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An Overview of Mathematical Models Used in Gear Dynamics

Zoltan KORKA
RESITA- RENK S.A., Platforma Calnicel, Resita, korka@resita-renk.ro
(Received 12 February 2007; accepted in revised form 11 June 2007)

Gears are one of the most critical components in industrial rotating machinery. There is a vast amount
of literature on gear modelling. The objectives in dynamic modelling of gears has varied from
vibration analysis and noise control, to transmissions errors and stability analysis over at least the past
five decades. The ultimate goals in gear modelling may be summarized as the study of the following:
Stress analysis such as bending and contact stresses;
Reduction of surface pitting and scoring;
Transmission efficiency;
Radiated noise;
Loads on the other machine elements of the system especially on bearings and their stability regions;
Natural frequencies of the system;
Vibration motion of the system;
Reliability and fatigue life.

1. INTRODUCTION Models for Gear Dynamics


Such models include the flexibility of the other
The models proposed by several elements as well as the tooth compliance. Of
investigators show considerable variations not only particular interest has been the torsional flexibility
in the effects included, but also in the basic of shafts and the lateral flexibility of the bearings
assumptions made. Although it is quite difficult to and shafts along the line of action. In some studies,
group the mathematical models developed in gear the transverse vibrations of a gear carrying shaft
dynamics. Ozguven and Houser [33] have are considered in two mutually perpendicular
presented in 1988 a thorough classification of gear directions, thus allowing the shaft to whirl.
dynamic mathematical models. In 1990, Houser Models with a whole Gearbox
[13] and Zakrajsek [52] outlined the past and The studies in this group may be viewed as current
current research projects of gear dynamics and and advanced studies and all elements in the
gear noise at Ohio State University's Research system including the gear casing, are considered in
Laboratory and NASA Lewis Research Centre the models. The gearbox may be single stage or
respectively. Du [8] also classified various gear multistage.
dynamic models into groups. In the solution of the system equations,
Wang J. [48] has classified in 2003 the gear numerical techniques have usually been employed.
dynamic models as follows: Although most of the models for which numerical
techniques are used are lumped parameter models,
Models with Tooth Compliance where the investigators have introduced a
There are a very large number of studies that continuous system or finite element models. While
include the tooth stiffness as the only potential closed form solutions are given for some simple
energy storing element in the system. This group mathematical models, numerical computer
includes single tooth models and tooth pair models. solutions have sometimes been preferred for non-
For single tooth models, the objectives usually are linear and more complicated models, particularly
tooth stress analysis. For the models with a pair of in the earlier studies.
teeth, the focuses mostly are contact stress and In some studies the main objective has been
mesh stiffness analysis.. In such studies the system to find the system natural frequencies and mode
is usually modelled as a single degree of freedom shapes and, therefore, only free vibration analyses
spring-mass system, where the flexibility (torsional are made. However, usually the dynamic response
and/or transverse) of the shafts, bearings, etc., is all of the system is analysed for a defined excitation.
neglected. Some of the models have also been In most of the studies the response of the system to
analysed using the Finite Element Method. forcing due to gear errors and to parametric
excitation due to tooth stiffness variation during
the tooth contact cycle is determined. The models
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constructed to study the excitations due to gear summarised in a set of static transmission error
errors and/or tooth stiffness variation provide curves. He also appears to have been the first to
either a transient vibration analysis or a harmonic predict the dynamic instability due to parametric
vibration analysis by first determining the Fourier excitation of the gear mesh.
series coefficients of the excitation. Some studies In 1963, Gregory, et al. [10, 11] extended the
also include the non-linear effect caused by loss of theoretical analysis of Harris [12] and made
tooth contact or by the friction between meshing comparisons with experimental observations. Their
teeth. The excitation is then taken as an impact torsional vibratory model included a sinusoidal-
load and a transient vibration analysis is made. type stiffness variation as an approximation. They
treated the excitation as periodic, and solved the
2. MODELS WITH TOOTH equations of motion analytically for zero damping
COMPLIANCE and on an analogue computer for non-zero
damping. The experimental data [10] and the
The basic characteristic of the models in this computational results [11] generally confirmed
group is that the only compliance considered is due Harris's contention that non-linear effects are
to the gear tooth and that all other elements have insignificant when damping is more than about
been assumed to be perfectly rigid. The model is 0.07 of critical. It was claimed that when damping
either a single tooth model or a tooth pair model. is heavy the simple theory of damped linear motion
For single tooth models, the objectives usually are could be used. Aida, et al. [1, 2, 3] presented
tooth stress analysis. For models with a pair of examples of other studies in this area. He modeled
teeth, the focus is mostly contact stress and the vibration characteristics of gears by
meshing stiffness analysis. The resulting models considering the excitation terms due to tooth
are either translation or torsional. With torsional profile errors and pitch errors, and by including the
models one can study the torsional vibrations of variation of teeth mesh stiffness. In his proposal,
gears in mesh, whereas with translation models the time varying mesh stiffness and periodic tooth
tooth of a gear is considered as a cantilever beam errors were considered, and the model was used for
and one can study the forced vibrations of the determining stability regions and steady state gear
teeth. In either of these models, the transmission vibrations. A comparison with experimental
error excitation is simulated by a displacement measurements was also made.
excitation at the gear mesh. Rollinger and Harker [37] investigated
In 1956, Nakada and Utagawa [30] (1967) the dynamic instability that may arise due
considered varying elasticity of the mating teeth in to varying mesh stiffness. They used a simple
their vibratory model. Introducing an equivalent single degree of freedom model with an equivalent
translation vibratory system, they simulated the mass representing the inertia of the gear and
torsional vibrations of two mating gears. The time pinion. Mesh stiffness variation was assumed to be
variation of stiffness was approximated as a harmonic. The solution of the resulting equation of
rectangular wave and closed form solutions of motion was obtained by using an analogue
piecewise linear equations were obtained for computer, and it was shown that the dynamic load
different damping cases for accurately may be reduced by increasing the damping
manufactured gear tooth profiles. Another mass between the gear teeth or by reducing the amount
and equivalent spring model was introduced in of stiffness variation.
1957 by Zeman [53]. He neglected the variation of In 1967, Tordion and Geraldin [42] used an
stiffness and analysed the transient effects of equivalent single degree of freedom dynamic
periodic profile errors. Harris's work [12] was an model to determine the transmission error from
important contribution in which the importance of experimental measurements of angular vibrations.
transmission error in gear trains was discussed and They first constructed a torsional multi-degree of
photo-elastic gear models were used. In his single freedom model for a general rotational system with
degree of freedom model, he considered three a gear mesh. Then, only the equations of the gears
internal sources of vibration: manufacturing errors, were considered for obtaining an equivalent single
variation in the tooth stiffness and non-linearity in degree of freedom model with constant mesh
tooth stiffness due to the loss of contact. He treated stiffness and a displacement excitation
the excitation as periodic and employed a graphical representing the transmission error. An analogue
phase-plane technique for the solution. Harris computer solution was used to obtain the
seems to have been the first to point out the transmission error from the measured angular
importance of transmission error by showing that accelerations. The transmission error was proposed
the behaviour of spur gears at low speeds can be
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to be used as a new concept for determining the contact conditions on finite element models. They
gear quality, rather than individual errors. established the contact equations with the frictional
In 1973, Wallace and Seireg [46] used a factor and solved them for known output moment
finite element model of a single tooth to analyse load on the output gear. In their finite element
the stress, deformation and fracture in gear teeth model, they analysed their problem in two
when subjected to dynamic loading. Impulsive dimensions and in order to model the involute
loads applied at different points on the tooth profile as closely as possible, a special five node
surface and moving loads normal to the tooth linear transition element was used. In the same
profile were studied. In the same year, Wilcox and year, Ozguven and Houser [32] presented a non-
Coleman [51] also analysed gear tooth stresses. linear model of a single degree of freedom system
They developed a new accurate stress formula for for the dynamic analysis of a gear pair. In their
gear teeth based entirely on the finite element studies, they developed two methods for
method and presented a comparison between the calculating the dynamic mesh and tooth forces,
new formula and the previous one. dynamic factors based on stresses, and dynamic
In 1978, Remmers [36] presented a damped transmission error from measured or calculated
vibratory model in which the transmission error of loaded static transmission errors. The first method
a spur gear was expressed as a Fourier series. He was an accurate method, which included the time
used viscous damping and constant tooth pair variations of both mesh stiffness and damping. The
stiffness, and considered the effects of spacing second approach was a more approximate method
errors, load, and design contact ratio and profile in which the time average of the mesh stiffness
modifications. was used.
Rebbechi and Crisp [35] considered in 1983 In 1990, Sundarajan and Young [40]
the material damping of the gear-wheel shafts, developed a three dimensional finite element
while the compliance of the shafts was neglected. substructure method to improve the accuracy of
The three-degree of freedom model was reduced to calculation of the gear tooth contact and fillet
a two degree of freedom model for the study of the stress in large spur and helical gear systems. The
torsional vibrations of a gear pair, and an finite element analysis and pre-processing software
uncoupled equation, which gave the tooth they developed simplified the data input and
deflection. The other effects included in the model reduced the manual effort involved in the analysis.
were material damping inherent to the tooth, When some parameters (misalignment for
perturbations of input and output torque, arbitrary example) were changed, most of the stiffness
tooth profile errors, time variation of that error due matrices were not recalculated. They considered
to deformation, and perturbations of the base circle the contact problem by using contact boundary
due to profile errors. conditions, which meant that the contact or area
In 1985, Wang [47] studied the effect of was defined in the analysis. One year later,
torsional vibration in his model. The research was Sundarajan and Amin [39] investigated the finite
focused on the analytical evaluation of gear element analysis of a ring gear and the casing and
dynamic factors based on rigid body dynamics and presented another finite element computer program
discussed different cases in which the transmission to solve this problem.
errors have different effects on the dynamic load. The contact conditions of gear teeth are very
He commented that the transmission errors have a sensitive to the geometry of the contacting
system wide effect and could be used to analyse surfaces, which means that the finite element mesh
rigid-body vibrating gear systems in which the near the contact zone needs to be very highly
gear deflection is not considered. refined. However it is not recommended to have a
In the late 1980s, Ramamurti and Rao [34] fine mesh everywhere in the model, in order to
presented a new approach to the stress analysis of reduce the computational requirements. Vijayakar
spur gear teeth using FEM. Their new approach, and Houser [45] studied the contact analysis of
with a cyclic system of gear teeth and with gears using a combined finite element and surface
asymmetry of the load on the teeth, allowed integral method. They developed a Contact
computation of the stress distribution in the Analysis Program Package which supports stress
adjacent teeth from the analysis of one tooth only. contours, transmission errors, contact pressure
The boundary conditions imposed between the two distribution and load distribution calculation. Their
adjacent teeth in the conventional FEM were approach was based on the assumption that beyond
avoided in their approach. a certain distance from the contact zone, the finite
In 1988, Vijayakar, Busby, and Houser [44] element method accurately predicted deformations
used a simplex type algorithm to impose frictional and the elastic half space method was accurate in

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predicting relative displacements of points near the at the meshing point of each of a pair of general
contact zone. Under these assumptions, it was shafts. In the model, the varying mesh stiffness
possible to make predictions of surface was replaced by a constant stiffness equal to the
displacements that make use of the advantages of mean value of the varying stiffness and thus a
both the finite element method as well as the linear system was obtained. His work was one of
surface integral approach. the first attempts to use mesh stiffness in coupling
In 1994, Chen, Litvin, and Shabana [4] the torsional vibration of gear shafts.
proposed an approach for the computerised Mahalingam [29] presented a similar model
simulation of mesh and contact of loaded gear in 1968, where the formulae for support receptance
drives that enables determination of the at a gear-wheel bearing was developed and then
instantaneous contact ellipse, the contact force used to study the effects of gearbox and frame
distributed over the contact ellipse and the real flexibility on the torsional vibration.
contact ratio. They also established a finite element An important contribution in this area came
model for the maximum bending stress calculation in 1970 from Kobler, Pratt and Thomson [26] who
on a tooth. The friction forces between gear teeth, concluded from their experimental results that
the elastic deflection of the body of the gear, the dynamic loads and noise result primarily from the
shaft and the bearings were neglected in their steady state vibration of the gear system when
approach and their model. forced by transmission errors. They developed a
six-degree of freedom dynamic model with four
3. MODELS FOR GEAR DYNAMICS torsional degrees of freedom and one lateral degree
of freedom in the direction of the tooth force on
Some of the early mathematical models, in each shaft. They assumed the tooth mesh stiffness
which the stiffness and mass contribution of the to be constant in their model and the spectrum
shafts carrying the gears in mesh were ignored, analysis of the static transmission error for the
showed good agreement with the experimental single-stage reduction gear unit used was also
measurements. However, it was realized in the late given. In 1971, Kasuba [24] used one and two
1960s and early 1970s that dynamic models in degree of freedom models based on his previous
which the shaft and bearing flexibility were work [23], to determine dynamic load factors for
considered would be necessary for more general gears that were heavily loaded. He used a torsional
models. Unless the stiffness of these elements were vibratory model, which considered the torsional
relatively high or low compared to the effective stiffness of the shaft. He also argued that the
mesh stiffness, the vibration coupling of different rigidity of the connection shafts was much lower
elements cannot be neglected. In general, a high than the rigidity of the gear teeth in meshing, and
degree of correlation was obtained between the then decoupled the meshing system. The tooth
experimental results and the predictions provided error in mesh was represented by a pure sine
by many of the early single degree of freedom function having the frequency of tooth meshing. In
models. This can be explained by the fact that the his model the tooth meshing stiffness was time
experimental rigs used in such studies satisfied varying.
most of the basic assumptions made in the In 1972, Wang and Morse [50] constructed a
mathematical model. For example, a very short torsional model including shaft and gear web
shaft might be assumed to be rigidly mounted in stiffness as well as a constant mesh stiffness. The
the transverse direction. In practical applications model was represented by a spring mass system
however, these assumptions may not always be having many degrees of freedom. The transfer
satisfied and so one then needs more general matrix technique was applied to give the static and
models in which the flexibility and mass of the dynamic torsional response of a general gear train
other elements are considered as well. system. It was found that the torsional natural
The models that could be considered in this frequencies and mode shapes determined from a
group are either torsional models, in which only free vibration analysis correlated with
the torsional stiffness of the gear-carrying shafts is experimental results at low frequencies. Later,
included, or torsional and translation models, in Wang [49] extended this work to the linear and
which both the torsional and transverse flexibility non-linear transient analysis of complex torsional
of the gear carrying shafts are considered. gear train systems. In this later model he
In the early 1960s, Johnson [19] used a considered the variation of tooth stiffness, and
receptance coupling technique to calculate the included gear tooth backlash, linear and non-linear
natural frequencies from the receptance equation damping elements and multi-shock loading. Three
obtained by first separately finding the receptances different numerical methods that can be used in the

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solution of non-linear systems that cannot be considered three cases in the analysis of the free
approximated piecewise linearly were also briefly vibration of the system:
discussed in his work. 1. The mesh force acting on the contact line was a
In the 1980s more and more complicated function of the rotation of each gear,
models were developed in order to include several 2. The mesh force acting on the contact line was a
other effects and to obtain more accurate function of the rotation and flexure at each gear,
predictions, while some simple models were still 3. The system was not coupled by the gears.
developed for the purpose of simplifying dynamic The forced vibration caused by the mass
load prediction for gear standards. In 1980, lida, et imbalance of the gears was also calculated.
al. [14] investigated the coupled torsional-flexural A new topic, the computer simulation of the
vibration of a shaft in spur geared systems in torsional and flexural vibration in drive systems,
which they assumed that the output shaft was was studied in 1984 by Laschet and Troeder [27].
flexible in bending and the input shaft was rigid in They developed computer programs and applied
bending. They derived equations of motion for a 6- simulation techniques to predict and analyse the
degree-of-freedom (DOF) system where the performance of gears trains. The distinctive feature
driving gear had a torsional DOF while the driven of their research was that the backlash of the gears
gear had x, y and torsional DOF due to mass was considered in their programs and CAD data of
imbalance and geometrical eccentricity. They the gear geometry could be used in their programs.
assumed that the tooth contact was maintained In 1985, Wang [47] developed a torsional
during the rotation and that the mesh was rigid. vibration model. He focused on an analytical
Four years later, lida and Tamura [15] continued to evaluation of gear dynamic factors based on rigid
study coupled torsional flexural vibration of geared body dynamics and discussed different cases in
shaft systems. In that study, their model consists of which the transmission errors have different effects
three shafts, rather than two shafts, one of them upon the dynamic load. He commented that the
being a counter shaft. transmission error had a system wide effect and
Neriya, et al. in 1985 [31] also investigated could be used to analyse rigid-body vibrating gear
the coupled torsional flexural vibration of a geared systems in which the gear deflection was not
shaft system due to imbalance and geometrical considered.
eccentricity. The difference in the work with Tavares and Prodonoff [41] proposed a new
respect to lida, et al. [14] was that they used the approach for torsional vibration analysis of gear-
finite element method to solve their problem. In branched propulsion systems in 1986. Idle gears in
their model, there were 6 beam elements for each a gear-branched system were modelled as part of
of the driving and driven shafts that were coupled the inertia of the master gear and the finite element
at the contact to account for the tooth flexibility. method was used in their approach. In the same
Their model had 41 degrees of freedom. They year, Umezawa, et al. [43] set up a test gearing unit
solved the free vibration problem to obtain the which consisted of an input shaft, countershaft and
natural frequencies and mode shapes. The normal output shaft. The gears were placed at arbitrary
mode analysis was then employed to obtain the positions on the shafts in their unit so that the
dynamic response of the system under the effect of the countershaft on the bending vibration
excitations arising from the mass imbalance and and on the sound radiation became clear. At almost
geometrical eccentricity in gears. the same time, lida, et al. [16] studied a three axis
In early studies, the mesh stiffness of teeth gear system but with some differences from
was considered to be constant. Iwatsubo and Umezawa, et al., firstly, because the countershaft
Kawai [17] studied the coupled lateral and was on soft supports and secondly, the model was
torsional vibrations of geared rotors, considering a coupled torsional-lateral vibration analytical
mainly the effect of the periodic variation of mesh model.
stiffness and a tooth profile correction. Their In 1992, a finite element model of a geared
model had two simply supported rotors with a spur rotor system on flexible bearings was developed by
gear at the centre of each rotor. The stability Kahraman, et al. [21] The coupling between the
condition of the system was analysed in their torsional and transverse vibrations of the gears was
study. In the same year (1984), Iwatsubo and considered in the model. They applied the
Kawai [18] analysed the coupled lateral and transmission error as excitation at the mesh point
torsional vibration of the geared system to simulate the variable mesh stiffness. They
constructed from a pair of spur gears using the presented three different geared systems as
transfer matrix method. In their research, they numerical examples and discussed the effect of
bearing compliance on gear dynamics. The

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assumptions they used were that the gear mesh was pair, shafts, rolling element bearings, a motor, a
modelled by a pair of rigid disks connected by a load, a casing and flexible or rigid mounts.
spring and a damper with constant value which In 1991, Lim and Singh [28] presented a
represented the average mesh values and tooth detailed study of the vibration analysis of complete
separation was not considered. gearboxes. Their research was based on previous
Another model presented by Kahraman in studies including the bearing stiffness formulation
1993 [22] was a linear dynamic model of a helical and system studies. They developed linear time-
gear pair. The model considered the shaft and invariant, discrete dynamic models of an overall
bearing flexibility and the dynamic coupling box by using lumped parameter and dynamic finite
among the transverse, torsional, axial, and rocking element techniques. They studied three example
motions due to the gear mesh. The natural cases: case I, a single-stage rotor system with rigid
frequencies and mode shapes were predicted and casing and flexible mounts; case II, a spur gear
the forced response due to the static transmission drive system with rigid casing and flexible mounts;
error was predicted. After the parametric study of and case III, a high-precision spur gear drive
the effect of the helix angle on the free and forced system with flexible casing and rigid mounts. They
vibration characteristics of a gear pair, the used the gear mesh coupling stiffness matrix to
conclusion was reached that the axial vibrations of couple the two gears and used the bearing stiffness
a helical gear system could be neglected in matrix to link the shafts and casing. In their finite
predicting the natural frequencies and the dynamic element model, the gear, pinion, motor and load
mesh forces. The assumption for their model was were simulated as generalized mass and inertia
that the gears were modelled as rigid disks, the elements and the gear mesh stiffness matrix and
clearances and stiffness changes of the bearings bearing stiffness matrix were modelled as six-
were neglected, and the system was assumed to be dimensional generalised stiffness matrices. They
symmetrical about the transverse plane of the used the FEM software ANSYS to analyse their
gears. models. They made a parametric study of the effect
In 2004, Khang [25] has modeled a geared of casing mass and mount stiffness on the system
transmission in order to diagnose gear faults. In his natural frequencies. A comparison of the casing
model the gear mesh were considered as a pair of flexural vibrations between the simulation and the
rigid disks connected by a spring-damper set along experiment was presented.
the line of contact The model took into account Choy, et al. [5] presented a vibration analysis
influences of the static transmission error which with the effect of casing motion and mass
were simulated by a displacement excitation at the imbalance for a multi-stage gear transmission in
mesh. The mesh stiffness was expressed as a time- 1991. In order to investigate the effect of the
varying function, while the gear-pair was assumed casing motion and mass imbalance, four major
to operate under high torque condition with zero cases of external excitations were examined in
backlash. Effects of friction forces at the meshing their study. They employed the modal method to
interface were neglected on the basis that in transform the equations of motion into modal
particular, the coefficient of friction is low coordinates to solve the uncoupled system. They
(approx. 6%). The viscous damping coefficient of concluded that the influence of the casing motion
the gear mesh was assumed to be constant. The on system vibration was more pronounced in a
modelling results have been used to predict stiffer rotor system. In the same year, El-Saeidy
sideband amplitude in presence of the distributed Fawzi [9] presented an analytical model for
gear faults such as non-uniform tooth wear, simulating the effect of tooth backlash and ball
pittings. bearing dead band clearance on the vibration
spectrum in a spur gearbox. The contact between
4. MODELS WITH A WHOLE GEARBOX meshing teeth using the time-varying mesh
stiffness and mesh-damping factor was discussed.
The research models reviewed in this section From their study, they concluded that the backlash
are seen as being advanced because traditional and bearing dead band clearance had a pronounced
analysis approaches mentioned previously in the effect on the vibration spectrum of a gearbox. In
gear dynamic area have concentrated on the this model, the gearbox casing was assumed to be
internal rotating system and have excluded rigid, therefore, both ends of each shaft had the
dynamic effects of the casing and flexible mounts. same displacements. There was no experimental
The focus of this group is on the dynamic analysis result to verify the analytical result of this research.
of the geared rotor system, which includes the gear One year later, Choy, et al. [6] continued
their study on the multi-stage gear system. The

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work presented in that study was the development represented as a spring and damper and the casing
and application of a combined approach of using of the gearbox was modeled by a thin shell element
the modal synthesis and finite element methods in in the finite element package program ISAP-6.
analyzing the dynamics of multi-stage gear Their acoustic analysis in the frequency domain
systems coupled with the gearbox structure or showed that the sound power at the mesh
casing. In their solution procedure, modal frequency was greater than the sound power at
equations of motion were developed for each rotor- other frequencies.
bearing- gear stage using the transfer matrix
method to evaluate the modal parameters, and the 4. CONCLUSIONS
modal characteristics of the gearbox structure were
evaluated using a finite element model in It can be concluded that the mathematically
NASTRAN. The modal equations for each rotor models for the dynamic study of the geared
stage and the gearbox structure were coupled transmissions has offered a large field of
through the bearing supports and gear mesh. researches for the specialist around the world.
After this study, they used their analytical Parallel to the explosive development of the
model to predict the dynamic characteristics of a computers, the models became more on more
gear noise rig at the NASA Lewis Research Centre complex, being confirmed by the experimental
and then used experimental results from the test rig researches.
to verify the analytical model [7]. Their
conclusions were that the dynamics of the casing ACKNOWLEDGMENTS
can be accurately modeled with a limited amount
of analytically predicted vibration modes, and that This paper was completed with the financial
the characteristics and trends of the casing support of The Gearbox Factory S.C. RESITA-
vibration spectra predicted by the analytical model RENK S.A., from Resita, Romania.
were very similar to those found in the The author thanks also Mr. Ion VELA, Prof.
experimental data. Dr - Ing. president of the Eftimie Murgu
Most analyses of gearboxes appear to be University from Resita for his support and advice
concerned with the dynamic response and vibration on this work.
characteristics. In 1994, Sabot and Peret-Liaudet
[38] presented another phase of study, noise
analysis of gearboxes. They pointed out that a
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