696flb
0 Impeller fluid momentumthrustforce
Impeller eye radius 1.385 in.
Impeller
inlet flow rate 125.8 Ibis
LOX density 70.2 lb/ft3
496 Mohr

Where:

F,= Impellerinletpressure-areaforce

F>= Impellershroudpressure-areaforce

F3= Impeller hub pressure-area force upstream of labyrinth seal

F4= Impellerhubpressure-areaforcedownstreamoflabyrinthseal

F T B ~ =Axial force on pump impeller due to turbine and main pump balance piston
Figure 52 CaseStudy 3. High-pressurestagedcombustionrocketengine.Liquid
oxygen turbopumppreburner pump impeller free body diagram.

Impeller inlet flow area 6.03 in.*

Bulk fluid inlet velocity
42.82 ftls
Impeller
momentum thrust force 167 lb f
0 Impellerfrontshroud pressure-areaforce (see Table l )
Impeller tip radius 2.5 in.
Impeller eye radius 1.385 in.
Number of stream tubes 10
Stream tube thickness 0.1115 in.
Impeller speed 29,190 rpm
Impeller tip static pressure 7300 psia
LOX density 70.2 lb m/ft3
Fluid pumping factor 0.4
Axial Loading in Turbomachines 497
E
498 Mohr

0 Impeller hub pressure-areaforce (upstream of labyrinthseal)

(see Table 2)
Impeller tip radius 2.5 in.
Impeller rear seal radius 1.68 in.
Number of stream tubes 10
Stream tube thickness 0.082 in.
Impeller speed 29,190 rpm
Impeller tip static pressure 7300 psia
LOX density 70.2 lb mift-
Fluid pumping factor 0.5
0 Impeller hub pressure-area force (downstream of labyrinth seal)
(see Table 3 )

Impeller rear seal radius 1.68 in.

Impeller hub radius 0.885 in.
Number of stream tubes 10
Stream tube thickness 0.0795 in.
Impeller speed 29,190 rpm
Thrust seal outlet pressure 925 psia
LOX density 70.2 lb m/ft3
Fluid pumping factor 0.5

From the data presented and the direction of the force vectors shown
in Fig. 52, we cancomputetheresultant axial thrustgenerated by the
preburner pumpimpeller. This resultanttotals 41,608 lbs and acts (as shown
in the figure) in the positive X direction, or toward the turbine.

irirrhille A . y i d Thrust. The derivation of theturbineaxialthrust is

handled in the same way as those in Case Studies 1 and 2. In order to derive
theblade row pressureloadings, Fig. 53 shows theextension of our
one-dimensional vector diagram to the hub and tip conditions for each blade
and vane row. The detailed computations for the blade row pressure-area
forces, the disk pressure-area forces, and the blade row fluid momentum
forces are summarized in Fig. 54.
The resultant turbine axial thrust, as shownin Fig. 55, totals approxi-
mately 143,000 lbs. This force acts in the negative X direction, or toward
the preburner pump. We can see that although the turbine thrust acts in
thedesireddirection,theresultant thrust of thepreburnerpump, seal
package, and turbineis in excess of 96,000 lbs. Thisis well beyond the stated
capability of the balance piston and is, in fact, beyond the steady-state capa-
bility of the combined balance piston and thrust ball bearing. Combining the
Axial Loading in Turbomachines 499
500 Mohr
.U
.- Q
m m c
G 2
a i
Y c
L m
w a -
.-
a 5
0 2
.S
ading Axial 501

baseline designs of preburner pump stage and turbine represents a clearly

intolerable condition.
Atthispoint,a design
modification appearsto be necessary.
Obviously, a large numberof modifications are possible. However, the con-
straints imposed on a particular design case will determine what modifi-
cations (if any) will rectifytheproblemcondition while still satisfying
all otherrequirements.Forexample, a modification is proposedwhich
involvesincreasingtheturbinepitch diameter.Thisturnsoutto be
impractical,becausetheoriginalturbinepitchdiameter of 10.1 in. was
determined to be the maximum which would not violate the constraints
on the rocket engine outer envelope. A reduction in turbine pitch diameter
would bring about a corresponding loss in turbine efficiency due to velocity

Turbine Hub, Mean, and TipConditions

Nozzle Outlet Second Rotor Inlet

Hub Mean Tip Hub Mean Tip

Radius 4.795 5.04 5.285 4.7915 5.04 5.288

U NIA NIA N/A 1220 1784 1347

cu 2468 2348 2239 2470 2348 2238

Ptot 5705 5705 5705 5705 5705 5705

Pstatic 491 3 4980 5038 4912 4980 5039

Ttot 1637 1637 1637 1637 1637 1637

Tstatic 1572 1578 1583 1572 1578 1583

Caxial 673 673 673 673 673 673

rCu 986 986 986 986 986 986

Ctotal 2558 2442 2338 2559 2442 2336

0.472
Mach 0.45 1 0.430 0.473 0.45 1 0.430
Figure 53 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen t u r b o p u m p t u r b m e configuration #l.
 502 Mohr

First Rotor Outlet Second Nozzlelnlet

Hub Mean Tip Hub Mean Tip

5.04
Radius 4.792 5.188 4.705 5.04 5.375

IJ 1221 1284 1347 NIA NIA lVIA

-573 CU -601 -546 -614 -573 -537

4685Ptot 4685 4685 4685 4685 4685

Pslatlc 457 1 4575 4578 4570 4575 1579

not 1562 I562 I562 1562 I562 1562

?'static 1552 I553 1553 1552 1553 I553

-827 Caxial -827 -827 -827 -827 -827

rC u -240.66
-240.66 -240.66 -240.66 -240.66 -240.6

Ctotal 1023 I006 99 I 1030 1006 986

0.187
Mach 0.190 0.184 0.191 0.187 n 1x3

Second Nozzle Outlet Second Rotor Inlet

Hub Mean Tip Hub Mean Tip

Radius
5.04 4.705 5.375 3.704 5.04 5.376

U NIA NIA NIA 1198 I284 1369

CU 2535 2367 2219 2536 2367 2219

Ptot 4583 4583 4583 4583 4583 4583

Pstatlc 3885 3965 4030 3885 3965 4030

Ttot 1562 1562 1562 1562 1562 1562

'lstatic 1494 1503 1509 1494 1503 1509

Caxial 679 679 679 679 679 679

rCu 994 994 994 994 994 994

Ctotal 2624 2462 2321 2625 2462 3320

Mach 0.497 0.465 0.438 0.497 0.465 0.438

Axial Loading in Turbomachines 503

Second Rotor Outlet

Hub Mean Tip

[lad i us 5.04 4.704 5.376

IJ 1284 1198 1369

cu -512 -548 -480

Ptot 3747 3747 3747

Pstatlc 3640 3636 3643

not 1489 1489 1489

Tstatlc 1477 1478 1478

Caxlal 955 955 955

rCu -215 -215 -21 5

Ctotal 1101 1083 1069

Mach 0.210 0.206 0.204

where

Radius= distance from turbine rotational axis. in

U= blade speed. ft/sec

Cu= fluid tangential velocity, fikec

Ptot= fluid stagnation pressure. psia

Pstatic= fluid static pressure, psia

Ttot= fluid stagnation temperature, deg R

Tstatic= fluid static temperature, deg R

Caxial= fluid axial velocity, ft/sec

rCu= fluid specific angular momentum, ft2/sec

Ctotal= fluidvelocity.ftisec ,,/-

Mach= fluid Mach number
 504 Mohr

Baseline Turbine Design Axial Thrust Components

Case Study 3 Turbine Axial Thrust Calculations

Turbine Configuration I : 50/50 work split, Reaction=35%

First Rotor blade row upstream pressure force calculation

I st rotor inlet
Radius, in Pstatic.psia
4912 4.791 Hub
4980 5.04 Mean
5039 5.288 Tip

Fit curve forblade annulus pressureFirstbladeheight

0.497 In
term Linear 255.54
3689.1
term
Constant of
Number stream
3 tub
Tube
web thickness= 0.166 in

Blade Ro Inner rad Outer rad Mean rad Avg prcss Area Force
tube # in in in psia in2 Ibf
1 4.791 4.957 4.874 4935 5.073 25034
4.957 2 5.122 5.040 4977 5.246 26107
5.122 3 5.288 5.205 5019 5.418 27195

Firstrotorbladerow inlet pressure force=78336 Ibf

Figure 54 CaseStudy 3. High-pressurestagedcombustion rocketengine-liquid

oxygen turbopump.
Axial Loading in Turbomachines 505

Case Study 3 Turbine Configuration 1 Axial Thrust Calculations

First rotor blade row downstream pressure force calculation

1 st rotor outlet
Radius, in Pstatic psia
Hub 457 4.791 1
Mean 4575 5.04
Tip 4578 5.288

Fit curvefor blade annulus pressure First bladeoutlet height

0.497 14.125
Linear Ter in
Constant 4503.5
Number
of stream tub 3
Tube
web thickness 0.166 in

Blade row inner radiu outer radiu Mean rad Avg

press
Area Force
tube # inches
inches psia in2 Ibf
1 4.791 4.957 4.874 4572 5.073 23197
4.957 2 5.122 5.040 4575 5.246 23997
5.122 3 5.288 5.205 4577 5.418 24799

l st rotor
row
outlet
Pressure-Area force= 71993 Ibf

Tvbc 1 l h t c r radInncr rad hlcm rad k e a Y mean Cu mean (uHCu) d(uCu)lg Stalls Pres Gas Dcnr SUDF Her Dvn hcul TDlal Ilea Tube Y'A
mchcr Incher nnchrs 1n2 fWYc Nwc fClYc2 >h toU1.h p s a IWfLl ft h 1) Ibf
0 4 792 4 l92 4192 OOOO 12200 610 1 744817 4571 OW8911 618928 1190 664719 0
I 4 191 4600 46% 16'2 11% 2 $08 I 71091 916 4166 OW8911 618242 1161 661801 21806
2 4 6 w 4408 4504 1421 11474 $117 658222 1176 4151 0998911 611911 ill7 M1028 24701
I 4408 4 211 4111 1 IW 1098 6 140 1 001421 1702 4548 OW8911 651615 4601 MO126 21007
4 5217 4021 4121 49tU 10498 $240 51lOl4 I628 454OOW89ll b5441J 4281 658698 22516
5 4015 j814 1910 4129 lOOl0 (W1 100981 1114 4112 OW8911 611250 1894 617144 21412
6 1814 I642 1718 4.199 9122 476 I 411110 1480 4124 OW8911 612140 I524 b51bb4 203'2
7 ?M2 1451 154h 4268 9014 4517 4080V 1406 41170W8911 b11086 l172 b14258 19278
8 1 4iI 1 259 I 11i 4018 8546 .I27I 1b5169 1112 4110 OW8911 61WP.8 2819 652917 I82W
9 1219 lob8 1101 1801 8OSI 402Y j24MO 1218 4101 0998911 649141 2524 bIIbb8 17144
10 ?W8 2 816 2912 3 517 1510 178 5 ?l6512 l184 4497 0998931 648211 2227 610484 16484

T a d first dlsk bonomvdcprmmre force= 2OVI12 hf

 506 Mohr

Case Study 3 Turbine # l Axial Thrust Calculations

Turbine Configuration 1: 50150 work split, Reaction=35%

Second Rotor blade row upstream pressure force calculation

Second rotor inlet

Radius, in Pstatic,psia
5 4.704 Hub
Mean 5.04 3965
5.376 Tip

FitcurveforbladeannuluspressureFirstbladeheight
0.672 in
217.26 term Linear
Number
2865.3
Constant
term of tub
stream 3
Tube web thickness= 0.224 in

Blade
RoInner
rad
Outer
rad
Mean rad
Avg
press
Area Force
tu be in in2 inpsia in Ibf
6.77839124.816
1 4.9284.704 265 14
7.0933960 5.045.1524.928 2 28092
7.40940095.264
5.376
5.152 3 2970 1

2nd rotor blade row inlet pressure force= 84307 Ibf

 Axial Loading in Turbomachines 507

Case Study 3 Turbine Configuration 1 Axial Thrust Calculations

Sccond rotor blade row downstream pressure force calculation

Second rotor outlet

Radius, in Pstatic psia
4.704 Hub
5.04 Mean
5.376 Tip

Fit curvefor blade annuluspressureFirst blade outlet height

10.4
Linear Ter 17 0.672 in
Constant 3587.2
Number
of stream 3tub
Tube
web thickness 0.224 in

Blade row inner radiu outer radiu Mean rad Avg press
Area
Force
tube # inches inches inches psia in2 Ibf
1 4.704 4.928 4.816 3637 6.778 24655
4.928 2 5.152 5.04 3640 7.093 25818
5.152 3 5.376 5.264 3642 7.409 26983

Sccond rotor row outletpressure- area force= 77456 Ibf

 508 Mohr

Baseline Turbine Design Axial Thrust Totals

Thrust Load Magnitude

Component Lbf

pressure
inlet
First row
rotor
force -78336

pressure
topside
force
First disk -349657

First row
rotor exit pressure
71992
force

First bottomside
disk pressure
force 209 132

Second rotor
inlet
row
pressure
force -84307

Secondtopside
pressure
disk
force -167719

Second pressure
rotor
exit
rowforce
77455

Second bottomside
disk pressure
force
177542

momentum
fluid
First rotor
force 313

Secondmomentum
fluid
rotorforce 563

turbine Total

41608thrustpump
preburner
Total

Interpropellant
Package
thrust
Seal 5000

964 thrust rotorResultant

Figure 55 CaseStudy 3. High-pressurestagedcombustionrocketengine-liquid

oxygen turbopump.

ratio considerations. (We are reminded here that the turbopump shaft speed
is already at a maximum due to main pump-stage impeller cavitation per-
formance and that a minimum turbine efficiency constraint of approxi-
mately 75% must be met to satisfy engine performance requirements.)
oading Axial 509

At this point, it would be instructive to examine in some detail the

loadingmechanisms thatarecausingourproblem.If we refer to Fig.
55, the turbine axial thrust components are tabulated. We can easily see
that the single largest contribution to the pump direction (negative Xdirec-
tion in the figure) thrust load comes from the pressure-areaforceover
the upstream side of the first-stage turbine disk. This is due to both the
first-stage nozzle outlet pressure (which is still relatively high) and the fact
that the hub diameter on top of the first disk is equal to zero. It would
seem that if thefirst-stagediskupstreamsidepressureloadcould be
lowered, the resultant turbine thrust could be lowered significantly. The
same is true, although to lesser
a degree, for the second-stage disk upstream
side pressure load. The character of the first disk upstream pressure load is,
of course, determined by the static pressure at the first-stage nozzle outlet
hub. In turn, this pressureis determined by the nature of the turbine vector
diagram, in particular the stage work split (currently 50/50) and the speci-
fied degree of reaction (currently 35%).
To lower the first-stage nozzle outlet hub pressure, we could modify
any of the following: the first-stage rotor reaction, the stage work split,
or acombination of both. Loweringthefirst-stagereactionlowersthe
enthalpy drop in thefirst-stage rotor, thereby lowering the required nozzle
outlet pressure in the presence of a constant stage work. The same could
be saidforthe second turbinestage,although we wouldexpect a
substantiallylowerdecrementinthrust given thelowersecond-stage
pressures, and the lesser areas involved.
In view of theabovediscussion, we propose the following turbine
design modification: While retaining a 50150 stage work split, lower the
first-stage reaction to a value of (essentially) zero. This makes the first-stage
an impulse stage (although a subsonic one,in contrast to our previouscase
studies). Additionally, we propose lowering the reaction of the second-stage
to a value of approximately 10%. We propose retaining some second-stage
reactiontoretainstageaerodynamicperformanceand because we do
not expect that giving up the last 10% of reaction will make any substantial
difference in regard to rotor thrust.
It should be noted here that the above modifications to the turbine
pressuredistributionareproposedpurely onthe basis ofeducated
speculation. Although they will certainly take us in the right direction,
it is unclear that they will completely resolve our problem condition. Such
is the iterative nature of the design process. With this optimism in mind,
we generate a vector diagram for our new turbine, which we call configur-
ation 2. This configuration retains the 50/50 work split but incorporates
an impulse first stage and a second-stage mid-span reaction of approxi-
mately 10%. The new vector diagram is shown in Fig. 56. The reader will
 510 Mohr

Turbine Annulus Flow Conditions

Midline blade speed= 1284 ft/sec, inlet total pressure=5785 psia

1 2 3 4

4720
Static
psia
Pressure, 4595 3800 3640

Static Temperature, deg R 1557 1556 1487 1479

2841ft/sec
Velocity.
Absolute 720 2745 887

Flow Angle (deg to axial) 74 -19 -19 74

Figure 56 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbine configuration #2. Turbine vclocity vector diagram.

note that the outlet angles for each blade and vane row are kept unchanged
from thebaseline turbine design. We do thisonly for the sakeof expediency
and with the understanding that the actual angular changes involved would
not be very large. However, in reality, the vector diagram would be com-
pletely reoptimized when turbine pressure distributions are changed.
The flow conditions for hub, meanline, and tip stations for the con-
figuration 2 turbineareshown in Fig. 57. Usingthesestaticpressures,
ding Axial in Turbomachines 511

we can again derive thepressure-area load data for the blade rows and disk
faces, as well as the fluid momentum forces for the blade rows. These data
are shown in Fig. 58. In Fig. 59, we see the various thrust components
tabulated, alongwith the resultant rotor thrustof approximately 60,000 lbs.
Itshould be notedherethatour designmodificationhasessentially
succeeded. Our modification of turbine pressure distribution has lowered
the resultant rotor thrust to a level which is within(if on the outskirts
of) thebalancepistonrestoringforcecapability.However, in view of
the uncertainties inherent in our analysis of the rotor thrust components,
as well as uncertainties that no doubt exist in the quoted balance piston
capacity, we decide to explore the next logical modification to reduce turbine
axial thrust.
The thought process that led us to attempt to reduce the first disk
upstream side pressure load is essentially the correct one, and we can carry
this one step further. Because the first turbine stage is already an impulse

First Nozzle Outlet First Rotor lnlct

Hub Mean Tip Hub Mean Tip

Radius 4.795 5.04 5.285 4.7915 5.04 5.288

U NIA NIA NIA 1220 1284 1347

Cu 2870 273 1 2604 2872 273 1 2602

Plot 5680 5680 5680 5680 5680 5680

Pstatic 4635 4720 4797 4634 4720 4798

Ttot 1637 1637 1637 1637 1637 1637

Tstatic 1550 I557 1564 1550 1557 1564

Caxial 783 783 783 783 783 783

rCu 1147 1147 1 l47 1 l47 1 l47 1 l47

Ctotal 2975 2841 2719 2977 284 1 2717

Mach 0.553 0.527 0.503 0.554 0.527 0.503

Figure 57 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopump-turbine configuration #2. TurbineHub, Mean. and Tip Con-
ditions.
 512 Mohr

First Rotor Outlet Second Nozzle Inlet

Mean Hub Tip Hub Mean Tip

Radius 4.792 5.04 5.288 4.705 5.04 5.375

U 1221 1284 1347 NIA NIA NIA

-240 c u -252 -229 -257 -240 -225

Ptot 465 1 465 1 465 1 465 1 465 1 465 1

4595Pstatic 4594 4595 4594 4595 4596

Ttot 1562 I562 1562 1562 I562 1562

1557Tstatic 1557 1557 1557 1557 1557

Caxial -679 -679 -679 -679 -679 -679

rC u -100.8 -100.8 -100.8 -100.8 -100.8 - 100.8

Ctotal 724 720 716 726 720 715

Mach 0.134 0.134 0.133 0.135 0.134 0.133

Second Nozzle Outlet Second Rotor Inlet

Mean Hub Tip Hub Mean Tip

Radius 4.705 5.04 5.375 4.704 5.04 5.376

U NIA NIA NIA I l98 1284 1369

cu 2827 2639 2475 2827 2639 2475

Ptot 4554 4554 4554 4554 4554 4554

Pstatic 3705 3800 3880 3705 3800 3880

Ttot 1562 1562 1562 1562 1562 1562

Tstatic I478 1488 1496 1478 1488 1496

Caxial 757 757 757 757 757 757

rCu 1108 1108 1108 1108 I108 I108

Ctotal 2927 2745 2588 2927 2745 2588

Mach 0.558 0.522 0.490

0.522 0.558 0.490
 Axial Loading in Turbomachines 513

Turbine Hub, Mean, and Tip Conditions

Second Rotor Outlet

Hub Mean Tip

Radius 5.376

U 1284 1198 1369

cu -291 -312 -273

Ptot 371 1 371 1 371 1

Pstatic 3640 3638 364 1

not 1487 1487 1487

Tstatic 1480

Caxial 838

22 rCu -1 22 -122

887
Ctotal 894 88 1

Mach 0.168

where

Radius= distance from turbine rotational axis. in

U= blade
speed, ftisec

Cu= fluid tangentlal velocity, ftisec

Ptot= fluid stagnationpressure,psla

Pstatic= fluid static pressure, psla

Ttot=fluidstagnationtemperature,degR

Tstatic= fluid static temperature, deg R

Caxial= fluid axial veloclty, Wsec

rCu= fluid specificangularmomentum,ft2/scc

Ctotal= fluidveloclty,Wsec d w
Mach=fluidMachnumber
 514 Mohr

Case Study 3 Turbine Axial Thrust Calculations

Turbine Configuration 2: 50/50 work split, Impulse/React=lO%

First Rotor blade row upstream pressure force calculation

First rotor inlet

Radius, in Pstatic,psia
4634 5 4.791Hub
Mean 4720 5.04
4798 5.2885 Tip

Fit curve
for blade annulus
pressure First blade height
0.497 in
Linear term 329.88
Constant term Number
of
3054.2 stream
3 tub
Tube web thickness= 0.165667 in

Blade Ro Inner rad Outer rad Mean rad Avg press Area Force
tube # in in in in2 psia Ibf
1 4.792 4.957 4.874 4662 5.074 23655
4.957 2 5.123 5.040 4717 5.246 24745
5.123 3 5.289 5.206 4771 5.419 25855

First rotor blade row inlet pressure force=74255 Ibf

Figure 58 Case Study 3. High-pressurestagedcombustion rocket engine.Liquid

oxygen t u r b o p u m p t u r b i n e configuration #2 axial thrust components.
 Axial Loading in Turbomachines 515

Case Study 3 Turbine Configuration 2 Axial Thrust Calculations

First rotor blade row downstream pressure force calculation

First rotor outlet

Radius, in Pstatic psia
Hub 4595 4.791
5 5.04 Mean
5.288 Tip

FitcurveforbladeannuluspressureFirstbladeoutletheight
Term Linear 0 0.497 in
Constant 4595
Number
stream
of
3tub
Tubewebthickness0.165667 in

Blade row innerradiuouterradiuMeanrad Avg pressAreaForce

Ibf tube
in2 psia
# inches
inches
inches
1 4.791 4.957 4.874 4595 5.073 23312
4.957 2 5.122 5.040 4595 5.246 24104
3 5.122 5.288 5.205 4595 5.418 24896

Firstrotor row outletPressure-Areaforce=72312 Ibf

0 0
l 25936
25828
3 237%
4 22610
< 2 I540
6 2045s
7 19170
8 18101
9 17211
10 Iblbb

210190 Ibf
516 Mohr

Case Study 3 Turbine 2 Axial Thrust Calculations

Turbine Configuration 2: 50/50 work split, Impulse/Reaction=lO%
Second Rotor blade row upstream pressure force calculation

Second rotor inlet

Radius, in Pstatiqpsia
Hub 3705 4.704
Mean 3800 5.04
Tip 3880 5.376

Fit curve
for blade annulus pressure
First
blade height
0.672 in
Linear term 260.42
Constant term 2482.5 Number of stream tub 3
Tube
web thickness= 0.224 in

Blade Ro Inner rad Outer rad Mean rad

Avg
press
Area Force
tube # in in in psia in2 Ibf
1 4.704 4.928 4.816 3737 6.778 25328
4.928 2 5.152 5.04 3795 7.093 26920
5.152 3 5.376 5.264 3853 7.409 28548

Secondrotor blade row inlet pressure

force= 80796 Ibf

5041"
0 672 m
1 l04 m
2 876 ~n
10
0 l828 8"
os
l478
J 619 Ib/mck
424 5672
1056 8 radiwc

Tube i( 1IuIcr r d Inn- rad hlcrn rad Area U mm Cu mean iuMCu) AIuCuVg Suue P r a 0 1 % Dens Sllllc He1 Dyn head Told I1.a Tvbr P * A
Inches Inches mrhn m2 Nwc Rwc fWuc2 Ah tola1 ft p m lbiN ll n n IbF
0 1701
4704 4701 O W 11981 1WI 111920 170s 0810217 627110 5581 011091 0
I 4704 ,4521 5611 S298 11710 5875 690292 818 1701 0850217 026867 612211
5166 19W9
2 4 521 4 IJS 4410 8 088 11284 5642 616661 1656 I6W 0850217 625418 4949 630?68 18794
I J 138 4156 4 247 4878 1081 9 1400 58S202 15'18 I687 0850217 624520 4549 628969 17984
4 4 IS6 1071 4064 1668 10151 517b 115910 1511 l680 0850217 621273 JIM 627.119 17118
1 1971 17W 1881 4 I58 988 7 493 4 4887R6 1461 1674 0850217 622170 IUW 625975 16177
6 17W 1607 Ib W 4 248 942 2 471 l 441810 11% 1661 0850217 621129 14-0 62457L1 I5579
7 1607 lJ24 1 0 6 4018 R956 J478 401012 1129 16-51 08S0211 620111 ill8 621250 14785
S JJ14 1242 113) 1828 8490 42J 5 IbQJ21 1161 3656 0880211 619l87 1802 621989 11995
U 1252 JUS9 J I10 1 618 802 S 401 2 121972 1194 1651 0850217 618291 250; 02079s 11209
10 1059 2876 2967 1408 7519 1779 115689 1127 JN608i0211 bl7J47 1121 619M8 12421
rota1 2nd dnk topwdo prcmrc force- IS99JJIbf
Axial Loading in Turbomachines 517

Sccond rotor blade row downstream pressure force calculation

Second rotor outlet

Radius, in Pstatic psia
Hub 3638 4.704
Mean 3640 5.04
Tip 3641 5.376

Fit curve for blade annulus pressure First blade outlet height
Linear Term 4.4643 0.672 in
Constant 7 361
Number
of stream tub 3
Tube
web thickness 0.224 in

Blade row inner radiu outer radiu Mean rad Avg

press
Area Force
tube # inches
inches psia in2 Ibf
1 4.704 4.928 4.816 3639 6.778 24662
4.928 2 5.152 5.04 3640 7.093 25817
5.152 3 5.376 5.264 3641 7.409 26971

Second rotor row outlet

Pressure-Area force= 77451 Ibf

Caw SNd: 1 T v h n c Configmuon 2 Axul Thrust C.lculaamr

dtb bonomrlde p c c w ~ carc1 forcc cllculnlm~
\r.rw~dr~fw

Bhdc r n m n l h m d w - 504 I"

Uhda h-&- 0 672 8n
Dsk bollannds W I C ~ndlur- 4 704 m
Dak batomradc radws- 2 517 m
Nu#uhcrafm u m NbCI 10
Stream uhc w b Ihrcbcu.. 0 2167 /n
Pvrnpm~lfactor(KP 05
G u Tmpcramrc (R)- 1419
Gas hldrrular Wr. 1 619 Ibimok
G U canna"," 424 %l2
Dlrk h n p l a r ~ c l c m r y - l016 8 rad/=

Tube il Oulcr rad Inn" rad Mean rad Arc. mcm

Y Cu mcan (unCu) UuCuYg SUbc Pres Gal Dens Shuc HI. D y n hesd Tot4 HI. Tube P'A
mchrs Inches lnrhas 1n2 fWwc Wvr fWwc2 Ah 1od.n psu lbiN n ll n Ibf
0 4704
6704
4104 O W 11981 5991 711920 1618 0814278 627915 S581 611516 0
I 4 704 4487 4 '96 6257 11707 585 1 685229 1015 l614 0814278 621114 iJ27 612500 22716
2 4481 4271 4179 5962 11155 S511 622111 19M 1625 0814278 625705 4816 610~41 21614
l 4271 4054 6 162 (b67 IMI 510 l 562080 1865 1617 OS14218 624107 4169 618616 20198
4 dos4 1811 l046 5 172 IW5 I 502 5 505016 1770 1649 0814278 622919 1926 b26% I91W
5 1817 1621 1129 5077 9499 4149 451119 1616 l M 2 0 8 1 4 2 7 8 021721 1501 625210 18288
6 1621 1404 IS12
4782
8947
4471 400210 1581 15950814278 62008 621b4V
1111
17192
7 1404 1 l87 I295 4487 819 5 419 l I52147 1486 1589 0814218 019424 2719 622161 16102
8 1187 2970 1079 4192 7841 1921 101512 1192 1581 0834218 618180 2191
620771 lSOl8
9 2970 2 754 2862 18U7 119 I Ib4 5 2657M 1297 1577 0814218 611408 2 o W 619.174 l1919
10 2754 2 517 2645 1 M2 671 9 l 1 6 9 227011 1201 1'72 0814278 6165C4 1765
618271 l2865

Tau1 \<rmdd#sk horlanrbdr prcrwre forcc- 1llb42 Ibl

 518 Mohr

Thrust Load Magnitude

Component Lbf

First rotor row inlet pressure force -74254

First disk topside pressure force -329806

First pressure
rotor
exit
rowforce
723 11

bottomside
disk
First
pressure
210190
force

Second rotor
inlet
row
pressure
force
-80796

Second topside
disk
pressure
force - 159934

Second rotorpressure
exit
rowforce
77450

Second disk
bottomside
pressure
force
17764 1

Firstmomentum
fluid
rotorforce -21 1

momentum
Secondfluid
rotor
167
force

thrust turbine Total - 107242

thrust
preburner
pump
Total 41 608

Interpropellant
Package
thrust
Seal 5000

st rotor Resultant
Figure 59 CaseStudy3.High-pressurestagedcombustionrocketengine.Liquid
oxygen turbopumpturbine configuration #2 design axial thrust totals.

stage, we cannot lower thefirst nozzle outlet hub pressure any furtherwhile
maintaining a 50/50 work split between the turbine stages. To lower this
pressure further, we must abandon the equal work split and bias the turbine
work toward thefirst stage. Specifically, we now propose changing the stage
worksplit to 60140 while maintaininganimpulse first stagewith a
second-stage reaction of approximately 10% at the blade mid-span. This
ading Axial in Turbomachines 519

modification will constitute what we call our configuration 3 turbine. We

canalsostate(fromevaluatingcomputersimulations of theturbine
performance) that configuration 3 represents the extent of the efforts we
can make to reduce the turbine thrust. Further efforts to lower the first
nozzle outlet pressure will cause turbine performance tobegin to deteriorate
due to high aerodynamic loading in the first stage. If further modifications
are required, they must be made to hardware other than the turbine.
Figure 60 shows the vector diagram for the configuration 3 turbine.
Figure 61 shows the hub, mean, and tip flow conditions. From these data,
we can make the computations shown in Fig. 62 for the various turbine
thrustcomponents.Figure63shows these componentstotaledwiththe
preburner pump thrust to arrive at the rotor resultant thrust.
The new pressure distributions in configuration 3 have resulted in a
netrotorthrust of approximately 56,000 Ibs. Althoughthisrepresents
another significant improvement, it would be prudent to reduce the antici-
pated rotor thrust further, if possible. We will now explore modifications
to components other than the turbine.
Figure 64 shows a cross section of the preburner pump impeller with
the various axial thrust components identified. It shouldbe emphasized here
that our desire is to increase the resultant thrust of the impeller in the + X
direction (in thefigures coordinate system). It canbe seen that the impeller
inlet pressure-area force and front shroud pressure-area force are both act-
ing in a favorable direction. This is indeed fortunate because these force
components are noteasily altered. On the impeller hub, there are two major
vortex flow fields separated by a labyrinth shaft seal. Aswe can see from the
calculations involving the preburner pump earlier in this section, quite a
large static pressure drop exists across this seal. It is also apparent that
themagnitude of force F3 will decrease as thelabyrinth seal is moved
radially toward the impeller tip. Although the area associated with pre-
ssure-area force F4 will increase as we relocate the seal diameter, the seal
pressure drop is large enough that the result should be a net decrease in
the pressure-area force over the impeller hub.
It should be noted here that increasing the radiusof the labyrinth seal
will have an unpleasantside effect. If we hypothesize that the absolute clear-
ance between the rotating and stationary elementsof the seal remains con-
stant,theannulararea betweentheseelements will increasewiththe
seal radius. If the seal pressure drop remains constant, the effect will be
to increase the sealmass flow rate. Because the sealflow represents parasitic
leakage, the neteffect will be to reduce thepump stages (apparent) efficiency
somewhat. Although we are ignoring thiseffect in the present case study, it
should be borne in mindthatfactorsotherthanaxialthrustbalance
may play a role in situations such as this.
520 Mohr

Turbine Annulus Flow Conditions

Midline blade speed= 1284 ft/sec, inlet total pressure=5785 psia

4 3 1 2

Static Pressure, psia 4500 4305 3750 3640

Static Temperature, deg R 1539 1536 1489 1482

Absolute Velocity, Wsec 3150 995 241 1 684

Flow Angle (deg to axial) 74 -34 74 0

Figure 60 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen t u r b o p u m p t u r b i n e configuration #3. Turbine Velocity Vector Diagram.

Let us explore the effect of relocating the impeller hub labyrinth seal
from its present radius of 1.68 in. to a radius of 2.00 in. The new estimates
for preburner impelleraxial thrust components are shown in Fig. 64. It
can be seen that ourseal adjustment modification has increased the impeller
thrust by approximately 19,000 lbs, bringing the net rotor thrust to just
under 37,000 lbs. A force of this magnitude is comfortably within the stated
capability of the main pumps thrust balance piston.
ding Axial 521

We have reached a decision point in our iterative design process. The

currentturbineandpumphardwarecombinationthathas evolved in
our first cutclearlymeetstheintent oftheaxialthrustbalance
requirements. On the other hand,we could explore two other possible modi-
fications to further reduce thenet rotor thrust. The first of these would be a
simple extensionof our last modification.If we reposition the labyrinth shaft
seal to a still larger radius (say, 2.2 in.), the net rotor thrust will be reduced
by an additional 10,000-1 5,000 Ibs. (The computational proof of this is left
as an exercise.) However, we are informed by the specialists responsible
for seal design that a 2.2-in.-radius labyrinth seal will have a magnitude
of leakage that is considered undesirable.
Another possible modification to increase the preburner pumps +X
axial thrust centers around the impeller hub downstream of the labyrinth
seal. As mentioned in our initial guidelines, the static pressure in the cavity
at the impeller hub just upstream of the ball-bearing package is to be main-

First Nozzle Outlet First Rotor inlet

Hub Mean Tip Hub Mean Tip

4.791 5.285Radius
5.04 4.795 55.288 5.04

NIA NIAU NIA 1347 1284 1220

2888 cu
3028 3183

5658 Ptot 5658 5658

5658 5658

Pstatic 4399 4590 4500 4399 4500 4590

1636 1636
Ttot 1636

1546 1539
Tstatic 1529

68 868Caxial 868 868

1272 rCu

Ctotal 3299 3150 3299 3016 3016 3150

0.618 0.562 Mach

0.588 0.618
Figure 61 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbineconfiguration #3. TurbineHub, Mean, and TIp Con-
ditions.
 522 Mohr

First Rotor Outlet Second Nozzle Inlet

Hub Mean Tip Hub Mean Tip

5.04 4.792Radius 5.288 4.705 5.04 5.375

U 1221 1284 I347 NIA NIA NIA

cl1 -561 -590 -534 -60 1 -561 -526

4408 4408 Ptot 4408 4408 4408 4408

4305 4302 Pstatlc 4309 4301 4305 4309

1546
Ttot l546 1546 l546 1546 1546

1536 1536 Tstatic 1536 1536 1536 1536

-822 -822 Caxial -822 -822 -822 -822

-235.6 -235.6 rCu -135.6 -235.6 -235.6 -235.6

Ctotal I O 12 995 980 1018 995 976

0.186 0.189 Mach 0.183 0.190 0.186 0.182

Second Nozzle Outlet Second Rotor Inlet

Hub Mean Tip Hub Mean Tip

5.04 4.705Radius 5.375 4.704 5.04 5.376

IJ NIA NIA NIA I198 1284 1369

2318
cu 2483 2174 2483 2318 2174

4315 4315 Ptot 4315 4315 4315 4315

3750 3678 Pstatic 381 1 3678 3750 381 1

1546
ltot 1546 1546 1546 1546 1546

1489 1481 Tstatic 1495 1481 1489 1495

664 664 Caxial 664 664 664 664

973 973 rCu 973 973 973 973

2570
Ctotal 241 1 2273 2570 241 1 2273

431 0.458 0.489 Mach 0.489 0.458 0.43 1

Axial Loading in Turbomachines 523

Second Rotor Outlet

Hub Mean Tip

Radius 4.704 5.04 5.376

U 1 l98 1284 1369

cu 0 0 0

Ptot 3682 3682 3682

Pstatlc 3640 3640 3640

Ttot 1488 1488 1488

Tstatic 1483 1483 1483

Caxial 684 684 684

rCu 0 0 0

Ctotal 684 684 684

Mach 0.130 0.130 0.130

where

Radius = distance from turbine rotational axis. in

U= blade
speed,
ft/sec

Cu = fluidtangentialvelocity.ft/sec

Ptot = fluidstagnationpressure,psia

Pstatic = fluid static pressure, psia

?'tot = fluidstagnationtemperature, deg R

Tstatic = fluid static temperature, deg R

Caxial = fluid axial velocity, ft/sec

rCu = fluidspecific angular momentum, ft2/sec

Ctotal = fluidvelocity.ft/sec d m
Mach = fluidMach number
524 Mohr

Case Study 3 Turbine 3 Axial Thrust Calculations

Turbine Configuration3: 60140 work split, Impulse/React=lO%

First Rotor blade row upstream pressure force calculation

First rotor inlet

Radius, in Pstatic,psia
Hub4399 5 4.791
Mean 4500 5.04
Tip 4590 5.2885

Fit curve for blade annulus

pressure
First
blade height
0.497 in
term
Linear 384.3 1
Constant term 2559.4 Number of stream tub 3
Tubeweb thickness= 0.165667 in

Blade Ro Inner rad Outer rad Mean rad Avg pressArea Force
tube # in in in psia in2 Ibf
1 4.792 4.957 4.874 4433 5.074 22490
4.957 2 5.123 5.040 4496 5.246 23589
3 5.123 5.289 5.206 4560 5.419 24709

First rotor blade row inlet pressure force= 70788 Ibf

Figure 62 Case Study 3. High-pressurestagedcombustion rocket engine.Liquid

oxygen t u r b o p u m p t u r b i n e configuration #3 axial thrust components.
Axial Loadlng in Turbomachines 525

Turbine Configuration #3 Axial Thrust Components

First rotor blade row downstream pressure force calculation

First rotor outlet

Radius, in Pstatic psia
Hub 4302 4.791
Mean 4305 5.04
Tip 4309 5.288

Fit curve for blade annulus pressure

First
blade
outlet height
Linear Term 0.497 14.083 in
Constant 4234.4
Number of stream tub 3
Tubeweb thickness 0.165667 in

Blade row Inner radiu Outer radiu Mean rad Avg press Area Force
tube # inches
inches
inches psia in2 Ibf
1 4.791 4.957 4.874 4303 5.073 21830
4.957 2 5.122 5.040 4305 5.246 22585
5.122 3 5.288 5.205 4308 5.418 23340

First
rotor row outlet Pressure-Area
force= 67755 Ibf
526 Mohr

Case Study 3 Turbine 3 Axial Thrust Calculations

Turbine Configuration 3: 60/40 work split, Impulse/Reaction=lO%

Second Rotor blade row upstream pressure force calculation

Second rotor inlet

Radius, in Pstatic,psia
Hub 3678 4.704
Mean 3750 5.04
Tip 3811 5.376

Fit curve for blade annulus pressure First blade height

0.672 in
Linear term 197.92
Constant term 2749 Number of
tubstream 3
Tube
web thickness= 0.224 in

Blade RoInner rad Outer rad Mean rad Avg press Area
Force
tube # in in in psia in2 Ibf
1 4.704 4.928 4.816 3702 6.778 25094
4.928 2 5.152 5.04 3747 7.093 26576
5.152 3 5.376 5.264 3791 7.409 28085

Second rotor blade row inlet pressure

force= 79755 Ibf

Tube x (Mer radInn" rad M ( c u nd Ymcm cu mean (")(C") d(uCuyy Stmr Pres Gail Dens Sltil~cHe, Dyn hrrd Totd He. Tub< P.A
lnchsr nnchar inLhn an2 Ww Nuc fWxd Ahrnm1.n pm lb,fll h R R Ibf
0 4704 4 l04 J l04 O m l198 1 50" I 111920 1678 0 8 J 2 l l 2 628781 1581 blJlb5 0
l 4104 4521 4bll 5298 11750 5875 bW2VZ 858 l 6 1 4 0 8 4 2 1 1 2 b28lJI 5166 b1J501 I94W
2 J521 5118 4JlO 5088 11284 $012 616641 IbM 1661 0 8 4 2 1 1 2 b26892 49J9 b118J1 186i1
I J 118 J 116 4241 J818 1081 9 5409 58S202 1598 1600 0 8 J 2 I I 2 615691 4119 bl02Jl 1180
4 41% 3911 JUIJ 4668 1010 I116 SIIYIU 1 0 1 16510842112 62JS4b JIM 628712 l1051
I 1913 1100 1881 JJ58 988 l J9J.1 488186 1561 1631 0842112 621449 1100 b21249 lh258
6 1199 I b01 169'I J2J8 9J?2 171 I 5.11810 I196 3641 08J2112 622401 l450 0258S1 IS466
l 1601 I J2.I 1516 JUl8 89s 6 4578 J01042 1129 1615 0842112 62140b Ill8 624524 14618
8 1414 12J2 I 111 I828 8J90 4:J I )MU21 1261 1629 O$J:ll? b20Jb1 2802 621262 13804
9 12JZ 1019 1150 3618 8025 301: 121972 IIP4 1b240812112 619565 2501 622M8 11111
10 IOI'I 2816 29b7 l408 1559 1179 285689 1111 lb19O8J2ll2 618721 2221 620942 1?111
Tal.l\r,illlddlrklopud~
prrnurc iorcc- 158111 Ibi
Axial Loading in Turbomachines 527

Second rotor blade row downstream pressure force calculation

2nd rotor outlet

Radius, in Pstatic psia
Hub 3640 4.704
Mean3640 5.04
Tip 3640 5.376

Fit curve for blade annulus pressure

First
blade
outlet height
Linear Term 0 0.672 in
Constant 3640
Number
of stream tub 3
Tube
web thickness 0.224 in

Bladerow Inner radiu Outer radiu Mean rad AvgpressArea Force

tube # inches
inches
inches psia in2 Ibf
1 4.704 4.928 4.816 3640 6.778 24673
4.928 2 5.152 5.04 3640 7.093 25820
5.152 3 5.376 5.264 3640 7.409 26968

Second rotor
row
outlet
Pressure-Area force= 77461 Ibf

I h m i Told HCI T v b r P * A
n bf
5 W 615114 0
5121 bJ.1199 22149
1816 b122J9 21b2b
4lb9 b10114 20110
I926 628bQ01 l9401
1501 026928 18298
1111 025141 11202
2719 bZ38bl 16112
2191 b224b9 15027
2ohb 021112 11947
1765 bIWb9 12871
 Mohr

Thrust

Component Lbf

First rotor row inlet

pressure
force
-70787

Firsttopside
disk
pressure
force 13023
-3

First rotorpressure
exit
row
force
67754

Firstbottomside
disk pressure
force 196807

Second rotor
row
inlet
pressure
force
-79755

Secondtopside
disk
pressure
force -158771

Second rotor row

exit
pressure
force
77460

Second disk
bottomside
pressure
force
177744

First rotor fluid momentum

force -94

Second momentum
rotor
fluid force 41
Figure 63 CaseStudy 3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopum-turbine configuration #3 design axial thrust totals.

tained at approximated200 psia at our design operating point. To arrive at

this hub pressure in the presence of the given radial pressure gradient (a
K value of 0.5) requiredsetting thelabyrinth seal outletpressure to a
substantially higher value. If the K value could be conveniently lowered,
the labyrinth, seal outlet pressure could be lowered accordingly. This would
lower the pressure across the downstream impeller hub surface, effectively
relieving a portion of the -X thrust component. Figure 65 shows our pro-
posed modification. We propose placing a ring of antivortex vanes in
the flow passage between thelabyrinthoutletandthe inlet tothe
ball-bearing package. This vane ring is simply an array of radial slots to
discourage tangential motion. In testing on a special flow test rig, we find
through measurement that this vane ring reduces the impeller hub-to-fluid
velocity ratio (the K value) from 0.5 to approximately 0.15. When installed
Axial Loading in Turbomachines 529

Where:

F,= 26696 Ibf

Fz= 90067 lbf

F3= -48671 lbf

Fd= -7646 lbf

Fm= 167 lbf (preburner pump fluid momentum thrust)

F,,,= 60613 Ibf (resultant preburner pump thrust)

FTRF -3701 I Ibf

Figure 64 CaseStudy 3. High-pressurestagedcombustionrocketengine.Liquid

oxygen turbopumpfree body diagram. Preburner pump impeller with 2-in radius
labyrinth seal.

in the turbopump, this antivortex feature reducesthemagnitude of the

radial pressure gradient from the labyrinth seal outlet to the inlet of the
ball-bearing package. Specifically, it allows us to reduce the labyrinth seal
outlet pressure to approximately 630 psia to maintain a bearing package
inlet pressure of 200 psia. We should note that the labyrinth outletpressure
wasapproximately 1000 psia withouttheantivortexfeatureinstalled.
530 Mohr

Figure 65 CaseStudy 3. High-pressurestagedcombustionrocketengine. Liquid

oxygen turbopump-proposedmodification
incorporating de-swirl slots
downstream of preburner pump impeller hub.

The reductionof the seal outlet pressurebrought aboutby the lower K value
hasdecreasedtheimpeller hub pressure-areaforce by approximately
3500 lbs.
At this point,we have evolved arotor configuration which requires an
axial restoring force from the main pump balance piston of approximately
33,500 Ibs. This is on the order of 51% of the quoted capability of the bal-
ancepiston. We haveachieved our designobjectives. The analysis that
remains to be done consists of evaluation of the rotor axial thrust at a
set of operating points other than the design point. Because this rocket
engine systemis to be capable of operation over a significant range of thrust,
turbopump operating points corresponding toseveral different thrust levels
should be carefullyexamined to determine the magnitude and direction
of the required balance piston restoring force. Although the design point
operation may be satisfactory, it is entirely possible that operation at points
corresponding to other thrust levels will reveal deficiencies in our design.
Thesewouldrequirecorrection by thesamemethods we have been
describing in this case study. When this exercise has been completed, we
can proceed with confidence into the testing phase for this turbopump.
The early phases of testing for machines such as the one in this case
studyshouldalwaysincludeaset of thrust tests. The turbopump used
for thesetestsshould be a prototype incorporating sufficient instrumen-
ding Axial 531

tation to confirm or refute our variouspressure-area force predictions. The

actual testing will consist of operation of the machine in a stand-alone
mode. The tests should include dwell periods at discrete operating points
that stimulate those of the rocket engine system. The data collected during
these tests will either attest to the machines suitability for use or be used
to guide modifications in the next design iteration.

ACKNOWLEDGMENTS

I would like to publicly extend my appreciation for the contributions of

certain individuals in the preparation of this chapter. To Mr. Bob Clager,
whom I have tried to emulate, with varying degrees of success. To Mr. James
BoyntonandMr.TonyEastland ofRockwellInternational,whohave
guidedmethroughtreacherousterritory. ToMr.RichardHagerand
Mr. Doug Benson of Ah-ha! Design Group, Inc. Without their excellent
CNC machining technology, this authors development and test programs
would never have been possible. To TK and to Captain John. Events in
their lives helped determine the course of mine.
Although this chapter has been reviewed by several knowledgeable
individuals, errors anddeficiencies are certain topersist. I take full responsi-
bility for these and humbly solicit reader feedback so that these problems
may be corrected. 1 also wish to thank Professor Logan for the opportunity
to contribute to this work.
This Page Intentionally Left Blank
11
Application of Advanced Optical
Techniques to Turbomachinery

Leonard Montenegro and Andjelka Srdic-Mitrovic

Arizona State University, Tempe, Arizona
Eric Strang
Arizona State University, and Tokyo Electron Phoenix Labs, Tempe, Arizona

1. INTRODUCTION
The use of turbomachinery in gas turbine power plants, be it to produce
power for ground-based utilities or as aircraft engines, is one of the most
significant as well asfascinatingtechnologicaladvances in our lifetime;
the last 50 years. Justifiably so, it has attracted the attention of an endless
list of prominentresearchengineersandscientistsand,subsequently, it
may be regarded as a very mature field. We have now entered an age of
turbomachinery applications which pushes the bounds of material science,
fluid dynamics,combustion science, and so forthandtrulydemands
creativity and ingenuity on the partof the scientist to achieve even remotely
identifiable improvements in turbine performance or compressor efficiency.
An improvement in compressor efficiency may be attainable, even when
a significant increase might be unthinkable. Such improvements can result
in a drastic reduction in engine weight, a property which is quite important
in aircraft design. It has become fashionableto research methods in passive
and active control of disturbances upstream of compressor inletsto promote
operation atlower engine massflow rates, therefore, dramatically increasing
the stall marginof the engine. Hence,they have been given the term smart
engines by their developers.* Thin-film cooling is a subject of considerable

* GasTurbine Laboratory. Department of Aeronautics and Astronautlcs. Massachusetts Institute

of Technology. Cambridge, MA.

533
534 Srdic and Strang, Montenegro,

interest which has risen as a means of increasing theupperbounds of

combustor exit temperatures, the main constraint for turbine performance.
Invariably, turbomachinery technology has pushed on into the new age,
incorporating marginal advancesin fluid dynamics, heat transfer, structural
dynamics, and materials research.
Consequently, turbomachinery technology requires the foremost in
numericalandexperimentaltechniquesformeasuringandevaluating
complexinteractingfluid/structurephenomenacommonto gasturbine
systems. Laboratorymeasurement of turbomachineryfluiddynamics is
approached in a similar manner as other experiments whereby a reduced
model of the overall system is developed to isolate a predetermined effect
(i.e., a single compressor stage placed into a model compression system
that includes upstream and downstream ducts to provide system inertia,
plenum
a to provide systemcapacitance,
and a throttletocreate
resistance). If theimprovement is significant, it can be integratedinto
a prototype and tested by the engine manufacturers. Ultimately, the most
accurate inexperimental fluid dynamicmeasurementinstrumentation is
necessary. The laser-Doppler velocimeter (LDV) carries the most praise
as being an accurate and highly resolved measurement technique of fluid
velocities.Past and present instrumentationcommonly involves the use
of hot-wire rakes upstream and downstream of compressoriturbine blade
rows andembeddedhot wires to measure velocities local to theblade
surfaces. The LDV has become a standard instrument in the measurement
of flow velocities in turbomachinery applications. The unique nature of
thisinstrumentprovides very desirableadvantages overtheaforemen-
tionedclassical methods used for velocity measurements.Some of the
advantages includea wide dynamicrange of velocity measurements.
rangingfrom10-4m.s to supersonicspeeds.The high spatialand
temporal resolution makes it a choice instrument for measuring turbulent
flows and the nonintrusive nature of the measuring probe volume provide
the ability to make velocity measurements on a microscale flow without
disturbing the flow characteristics. This is truly a distinct advantage over
its predecessors, which intrude into the flow and create or adjust the fluid
dynamic field. LDV measurements of point fluid velocity in a
turbomachine can be complemented by the application of another optical
technique,particlevelocimetry (PV). Particlevelocimetry demonstrates
afeasiblemeans of measuringtheinstantaneousspatialdistribution of
velocity.Anexample of theapplication of an LDV and PV system to
thestudy of theheattransferand flowfield of arotor-statorcavity is
provided in Fig. 1. Clearly,LDVand PV systemsavoidbecoming part
of the internal mechanics of a gas turbine; however, keep in mind that
optical access may be limited.
Techniques
Advanced
Optical and Turbomachinery 535

Figure 1 Application of LDVand PV system to a turbomachine. (Courtesy the Heat

of Mechanical and Aerospace Engineering, Arizona
Transfer Laboratory, Department
State University, Tempe, AZ.
536 Strang, Montenegro,
Srdic and

The following discussion presents a systematic development of the

necessary hardware, the electronics, and optics design to create an LDV
system capable of performing highly accurate measurements of fluid vel-
ocity within turbomachinery flow fields. In addition, some of the relevant
software concerns regarding the postprocessing of the resultant data are
addressed. In conclusion, a brief conceptual overview of the application
of particle velocimetry to gas-turbine measurements is described.

2. LDV
TECHNIQUE

2.1. Physical
Model

There aretwo models to explain the physics of the LDVsystem: the Doppler
and the interference fringe model. The Doppler model provides a more rig-
orousmathematicalexplanationthantheinterference fringe
model.
However,ourintent is to provideasimpleunderstanding of LDV
techniques. Therefore, for the sake of simplicity, we are using the inter-
ference fringe model to explain the principle governing this technique.
The objective of this LDV instrument is to obtain a measurement
when asmallparticle(about 1 pm in size)scatterslightimpulses while
traversingperpendicular
to
the
interferencefringes
(probe
volume)
formedattheintersection of twocoherentandmonochromatic laser
beams.Thescattered light is collected by astationaryphotodetector,
and the frequency of the scattered light is Doppler shifted as the particle
travels through the probe volume. The Doppler frequency is proportional
totheparticle velocity. The frequency of thelaser andtheoptical
geometry determine
the
relation
between particle velocity and the
Doppler frequency of the scattered light. Refer to Ref. 1 for greater detail
concerning the principles of the LDV concept. A simplified drawing of a
basic LDV system and the appropriate equations for the probe volume
areshown inFig. 2.

2.2. Description of LDV Hardware

As a general rule, LDV systems have three basic components: the transmit-
tingoptics,the receiving optics,andthe electronicsignalprocessing.
The hardware layout is shown in Fig. 3. Before detailing each component,
it is important to establish two basic requirements in order for a successful
measurement to be made. The measuring locationmust have optical access
fortheprobevolume,andthemeasuring flow musthaveparticles that
can be measured.
Turbomachinery
Techniques
and
Optical
Advanced 537

Photodetector Processor
Splitter Lens
Conditioner

Nomenclature

6f Fringe
spaclng
ROBE-VOLUME
a Angle of intersecllon
i. Laser
wavelength
U Panlcle veloclfy
fD Dopplerfrequency
d -1 Beamdiameter
dZ Length of probe-volume
dx Width of probe-volume
d Z =d x / m a12 f Focal
distance

-
Figure 2 BasicLDV system.

Legend:
1 Laser
2 Pnsm
3 Bragg cell
Processor
4 Wedge pnsm
Output to computer

<-
5 Lenses I
detector
6 Photo I
7 Amplifier

m ~
Shifterhixer

Figure 3 Layout of LDV hardware

The trartsmitting oprics contains alaser, a beamsplitter, aBragg cell, a

wedge prism,andafocusing lens. The laserusually is ahelium-neon
(He-Ne) or an argon gas laser,where the light-intensity distribution across
thebeam is Gaussian.Dependingon the specific application,thelasers
are normally monochromatic or multicolor, and their power output can
range from a few milliwatts to several watts. The required power of the
laser depends on the configuration of the scattered light-collecting method.
538 Strang, Montenegro, and Srdic

TWO basic methods

are
normally used: forward scattering
and
backscattering.Forwardscattering placesthe receiving opticsafterthe
probe volume andon-axis.Backscatteringcombinesthetransmitting
andthe receiving opticsbeforetheprobevolumeandalsoon-axis.In
forwardscattering,a low-powerHe-Nelaser is morecommonly used,
whereas in backscattering, a high-power argon gas laser is recommended.
The forward-scattering method will be used to explain the LDV technique.
The beam splitteris normally an opticaldevice that separates thelaser
beam into two parallel beams, eachwith the same optical polarity. Various
opticalmanufacturerscancustom-makethis device perspecifications.
The separation of the beams depends on the specific application.
The Bragg cell is an optical device which uses the interaction between
the laserlight and an ultrasonic frequencyoscillationacting on a glass
medium to shift the frequency of the laser. Frequency shifting is required
for the measurement of positive and negative velocities. This interaction
diffracts the laser light into many orders, symmetrically displayed at angles
above andbelow the undiffracted light. A single sharp diffraction maximum
appears when the Bragg cell is positioned at a definite angle relative to the
incident beam. The first-order diffractedlight contains the frequency of
thelaserplus the frequency of theultrasonicoscillator.Thefirst-order
refracted beam passes through a wedge prism to steer back the beam along
thepath of theincidentbeam.Theshiftedbeamfromthe Bragg cell
andthe unshiftedbeam fromthebeamsplitterare passed througha
plano-convex focusing lens to form the probe volume at the focal length
of the lens. The intersection of two coherent, monochromatic laser beams
of slightly different frequency produces a running fringe pattern within
the probe volume.
The receiving optics contains a plano-convex lens that collects the
scattered light from the intersection of the probe volume. The scattered light
contains the shifted frequency and the Doppler frequency generated by the
particle.Thescattered light is focused onto aphotodetectortocovert
the light impulses into electrical impulses.
WhenintegratingaLDVsystem,carefulconsiderationshould be
taken when selecting the optical devices. To maintain signal quality and
prevent power degradation, thelenses are selected for specific requirements,
such as aberrations, antireflective coating, and parallelism of prisms and
focusing lenses.
The electronic signul processor contains the following instruments:
photodetector,shifterimixerunit,band-pass filter,amplifier, anda fre-
quency counter.Theelectronicinstruments of thesignalprocessor are
the crucial elementsof the LDV system. Here, the frequency of the particles
are collected, evaluated, and measured. The electronic components of the
Turbomachinery
Techniques
and
Advanced
Optical 539

instruments are selected to meet specific requirements, such as temperature

stability, frequency stability, frequency response, and so forth. The com-
plexity of the electronic designs and the necessary experience required to
develop these circuits encourages the use of already developed instruments.
The user should
consult
companieslike
Dantec
Electronics,TSI
Incorporated, and other LDV manufacturers which make these instruments
as part of a complete LDV system (see Refs. 2 and 3).
Two types of photodetectorsarenormally used inLDV systems:
photodiodeandphotomultiplier.Thephotodiode is a solid-statedevice
that is usefulincaseswherehighly scattered lightintensitiesexist.The
wavelength of operation varies between 600 and 900 nm and it has a fre-
quency response in the megahertz range. This type of detector has high
quantum efficiency at wavelengths near 632.8 nm. Therefore, this device
can be selectedwhenusingHe-Nelasers.However,the low efficiency
at wavelengths below 600 nm makes it a poor choice for a system using
an argon laser.
Thephotomultiplierapplication is anopticalheterodynephoto-
sensitive detector with an output that is a current proportional to the inten-
sity of the twolaserbeams andthescatteredlight of theparticles
crossing the probe volume. The output current from the photomultiplier
is fed through a current-to-voltage converter and a high-pass passive filter
to resolve a time-varying voltage signal that carries the frequency of the
Bragg cell and the Doppler frequency generatedby the particles. The output
frequency of the photomultiplier unitis the sumof the two frequencies (Fig.
4 shows a typical signal). The photomultiplier is the best choice in cases
where He-Ne or argon gas lasers are used. The high quantum efficiency
and high sensitivity surpasses those with photodiode detectors. However,
thisunit is quite expensive and requiresaruggedmetalcase to protect
the glass tubeandalsorequiresahigh-voltagesourcetooperateit.
Photomultiplier model9055 x0084 from Dantec Electronics and model 9160
from TSI Incorporated havebeen particularly useful when integrating LDV
systems.
It is quite importantto be able to evaluate and determine if the signalis
adequate for measurement. The user should be familiar with the require-
ments that affect the quality of the signal. Some of the requirements are
particle size and signal-to-noise ratio (SNR). The particle size is an import-
ant requirement for LDV systems and should be thoroughly investigated.
The SNR is affected by the power of the laser, particle size, flow velocity,
visibility, and other parameters. The references can provide more detailed
information on these subjects.
The physical position of the photodetector, looking at the probe vol-
ume, does notaffect the frequency of the scattered light. However, the light
540 Srdic and Strang, Montenegro,

l .e

8.5

-e .S

-1.8

Figure 4 Typical Doppler signal.

intensity of the signal varies at different positions.A map distribution of the

light scattered relative to the direction of the laser beam should be inves-
tigated to properly place the photomultiplier.
The shifterimixer unit generates the shift frequency that drives the
Bragg cell locatedwithinthe receiving optics.The frequency is usually
in tens of megahertz,depending on thetype of Bragg cell used. The
shifterimixer unit also receives the output signal from the photomultiplier
containingthecombined frequencies of theBragg cell and that of the
particle. The frequency of the Bragg cell defines the zero-flow condition.
The frequency of the particlevaries above or below the Bragg cell frequency,
depending on the direction of the flow. The ultimate goal is to accurately
measure the frequency of the particle. However, the small frequency chan-
ges, generated by the particle, relative to the high frequency of the Bragg
cell makes it difficult to resolve. The shifterimixer unit employs a technique
referred to as frequency downshifting, which subtracts the frequency of the
Bragg cell and, in effect, shifts down the frequency thatdefines the zero-flow
condition. Downshifting makes the small changes of frequency of the par-
ticle large relative to thatof the downshifted frequency, therefore increasing
the resolution of the frequency of interest, hence providing a condition for
accurate measurement.
It is important that the frequency of the Bragg cell and the frequency
for down-mixing are generated from single a reference oscillator. Otherwise,
a potential drift of the frequency relativeto each other, due to temperature,
can occur, creating uncertainty in the velocity measurement [4].Frequency
Turbomachinery
Techniques
and
Advanced
Optical 541

shifterimixer units fromDantec Electronics andTSIIncorporatedare

found to be useful for the LDV applications.
The signal from the shifter/mixer unitis passed through a band-pass
filter to removeunwantedfrequenciesandalsoimprovethe SNR. The
band-pass setting is user defined and is set depending on the down-mixing
frequencyused. Normally,thesetting of thetwocorner frequencies is
chosen by estimating the maximum and minimum frequencies of the particle
above and below the down-mixed frequency. This filter unit is normally a
part of thefrequency-measuring device whenusing TSIorDantec
instruments. However, this unit can also be used separately. Filters used
forLDV systems arenormallyfourth-orderButterworth witha roll-off
attenuation of 24 dBioctave. Filters manufactured by Krohn-Hite have
been useful in the past.
Signal amplification is an important requirement of the signal con-
ditioningprocess.Ateverystage of theprocess, the signal is amplified
to a level required by theinput of theforwardstage.Fromthe
photomultiplier to the input of the frequency measuring instrument, the
signal (Doppler burst) gain can be in the hundreds. Typical Doppler burst
voltagescanrangefrom 100 mV peaktopeakto 1 Vpeak topeak,
depending on the
input
requirements of the frequency-measuring
instrument.
Amplifiers are normally imbedded in the electronic instruments and
are not user controlled. However, using independent amplifier modules with
access to gain adjustment canbe desirable for thefine-tuning of the Doppler
burstsignal. The amplifierspecification,such astemperaturestability,
input /output impedance, frequencyresponse,gain,noiserejection, and
so forth, should be investigated before using an external amplifier.
A frequency measuring instrument is a device that receives an input
frequencysignal andconverts it intoa voltage proportionaltothe
frequency. In the past, various types of frequency converters have been
devised; for example, the FM demodulators, F/V converters, and others.
However, these devices lack the resolution required to measure a Doppler
signal. Manufacturers of LDV systems have developed complex electronic
designs to optimize the measurement of the Doppler signal. TSI Incorpor-
atedand
Dantec Electronics manufacture three
different types of
frequency-measuring instrument; the
counter
processor,the
tracker
processor, and, the latest, the burst correlator. These instruments have their
own merit. The user should carefully investigate the capabilities of each
system before purchasing one because the systems are quite expensive.
The most commonly used signal processor is the counter type. This
instrument measures the instantaneousvelocity of each particle thatcrosses
the probe volume. From the data collected, the mean velocity and the vel-
542 Srdic and Strang, Montenegro,

ocity fluctuations can be derived. In general, thesignal processor should be

able to recognize the Doppler burst, determine the validity of the burst,
measure the frequency of the signal during the burst, be able to process
signals over awide range of frequencies, and provide an output voltage that
is proportional to the measured frequency.
Theabovedescriptionpresentsadetailedoutline of thenecessary
hardwareone wouldrequireinorder to developaLDVsystem. We
now shift our focus to address the concerns associatedwith postprocessing
the LDV signal, and describe the approaches commonly accepted by the
LDV applications community.

3. POSTPROCESSING OF THE LDVSIGNAL

3.1. Description of DataManipulation

The output of a laser-Dopplervelocimeter is an analog voltage that is

relateddirectly to thefrequencyshiftassociatedwithlightscattered by
a seeded particulatepassingthroughtheprobe volume. At thisstage,
the analog signalhas been conditioned to optimize signalresolution by
means of an offset and anamplifier and toselect a desired rangeof frequency
using a band-pass filter, in addition to other electronic signal processing
techniques described earlier. In general, a microcomputer stores the received
data signal digitally through interfacing an analog-to-digital (AID) board
with the signal conditioning hardware.
We now focus on addressing the
complexities which arise in
developing the software to process the data signal and produce usable
output as far as extractinginsight into the physics of the phenomena being
probed. Typically, the output is manipulated to derive its statistical quan-
tities such as the mean and root mean square (rms) (as well as the higher
moments such as skewness and kurtosis), double and triple correlations,
and power spectra; for example, the measurement of turbulence using a
single-component to multicomponent LDV system prompts the evaluation
of thestatisticalproperties of the turbulence, autocorrelation functions
to determine integral scales, two-point correlations suchas Reynolds stress,
triple correlations such as the flux of turbulent kinetic energy via turbulent
fluctuations, one-dimensional velocity spectra, and so forth. Prior to arriv-
ing at the desired output, it is necessary to preprocess the velocity signal(s).
This may require the following: (1) the removal of undesired outlying data
existing within the signal associated with random noise (i.e., large particles
saturating the photomultiplier, etc.), (2) the adjustment of the data signal
to correct for bias (systematic) and variance errors, and (3) the manipulation
Turbomachinery
Techniques
and
Advanced
Optical 543

of arandomlysampleddata signal outputfromanLDV system using

burst-modecounter(s)(thedatafromanLDV system is inherently
unequally spaced in time) to make it amenable to the estimation of cor-
relations and spectra. The latter situation may have already been added
addressed in thedesign of thehardware.However, becauseunequally
spaced velocity data are commonly encountered at the signal processing
level, they are discussed herein. Because the software design for processing
the signal of anLDV systemisusuallysimilarindependent of the
application, a more general approach is taken in presenting the techniques
for signal processing with theintent thatit can be applied to such data taken
from turbomachines.

3.2. SignalProcessing to Remove Noise

Dependent on the phenomenon being measured, the relevant range of fre-

quencies existing within the probed environment should be known (or at
least an educated knowledge thereof) and, thus, the sampling time interval
and frequency can be selected. Clearly, the selection of a sampling time
interval of an orderof magnitude larger than the largest expected time scale
and a sampling frequencylarger than the expectedNyquistcriticalfre-
quency are sufficient. The selection of the sampling time interval and fre-
quencyestimatedprior to themeasurementscan be confirmed during
the acquisition of data. Subsequent to recording the data, the analogsignal
has generally been filtered usingaband-pass filter. The low-pass filter
cansharply removenoiseassociatedwithfrequencies lying withinthe
spectral range existing between the highest frequency attributedto the fluid
dynamics and the highest frequency capable of the probing instrument.
Once the data arerecorded, thesignal has invariablybeen conditioned
by theappropriatehardware.However,theremay still exist undesired
spikes which randomlyappear in the velocity signal andareknown
to not be physical. An acceptable approach to remove these data are to
estimate the mean and rms valuesof the data using a time or space average
(assuming it is statistically stationary or homogeneous, respectively) and
then remove the data which lie three rms values outside the mean. This
may and generallydoesrequire iteration. According to Srikantaiah and
Coleman [ 5 ] it should be allowable to discard up to 1% of the data in order
to reside within a 5Yn error in the low-frequency prediction of the power
spectral density function. This result was obtained by the comparison of
velocity spectra obtained from the correlation and direct transform methods
(to be discussed later) with the true spectrum.
Furthermore, there may exist frequencies within the data which are
undesiredfor data processing;however,they arenot noise but,rather
544 Srdic and Strang, Montenegro,

are attributed to physical occurrences within the particular probed domain

(i.e., theblade passing frequency associated with the compressor and turbine
in turbomachinery). Fourier transformation canbe applied to identify these
frequencies and to remove (or filter)carefully, if the frequency can be
isolatedinitsentirety to oneparticular process.Removing the data in
the appropriate range of frequency of Fourier space and, then, applying
an inverse Fouriertransformcan servethispurpose.Ofcourse,this
manipulationmust be approached with cautiontoavoidremoving
desirable data from the signal.

3.3. Correction for BiasandVarianceErrors

There exist many forms of bias errors with the application of LDV systems
for velocity field measurement. Examples of such errors arevelocity gradi-
ent biasing,fringebiasing,particleaccelerationbiasing, and velocity
biasing. The most prominent error source for typical measurements in a
turbulent flow field is the statistical bias arising from an error in the mean
velocity and turbulence level. It iswell known that the sampling rate of
alaser-Dopplervelocimeter is dependent on therateat whichseeded
particles pass through the probe volume. Consequently, the measurement
of the velocity of a uniformly seeded flow is biased toward volumes of fluid
traveling with velocities greater than the mean. In essence, for afinite sam-
pling time, the probability of the probe volume recording the velocity of
faster moving parcels of fluid than slower moving parcels is greater. This
results in the high prediction of the mean velocity and, subsequently, an
error in the determination of the rms velocity.
McLaughlin and Tiederman[6] have proposed a methodof correcting
the velocitybiasing errorforone-dimensional systemswithuniformly
seeded flow. It is suggested thatthe bias error is proportionaltothe
magnitude of the instantaneous velocity. In computing the time average
of the streamwise velocity, in this particular case, from a continuous series
of realizations, each point must be weighted by the inverse of the magnitude
of the instantaneous totalvelocity. In determining the mean value, the sub-
sequent summation is divided by the summation of a corresponding dis-
cretelyestimatedweightfunction.However,theinstantaneous velocity
vector is notalwaysknown(i.e.,single-componentandtwo-component
systems);therefore,a simplified approach was developed and assessed.
The approach defines a weight function which requiresknowledge of a
scaling constant typical of theratio of therelativemagnitudes of the
fluctuatingtransverseandstreamwise velocity components.Care must
be taken because this requires interpretation of the data and enters as a
user input to the correction.
Turbomachinery
Techniques
and
Advanced
Optical 545

There exist other techniques of defining the weighting function. These

are addressed and compared in Ref. 7. One approach, proposed by Barnett
and Bentley [g] involvesdefining the weight function to be proportional
to the separation in time of eachparticleburst.Another developed by
Hoesel and Rodi [9] suggests definingthe weight function to be proportional
to the particle residence time within the probe volume (i.e., the temporal
width of the Gaussian envelope associated with the particle burst). These
approaches are attractive because they directly incorporate the temporal
variation of the data signal; however, they may present difficulty, especially
when this time information is not accessible. The most recent approach,
proposed by Nakao et al. [lo] involves employing an empirical function
which relates the skewed (or biased) probability distribution of realizations
to the Gaussian probability distribution function. These techniques were
all deemed adequate for velocity bias correction with specified conditions
for their use; however, the latter approach, which uses the probability dis-
tributionfunctionanalysis, gavethemostimprovedresultsregarding
the correction of the velocity data.
Clearly, there areseveral approaches which can be instituted to reduce
bias error. Conversely, as might be expected, the reductionof variance error
is quite limited. I n general, it has been shown that this type of error can be
minimized by lengthening the sampling time interval; yet, the experiment
(or measurement window) maynot
accommodatethis
approach.
Regardless, the variance error in addition to the systematic errors must
be estimated in order to
accurately assess
the total
error in the
measurements. The uncertainty in the measurements of velocity using an
LDV system can be determined following the approach describedby MoEdt
[l l ] for single realizations. The approach determines the overall uncertainty
i n a measured quantity as the rms combination of the systematic error due to
the instrumentation and the variance (or random) error observed during
data acquisition.
Recall that other forms of bias error exist and should attract proper
treatment. I t goes without saying that the errors encountered in LDV data
should be minimized when possible, and the overall error in the data should
be recognized and presented accordingly.

3.4. Postprocessing of UnequallySpaced Data

The datasignal from an LDVsystem is inherently unequally spacedin time.

The acquisition of data is dependent on when a particle passes through the
probe volume and scatters illuminating laser light to the receiving optics.
There is no alternative to the reality of this situation. A standard technique
for converting the scattered light using photomultiplier tubes in conjunction
546 Srdic and Strang, Montenegro,

with receiving optics (addressed in detail earlier) to the frequency shift (or
velocity) isby means of a burst mode counter. This hardware individually
analyzes each burst associated with a particle passing through the probe
volume by determiningthecorrespondingDopplershift in frequency
(velocity) fromthetemporalspacing of theintensity spikeswithin the
Gaussian envelope defining the burst. The intensity spikes are clearly pro-
duced by the passing of the particle through the region of constructive
and destructive interference (often referred to as the fringe pattern) within
the probe volume coincident with two intersecting laser beams. The result-
ant velocity signal is output on a seemingly random distribution of time
intervals.
For high data rates, it was identified by Gaster and Roberts [l21 that
treating the data as if they were equally spaced produces fairly good esti-
mates of turbulent statistical quantities and spectral distributions, hence
circumventing the difficulty of handlingunequallyspaced data. Such an
assumption translates into selecting the estimated velocity from the most
recentburst and recording it at the time (within a continuous series of
equally spaced time intervals) of interest. This approach can be taken if
the condition of high data rates is met; however, it is an assumption which
must be taken with caution.
The processing of a finite-velocity record of equal-time intervals has
been well attended to in the past and the methods taken for signal pro-
cessing, in particular, the estimation of spectra have become part of our
fundamental understanding of the subject. The velocity data can be used
to directlyevaluate theautocorrelationfunction,from which adiscrete
Fourier transform with subsequent use of the Wiener-Klinchine theorem
yields the one-dimensional power spectrum. This technique is commonly
referred toasthe Blackman-Turkey approach.Furthermore, a Fourier
transform of the velocity signal weighted withan appropriate window func-
tion (Hanning, Parzen, Welch, top-hat, etc.) to account for itsdiscrete rep-
resentation (i.e., the velocity distribution between time intervals) can be
applied and, for a given frequency,thespectralpowerdensitybecomes
the sum of the square of the modulus of the Fourier amplitudes for the
negative and positive components, or harmonics (generalapplication of
a complex Fourier transform; of course, a real signal simply implies that
theFourieramplitudesforthe negative and positive componentsare
complex conjugates of one another). It can be expedited when there exists
2 N , where N is an integer, samplesin the data realization, hence accommo-
dating the use of a fast Fourier transform (FFT). The application of these
methods,includingadescription of thesoftware invariouscomputing
language (Fortran, C, etc.). is provided in elaborate detail in Ref. 13. Also,
see Ref. 14.
Turbomachinery
Techniques
and
Advanced
Optical 547

The reality of thesituation is thatthe velocity recordsarenot

comprised of equally spacedrealizations in time. This
significantly
increases the complexity of the problem and is quite evident in the avail-
ableliterature.Justly so, somemethodstakearigorousapproachto
estimatingcorrelationsandspectrafrom suchsignals. Before delving
into these more complex methods, it might be useful to allude to
themostobviousalternatives.Theseconsist of simplyaveraging or
interpolatingtheunequallyspaced dataontoan equallyspaced data
record.Thismay be sufficient if it is the low end of the frequency
(or wave number)spectrumthat is of interest. If one is primarily
interestedinthemeasurement of statisticalmomentsup to thesecond
order,
this
approach is clearly
the
simplest andmostreasonable.
However,this is generallynotthecase andamoreacceptablemeans
of obtainingestimates of thecorrelationfunctionsandrelatedspectra
is necessary.
The available approaches primarily fall into two categories: corre-
lationmethodsand direct transforms.Theformerapproach suggests
estimatingtheautocorrelationfunctionfromthe unequallyspaced data
by shifting thesignal,accountingforthetruetimeshift in products
and averagingproducts which residewithinthesametimeinterval.
Using a window function, as before, the power spectrum can be related
to the Fourier
transform of the estimated autocorrelation. Gaster
andRoberts [l21 developedacorrelation methodforboththe cases
whenthe real distribution of time intervals between realizations is used
and when Poisson
a distribution (this is nearly the situation
for
LDV sampling) of these intervals in time is assumed. Shortly thereafter,
GasterandRoberts [l51presentedthe latterapproach,adirecttrans-
form.Thismethod involves taking similar
a approach of directly
transforming into Fourier space the velocity record as describedearlier
forequally spacedtimeintervals, yet with anassumptionregarding
the timespacingintheunequallyspacedrecord.Onesuggestion is
to use themean value of thedistribution of timeintervalswithin
the record. In a comparison of these methods byBell [16], it was deter-
mined that, based on computational speed and accuracy, the correlation
methodperforms best. Other sources in theliterature which address
these approaches includeRefs. 17-21.
This is by no means a complete discussionof signal processing of data
records obtained from LDVsystems. However, it provides a comprehensive
look at some of the mostrelevant concerns when handling suchdata. Atthe
forefront of thisdiscussion lies the motivation of assemblingthemost
prominentproblemsandappropriatelydirecting users to theliterature
of the experts.
548 Srdic and Strang, Montenegro,

4. INTRODUCTIONTOPARTICLEVELOCIMETRY

Particle seeding of a flow field has been recognized as a flow visualization

technique for a long time. Due to the enormous advances in technology
during the last decade, this method has become a powerful tool for quan-
titative multipoint measurements of fluid velocity. It has found itself an
application i n all areas of research where a knowledge about the spatial
structure of the flow isof importance.Most PV systems in use today
are developed by their users, although major steps toward commercializa-
tion of PV systems have been made (software, image processing, and some
video-based systems are alreadyoffered commercially). Particle velocimetry
can be considered as a complementary method to LDV. A standard LDV
measurement system is used to obtain a velocity time record at a point
i n spacewith high temporalresolution.Onthecontrary,astandard
PV measurement system is used to obtain the spatial velocity distribution
at a point in time. Herein,we will present a summary of the more important
methods that belong to this group of measurement techniques. Detailed
discussions of this topic can be found in excellent reviews by Adrian [22,23]
Dudderar [24], and Buchhave [25].
Generally. PV methods can be categorized into three groups:

1. Laserspecklevelocimetry (LW)
2. Particletrackingvelocimetry(PTV)
3 . Particleimagevelocimetry(PIV)

First, we will explain the basicprinciples common for all of these

methods and then wewill look at some specific characteristics of each.
The common underlying principle for all three methods is the following:
The flow is seeded by small solidiliquid particles (tracer particles) in order
to visualize the motion of fluid particles [for turbomachinery applications,
liquid droplets [i.e. oil] couldpossiblybe used], the region of interest is
illuminated by a high-intensity source of light (typically a laser or some
other light source), and the light scattered from the particles is recorded
on a permanent storage medium (e.g., film photographic plate, or stored
video-image). The size of thetracer particles is typicallylargeenough
for scattering tobe governed by law of geometric optics (e.g., large particles
compared to the illumination light source wavelength).
Particles used as a tracer must satisfy two general sets of criteria:
hydrodynamics and optical. Hydrodynamic criteria arise from the require-
ment that particles need to follow the motion of the fluid. The following
restrictionsare imposed onthe densityandmaximum size of atracer
particle:
Turbomachinery
Techniques
and
Advanced
Optical 549

1. Particle sizes must be smaller than the smallest length

scale present
in the flow.
2 . Particleresponsetimesmust be smallerthanthesmallesttime
scale present in the flow.
3 . Particles must be neutrally buoyant (of the same density as the
fluid).

Optical criteria stem from the fact that particles serve the purpose of
transmitters of an optical signal and, thus, lower
a limit on the size of tracer
particles is being imposed to ensure that enough scatteredlight is captured
by the recording medium. This size varies with the ratio of the refractive
indices of particle and the fluid.
Laser speckle velocimetry is a PV method which involves atracer con-
centration so high that imagesof the particles overlap each other. This is the
oldest of all three methods. Illumination of the tracer with a laser or other
coherent light source causes an interference pattern to appear, known as
the laser speckle pattern. This pattern is created by the random phase dif-
ference between light scattered from different particles. In general, this pat-
terncan be analyzedusingtheYoungsfringetechnique to extract
informationonthepositions of particles thatcreatethe laserspeckle
pattern, thus allowing the local velocity to be computed from the change
of position of the particles inferred from the speckle pattern. Typically,
exact positions of scattering particles are not being found, but the local vel-
ocity is directly inferred from the rate at which the speckle pattern changes
as the scattering particles move with the flow.
Particle tracking velocimetry is characterized by a low tracer concen-
tration such that overlapping particle images are unlikely and individual
particle images can be followed in time. Local velocity is simply inferred
fromthedistancethattracerparticlestravelbetweentwoconsecutive
flow-field snapshotsseparated by a knownshort time interval.Particle
images canbe followed for a long enough timeso that the method canyield
both instantaneous velocityvector distributions (Eulerian description of
the flow field) as well as trajectories of individual particles (Lagrangian
description of the flow field). This fact makes PTV a superior method in
comparison with LSV and PIV in measurement problems whereknowledge
of the time evolution of the flow pattern is important. Theonly disadvantage
of this method is its relatively low spatial resolution compared to PIV and
LSV, making the latter two more attractive for measurements in which high
spatial resolution is required.
Particle image velocimetry is a method that involves tracer concen-
trations somewhere between the typical concentrations in LSV and PTV.
Images acquired in consecutive time steps are segmented into a number
550 Srdic and Strang, Montenegro,

of interrogation cells, each of which contains a large number of particles but

still with little overlapping particle images. The local velocity is determined
by analysis of the autocorrelation function of two corresponding cells in
two consecutive images. Various methods have been developed that allow
the direction of the flow to be resolved. Compared to LSV, this method
is moreeasilyimplementedbecausetherequiredtracerconcentrations
are lower.
Clearly, the intent of this section was to introduce the fundamental
principles andconceptualapproachto particlevelocimetry and, hence,
stimulate its application to the measurement of complex three-dimensional
fluid dynamics which accompanies turbomachinery flow fields. It is quite
evident that coupling a PV system with an LDV system (shown in detail
earlier)demonstratesaunique ability to highly resolve, bothspatially
and temporally, the flowfield within a turbomachine.

ACKNOWLEDGMENT

The authors gratefully acknowledge Dr. Ramendra Roy of the Heat

Transfer Laboratory, Department of Mechanical and Aerospace Engineer-
ing at Arizona State University, forhis contribution of an onsight designed
turbomachine which accommodates the application of an LDV and PIV
system.

REFERENCES

1. F. Durst, A. Melling. and J. H. Whitelaw. Prilzciplm und Pructicrs of

Laser-Doppler A n e t r ? o n z ~ t rAcademic
~~, Press, New York, 1976.
2 . TSI, Inc., Loser Velocinwtry Systems, TSI Inc., 1986.
3. DANTEC Electronics, 55NlO L D A Frequency Shifier, DANTEC Electronics,
1987.
4. L. E. Drain, M.A. Phil, and S. Martin, Two componentvelocity measurements
of turbulent flow in a RIBBED-wall flow channel, Itlternntionul Conjtrence on
Luser Anenlor?letr}~-Ad,~ancc.sund Applicutions. 1985.
5. D. V. Srikantaiah, and H. W. Coleman, Turbulence spectra from individual
realization laser velocimetry data, Esp. Fluids, 3:3544 (1985).
6. D. K. McLaughlin and W. G. Tiederman, Biasing correctionforindividual
realization of laser anemometer measurementsin turbulent flows, Phys. Fluids,
16:2082-2088 (1973).
7. R. D. Gould and K. W. Loseke, A comparison of four velocity bias correction
techniques in laser Doppler velocimetry. A S M E J. Fluids Eng.. 115:508-513
(1993).
Turbomachinery
Techniques
and
Advanced
Optical 551

8. D. 0. Barnett and H. T. Bentley, Statistical bias of individual realization laser

velocimeters, Proc. of the Second
InternationalWorkshop on Laser
Velocinwtry, EngineeringExtensionSeries,PurdueUniversity Press.V974.
Vol.144, pp. 428444.
9. W. Hoesel and
W.
Rodi,
Newbiasing
elimination
for
laser-Doppler
velocimeter counter processing, Rev. Sri. In.strurn., 48(7):9 10-91 9 (1977).
10. S. Nakao, Y. Terao, andK. Hirata. New method for eliminating the statistical
bias in highly turbulent flow measurements, AZAA J . , 25(3):443447 (1987).
11. R. J. Moffat, Describing the uncertaintiesin experimental results, E x p . T i ~ e r n ~ d
S c i . , 1:3-17 (1988).
12. M. Gaster and J. B. Roberts, Spectral analysis of randomly sampled signals, J.
Inst. Muth. Applic., 15:195-21 6 ( 1 975).
13. W . H. Press, B. P. Flannery, S. A. Teukolsky. and W. T. Vetterling. Numerical
Recipes: The Art ofScientijc Cornputing (FORTRAN),Cambridge University
Press, New York, 1989.
14. J. S. Bendat and A. G. Piersol, Meus~~retnent and Analysisof Rundotn Data.
John Wiley & Sons, New York, 1966.
15. M. Gaster and J. B. Roberts, The spectral analysisof randomly sampled records
by a direct transform, Proc. Royal Soc. London. A , 354:27-58 (1977).
16. W. A. Bell, Spectral analysis algorithms for the laser velocimeter: A compara-
tive study, AIAA J . , 21(5):714-731 (1983).
17. J . B. Roberts and M. Gaster, Rapid estimation of spectrafromirregularly
sampled records, Proc. IEE, 125:92-96 (1978).
18. J . B. Roberts and M. Gaster, Estimation of spectra from randomly sampled
signals-A method of reducing variability, Proc.Royal
Soc.
Lond.,
371935-258 (1980).
19. E. Masry and MC. C. Lui, A consistent estimate of the spectrum by random
sampling of the time series, S I A M J . Appl. Math., 28(4):793-810 (1975).
20. J. D. Scargle, Studies in astronomical time series analysis.11. Statistical aspects
of spectral analysisof unevenly spaced data,Astropkys. J . , 263:835-853 (1982).
21. W. H. Press andG. B. Rybicki, Fast algorithm for spectral analysisof unevenly
sampled data, Astrophys. J.. 338:277-280 (1989).
22. R.J.Adrian,Multi-pointopticalmeasurements of simultaneousvectors in
unsteady flow, Int. J. Heat Fluid Flow, 7:127-145 (1986).
23. R . J. Adrian,Particleimagingtechniquesforexperimental fluid mechanics,
Annu. Rev. Fluid Mech., 23:261-304 (1991).
24. T. D. Dudderar, R. Meynart. and P.G. Simpkins, Full-field laser metrology for
fluid velocity measurements, Opt. Lasers Eng., 9: 163-199 (1 988).
25. P. Buchhave,Particleimage velocimetry-Status andtrends. E s p . T/7cVlnd
Fluid Sci., 5:586-604 (1992).
This Page Intentionally Left Blank
12
Troubleshooting and Predictive
Maintenance

Heinz P. Bloch
Consulting Engineer, Montgomery, Texas

1. PREVENTIVEMAINTENANCE [l]

It may be either impossible or utterly uneconomical to design and manu-

facture machinery for zero maintenance, or perfect reliability with infinite
life. Realistically speaking, then, we find two principal maintenance phil-
osophies prevailing in the industrialized world:
0 Do nothing until theequipmentbreaksdown or an emergency
occurs. The machine is repaired as quickly or as inexpensively
as possible and is returned to service. Inevitably, the next emerg-
ency is just around the corner.
0 Maintaintheequipment in excellent condition,thusoptimizing
bothequipment reliability andavailability.Downtimeevents
for preventive maintenance are planned and the probability of
an unexpected breakdown minimized.
The first philosophy, sometimes called breakdown maintenance, is
rarely justifiable on economic and risk-management grounds. Looking at
the safety risk alone should convince us of the potential danger of this
approach.
The second philosophy will prove most profitable when used in con-
junction with conscientiously
a implemented
programof
predictive
(monitoring and trending based) maintenance. Although such a comprehen-
sive program will require forethought and organization, its long-term pro-
fitability has been demonstrated beyond much doubt.

553
554 Bloch

Awell-structuredmachinerymaintenanceprogram will thusbring

about a numberof important benefits, including, of course, improved safety,
reliability, efficiency, run
time,
housekeeping,
and
environmental/
regulatory compliance. Thefinal product costis materially decreased by this
improvement. Where increased production adds substantially to the profits
of a plant, the minorexpense is insignificant. Dependability is a vital factor
in anyoperation.Thedegree of dependabilityattained is in direct
proportion to the effectiveness of the preventive maintenance program.

1.1. Introduction
Preventive maintenance encompasses periodic inspection and the implemen-
tation of remedial steps to avoid unanticipated breakdowns, production
stoppages,ordetrimentalmachine,component,andcontrolfunctions.
In other words, preventive maintenance is the rapid detection and treatment
of equipment abnormalities before they cause defects or losses.
Without strong emphasis and an implemented preventive maintenance
program, plant effectiveness and reliable operations are greatly diminished.
Plants must minimize machinery failures.
In many process plants or organizations, the maintenance function
does not receive proper respect. The naive perception is that maintenance
does not add value to a product and, thus, the best maintenance is the
lowest-cost maintenance. Armed with this false perception, traditional pro-
cess and industrial plants have not done the following:
0 Emphasizedpreventive,corrective,routinemaintenance
0 Properlydevelopedmaintenancedepartments
0 Properlytrainedmaintenancepersonnel
0 Addressedpredictivemaintenance
Excessive unpredictable equipment failures have been the result.
Maintenance is not an insurance policy or a security blanket, it is a
requirement f o r success. Without effective preventive maintenance, equip-
ment will fail during operation.
Historically, there have been five levels of equipment maintenance:
1. Reactive orbreakdownmaintenance
2. Routinemaintenance
3. Correctivemaintenance
4. Preventivemaintenance
5. Predictivemaintenance
Maintenance traditionally has focused on the first level (breakdown
maintenance) and, unfortunately, many plants still do. Experience shows
ntenance
Predictive Troubleshooting
and 555

that maintenance should be focused on levels 4, 5, 3, and 2, in order to

minimize breakdown maintenance. But let us define our maintenancelevels.
1. Reactive or breakdownmaintenance is therepairofequipment
after it has failed.
In
other
words,
run-to-failure.
It is
unplanned, undesirable, expensive,and, if the other typesof main-
tenance are performed, usually unavoidable.
2. Routine
maintenance is lubrication
and
proactive
repair.
Lubrication should be done on a regular schedule. Proactive repair
is an equipment repair based on a higher level of maintenance.
This higher level determines that if the repair does not take place,
a breakdown will occur.
3. Correctivemaintenance is the
adjusting
or
calibrating of
equipment. Corrective maintenance improves either the quality
or performance of the equipment. The need for corrective main-
tenanceresults
frompreventive or predictive maintenance
observations.
4. Preventivemaintenance includesscheduledperiodicinspection.
Preventive maintenance is a continuous process; its objective is
to minimize future maintenance problems and theneed for break-
down maintenance.
5. Predictivemaintenance predictspotentialproblems by sensing
operationsofequipment.Thistype of maintenancemonitors
operations, diagnoses undesirable trends, and, pinpoints potential
problems. In its simplest form, an operator hearing a change in
sound made by the equipment predicts a potential problem. This
then leads to either corrective or routine maintenance. Similarly,
apredictivemaintenanceexpertsystemcanmonitormachine
vibrations. By gathering vibration data and comparing these data
withnormaloperatingconditions,anexpert systempredicts
and pinpoints the cause of a potential problem.
Emergency repairs should be minimized. Plant systems mustbe main-
tained at their maximum level of performance. To assist in achieving this
good maintenance should include regular inspection, cleaning, adjustment,
and repair of equipment and systems. On the other hand, performing un-
necessary maintenance and repair should be avoided. Breakdowns occur
becauseofimproperequipmentoperation or failure to performbasic
preventive functions. Equipment periodically overhauled when not required
by conditions is a costly luxury.
The repair done on an emergency basis is three times more costly in
labor and parts than repairs conducted on a preplanned schedule. More
difficult to calculatebuthighneverthelessarecostswhichincludethe
556 Bloch

shutting down of the production process, or time and labor lost in such an
event.
Asbadas theseconsequencesofpoorlyplannedmaintenanceare
much worse is the negative impact on overall performance which includes
the subtle role of worker morale in frequent breakdowns, product quality,
and unit costs.

1.2. PreventiveMaintenanceEffectiveness

Preventive maintenance, when used correctly, has shown to produce main-

tenancesavingsin excessof 25%, butbeyondthis,itsbenefitquickly
approaches a point of diminishing return. It has been estimated that one
out of every three dollars spent on preventive maintenance is wasted. A
majoroverhaulfacilityreports that 60% ofthehydraulicpumpssent
in for rebuild had nothing wrong with them, a prime example of the dis-
advantage of performing maintenance to a schedule as opposed to the indi-
vidual machines condition and needs.
However, when a preventive maintenance program is developed and
managedcorrectly, it is themost effective type of maintenanceplan
available. The proof of success can be demonstrated in several ways:
0 Improvedplantavailability
0 Higherequipment reliability
0 Better system performance or reduced operating and maintenance
costs
0 Improvedsafety,another very important success indicator
The immediate maintenance concern of the plantstaff is responding to
equipment and system functional failures asquickly and safely as possible.
Over the longer term, however, its primary concern should be to system-
atically plan future maintenance activities in a manner will that demonstrate
improvement along the lines indicated.
To achieve this economically, corrective maintenance for unplanned
failuresmust be balancedwiththeplannedpreventivemaintenance
program. Figure 1 shows that optimization of maintenance expenditures
requires a balance between corrective and preventive maintenance of the
equipment.
To assure focus and continuity of information and activities relative to
maintenance of plant systems, some facilities assign a knowledgeable staff
personresponsible
for
each
plant
system.
All
maintenance-related
information, including design and operational activities, flow through this
system or equipmentexpert,who refines themaintenanceprocedures
for those systems under his jurisdiction.
ntenance
Predictive Troubleshooting
and 557

t
Amount d preventive maintenance

Figure 1 Maintenancecostoptimization.
-
1.3. Maintenance
Improvement

Problems associated with machine uptime and quality output involve many
functionalareas.Manypeople,fromplantmanagerto engineers and
operators, are makingdecisions and taking action thatdirectly or indirectly
affect machineperformance.Production, engineering,purchasing,per-
sonnel, stores, maintenance, outside vendors, andso forth, all have internal
systems, processes, policies, procedures, and practices they use to manage
their own sections of the business enterprise. These organizational systems
interactwithoneanother,dependononeanother,andconstrainone
another in a variety of ways.

1.4. Program
Objectives

In order to have aneffective maintenance program, thefollowing objectives

must be met:
0 Unplannedmaintenancedowntimedoesnotoccur.
0 Condition of theequipment is alwaysknown.
0 Preventivemaintenance is performedregularly and efficiently.
0 Maintenance needs areanticipatedandplannedfor.
0 Maintenance department performs specializedmaintenancetasks
of the highest quality.
0 Craftsmen are skilled and participate actively in decision-making
process.
0 Propertoolingandinformationare readilyavailable.
 558 Bloch

0 Replacementpartsrequirementsare fully anticipatedandparts

are in stock.
0 Maintenance and production personnel work as partners to main-
tain equipment.
0 Failurecausesareuncoveredandcataloged(Table 1).
Table 1 Failure Cause Distribution Estimate For Centrifugal Pumps in U S . Pro-
cess Plants
Yo Probability
Incidence ranking

Maintenance deficiencies
procedures) (neglect, 30 1
Assembly or
installation defects 25 2
Off-design or unintended
onditions service 15 3
peration Improper 12 4
Fabrication or
processing errors 8 5
Faulty design 6 6
s Material 4 l
Source: Ref. l .

1.5. Program
Development

Preventive maintenance programs mustreconcile the conditions which exist

in the environment of the installation with the demands of the system for
which the equipment was designed. Preventive maintenance programs pro-
vide schedules for inspection of the components at strategic opportunities.
A complete program is developed from data which include the following:
1. Theprocess which themachine serves
2. The conditions in the immediate vicinity of the machine
3. Theatmosphere in thegeneralgeographiclocation
4. The user's operating schedule
The above requirements indicate that a preventive maintenance pro-
gram for specific equipment should be tailored to the process involved.

1.6. MachineryPreventiveMaintenanceProgram

A maintenance programis developed for each major component or assembly

which, if followed, will assure total reliability and eliminate unscheduled
ntenance
Predictive Troubleshooting
and 559

downtime of the machine. The programis based on the following premises,

which, if not fulfilled, will causetheprogramto be ineffective andnot
achieve the desired result of no unscheduled downtime:
1. Major components orassemblies are in like new condition. This
does not mean that all new parts or components must be pur-
chased and installed, but the existing parts or assemblies must
be rebuilt and restored to like new updated specifications. In
some cases, new parts or assemblies will have to be obtained.
2. Training programs are developed and are ongoing for the main-
tenancepersonnelresponsible for the machine, to update their
knowledge and skills on equipment maintenance and component
reconditioning.
3. Proceduresare developedforinspection and rebuilding of all
major components.
4. Proper and adequate records are kept and maintained on the con-
dition of components, and what failures occur, and where. These
are necessary to allow a logicalapproach to the solutionsof prob-
lems and to be able to determine what components will require
reconditioning or replacement at the next scheduled shutdown.
5 . Proper and adequate tooling is available to allow the maintenance
personnel to properly service the compressor and perform the
maintenance required.
6 . Commitment of maintenance personnel to spend money on inven-
tory of necessary spare parts and properly reconditioned parts.
This is to preventthe re-use of questionable
a partand
reconditioning on a crash basis by personnel not qualified.

1.6.1. Evaluating inspectiondata

It is obvious that the inspection of machine components is one of the most
important maintenance tasks. The purposes of recording these data are
as follows:
1. To establish the exact condition of all wearing parts
2. To establish the wear rate of parts, which, if promptly replaced,
will not deteriorate to such a degree that associated parts will
be damaged and will also require replacement
3. To determinewhichparts requireand canbe reconditioned to
bring them to a like new condition
4. To evaluate evidence found in order todetect causesof abnormally
short l f e ; for example, faulty lubrication conditions resulting in
rapidbearingdegradation,or excessive misalignmentleading
to coupling wear, and so forth.
560 Bloch

5. The evaluation of data will indicate subsequent inspection periods,

routines, and techniques.
To recap, these inspection data are necessary to not only determine
what must be done to bring the machine back to standard and like new
condition, but subsequent inspections will establish wear rates and from
these the timing of future inspections can be determined. Recall also that
one of the objectives and purposes of preventive maintenance is not to per-
form unnecessary maintenance, avoiding unnecessary costs.

1.6.2. Inspection of Machine ReplacementParts

The inspectionof all machine parts purchasedis important to thepreventive
maintenance program no mutter \ t J w is the supplier. It has been found that
8-100/0 of all parts from even qualified suppliers do not meet material or
dimensional requirements or have other faultssuch as cracksin the coating.
This can go as high as 85-901/0 on lowest-cost or unqualifiedsuppliers.
Therefore, an inspection program is mandatory for incoming parts and
materials to beused. This must be done immediatelyuponreceipt. No
material should be put into stores without inspection.

1.7. Summary
To summarize, a preventive maintenance program is a comprehensive pro-
gram of reliabilityimprovement andfailurepreventioncarriedout by
all personnel, with the understanding and support of management. A good
preventive muintenunce plun should be able to do the following:
1. Maintain or improve machinery reliability
2. Represent a planned maintenance program
3. Include training to improve maintenance skills of both operators
and maintenance specialists
4. Ensure the development and updating of proper and adequate
records on the condition of the equipment
5. Encompass utilization of proper and accurate tooling to maintain
the machines
6. Ascertain
availability of proper
spare
parts
andproperly
reconditioned components
No single technique used alone cansolve all the problems thatresult in
high machinerymaintenance.Undueemphasis is oftenplaced onthe
predictiveaspects of maintenance to the exclusion of preventivemain-
tenance. Both have their place; they are complementary. Thebest available
maintenance management practiceis to apply predictive techniques in efforts
to accurately define when to perform preventive maintenance.
Troubleshooting and Predictive Maintenance 561

2. PREDICTIVE
MAINTENANCE

The maintenance methodology known as predictive mnintennnce and con-

dition-based maintenance is attracting attention as highly
a reliable replace-
mentfor
conventional
periodic
maintenance and
overhaul.
Where
preventivemaintenancefails in efficiency, predictivemaintenance offers
improvement. This method involves the use of real-time or portable instru-
ments such as vibration, infrared, and wear debris monitors, to recognize
the symptomsof impending machine failure. Predictive maintenance is more
of an early warning technique to detect small amounts of damage before
they lead to catastrophic failure.
In the design, operation,andmaintenance of mechanicalsystems,
quantitative wear data play varying roles.
Unscheduled equipment
shutdown canbe very expensive due tolost production orservice. Real-time
monitoring of components has the added advantage of being able to help
identify replacement parts before they are actually needed. Predictive main-
tenance will not stop things from wearing, but will allow us to schedule
downtime to correct the problem. This is the smart way to do it, rather
than permitting the problem to develop into a full-fledged failure.

2.1. PredictiveMaintenanceVersusPeriodicInspection
Maintenance

Predictive maintenance evolved from certain basic facts:

Certain vital parts last longer and operate better if not frequently
taken apart, and operation until complete destruction is not only
foolish, but unsafe and costly.
Ninety-nine percent of all failures are preceded by signs,con-
ditions, or indications of failure.
Periodic inspection maintenance could disturb good parts.
Assembly errors arepossible whenever machines are taken apart.
Running fit and finish are jeopardized during internal component
inspection.
Dirt intrusion is likely whenever a machine is opened.

2.2. Setting up a Predictive Maintenance Program

Predictive maintenance is the continual monitoring of the condition and

performance of operating equipment. A good predictive maintenance pro-
gram needs three ingredients:
1. An organizedprogram
562 Bloch

2. Equipment (instrumentation, analyzers, monitors, and detectors)

3. Responsibility
Each item is useless without the other two.

2.3. Program
Althoughthefeasibility of monitoring will varywitheachcategoryof
rotatingequipment,therearesomethings which can be andshould be
monitored. Thefirst step in the programis to decide what is to be monitored,
and the following forms the basis of the program:
1. Daily operating reports andlogs: to observe operating parameters,
pressures,temperature, flows, and so forth.Theseareoften
overlookedandrecordedaspart of theoperatorsduties but
not
referred
to
until
lifter
problem
a develops. Continual
monitoring can show trends of developing problems.
2. Maintenance records andK>earmeusurements, taken as part of the
overall maintenance program covered previously. These records
are the most important of all parts of the program. Inspection
records will be the basis of the trend and prediction of possible
component failure and also the basis of planning for shutdown
and replacement of worn and failing components.
3. Infrared thermography. This very simple procedure can represent
an important part of a maintenance program and does predict
temperature-related problems before failure occurs.
4. Lubricating oil monitoring should be a part of the maintenance
programs, as it helps to detect the progressive deterioration of
components such as bearings. It consists of monthly sampling
of lubricating oil, performing spectrographic analysiswhich pro-
vides an accurate quantitative breakout of individual chemical
elements contained in the oil elements such asoil additives, as well
as contaminants. A comparison of the amount of trace elementsin
successive oil samples can indicate wear patterns ofall wetted parts
in the equipment and warn of impending failure.
The full benefits of oil analysis can only be achieved by taking
frequent samples and trending the data for each major machine.
The basic data on each major machine allow the laboratory to
build a unique database. Reports then include values from the
current tests, the average for the particular unit, and values from
previous tests. A spike in the content of one element indicates
a sudden changein the conditions inside the machine. A compari-
ntenance
Predictive Troubleshooting
and 563

son with the plant and laboratory averages provides a means of

judging the significance of the change.
Oil analysis can provide a wealth of information on which to
base decisions. However, major payback is rarely possible without
a consistent program of sampling, so that data can be trended.
Although oil samplingandanalysiscanprovide an additional
capability to existing preventive maintenance programs, it should
not be dependedontothecompleteexclusion of all other
techniques.Keep in mindthatbearingfailures haveoccurred
in operating machinery which for some reason were not picked
up by sampling of the lubricating oil.
5 . Vibrationmonitoring is particularly useful onthosemachines
which use antifriction bearings. Some machines produce low fre-
quency vibrations because of their relatively low rotative speed
and, unfortunately, require more than the traditional vibration
velocity monitoring or frequency analysis. However, monitoring
packages available from experienced specialty firms can address
these special requirements.
6. Acoustic emissions or ultrasonic detection of leaking gaskets and
so forth.
7. Oscilloscope analyzers can be used to observe what is happening
internally in some fluid machines. By comparingtheactual
pressure, volume, time, and flow relationships to the theoretical
or as purchased values, the analysis determines if components
are malfunctioning.
It is obviousthatmostmachinerymaintenanceprogramsshould
include
predictive
and
preventive
maintenance
elements. Notethat
predictive maintenance aloneis not enough. It would be foolhardy to com-
pletely depend on lubricatingoil analysis and vibration monitoring to deter-
mine maintenance schedules for compressors or similar major machinery.
We must take good ideas from all concepts and merge them into an overall
preventive maintenance program.

3. MACHINERYFAILUREANALYSISAND
TROUBLESHOOTING

In recent years, the term failure analysis begun has to mean more than the
traditional metallurgical analysis of broken machine components. Where
the
metallurgist
once
reported
high cycle fatigue
as
the
failure
mechanism, present expectation may well demand that he and his collab-
564 Bloch

orators describe what happened, why it happened, how it happened, and,

especially, what exactly should be done so it does not happen again.
In view of these expectations, the failure analysis and troubleshooting
effort is likely to be tackled by a team of reliability professionals who inter-
face with metallurgists and obtain and evaluate their input, but go well
beyond what used to be termedfailureanalysis.More tothepoint,
the failure analysis and troubleshooting efforts are blended into a combined
task and any attempt to come up with separate definitions would serve as
academic purpose at best.
Machinery failure analysis and troubleshooting can be approached in
a number of ways. The old hit-and-miss methods consisted of a series of
educated guesses and lackedfocus.Accordingly, they areno longer
practiced by serious reliability professionals. These individuals wouldrather
resort to comprehensivechecklists(Fig.2a,b),matrixcharts, orother
repeatablemethods of systematicallytracking and uncoveringfailure
causes.
Both checklists [2] and matrix charts [3] (Fig. 3) work through the
familiar process of elimination: that is, the analystitroubleshooter rules
outone possibilityafterthe other,until he finally uncovers thereason
for a specific machine abnormality or deviation from the norm. Checklists
are rarely totally comprehensive. Nevertheless, the degree of confidence
we might have in getting to the bottom of a problem situation by system-
atically applying checklists and matrix forms is typically on the other of
8514 and will improve even furtherif we add to either format asexperience
is gained with time.

3.1. TheKepner-TregoeApproach
In the late1950s, and Tergoebegan teaching a systematic approach to prob-
lem solving and decision making [4]. They stated theseven basic concepts of
problem analysis as follows:
1. The problem analyzer has anexpected standard of performance, a
should against which to compare actual performance.
2. A problem is a deviation from a standard of performance.
3. A deviation from standard must be precisely identified,located,
and described.
4. There is always something distinguishing that has been affected by
the cause compared to that which has not.
5. The cause of a problem is always a change that has taken place
through some distinctive feature, mechanism, or condition to pro-
duce a new. unwanted effect.
ntenance
Predictive Troubleshooting
and 565

6. The possible causes of a deviation are deduced from the relevant

changes found in analyzing the problem.
7. The most likely cause of a deviation is one that exactly explains all
the facts in the specification of the problem.
Using this approach, the analystis virtually assured of being led to the
cause of a particular problem. However, because the reliability professional

(a)
Check chart for centrifugalpump problems

Symploms' Porsbla CIUI# 01 Imubla'

(Each number Is donned InTabla II)
l. Pump doas not deliver liquid 1. 2. 3. 5. 10. 12. 13. 14.16.21. 22. 25.30.32. 40 38.
2. Insufllclenl capaclly delivered 2.3. 4.5, 6. 7.7a. 10. 11. 12. 13. 14.15, 16. 11, 18.21. U.
23. 24. 25, 31.32. 40, 41, U, 63.64
3. InsuHicIanl pressure d m l o p a d 4.6.7.71, IO. 11. 12. 13, 14,15, 16. 18. 21.22. 23.24,25.
34.39.40.41.44.63. M
4. Pump loses pnme alter rlarlinp 2.4.6.7.7a.8.9.10.11
5. Pump requires e x ~ e s s ~ ypao w 20, 22. 23, 24, 26. 32. 33,
70. 71
34.35, 39, 40, 41, 44, 45, 61. 69,
6. Pump vibrates or is noisy a1 a11 flows 2. 16. 37. 43, 44, 45. 46, 47, 48, 49, M. 51. 52. 53. M. 55.
56. 57. 58. 59. 60.
61. 67.78. 19, 80.81. 82. 83. 84. 05
7 Pump vibralcs or is noisy a1 low llows 2 . 3 . 17.19.21,28.29.35.38. n
8. Pump vibrates or IS noisy at hiph llows 2.3. 10. 11. 12. 13, 14.15.16, 17.18.33.34.41
9. Shafl oscillalcs uially 17. 18. 19. 27. 29, 35. 38
IO. Im:cller vanes are eroded on vsible side 3. 12.13. 14. 15. 17. 41
11. lmpellcr vanes a m aroded on Invlsibla side 12.17. 19. 29
12. Impeller vanes ara eroded a1 discharps nur Center 37
13. Impeller vanes are eroded a1 discbrga near shrouds or I I 27. 29
shroudivane lilleu
14. Impeller shrouds bowed ouI or fnclured 27,29
15. Pump Overheals and s l e m 1. 3. 12. 28. 29. 38. 42, 43. 45,50,51.52. 53. 54.55, 57. 58,
59. 60.61, 62.17, 78. 82
16. lnlernal parls arc Corroded prcmalureiy 66
17. lnlernal clearancos mar olo npldty 3.28.2s. 4 5 . 3 . 51, 52. U. M. 5 5 . 5 7 . 5 9 . 6 1 . 6 2 . ~ . n
18. Axiallyspllt u s i n g Is CUI
lhrough wlndnwnnp 63. M.65
IS. lnlamal slallonary joinlr ara cut lhmuph wndmvlnp 53.63. M.65
20. R & d box leaks sxC4Sslvety or plclJnp hu ChM lilt 8, 9.45. H. 55.57, m. 69.70, 71. 72.13.74
21. Packrd bar slewo stmad 8.9
U. Machanld rorl lab ucassively 4 5 . 9 . S.57. S. 62.75.76
23. MaChanlUI seal: damped faces slam. bdlm 45. H. 55.57. 58.62.75.76
24. Baafinps haw S h M lila 3.29. 41, 42.45. so. 51. SI. 55, 58. n.78. rm. BO. 11. 82.
83. 84, 85
25. Couplino lails 45. M. 51. 54.
67

Figure 2 (a) Checklist for centrifugal pump problems.

566 Bloch

Posslble causes of trouble

Sucllon Troublmr
1. Pump not primed
2. Pump suction plpnnot completnly IIIInd wL l llquld
3. InsuHldnnl anilabln NPSH
4, ExussCn mount 01 alr or gas In liquld
5. Alr pock01In suction llnn 48. Lwrn pump or molor b o b
6. Air luh Into SuctiM line 49. lnrdeqrul1 gmcting of W p l a l ~
7. Alr Inab Into pumplhmugh stutnng boxes or through 50. Exwssive plplng lomr M d momutb on pump nordu
mnchanld seal 51, lmproptrty mwnlnd upanalon blnu
7a. Air In swru 01 solling llquld 52. swting t h m pump wlmwt p m w r w m - u p
8. Water SUI plpn p l ~ p ~ s d U. Mountingsurlacas 01 l n h m d no (11 W n g rings, Impallem.
9. Seal u q e lmproperty mountad in slulfing box shal slowet shal nuts baaring housings etc.) MpI e p
10. Inlnl of suction pip0 InsuHicisnLlysubmnrgnd dicular lo shall ulr
11. VoRu formation at suction 54. Bent shalt
12. Pump openled wilh dosed or partially closedsuction nkn 55. Rolor 0111 of balanw
13. Clogqed suction slnlnnr 56. R& loola on tho shaft
14. ObStNctiOn In suction line 57. Shall Nnnlng oflcsntnr b m u s r d worn burlngr
15. Exwsiwn lriction losses In sucth llnn 58. Pump Nnnlnp at M nnu uiW rpand
16. Clogged impeller 59. Too long a shall span or tw snuU a shan dlUnBUr
17. Suction nlbow In plana panllel Io l h shalt
~ ( lordwbln-suctlon 60. Rnronanu behnen opentinp cpand M d nalunl lrnquenw 01
founaatioh basnphh W plplng
61. Rowing part mbblng on ~lltionvyp u l
62. Incursion of hard solid parUcln$ Into Nnnlng clunnus
63. Improper c1sIng gasknl rnattTW
M. Inadnqurtt Installation01 gasbl
65. lnadnquate tighteninp 01 casing bolh
Othnr Hydreullc Pmblamr 66. Pump masrials not suitable lor Uquld hrndlnd
20. Speed 01 pump l o o hlph 67. Csriain couplings lack lubriatlcm
21. SDned 01 pumpD I0O W
I
22. Wrong dirnction of mtation
23. Revone mounting 01 d o u b l m x l i o n Impeller Mnchanlcal Poublnr-resllng I r e 1
24. Unulibnled instfumnntr 58. Shalt or shalt slnwos worn or scored at packing
25. Impellor dlamnler smaller than specified 69. Incorrectlype 01 pclring for opnrating wnditians
26. Impellor diametnr Iarqnr than spedlied 70. Packing lmproperty lnsulled
27. Impeller soloclion with abnormally high head wnllicient 71. Gland too light. p r o w n u now 01 liquld to lubriuls packing
28. Running lhn pump againsl a c l o u d discharge valve without 72. Exussivn dnannw 11 bollom 01 slulling box allows packing
opening a bypass to bo lofwd Into pump lntnrbr
29. Opnnting pump below recommended minimum now 73. OiR or grit In sulinp liquld
30. Static hold highnr than ShUtQH head 74. failure lo provide adequale emling Hquld lo w ~ t n m x l e d
31, Friction losses In dlscharpn highor VIM a l w i a l e d twlllng bus
32. Total head of Iyrtnm hlgher Vun dnslgn d pump 75. Incorrectlypn of mnchrnlcllmal for prmlllng condltlw
33. TOW hold 01 ystnm I w r lhan derlgn 01 pump 76. Mnchlnlulmal hpmpnrty h W B d
31. Runnlnopump ~t IW hlgh Inow (for kw rpndnc spnnd MIchInlctlTroubler-bemrlngl
pum~sl 77. Erwssknn d i d l h ~ sInl rlnglevolutnpumps
35. Runnlng pump 11 o lo low a flow (lor hlgh SPtdIlC spend 78. E x W U l w Uld U l N S t ausnd by U W S S h WSU I t Intornat
PWnPS) deannwswbylallurnor.Ifursd,uursinwsarolbd~clnp
36. Lnak of stuck check n l v n dnvIw
37. Too dosn a gap betweon Impeller nnns and volute tangun of 79. Wrong gndn 01 grnasn M 011
dilluser vanes 80. Excesswn oreass or 011 In anti-l~o Wnn p houslnpr
38. RnIInI optntion 01 pumps unsultabln lor lhn purpose 81. Lack 01 lubriulion
39. Spnclllc gravity of llquld dinan lrom design conditions 82. Improper Instanationof anU-Irl&n bnarlnpr suchI S darnago
40. Vmosity 01 liquid dlllnn lrom design wndilions during lnslallatioh lnwrrncl assembly 01 cllcksd b t u l n g h
41. Excnssivn mar at lnlnrnal mnnlng clnannws use of unmatched baaringsas a pdr. ntc.
42. ObstNctiOn In balancing devicn leak-on line 83. DIR ostung Into baarings
43. Transients at suclion sourcn (imbalanw bshnnn pressurn aI 84. Molslure wnlamlnallng lubriunt
surlace 01 lhquid and vapor pressure at suction IIangn) 65. Exwuive w o l m p 01 w t e r z w l n d boarings

Figure 2 (b) Checklist of possible causes of pump trouble.

is almost always expected to delineate suitable remedial action, he or she

should now embark on what is generally called action generation. This
phase of the machinery failure analysis and troubleshooting effort is best
tackled by a groupof people whosejob functions andexperience equip them
to be real contributors.
Typically, a meeting would be called to lead to the tabulation and
consideration of alarge number of conventional,as well as unconven-
ntenance
Predictive Troubleshooting
and 567

Plain (Journal) Bearing Failure Modes and Their Causes

Rllum Mod08

Wear

Frllurr Cauur
Insufficient clearance
Misaligned journal
bearing
Rough surface finish
on journal
Pores and Cavities in
bearing metal
Insufficient
metal
bond 0

General operating condi-

tions
Overloadfatigue 0

Overloadvibration 0

Current passage
Unsuitablebearingma-
terial
Contamination of lubri-
cant
Insufficient or lack of lu-
bricant
Oil viscosity t o o low
Oil viscosity t o o high
Improper lubricantselec-
tion
Lubricant deterioration

Figure 3 Typical matrix chart used i n troubleshooting.

568 Bloch

tional remedial steps. The principal meeting attendees

include the following:
1. Thedatasource,apersonwhocanauthoritatively explain the
problem after having contributed to its definition by diligently
considering the seven steps listed above.
2. The recorder, a participant who will write down on a flipchart the
variousandsundryaction possibilitiesoffered by the people
attending this action generation meeting.
3. The clout, usually a manager or superior who can authorize the
necessary commitment in manpower or monetary resources to
implement a chosen course of action after all possible actions have
been tabled.
4. The chairperson, an individual whowill keep the meeting focused.
He or shewill instruct all meeting participants to contributeposs-
ible actions withouteven the slightest consideration beinggiven to
cost, timing constraints, technical feasibility, and so forth. The
chairpersonmustinstruct all present togoforquantity first,
withoutallowingfor debateonthemerits of any of these
suggestions.After no
more
action
stepsare offered, the
chairperson asks the participants to deletea major percentage
of the action steps offered earlier, specifically those that do not
meet a stated objective.
These objectives could be the following:
(a) Aninterim fix
(b) The safestpossibleupgradingmeasure
(c)A 5-year guaranteedrun length
(d)Makingthemachinemoremaintainable
(e) Building operator surveillancefeasibility intotherepair
(f) A host of other priorities which could vary from plant to plant
and from machine to machine
5. The client,representing the person whose problem we are trying to
fix.
6. The worker, namely the individual whose responsibility it will be
to implement theactionagreedto by themeetingattendees.
Having
the
worker present will impartmotivationtothe
implementationbecausetheentirerationalefordoingit this
way was discussed in his or her presence.
Experience shows that farless time is wasted in theseaction generation
meetings because all the decision-makers are in attendance and because no
time is lost in debating recommendations that do not meet the objectives
agreed to by those present. Our example will illustrate the point.
Troubleshooting
and Maintenance
Predictive 569

In 1969, four pusher centrifuges of the types incorporating a rotating

basket (Fig. 4,item14) were commissioned at achemicalplantinthe
Far East. These machines had originally been funished without any sealing
componentbetweenthestationary feed pipe (item 12) and the rotating
basket.
Within minutes of start-up, it became evident that excessive amounts
of the liquid constituent of the centrifuge contents escaped through the
gap between the basket and thepipe. There was noneed to convene a meet-
ing to determine where the liquidoriginated or from where it escaped.
However, a meeting was called to discuss as many action possibilities as
the 20 or more attendees could contribute. The recorder had difficulty keep-
ing up with the rapid-fire suggestions from the floor:
1. Mechanical seal
2. Packing
3. Labyrinth seal
4. Baffles, etc.,etc.
Among the many suggestions were some which made little sense, but
they were written up anyway. When there were no more suggestions, the
attendees who had made someof the less reasonable action proposals were
among the first to withdraw their suggestions. This meant that no time
was lost in meaningless debate and nobody was slighted. Mechanical seal
ideas floated to the top: a seal sketch was prepared and the worker took
it to the shop for fabrication. The next day, the home-made mechanical
seal was ready for installation and testing; it proved unsatisfactory.
Afollow-upmeetingwasconvenedinthesameroom were the
flipcharts from the earlier meeting were still taped to the walls. Looking
at the other options (packing,baffles, labyrinth, etc.), the attendeesdecided
on a viscodynamic seal, essentially a rotating bushing with a suitably con-
figured helical screw flight machined into the bore. Less than a day later,
theseal (Fig. 4,item 10) had been machined. It wasquicklyinstalled
and wasfound to operate flawlessly. Not longthereafter,apatent was
granted on the sealing device.

3.2. ActionGenerationFormalized [3]

A
methodfor
action
generation
proven successful has been
popularized by the Synectics Corporation of Cambridge, Massachusetts.
They suggest eight steps:
Step 1: Brieflv define the task. Tell the group what is wrong. Give them a
brief history and tell them what you expect in terms of group output.
If you know cause/effect relationships, show them. Try to present
570 Bloch

Figure 4
ntenance
Predictive Troubleshooting
and 571

the problem in some nonverbal way as well. Pictures,diagrams,

clouds, stairsteps, and so forth areways to do this. Do not overdefine
the problem. Remain nonjudgemental.Avoid stifling the groupwith a
list of weve already trieds.
It is helpful heretorestatethe problem in several ways. For
example, a problemstatedas: The inletguide vane bearings of
the forced draft fan are seized could be restated:
How to get operations to live with it.
or
How to enlist operationscooperation in the effort to try to run
with inlet guide vanes positioned permanently at one setting.
The client picks one problem on which to work. The rest are saved
for possible action later.

Szep 2 : Goal ~ i d ~ i nThis

g . is a free-thinking approach to solutions.It is
totally without regard to feasibility. First, let us discuss getting the
ideas started. Some of the more important things to do and avoid
are as follows:
a. Do gofirstfor quantity.
b. Avoid evaluating (looking for quality)-that comes later.
c. Do includesomeother people.
d. Avoid assumptions about limits, restrictions, salability, and so
forth.
e. Do writeeverythingdown.
f. Do havefun.
g. Do loosen up your brain alittlebefore starting.
A couple of other aids are beginning statementswith I wish . . .

and building on others comments or ideas.

Step 3: Narro\ling. The client picks one or moredirections or wish

statements that hold some intrigue.

Step 4: Excursion andfbrce,fit. There are several ways to do this:

a. Keywords. You select unrelated key wordslikecircus,
landscaping,art,sports,and so forth, and again let
your mind open up with examples that relate to the selected
direction(fromStep 3). Then, yourelatethese to problem
solutions.
b. Role playing. You might asked the members of the group to
assume a different identity. For instance, if the problem has
572 Bloch

to dowith motivating first-line supervisors, you might ask your

associates toassumetheyare first-linesupervisors,halfof
whom are turned on, the other half of whom are disgruntled.
Now, they arein a frame ofmind to inventways to stay
motivated or to get that way. These are then workedposs- into
ible solutions.
c. Irrrqing. This is only slightly different from role playing. The
difference is the use of objects alongwith or instead of people.
For example, if expensive tools were being stolenand solutions
were needed, you might have part of the people imagine they
were prisoners (the tools) and the prison was the machine shop.
The other people would be the guards. Half would generate
ideas on how to escape. The guards, of course, would devise
all possible ways to keep them confined. From this, you look
for new security measures.

Step 5 : Potential Solution. From the wishes andthe excursions,the

client again narrows to a possible solution. It need not be feasible
or viable yet.

Step 6: Yrocon or itemized response. This is the initial evaluation step.

First, you list thegoodpoints,thepros,aboutthe ideas. Stretch
for as many asyou can. Second,the client states the cons or concerns.
Thesemustbeprovedandwordedashow to statements.For
example,Costtoomuch,mightbereworded,Howto do the
job with less expensive materials or How to recover some of the
money These how to statements are more action oriented rather
than purely negative shoot downs.

Steps 7: Actions to reduce concerns. Again, this is creative and open.

However, you are really trying to come up with ways to make the
idea fly now.You do this by removing obstacles or concerns. New
ideas often start out astotally ridiculous. As concerns are addressed,
they get a little more realistic, until finally they reach a critical point:
the threshold of tryability.

Step 8: Next steps. If the concerns have been adequately addressed, the
client should be ready to say what is next.
As can be seen,this is a constant divergent/ convergent process.We
beginby expanding the number of problem statements, then narrow to
one. We proceed with multiple wishes or approaches, then narrow to one,
and so on.
intenance
Predictive Troubleshooting
and 573

There are Some other keys about the group and the techniques:
1. N o morethan seven people.
2. Includepeople who have knowledge of the problem.
3. Someonemust be willing to take action.
4. Visibility is critical.
5. Methodmust be agreed upon.
6. Six rolesassigned.
7. Strive for freshness. (Creativityis not necessarily a new idea,
but one that is new to you.)
Thecorestep in solvingproblems is developing appropriateaction.
Indeed,supportingtheactionstep is theprimaryreasonforanyother
analysis, and perhaps the only sound reason
A novel, new, or creative solution may alsobe worth a lot in terms of the
following:
I. Support by fellow employees andmanagement
2. Interest
3. Motivation of workers
4. Competitiveadvantage
5. Reducingotherproblems
6. Allowing previously unusable techniques to become feasible
Being effective with creative thought involvesletting go-not an easy
thing to do. It involves using the right side of the brain- something we
arenot used to. Only by doingthiscan we becomebalancedthinkers
and balanced problem solvers.

3.2.1. Decisionmaking
Deciding is choosing a courseof action. Frequently, it is in this area that the
machineryfailureanalyst andtroubleshooterhas to show his stuff.
Because all action involves risk, we believe that a good process should help
to reduce this risk. Keep in mind that decision making may be facilitated
by encouraginggroupinputorgroupparticipation.Inmany instances,
the role assignments given for the Action Planning and Generation phases
should be continued.
Usually the machinery troubleshooter will be involved at the point
whereeverybodyasksthequestionWhere do we gofrom here? We
are talking about follow-up decisions.
The Follow-up Decision Routine depicted in Fig. 5 can be used to
determine appropriate action steps after a machinery component failure
has occurred. It begins with the decision as to whether or not the observed
574 Bloch
I / 1
Y
I i t
ntenance
Predictive Troubleshooting
and 575

failure mode turned up within its standard life expectancy. Standard life
expectancy for a given failure mode is the time period in which we, quite
oftensubjectively,expectthisfailure modetoappear. A few simple
examples may illustrate the process.
Let us start with the failure of a rolling-element bearing in a refinery
pump. After verifying that this failure mode occurred within the standard
life expectancy of the bearing, we movedown to thequestion. Because
rolling-elementbearingshaveafinite life, we reason that suchafailure
can be predicted, but not prevented, by appropriate predictive maintenance
techniques. This decision leads to the next question: Could modification
of maintenance ensure earlier recognition of defect? If we answer yes,
we aredirectedtoperiodicmonitoring,inspection,repair,oroverhaul
of the machine. If the answer is no, we proceed to additional questions
which, when answered, allow us to identify appropriate follow up steps.

3.3. The Seven Root Cause Failure Analysis Method

The Seven Root Cause failure analysis methodis outstandingly suited for
mechanical work forces, including, of course, maintenance technicians and
othersentrusted withequipmentreliabilityimprovementtasks at a
grass-roots level, so to speak. This is how the most experienced and knowl-
edgeable of them would tackle a failure analysis task [5].
Suppose a centrifugal pumpdevelops a defect. It is taken to the repair
shop and dismantled. The mechanic or machinist finds a defective bearing
and replaces it. The pump is reassembled, reinstalled, and recommissioned.
It will probably fail again real soon. Why?
The problem is that no one has botheredfinding the true cause of the
bearing distress. With worldwide statistics showing that 91% of all anti-
friction bearings fail prematurely, it can be demonstrated that many plants
in the United States and elsewhere are setting themselves up for numerous
repeatfailuresunless they uncover and remove thetruerootcauses of
failures.Intheparticular eventmentionedabovetheproblemcould be
an out-of-toleranceshaftdiameter,anincorrecttemperaturesettingon
the bearing heater, or a number of other correctable deviations.
A properly structured root cause failure analysis program will have an
immediate, measurable payback. A good program is deceptively simple. It
recognizes that d l failures, without exception, belong to one or more of
only seven categories:
0 Faulty design
0 Material defects
0 Fabricationor processing errors
576 Bloch

0 Assembly orinstallation defects

0 Off-design or unintended service conditions
0 Maintenance deficiencies (neglect,procedures)
0 Improperoperation
Root cause analysis further recognizes that lvitlzout exception the basic
agents of machinery component and part failure mechanisms are LIIM~U~~S
force, time, temperature, or a reactive environment. One or more of these
mechanismsmaycombineandhastencomponentdegradation [3]. Con-
tributingorinteractingfactorsare all part of a system;consequently,
the entire system must be subject to review and scrutiny.
Considerable involvement with pump maintenance and repair led to
thefailurecauseestimateforcentrifugalpumps in U.S.process plants
as given in Table 1. This failure analysis and troubleshooting approach
attempts to first find therootcauses of failuresinthecategorieswith
thehighestprobabilityranking. Theapproach emphasizes the need to
do the following:
1. Startatthe beginning by
0 Reviewingtheequipmentcross-section drawing
0 Thinkingthrough how theindividualpartsfunctionor
rrlal function
0 Understandingthe process loopand process operations
2. Take a systems approach. Neverlosesight of the following:
0 The machine may be only part of the overall loop or process
system
0 The part that failed is very often not the root cause of the
problem and unless we find the root cause, repeat failures
are likely to occur
3. Collect all the pieces. The missing part may contain clues which
must be examined and which may have had aninfluence on failure
cause or failure progression.
4. Use a calculation approach while not, of course,neglectingthe
intuitive or prior experience-utilization approach.
It is worth noting that although machinery problems and failureinci-
dents can often be traced back to a given root cause or origin, catastrophic
failures are rarely the result of only a single violation. Many times, a series
of omissions,oversights, orerrors combineand lead to theinevitable
failure.
Machine users can do much to reduce the risk of experiencing equi-
pmentfailures.Well-though-outspecifications, drawinganddocument
reviews [6], compliancewithuncompromisinginstallationprocedures,
intenance
Predictive Troubleshooting
and 577

operator and mechanical work-force training, and a good combination of

preventive and predictivemaintenance(periodicconditionmonitoring)
are just a few of the proven ways that come to mind.
When failures do occur, there is no substitute for applying properly
focused and repeatable approaches to failure analysis and troubleshooting.
The use of checklists is encouraged, as is the systems approach, and col-
lecting all the pieces before attempting to determine what happened.
The next step is for the failure analyst or machinery troubleshooter to
remember the seven principal causes categories and to rank them in logical
order. Using a process of elimination, the most probable cause categories,
or perhaps the ones that are most easily and rapidly screened, are investi-
gated first. The four basic agents of machinery component and part failure
mechanisms also have to be kept in mind. The final and most important
review will thenalmostnaturallyfocusontheonearea which contains
the root cause of a failure event.
Using this approach may retrain the experienced machinist, who
has become expertat replacing the same failedpart manytimes, to becoming
a problem-solver.

REFERENCES

1. H. P. Bloch and J. J . Hoefner. Rc~iproccrtingCornpressor Maintenance. Gulf

Publishing, Houston. TX. 1996.
2. I. J. Karassik. Centrifugal Pump Clinic, Chen?. Process., September 1988. pp.
122-1 28.
3 . H. P. Bloch and F. K. Geitner, Machinery Fuilure Analysisand Troubleshooting.
3rd Edition, Gulf Publishing, Houston, TX, 1997.
4. C. H. Kepner and B. B. Tregoe. The Rational Manager, McGraw-Hill, New
York, 1965.
5. H. P. Bloch, Making a Case for True Root Cause Failure Analysis, Hydrocarbon
Process., August 1990, p. 21.
6. H. P. Bloch, Inrproving MachineryReliubility, 3rdEdition,GulfPublishing,
Houston, TX, 1998.
7. H. P.Bloch, Root Cause Analysis of Five Costly Centrifugal Pump Failures,
Proceedings Trstrs A&M Universitys 7th Intertlcrtionnl Pump Users Sytnpo.siurn.
Houston, TX (1990).
This Page Intentionally Left Blank
Index

Bearings vibration, 257-272

hydrodynamic, 1 16 wakes, 2 10-222
dynamic coefficients, 136 curved duct, 280-288
instabilities, 126 curved surface, 288-293
journal, 117 rectangular cylinder,
rolling, 25, 432-438 236-248
Blade flow spheres, 222-233
cavitation, 330-335 surface attachments, 250-257
losses, 308-3 19, 41 7-430 Flow measurement
passages, 294-307 laser Doppler velocimetry
stall, 322-326 data acquisition, 536-542
data processing, 542-547
Design of machinery particle velocimetry, 548-550
belts, 22-24
endurance, 16 Gas turbine, 533-536
failure theory, 14
fatigue, 18 Maintenance
flywheel, 25 failure analysis, 574-575
process, 11-12, 394400 predictive, 561-564
shafts, 20-2 1 preventive, 553-560
turbine, 445455 troubleshooting, 564-574
vortex field, 410417 Metal-cutting dynamics,
141-144
Flow
circular cylinder Nonlinear dynamics
arrays, 272-280 autocorrelation coefficient,
drag, 203-208 157

579
580
[Nonlinear dynamics]
bifurcation diagrams, 151,
165
joint probability density, 162
phase plane portraits, 150
Poincare map, 155, 161, 164
stochastic model, 154
Robots
applications, 176
controls, 173
dynamics, 186
kinematics, 178-1 8 1
manipulators, 170
programming, 174
trajectories, 190
Rotors
bearings, 120-1 23
balancing, l1 1
critical speeds, 97, 121
finite-element method, 109
flexible assemblies, 107
gyroscopic effects, 103
Rotor loading
axial loads
pump, 408-410, 443-445,
492-498,529-531
turbine, 455463, 467-482,
482-490,501-528
balance piston, 436-442
thrust, 400403
momentum change, 403404
pressure change, 404-408
Seals
annular, 125-1 29
instability, 1 3 1
swirl, 132
Index
Valves
types, 355-362
design, 365-368
finite-element analysis,
373-376
Vibrations
analysis
centrifugal compressors,
128
measurement systems, 84
power spectral density,
90
probability density
function, 87
response variables, 86
rms values, 89
basic equations. 32
conservative systems, 34
damped, 39-43
forced, 45
modal analysis, 66-74
multiple degrees of freedom,
62-65
nonlinear systems
linearization, 77
viscous damping, 78
numerical integration, 80
sinusoidal, 362, 363,
378-380
random, 362-373
rotating imbalance, 53
shock
loading, 54-57, 354
spectrum, 59, 382-387
single degree of freedom,
29
testing, 387-39 1
undamped, 36