CHAPTER 2

LITERATURE SURVEY

2.1 INTRODUCTION TO TEXTILE MACHINE

Clothing, food and house are the big three essential needs for human life. One of
the most important necessary conditions is that the clothing should be supplied with
reasonable price. In the history of the textile industry, very significant progress in
production efficiency has been observed by several innovative inventions in textile
machineries.

Textile machineries can be divided into the two categories, namely commercial or
non commercial. The former is commercially manufactured by machinery maker.
The customer can usually use it without any patent restriction. In this case, the total
processing technology comprises machine system technology belonging to its
machine manufacture and operation technology which further belongs to machine
user. In the competitive situation among machine manufacturers, machine user can
usually obtain its common operation know how from its supplier. Then the user can
produce textile products from the machine by a comparatively easier way. On the
other hand, the machine user is obliged to face many competitors who bought
similar kind of machine.
In case a textile producer has succeeded in development of a certain special
processing technology for a value added product using his original machine
system, usually it must think not to publicize the system technology and to keep be
guarded from any outer party. Then the machine will become non commercial.
Most of highly profitable specialty products have been made based on such an
original processing system. But if the market of the products is expected to be so
voluminous that such kind of machine system can be commercialized, some of
machine manufactures must naturally think to sell system by overcoming the
restrictive barriers. This way, some of non commercial machine can become
commercial. One of its typical examples is conventional melt spinning system for
fibre production. Hence, non commercial textile machine is usually limited to only
highly advanced technologies for highly specialty products. In this work, the main
theme is focused on recent technological progressive trends and innovations in
commercial machines.

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Textile machines can be classified by production objects into the following 5

categories; namely machine related to (i) fibre manufacturing, (ii) spun yarn
manufacturing, (iii) fabric manufacturing (iv) dyeing and finishing and (v) recycling
concerning fabric manufacturing, it can be further divided into weaving, knitting and
nonwoven making. In the present work concentration is focused on developments
of spun yarn manufacturing machines.

2.2 PROCESSES OF TEXTILE MANUFACTURING (Smith wayne. C and

Cothren tom J,2010)

Textile manufacturing begins with the production or harvesting of raw fiber. Fiber
used in textiles can be harvested from natural sources (e.g. wool, cotton) or
manufactured from regenerative cellulose Materials (e.g. rayon, acetate), or it can
be entirely synthetic (e.g. polyester, nylon). After the raw natural or manufactured
fibers are shipped from the farm or the chemical plant, they pass through four main
stages of processing
• Yarn production
• Fabric production
• Wet process
• Garment Manufacturing
2.2.1 Yarn Production
Yarn fabrication is the process, which converts raw fiber into yarn or thread. The
fibers are prepared and then drawn out and twisted to form the yarn, which is then
wound onto a bobbin or cone. The yarn fabrication is entirely dry, although some
yarns maybe dyed and finished as a final customer product.

Row fiber

Opening/
Blending

Cleaning

Carding

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Combing

Drawing

Rove formation (Roving)

Spinning

YARN

Figure 2.1 Main steps in yarn production of cotton and wool

2.2.1.1 Natural fibers

Natural fiber must be opened, blended, carded and/or combed, and drafted before
spinning. The main steps for processing wool and cotton are illustrated in figure
2.1. Although equipment used for the production of cotton is designed somewhat
differently from that used for wool, the machinery operates in essentially the same
fashion.

Opening/Blending

Row material (cotton and synthetic) are received in compact bales. Opening is the
first operation required to carry out to open material from highly pressed
cotton/synthetic bales. The second generation of machines is traveling type, which
extract material from each bale and open into the smallest flock gently. The
advantages of this traveling type are that, more bales can be processes at a time
and thus have long term blending.

Cleaning

Cotton fiber must be cleaned to remove foreign matter such as plant parts, seed
hulls, dirt, etc, from the fibers. Cleaning is performed in successive steps from
coarse to fine. Coarse cleaning remove heavy trash particles and fine opener
removes the smaller trash particles. Cotton is passed through a series of machines
(beaters) where opening and cleaning take place simultaneously. Speed of beater
and clearance setting may be varied to achieve the desired level of cleaning
Carding

The blow room only opens the row material to flock whereas the card opens the
flock into individual fibers. During this individualization process, coarse trash

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particles are removed in the licker-in zone and fine trash particles/ dust sucked
away. The sheet of carded fibers is removed through a funnel into a loose rope like
strand called a sliver.

Combing

Combing process serves to improve the row material in production of medium,

medium to fine and fine yarns. This in turn reflects into better yarn evenness,
strength, cleanliness, smoothness and visual appearance. In the wool system,
combed sliver is used to make worsted yarn, while cards sliver is used for woolen
yarn. In cotton system, the term combed cotton applies to the yarn made from
combed sliver. The function of comber is:

•To eliminate pre-determine quantity of short fiber.

•To eliminate remaining impurities.
•To eliminate large proportion of naps.
•To form a sliver of maximum possible evenness.

Drawing

The task of drawing process is to improve evenness over short, medium and
especially long term level by straightening and parallelizing the fiber. It also used
for blending of different fibers (Blending of Polyester / Cotton, Polyester / Viscose,
Polyester / Wool Etc.) The drawing frame contains several pairs of rollers that
rotate at successively faster speed. As the slivers pass through, they are further
drawn out and lengthened, to the point where they may be five to six times as long
as they were originally. In this process 4 to 8 carded or combed slivers are fed to
the drafting arrangement.

Rove formation (Roving)

The main function of the roving is to attenuate the sliver. In this process draw frame
sliver is fed to the drafting arrangement, which attenuate the sliver with a draft of
between 5-20. The delivered strand is too thin to hold, which is strengthened by
imparting twist immediately at the exit from the drafting arrangement. The twisted
(rove) is finally wound on the bobbin, so that it is easy to transport to next process,
stored and crelled on ring frame.

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Spinning

In this process rove is fed to drafting arrangement, which further attenuate to spin
into final yarn. The delivered stand of fine fiber from the drafting arrangement is
strengthened by inserting twist in it. This twist is generated by the spindle, which
rotates at a higher speed. Each revolution of spindle imparts one turn of twist to the
strand. Finally the yarn (twisted fiber strand) is wound on bobbin mounted on
spindle with the help of traveler.

2.2.1.2 Manmade fibers

Manmade fibers are often shipped as staple (similar in length to natural fibers),
which is ready for spinning, or as filament yarn, which may be used directly or
following further shaping or texturising. Both synthetic and cellulose are
manufactured by processes that simulate or resemble the manufacture of silk (i.e.,
forcing a liquid through a small opening where the liquid solidifies to form a
continuous filament). The three main methods of fiber manufacture are described
below:

Wet spinning

In wet spinning, the polymer used to form the fiber is dissolved in solution. The
solution is forced under pressure through an opening into a liquid bath in which the
polymer is insoluble. As the solvent is dissipated in the bath, the fiber forms. Wet
spinning produces rayon, acrylic, and modacrylic.

Dry spinning

Dry spinning uses a solvent that evaporates in air. The dissolved polymer is
extruded through the spinnerete into a chamber of heated air or gas; the solvent is
generally recovered for reuse. Acrylic is produced by dissolving the polymer in
dimethyl formamide before dry spinning. Other fibers formed by dry spinning
include acetate, triacetate, spandex, and aramid.

Melt spinning

Some polymeric fibers are spun by melting the polymer to a liquid state. The liquid
is forced through the spinner opening under pressure and cooled by a jet of air to
form the filament. Melt spinning requires no chemical reactions and no solvent
recovery system.

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2.3 REVIEWS FOR WORK ON TWO-FOR-ONE (TFO) MACHINE

The process of twisting is an indispensable means of improving certain yarn

properties. The main objective of Two-for-one machine is to improve the evenness,
strength and elongation, lusture, smoothness and abrasion resistance at yarn stage
and to obtain increased stability against wear, improvement to fabric cover and
visual appearance at fabric stage. Now-a-days, TFO twisters are gaining world-
wide acceptance in both spun yarn and filament yarn sectors mainly because of
their inherent advantages like (1) production of long length of knot free yarns which
facilitates better performance in the subsequent processes and (2) higher
productivity

Yarn-twisting is the process that increases the cohesive force of textiles by twisting
fibers, thus protecting them from the tension generated at the time of weaving and
knitting. The two-for-one (TFO) twister, as shown in Figure 2.2, is a device used
most frequently for yarn-twisting. A fiber wound off from the fixed bobbin passes
through the tension control unit and a guide of the spindle in the air. The fiber is
twisted once per one rotation of the spindle. The fiber passed through the guide is
wound into rolls, and it is twisted once again at this time. Since the fiber is twisted
twice per one rotation of the spindle, it is called a TFO twister. The TFO twister has
several advantages such as high productivity, continuous processing and low
energy consumption.

Washer tension
ring Bobbin
Overfeed roller
Tension Pipe

Separator
Yarn
Cup Magnetic holder
Spindle bolster
Belt

Figure 2.2: Two-for-One (TFO) spindle and assembly (X. Hong et al., 2002)

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Many efforts to improve the TFO twister have been made. G. W. Du and J. W. S.
Hearle (1991) include spindle designs; S. Ribolzie et al.(1993) worked on detection
of faults in twisted textiles; X. Hong et al. (2002), worked on analyses of the
dynamic characteristics of the TFO twister, and the physical properties of the
twisted yarn.
Du and Hearle established a numerical single disc model for the mechanics of
friction twisting such as yarn paths, tension, and torque generation over the disc
surface. It was applied also to a multi-disc spindle system. Ribolzi et al. provided
an automatic system which can detect faults in textiles by observing the diffraction
spectrum on the textile surface. Hong et al. established a mechanism that analyzes
yarn quality by using laser sensor that samples the diameter signal of yarn.
Wavelet analysis and fast Fourier transformation (FFT) were applied to extract fault
characteristics. Sette and Boullart (1996) suggested an approach for quality
assessment and fault detection by using two types of neural networks of the
Kohonen map and the back propagation network.

Research for the detection and distinction of faults in the TFO twister, has been
reported by Ho Cheol Park et al. (2006). In this research, a new algorithm is
proposed to detect faults of the TFO twister and their causes, by measuring the
vibrations of the TFO twister and obtaining frequency components with a FFT
algorithm. The TFO twister with faults showed increased vibrations and each fault
generated vibrations at different frequencies. By analyzing changes of
characteristics of vibrations, we can determine faulty twisters. The proposed fault
detection algorithm can be implemented cheaply with a signal processor chip. It
can be used to find when to repair a faulty TFO twister without much loss of yarn
on-line.

2.4 PRIOR ART SEARCH PATENTS REPORT ON TFO MACHINE

2.4.1 Electronic databases consulted with during the search:

 Google patents search, USPTO patent database, WIPO, freepatentsonline
and EPO.
2.4.2 Keywords used in the search
 Two-for-one twisting machine
 Power efficient two for one twisting machine.
 Floating bush bearing.
 Floating bush bearing twisting machine.

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2.4.3 Results of Prior Art Search for patents

The search has found 4 citations which are close to invention. The relevant
citations are as follows:

2.4.3.1 US patent No. 4063408 “DIRECT DOUBLE TWIST CABLER”

Abstract: The invention provides an improved direct double twist cabler including
two-for-one spindles for cabling as well as for plying, wherein the plying spindles
are horizontally supported above the cabling spindle, and wherein the cabling
spindle is supported slant in the range of 5 degree to 15 degree. outwardly, so as to
lengthen the path of yarn before entering the cabling spindle without the possibility
of obstructing a handling operation, and a yarn breakage detecting-and-stopping
means interposed between the plying spindles and the cabling spindle.

Comments: Although the above mentioned citation talks about the reduced power
consumption but there is no use of floating bush bearings.

2.4.3.2 US Patent No. 5906092 “SPINNING MACHINE WITH SPINDLE MOTOR

CONTROL SYSTEM”

Abstract: The object of the invention is to provide a spinning machine which the
manufacturing expenses and maintenance/checkout expenses are held down and
the operation of the low voltage circuits is stabilized. In a spinning machine having
a spindle motor control system, each three-phase power supply line is provided
with a pair of conductive contacts electrically connected to at least two phases on
the way thereof, and the pair of conductive contacts are structured to be separated
when inserting an insulating unit there between and to come in contact with each
other again when pulling out the insulating unit.

Comments: Although the above mentioned citation talks about the reduced power
consumption but there is no use of floating bush bearings.

2.4.3.3 US Patent No. 4601590 “FLOATING BUSH BEARING”

Abstract: A floating bush bearing comprising: a pair of an outer member having a

cylindrical inner surface and an inner member having a cylindrical outer surface
which is inserted in the outer member substantially coaxially, one of said pair of
outer and inner members being rotatable and another member being fixed; a
floating bush having inner and outer cylindrical surfaces fitted between the outer

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and inner members; a substantially cylindrical hole which is defined by opposed

substantially semi cylindrical outer and inner grooves which are formed in the
opposed surfaces of the rotatable member and the floating bush; and a small
cylindrical pin which is fitted into the hole.

Comments: In the above mentioned citation, the construction of floating bush

bearing is mentioned.

2.4.3.4 US Patent No. 3846965 “SIMULTANEOUS MULTIPLE TWISTING

APPARATUS”

Abstract: In each twisting unit of a multiple twisting apparatus, a two-for-one

twisting assembly imparts a first twist to each component yarn while a ring twisting
assembly imparts a second twist to a doubled first-twisted yarns. A plurality of first
twisted yarns are doubled under tension control and the doubled yarn is taken up
by a feed mechanism so as to be supplied to the ring twisting assembly under
tension control via a yarn passage formed behind the two-for-one twisting
assemblies. The two-for-one twisting assemblies are arranged in two alignments
along a lengthwise direction of the apparatus.

Comments: Although the above mentioned citation talks about the reduced power
consumption but there is no use of floating bush bearings.

2.4.4 Conclusions Derived From Prior Art Search for patents

Our search has brought to the conclusion that nowhere in the citation floating bush
bearing are used in two-for-one twisting machine which helps in the reduction of
power consumption and vibration.

2.5 BASIC FLOATING BUSH BEARING TERMINOLOGY

A FLOATING bush bearing is a kind of bearing which has a thin bush floating
freely between journal and fixed bush. Figure 2.3 shows a typical floating bush
bearing configurations for TFO units, comprising of a cylindrical sleeve between the
journal and the bearing housing, thus creating two lubricant films. The sub-
synchronous whirl motions caused by the shearing of the two fluid films in series
within each bearing, generally reach a limit cycle which enables the continuous
operation of the machine. With the ring kept fully separated by lubricating films,

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both the journal speed and the possibly induced ring speed may result in
hydrodynamic action capable of sustaining the applied loads at lower frictional loss.
Floating bush bearings experience lower frictional losses than fixed sleeve
bearings. The reduced generated heart ensured that cylindrical shape of the bush
due to minimum thermal distortion and the expected uniformity in bearing element
wear. Reliable and safe operation with better damping characteristics is also
evident due to the existence of two lubricating films, but this may cause poor shaft
centering due to the increased clearance.

Fixed Bush
Floating Bush
Inner oil
film
Journal

Outer oil
film

Figure 2.3: Floating bush bearing

The adopting of floating bush bearings in the practical applications is probably

limited due to the lack of sufficient theoretical data and possible practical difficulties
in either supplying oil on both side of the ring or in starting bearings unloaded and
only loading them after formation of the double films. Although the theoretical
concepts of floating bush bearing mechanics are known, the fundamental equations
that govern the bearing performance have not been fully attained. The available
solutions of the steady state behaviour and dynamic performance of floating ring
bearing are essentially based on either the approximations method or numerical
computation.

2.5.1 Reviews for work on journal bearing

The rotordynamics of high-speed rotating machinery has been always a

challenging, and more often the most interesting, part of the design process.
Almost all machinery exhibits vibration problems and need frequent maintenance to
extend their operation. A survey made for the identification methods of bearings

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 Literature Survey

characteristic, thermal and dynamic parameters. The main focus of attention is

floating bush bearing, but because the techniques are common to fluid-film journal
bearings, reference to these are made. A chronological list of source material on
the work on fluid film journal bearing and floating bush bearing with the brief details
are explained below.

2.5.1.1 Characteristic analysis of fluid film journal bearing

The influence of bearings on the performance of rotor bearing systems has been
recognized for many years. One of the earliest attempt to model a journal bearing
was reported by Stodola (1925) and Hummel (1926). They represented the fluid
film as a simple spring support, but their model was incapable of accounting for the
observed finite amplitude of oscillation of a shaft operating at a critical speed.

Concurrently, Newkirk (1924) and Newkirk and Taylor (1925) described the
phenomenon of bearing induced instability, which he called oil whip, and it soon
occurred to several investigators that the problem of rotor stability could be related
to the properties of the bearing dynamic coefficients.

Ramsden (1967–68) was the first to review the papers on the experimentally
obtained journal bearing dynamic characteristics. He concluded that a designer
would require known stiffness and damping coefficients of the bearings. Since most
of the data available at that time were experimental only, he stressed the need for
accurate scaling laws to be evolved to avoid full-scale tests.

Dowson and Taylor (1980) conducted a survey of the state of knowledge in the field
of the influence of the bearings on rotor dynamics. They appreciated that a
considerable amount of literature was available on both rotor dynamics and fluid-
film bearings but relatively few attempts had been made to integrate the individual
studies of rotor behavior and of dynamic characteristics of bearings in the field of
tribology. Several conclusions and recommendations were made by them, most
importantly, (a) experimental work in the field of rotor dynamics to study the
influence of bearings and supports upon the rotor response was required; (b)
additional theoretical studies to consider the influence of thermal and elastic
distortion, grooving arrangements, misalignment, cavitation and film reformation
were also needed.

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An extensive literature is now available on the theoretical calculation of the dynamic

Characteristics of variety of bearings: rolling element (Palmgren, 1959; Ragulskis et
al., 1974; Gargiulo, 1980; Harris, 2001; Changsen, 1991; Gupta 1984); fluid film
(Pinkus and Sternlicht, 1961; Smith, 1969; Hamrock, 1994); magnetic bearings
(Schweitzer et al., 1994) and seals (Childs, 1993). This reflects the technological
importance of the topic. Among the various bearings available, fluid film bearings,
especially hydrodynamic cylindrical-journal bearings, attracted the most interest of
practicing engineers and researchers. This is because of their relative simplicity in
the geometry and consequently in the analysis and experimental rig fabrication
along with their general representation in mathematical modeling among the all
other classes of the bearings.

Lund (1980, 1987) reviewed the concept of dynamic coefficients for fluid-film
journal bearings. Lund gave a review of the theoretical and experimental methods
for the determination of fluid-film bearing dynamic coefficients. He indicated the
need to include the impedance of the rotor and categorized the experimental
methods based on the excitation method used (for example, static load and
dynamic force, i.e. harmonic, transient and random). The experimental static locus
did not coincide with the theoretical one and it was difficult to analyze the degree to
which the result might be affected by measurement tolerances and by uncertainties
in establishing test parameters. Lund concluded that there was little point in refining
the dynamic analysis until better agreement between theory and measurements
had been obtained on the performance of static bearings.

Stanway et al. (1979) gave a brief appraisal of bearing dynamic testing methods.
They stressed the need for development of an experimental method that was
capable of use with the rotor-bearing system being run under normal operating
conditions and placed some confidence bounds on the estimates.

Someya (1989) compiled extensively both analytical and experimental results

(static and dynamic parameters) for various fluid-film bearing geometries (for
example, two-axial groove, two-lobe, four- and five-pad tilting pad). other types of
bearing were also being studied at this time. Rouch (1990) reviewed briefly the
theoretical and experimental developments in squeeze-film bearing dynamic
coefficients estimation.

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Goodwin (1989, 1991) reviewed the experimental approaches to rotor support

impedance measurement. He particularly emphasized the measurement of fluid-
film bearing dynamic coefficients and categorized the identification methods by the
way in which the loading was applied (static load and dynamic force, i.e. using
vibrator, unbalance or transient force). He concluded that measurements made by
multi-frequency test signals provide more reliable data, although all measurement
methods yield coefficients values which agree with theoretical predictions to within
about 20%, and all methods have a significant scatter of results. Childs (1993) gave
a comprehensive survey of the rotor dynamic experimental data for liquid and gas
annular seals and turbines and pump impellers along with their geometry and
operating conditions. Swanson and Kirk (1997) presented a survey in tabular form
of the experimental data available in the open literature for fixed geometry
hydrodynamic journal bearings.They categorized the literature based on bearing
type, bore diameter, length to diameter ratio and type of data available (i.e. static
parameters such as film pressure, bearing temperature and shaft position; dynamic
parameters such as stiffness, damping and added-mass coefficients).

2.5.1.2 Friction analysis of journal bearing

Gravitation-based devices have been proposed for at least 500 years, and some of
them are shown in the notebook sketches of da Vinci. In some configurations, like
flat on flat testing or pin-on-disk testing, the friction force can be measured directly
with a load cell, strain gauge, or similar force sensor mounted in line with the
contact. In other systems, like swept circular contacts (disk brakes, drum brakes,
rotations seals, etc.) friction coefficients are obtained from torque measurements
and component dimensions. Tension-wrap devices use the differences in tension
resulting between the ends of a sheet of material or a wire wrapped over a circular
body. Oscillation decrement devices involve measurements of the decrease in
swing amplitude of a pendulum supported by frictional surfaces. Indirect indications
are system outputs like motor current or vibrations.

A range of friction testing devices, including those used in ASTM standard test
methods, are described elsewhere. Each method used to measure friction has
advantages and disadvantages.

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At test rig of Yao et al. (2000), the journal of micro bearing is connected to the
principle axis of the motor whose rotation can be easily modulated. The two
separated halves of the bearing are attached to the journal with a soft string (as the
cable) wrapped around them. The upper end of the string is fixed to a cantilever
leaf spring, while the lower end is tied to a standard weight. With the strain gauges
stuck at the root of the leaf spring, the tensile force of the upper end of the string
can be precisely measured. The new measuring system works on the following
principle. The normal contact of a split bearing with a journal is achieved using the
cable brake principle, while the friction of micro bearing is measured from the force
difference at the two ends of the cable due to friction torque during running.

Test rig of Haoran et al. (2001) is a mechanism that contacts on rotary disk and
represses by weight. Friction coefficient has been given as a function of friction
moment, diameter of disk, load and contact angle. Tevruzs (1999) test rig formed
from a steel shaft tied by belt-hoop mechanism and upheld by rolling bearing, and
another tip having journal bearing sample. In this apparatus, there is a moment bar
balanced by a weight at bearing and tied by a hanged load. Movements formed by
rotary journal are balanced by this balancing weight. In addition, normal force to
this system is formed by a hanged load. Friction coefficient is calculated from the
ratio of friction moment to the diameter and normal force.

Test rig of Durak et al. (1999) has been formed from a steel sheet tied around the
journal bearing, a steel bar and strain-gauges. Friction force between journal and
bearing turns the bearing body along the Journal direction. This steel bar effects
strain-gauges by pushing the steel sheet and the friction coefficient is determined.

2.5.2 Reviews for work on floating bush journal bearing

Floating bush bearing have been studied for many years. Work on floating bush
divided into characteristic analysis, stability analysis and thermal analysis.

2.5.2.1 Characteristic analysis of floating bush bearing

Stodola (1927) mentions floating bush bearing in connection with steam turbines
and subsequently there have been numerous research papers dealing with their
steady state performance and stability characteristics. Since that time most of the
work undertaken on floating ring bearings has been experimental.

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Tatara (1970) found experimentally that the bush to shaft speed ratio decreased
with increasing shaft speed at very high shaft speeds in his test ring of lightly
loaded floating bush journal bearing, although conventional theoretical modes e.g.
Orcutt and Ng. predicted that the speed ratio remains constant. Trippett (1986) and
Trippett and Li (1984) observed this phenomenon experimentally. Trippett and Li
presumed that the decrease in the speed ratio was caused by the decrease in the
effective viscosity of the inner oil film due to its temperature higher than that of the
outer oil film. With this assumption, they calculated the theoretical speed ratio, and
obtained good agreement with their measurement. They did not state how much
temperature difference they assumed, and it may not be easy to assume a
significant difference of temperature of two oil films that can cause the
phenomenon observed, because a floating bush is made of metal cylinder of high
thermal conductivity.

Clarke et al. (1992) conducted a thermo hydrodynamic steady state analysis of

heavily loaded floating bush journal bearing, assuming π oil films both in the inner
and the outer clearances. Their result shows that the bush to shaft speed ratio
incases monotonically with shaft speed. However their oil film model does not
always hold in the case of lightly loaded bearings operating at very high shaft
speed. This is why their prediction is different from the behavior observed in actual
high speed machines of small size.

Tsuruta and Tsuda (1985) and Tsuda et al. (1985) made an experiment of floating
bush journal bearing and stated that bubbles appeared and oil film disappeared in
the inner clearance with increasing shaft speed. They surmised their observations
were caused by insufficient supply of lubricating oil into the inner clearance due to
the centrifugal force effect.

Koeneke et al (1995) presumed the phenomena to be oil film cavitations induced by

the centrifugal force due to very high speed ration of shaft. They applied the
equation of continuity and the Navierstokes equation to the inner oil film of floating
bush journal bearing and calculated the pressure distribution in the oil film, with a
new cavitations model being introduced. Their model incorporates the inertia terms
inclusive of the centrifugal force term and also the minute viscous terms that
conventional hydrodynamic lubrication models usually neglect. Then the oil film is
shown to cavitate axi-symmetric near the bearing end and near the journal surface.

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 Literature Survey

This rupture decreases the equivalent density and viscosity of the film, resulting in
the decrease of the driving torque of the oil film on the inner surface of floating
bush. Their model can explain why the bush to shaft speed ratio decreases with
increasing shaft speed.

2.5.2.2 Stability analysis of floating bush bearing

Hill (1958) is probably the first who was interested in vibration problems of floating
bush bearings, although his interest was confined to resonant vibrations.

Dworski (1964) referred to self exited vibration in his paper on high speed rotor
suspension.

Tondl (1965) compared experimentally the stability characteristics of various kinds

of journal bearings and reported that the limit of self excitation was shifted towards
much higher speeds when floating bush bearings were used.

Tatara (1970) found experimentally that the unstable vibration of rotor completely
disappeared and stable operation resumed at high shaft speeds. Tanaka and Hori
(1972) theoretically obtained stability chart of a Jeffcott rotor supported in floating
bush journal bearings , assuming ordinary π oil films both in the inner and also the
outer clearance of the bearing and their model could explain the stability behaviour
observed in their test rig of moderately loaded floating bush journal bearings.

Saito et al. (1974) theoretically obtained similar stability charts of rotors supported
in floating bush journal bearings, however both models predicts that floating bush
journal bearing always becomes unstable at very high shaft speeds and cannot
explain the experimental results obtained by Tatara.

Tanaka and Hori (1972) and Tanaka (1996) theoretically obtained different stability
charts for the bearings , assuming a 2π oil films in the inner clearance because of
high shaft speed and light bearings load, but assuming an ordinary π oil films in the
outer clearance because of the low rotating speed of floating bush . they showed
that a floating bush journal bearing, if designed properly, could has a region of
stable operation of rotor at high shaft speeds, although their models could not
explain the behaviour of the bush shaft speed ratio.

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 Literature Survey

Hatakenaka K., Tanaka M., Suzuki K.,(2002) tried to give reasonable explanation
to both of the peculiar behaviour by combining the theoretical model by Koeneke et
al. and the oil film models by Tanaka et al.

2.5.2.3 Thermal analysis of floating bush bearing

Shaw and Nussdorfer (1947) showed experimentally that reduced heat generation
was possible due to the increased flow with two lubricants films.

Kettleborough (1955) showed further that reduced heat generation could be

achieved without introducing shaft instability and oil whip found in conventional
journal bearings operating at increased radial clearances.

Osterstrom (1983) conducted an experimental investigation of floating ring bearing

in a turbomolecular pump. His interest stemmed from the possibility of lower
operating temperature, of particular importance in this application which occurs in a
thermally insulated vacuum. He concluded that such a bearing offered major
improvements with respect to vibration, noise and bearing life when compared with
ball bearings

Trippet and Li (1984) reported that a discrepancy existed between experimental

measurements of ring speed and previous isothermal analysis. Their isothermal
analysis related to an automotive application attempted to account for this. It did
not, however, allow for the ring or shaft to be eccentric with the bearing which
therefore had no load carrying capacity.

A little advance has been made in the thermal analysis of floating bush bearing by
Barrett and Knight (1988). They analyzed journal bearing using the finite element
method. Heat transfer to the bounding surfaces was included, that to the shaft as
purely radial conduction, and the journal surface temperature was given as a
circumferential average of the film temperature. The temperature of the oil entering
a pad was determined by performing a heat balance between the flow out of the
preceding pad and the makeup flow from the supply line that is required to fill the
leading edge clearance space.

Clarke et al. (1992) modeled floating ring bearing with assumption of continuity of
flow in the two film must be ensured at all times otherwise the bearing will be
starved of oil. This requires calculating the amount of oil lost from each film and

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then replacing this with “new oil.” The amount of oil lost out of the side of the
bearing is added back into the outer film in an axial groove and also directly into a
circumferential groove in the ring.

Holt and San Andres (2003) present linear and nonlinear analysis results for the
operation of small automotive turbocharger supported on floating ring bearings. A
comprehensive fluid film bearing model predicting the forced response of floating
ring bearing is also described. The linear rotor dynamic model predicts well the
rotor free - free modes and onset speed of instability using linearized bearing force
coefficients. The nonlinear model incorporating instantaneous bearing reaction
forces in the numerical integration of the rotor equation of motion predicts the limit
cycle amplitudes with two fundamental sub synchronous whirl frequencies. The
prediction evidence two unstable whirl ratios at approximately ½ ring speed and ½
ring speed plus ½ journal speed.

Kerth and Andres (2004) present thermal effect on the performance of floating
ring bearing for turbocharger. He used a lumped parameter thermal energy balance
for estimation of the lubricant viscosity and thermal growth of the rotor.

San Andres and Rivadeneira carlos (2007) summarizes Kerth’s experimental

results and the main features of the lubrication model for prediction of floating ring
bearing performance characteristics. Nonlinear rotor dynamic predictions using the
measured ring speeds and also with the floating rings locked at high shaft speeds
follow. As with the test data, the nonlinear predictions show that when the floating
rings lock a severe oil-whip condition follows. The simulations of dynamic forced
performance aid to optimize turbocharger functional performance and accelerate
product development.

2.6 VIBRATION MEASUREMENT METHODS FOR DEFECT DETECTION IN

MACHINE

Vibration monitoring methods are basically divided into time-domain and frequency
domain methods. The following paragraphs briefly describe these techniques.

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2.6.1 Time-Domain Methods

A time signal or waveform of vibration can be analyzed in different ways. The

various parameters and algorithms to compute the same are discussed below: In

the following definitions, x(i) is a discrete vibration signal with length N and mean x
.

2.6.1.1 Peak to valley

Peak to valley is the difference between the maximum and minimum value of the
time signal given by Li, C. J. and Mckee, K,
𝑥𝑝 = max(x(i)) - min(x(i)) (2.1)

It is expected to increase with the onset of defect in a bearing, but even a single
noise spike can affect it badly. In addition, it is affected by operating speed and
load. Therefore, it is not a reliable indicator of defect in rolling bearing.

2.6.1.2 Root mean square or RMS value

RMS value is given by Li, C. J. and Mckee, K,

1
𝑥𝑟𝑚𝑠 = 𝑥 𝑖 −𝑥 2 (2.2)
𝑁
In general, the RMS value of the vibration is lower for a defect-free bearing than the
RMS value in a defective bearing. It is not sensitive to defect at the initial stage of
bearing damage. RMS level increases with the increase of defect size. When the
defect size becomes too large, the RMS level of vibration drops down. Therefore it
is not a reliable indicator of a defect in bearing. The operating conditions also affect
the RMS level and this technique is not able to provide information about the
location of defect. Using only RMS level for diagnosis can result in false diagnosis
and the error in diagnosis may be as high as 60 to 70 %.
2.6.1.3 Crest factor:
Crest factor is the ratio of peak value to RMS value of the vibration signal given by,
xp
Fc 
x rms (2.3)
As the bearing wears out, the peak levels of acceleration increase much faster than
the increase of RMS levels due to the impulses generated by bearing defect. Thus,

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there is an increase of the crest factor with deterioration in bearing condition. Crest
factors in the range of 4 to 6 indicate normal bearing operation. Crest factors above
6 indicate faults in bearings.
2.6.1.4 Form factor
Form factor is the ratio of RMS to the mean value of the vibration signal given by,
xrms
Ff   (2.4)
x

For rolling bearing vibration analysis, use of form factor hasn’t been reported.
Because, due to bearing damage, when the vibration level increases, both the RMS
value and mean value of vibration increase simultaneously. Therefore, their ratio
(form factor) may not change significantly to indicate a defect in bearing. For a
simple harmonic motion form factor is 1.11. Vibration signal from a defect-free
rolling bearing is random & Gaussian and its form factor are likely to be greater
than 1.11.

2.6.1.5 Normalised parameter K

The parameter K is defined as the ratio between the product of RMS value and the
peak value at zero or reference condition to the product of RMS value and the peak
value under actual conditions.

x p (0)  x rms (0)

Kc  (2.5)
x p  x rms

This parameter was proposed by Sturm and Kinsky to overcome some of the
limitations in using the parameters - peak to valley and RMS level for diagnostic
purposes. This parameter has been found to be more suitable for diagnostic
purposes. There are five characteristics regions marked for parameter K. In region
I, K is more than 1 and it indicates a good bearing condition. Region II has values
of K between 1 & 0.5 and it shows perfect bearing running conditions. Region III,
with values of K ranging between 0.5 & 0.2 is characterised by influence of factors
causing damage. These factors are: insufficient lubrication, cage rubbing with
bearing elements, impact of foreign materials, etc. Region IV has K between 0.2 to
0.02. This is the region of visible damage in the bearing. The fifth region with K less

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than 0.02 indicates the last phase of failure of bearing and the bearing needs to be
replaced if it falls in this region.

2.6.1.6 Probability density function (pdf)

Probability density function is defined by,

pdf, p( x  x(i)  x  x ) = (No.of x(i) between x and x+∆x)/N (2.6)

Bearing vibration acceleration signal is random in nature and follows Gaussian

distribution. The change from Gaussian distribution is measured by parameters like
skewness and kurtosis, It was proposed by Dyer and Stewart that damaged rolling
bearings would give non Gaussian pdf distribution and if the pdf of the acceleration
normalised to its standard deviation was obtained, the shape of the distribution
could indicate bearing damage. But, it was found by Mathew and Alfredson that the
technique has limited application for diagnostic purposes. Practically this is
achieved by removing the DC shift and then taking Hilbert transform of the signal.
Skewness of the rectified signal is reported to be useful in defect diagnosis of
rolling bearings. For a defect-free bearing, the skewness of rectified vibration signal
was about 1.6. Also, the skewness of rectified signal is less sensitive to noise
spikes and thus becomes a more reliable indicator than kurtosis for fault detection

2.6.1.7 Skewness

Skewness is the third moment of the time signal, normalised with respect to the
cube of standard deviation, given by,

1 𝑁 3 (2.7)
1 𝑥 𝑖 −𝑥
𝑆𝐾 = 𝑁
𝜎3
Skewness relates to the position of peak of probability density function in relation to
the mean value. It characterizes the degree of asymmetry of a distribution around
its mean. Positive skewness indicates a distribution with an asymmetric tail
extending towards more positive values; negative skewness indicates a distribution
with an asymmetric tail extending towards more negative values; skewness is zero
when the distribution is symmetric about the mean. As the distribution obtained
from the vibration signal of damaged or undamaged rolling element bearing is
almost symmetric, the skewness is almost zero and therefore not useful for bearing
diagnostics. Honarvar & Martin have suggested the use of rectified vibration signal

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to get nonzero values of odd moments like skewness, while maintaining the same
value for even moments like kurtosis. Rectification is done by taking values only on
positive side of the mean value of the signal.

2.6.1.8 Kurtosis

Kurtosis is the fourth moment of probability distribution. It is given by,

1 𝑁 4
1 𝑥 𝑖 −𝑥
𝐾𝑢 = 𝑁
4 (2.8)
𝑥𝑟𝑚𝑠

This is a statistical parameter which relates to the peakness of distribution of

vibration amplitude. The basic principle behind the use of kurtosis is the higher
sensitivity of higher area moments to the tails of the distribution curves. Kurtosis is
calculated after filtering the signal. Filter frequency band is selected to cover the
bearing resonances due to impacts produced by defects. As the bearing surface is
damaged, the probability distribution does not remain Gaussian and the kurtosis
value increases due to periodic impulses in the vibration signal.

2.6.1.9 Cepstrum analysis

Cepstrum is an inverse Fourier Transform of logarithm of a spectrum which is

defined mathematically as,
C τ =F -1 log X(f) (2.9)
Where: X f =F x t =A f exp [j ∅ f ] in terms of amplitude and phase, so that:
log[X(f)]= log [A(f)] + j [∅(f)]
When X(f) is complex, the cepstrum is a complex cepstrum. In a complex
cepstrum, log [A(f)] is even and ∅ (f) is odd and the cepstrum is real valued. When
power spectrum is used instead of spectrum X (f), the cepstrum is called as a
power cepstrum or real cepstrum given by the equation below. The power
cepstrum is a scaled version of the complex cepstrum where the phase of the
cepstrum is set to zero.
CXX(T) = F-1{2 log[A(f)]} (2.10)

Cepstrum is a function of the independent variable frequency, which has

dimensions of time. Cepstrum has the advantage that it can detect periodic

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harmonics even if they are submerged in noise. Cepstrum analysis identifies

periodic harmonics within the spectrum.

2.6.2 Frequency-Domain Methods

2.6.2.1 Spectrum analysis

This is the most widely used technique for bearing vibration monitoring. A vibration
signal is represented by its frequency components by applying the Fourier
transform to the time signal. Amplitude vs. frequency plot (amplitude spectrum) or
square of amplitude vs. frequency plot (power or auto spectrum) is obtained.
Frequency peaks are then correlated with possible faults. This method helps
identifying sources of bearing defect. The characteristic frequencies are calculated
by knowing the speed of rotation and geometry of the bearing.

Defects on inner race, outer race, rollers and cage can be identified by this
technique. The bearing characteristic frequencies are approximate only, as they are
affected by slipping of the elements within the bearing and spinning of the races on
the shaft or in the housing. Under normal conditions, slip is limited to about ± 5%.
However, at high speeds and light loads, slip may be as high as 50%. This implies
that spectrum analysis has to be used with caution for defect diagnosis of bearings
rotating at high speeds.

2.6.2.2 High frequency resonance technique

This is also called as demodulated resonance analysis or enveloped power spectral

density analysis. The basic principle is that, when a defect in a bearing makes
contact under load with another surface in the bearing, an impulse is generated.
This impulse is of very short duration as compared with the interval between
impulses. Therefore, its energy is distributed at a very low level in the low
frequency range. The impulse excites some resonance in the system at much
higher frequencies (for example, bearing housing frequencies) than the frequencies
generated by vibration of other machine elements.

This results in concentration of some of the energy in a narrow resonance band,

which can be easily detected. The resonance frequency can be correlated to defect
in the bearing by comparing with the bearing characteristic frequency.

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Envelope detection is achieved by either digital or analog methods. In envelope

detection, a vibration signal is bandpass filtered and then made to pass through
half wave or full wave rectifier, followed by a peak hold smoothing circuit. The
output of the peak hold smoothing circuit is the enveloped signal. This process can
also be achieved by digital filtering and then taking the Hilbert transform of the
signal. The enveloped signal is then used to get the power spectrum.

To obtain more amplitude at defect frequency in the enveloped spectra, K. F.

Martin & P. Thorpe has proposed use of normalised envelope spectra for defect
diagnosis of bearings. Basically, this is a division of amplitude values, frequency by
frequency, of the defective bearing by the corresponding values of defect free
bearing. But, this technique has limited application as, with advanced damage, the
defect frequencies may become submerged in the rising background level of the
spectrum.

2.6.2.3 Peak ratio

Peak ratio (PR) is defined as the sum of the peak values of the defect frequency
and harmonics over the average value of the spectrum.
𝑛
𝑁 𝑗 =1 𝑃𝑗
𝑃𝑅 = 𝑁 (2.11)
𝑖=1 𝐴𝑖

Here, 𝑃𝑗 is the amplitude value of the peak located at the defect frequency and
harmonic, Ai, is the amplitude at any frequency and N is the number of points in the
spectrum. The number of harmonics in the spectrum, n, is found by taking the ratio
of the maximum frequency for the analysed spectrum to the characteristic defect
frequency. It is a dimensionless ratio that can be determined for damaged and
undamaged bearings, which can be used to indicate the presence of a defect.

All the techniques discussed so far have certain merits and demerits for bearing
condition monitoring. There is no single technique which is best for all applications.
It is important to find out a suitable technique for particular type of faults in
bearings. In this work, all these techniques are compared for their effectiveness in
condition monitoring of tapered roller bearings.

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