Vibration Analysis and Diagnosis of Coupling Faults in Rotor System

Xuejun Li
1
, Fuze Xu
1
, Guangbin Wang
1
, Yilin He
1

1,
Hunan Provincial Key Laboratory of Health Maintenance for Mechanical Equipment,
Hunan University of Science and Technology, Xiangtan, 411201, China
1
hnkjdxlxj@163.com,
l
xufuze12@163.com,
1
jxxwgb@126.com,
1
kuoyelin.21@163.com

Abstract
This thesis establishes a dynamical model of the imbalance-misalignment coupling faults and the
finite element model of the rotor system which is under the supporting of the rolling bearing. It
researches the features and the regular pattern of the coupling faults, the influence of the imbalance
and the revolving speed to the system, by analyzing the features of the frequency response of the
imbalance, the misalignment, and the imbalance-misalignment coupling faults. It finds that the
imbalance serves as the main fault among the coupling faults, and the misalignment fault just makes
partial influence on the system. As the amount of imbalance increases in linearity, the amplitude of the
systems operating frequency and the first-order natural frequency in the axis direction increase
proportionately. The system transforms from high frequency to low frequency and to division frequency
with the speed increasing. This Experiment verifies the correctness of the modeling and the analysis of
dynamics.

Keywords: Rotor System, Coupling Faults, Imbalance-Misalignment, Newmark-Beta

1. Introduction

Rotor system is an important component for the rotating machinery, its condition directly affect the
entire system state. In rotating machinery, bad manufacturing and assembly or the system often in high
speed and load condition, it is easy to appear imbalance, misalignment fault, if these faults cannot be
detected and diagnosis, it will cause secondary fault such as rubbing and twisting or mutual coupling
faults, all of these will cause significant influence on the machine. Recently, many scholars begin to
pay attention to such faults. At present, research on the rotor system mainly concentrated in the
concentrated quality method [1,2,3,4],however, concentrated quality only can reflect the characteristics
of the limited points, cannot realize the whole system's fault characteristic, and other researchers has
done a lot in that filed[5-9].

2. Model of the Rotor System with Coupling Faults

Figure 1 is the rotor system model with imbalance-misalignment coupling faults, the left end is the
motor drive unit, and right end is drive components, both jointed by the flexible coupling. The driven
unit equipped with a turntable as the load, on the disc is provided with 36 of 5mm diameter aperture to
simulate the unbalance fault, the left end of bearing has a misalignment fault due to the elevation of the
rotor. Set the quality of the rotary table for MRP, bearing stiffness and damping for K and CRB,
Quality of eccentricity for e, misalignment volume is E and .

0 1 0 2
0 3
C L
K L
C R K R
M o t o r
C o u p l i n g
R o t o r

E
a
0
F X L
F y L
F y R
F y R

Figure 1. Rotor bearing system model with imbalance - misalignment coupling faults

3. Vibration analysis for the Rotor system with coupling faults

3.1. Modal analysis of the Rotor system
Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
Journal of Convergence Information Technology(JCIT)
Volume8, Number8, April 2013
doi:10.4156/jcit.vol8.issue8.68
566

The rotary material is aluminium, others are steel. Following the initial parameters of the rotor
system shown in Table 1, Figure 2 shows the finite element model of the rotor system with Dyrobes
(Dynamic of Rotor-Bearing Systems) established.

Table 1. Parameters of the rotor system
Dial quality
M(kg)
Dial thickness
L(mm)
Dial ID
D(mm)
Dial OD
D(mm)
Elasticity
modulus E(N/m2)
Rotating inertia
Jd(kg/m2)
0.683 16 16 152 68947.6 0.0012
Eccentricity
Kg.mm
Damping Ns/mm
Stiffness
N/m
Parallel
misalignment
/mm
Angular
misalignment/ rad
Polar inertia
JP/(kg/m2)
0.355 0.02 2.3578107 3 0.2 0.00232063


Figure 2.The finite element model of rotor with imbalance-misalignment coupling faults

Figure 3 for the first three positive precession synchronization critical speed model and the energy
distribution of the system, it is easy to be found from the figure : 1) in one modal, the energy of the
system is focused on the turntable , all the energy of the turntable generated by translational while
energy generated by rotational is zero. 2When the system in two order modal or above, there exists
relative motion between rotary and shaft, and this kind of phenomenon become most obvious in 2 order
modal. 3) System will bear the gyro force which generated by the rotation of the high speed rotating
shaft, and this force has a rejection effect to the system, in two modes reach the maximum inhibited.



a) First order critical speed b) Second order critical speed c) Third order critical speed
Figure 3. Critical speed model of the rotor with imbalancemisalignment coupling faults

3.2. Numerical integration of coupling faults based on the Newmark-beta method

The most commonly used Newmark-beta meth is known as the constant-average-acceleration
method. The Newmark-beta constant average acceleration method assumes the average acceleration in
the time interval ti to ti+1=ti+t, to be the average value of the discrete initial and final accelerations
as following:
Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
567
1
1
( ) ( )
2
i i
Q t Q Q
+
= +

(1)
Successive integration of (1) gives the velocity and displacement at time ti+1=ti+t
1 1 1
( )
2
i i i i
t
Q Q Q Q
+ + +
A
= + +

(2)
2
1 1
( ) ( )
4
i i i i i
t
Q Q t Q Q Q
+ +
A
= + A + +

(3)
By dealing with Eqs.(2)and(3), the velocity and acceleration at time ti+1=ti+t can be expressed as
functions of displacement, velocity, acceleration at time ti and displacement at time ti+1=ti+t.
1 1
2
( )
i i i i
Q Q Q Q
t
+ +
=
A

(4)
1 1 2
4 4
( ) ( )
i i i i i
Q Q Q Q Q
t t
+ +
=
A A

(5)
Usuallythe governing equations of motion for a variable rotational speed system can be written as
following:
( ) ( ) ( ) MQ t CQ t KQ t F + + =

(6)
Where the general damping matrix C consists of the damping and gyroscopic matrices, and the
general stiffness matrix K consists of the stiffness and circulatory matrices, and this equation is
numerically integrated for each time step, start with the initial conditions of
0
(0) Q Q = ,
0
(0) Q Q =

.the
initial accelerations are obtained from the dynamic equilibrium equation:
1
( )
i i i i
Q M Q CQ KQ

=

(7)
The dynamic equilibrium is satisfied at ti and ti+1. The equilibrium equations at time ti+1 may be
written as following:
1 1 1 1 i i i i
MQ CQ KQ F
+ + + +
+ + =

(8)
Substitution of Eqs.(4)and(5)into(8), gives a set of equations with displacements at time ti+1 to be
determined.
1 1 2
2 4

i i
K C M Q Q
t t
+ +
| |
+ + =
|
A A
\ .
(9)
1 1 2
4 4 2

i i i i i i i
Q Q M Q Q Q C Q Q
t t t
+ +
| | | |
= + + + + +
| |
A A A
\ . \ .

(10)
Once the displacement at time ti+1 is solved from the above equation(9),the velocity and
acceleration at time ti+1 can be determined from Eqs.(4)and(5)[10-12].

3.3. Time-frequency characteristic analysis for the rotor system

Figure 4 shows the spectrum diagram of rotor systems bearings (the third point and the21st point)
in the condition of normal, imbalance fault, misalignment fault as well as the imbalance-misalignment
coupling faults, all the states were operated in the speed of 20HZ. When analysis the system response
full consideration has been taken by gravity, moment of inertia and gyroscopic moment factors and so
on, and set bearing place damping 0.02 N.S/mm [10]. It can be found from the diagram: 1) only
fundamental frequency was found in imbalance fault.2) in the 21st point, there exist not only
fundamental frequency, but also appeared high order of double frequency, with 2 times frequency
priority, for the reason that the misalignment is in the right end of shaft, the characteristic frequency in
that end was more obvious, however, for the whole system, imbalance fault frequency takes the leading
role. 3) Still in the 21st point, for imbalance-misalignment coupling faults, the spectrum diagram
mainly shows the imbalance fault frequency. The coupling fault characteristic frequency is only two
kinds of fault signal of the stack, but to a certain extent imbalance fault weakened the influence of the
misalignment fault to the whole system.

Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
568

(Unbalance) The 3rd point The 21
st
point Enlarged view of the 21
st
point

(Misalignment) The 3rd point The 21
st
point Enlarged view of the 21
st
point

(Coupling faults) The 3rd point The 21
st
point Enlarged view of the 21
st
point
Figure 4. Response spectrum diagram of the rotor system under different fault

3.4. The influence of imbalance to the system

Figure 5 shows under the condition of a certain misalignment (parallel misalignment for 5 mm,
Angle misalignment to 0.015 ), the response spectrum at point 21st with the imbalance change from
0.5 kg.mm, 1.0 kg.mm and 1.5 kg.mm to 2.0 kg. mm. It can be found from the figure 5 and table 2, as
the amount of imbalance increases in linearity(1:2:3:4), the amplitude of the systems operating
frequency and the first-order natural frequency 115HZ in the axis direction increase
proportionately in linearity, while double frequency amplitude remain unchanged. When it was
2.0kg.mm, systems priority frequency becomes to power frequency.


Imbalance with 0.5kg.mm Imbalance with 1.0kg.mm
Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
569

Imbalance with 1.5kg.mm Imbalance with 2.0kg.mm
Figure 5. The influence of imbalance to the system

Table 2. The influence of imbalance to the system
Imbalance


Amplitude
0.5kg.mm 1.0kg.mm 1.5kg.mm 2.0kg.mm
X axis Y axis X axis Y axis X axis Y axis X axis Y axis
20HZ 1.69e-7 1.71e-7 3.40e-7 3.43e-7 5.12e-7 5.15e-7 6.87e-7 6.87e-7
48HZ 6.40e-7 6.25e-7 6.39e-7 6.25e-7 6.39e-7 6.26e-7 6.39e-7 6.26e-7
Natural
frequency
1.88e-7 5.47e-8 3.61e-7 7.01e-8 5.38e-7 9.43e-8 7.14e-7 1.22e-7

3.4. The influence of revolving speed to the system

As shown in figure six, the two pictures are the coupling faults waterfall diagrams in the imbalance
position at point 12 and the misalignment position at point 21. This system operate under the first
critical speed, in the left bearing of the system, as the speed increasing, it response to operating
frequency, no high or low frequency component. Because of the influence of the misalignment fault,
the systems fault frequency become more complicated and changes with the speed shows as in the b
diagram. When below 1200 r/min, the system mainly for high frequency, align with the high
frequency combination frequency. Between 1200 r/min and 5400 r/min, appeared operating frequency,
division frequency, double frequency and low frequency combination frequency components but the
main response is operating frequency. Around the speed of 5400 r/min appear 1/2 X harmonic
component, and component between 1/2 X and low frequency. The main difference between figure a
and figure b is that the former frequency domain characteristics is stable and the latter changes with
the increase of the speed, from high frequency to low frequency.


apoint 12 bpoint 21
Figure 6. Waterfall diagrams of imbalance-misalignment system in different speed

Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
570
4. The experiment of coupling faults Based on the comprehensive test-bed

To further validate the correctness of the established dynamic model of imbalance-misalignment
coupling faults. Integrated fault simulation stage which produced by Spectra Quest has been made the
fault experiment. Bench and sensor installation is shown in Figure 7. In the experiment, by adjusting
the two knobs on the base (partially enlarged figure on Figure 7) to control the relative position of the
both ends of the bearing housing to simulate the rotor misalignment fault, using imbalance bolt
installed to simulate the rotor imbalance fault as well as research on the turntable imbalance in the
amount of impact on the system. One rotation of the knob is to the forward 1mm. While the article set
misalignment fault, the left end of clockwise rotation 5 with 0.125mm and right end of the clockwise
rotation of 10 is 0.25 mm.


Figure 7. Comprehensive fault simulation test bed

Figure 8and figure 9 are the frequency analysis charts obtained experimentally with misalignment,
imbalance and imbalance-misalignment coupling faults. The left figure shows the vertical direction,
and the right shows in the shaft diameter direction. It can be found from figure 9 that the misalignment
fault in the system response with 2 times fundamental frequency along with some low frequency, but
the tow times frequency is the main frequency. The main response of the imbalance fault performs as
based frequency, especially in the shaft axis direction, this phenomenon becomes more obvious, as
long as some small low amplitude and imbalance-misalignment coupling fault system response mainly
with based frequency, and the fundamental frequency amplitude is much larger than the multiplier
amplitude, particularly in the axial direction. The experimental results and the simulation results are
basically the same.

Unbalanced bolt
Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
571
0 5000 10000
-0.1
0
0.1
misalignment-y
0 5000 10000
-0.1
0
0.1
misalignment-z
0 5000 10000
-0.1
0
0.1
imbalance-y
0 5000 10000
-0.1
0
0.1
imbalance-z
0 1000 2000 3000 4000 5000
-0.1
0
0.1
imbalance-misalignment coupling faults-y
0 1000 2000 3000 4000 5000
-0.1
0
0.1
imbalance-misalignment coupling faults-z

Figure 8. Time domain chart of the three kinds of faults

0 50 100
0
1
2
3
misalignment-y
0 50 100
0
1
2
3
mmisalignment-z
0 50 100
0
1
2
3
imbalance-y
0 50 100
0
1
2
3
imbalance-z
0 50 100
0
1
2
3
imbalance-misalignment coupling faults-y
0 50 100
0
1
2
3
imbalance-misalignment coupling faults-z

Figure 9. Frequency domain chart of the three kinds of faults

5. Conclusion

This experiment establishes a dynamical model of the imbalance-misalignment coupling faults and
the finite element model of the rotor system which is under the supporting of the rolling bearing. It
researches the features and the regular pattern of the coupling faults, the influence of the imbalance and
the revolving speed to the system.
Only fundamental frequency was found in imbalance fault. For misalignment fault, there exists not
only fundamental frequency, but also high order of double frequency, with 2 times frequency priority,
in the right end of shaft, the characteristic frequency was more obvious, for the whole system,
imbalance fault frequency takes the leading role. For imbalance-misalignment coupling faults, the
spectrum diagram mainly shows the imbalance fault frequency. The coupling fault characteristic
3X
2X
1X
Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
Xuejun Li, Fuze Xu, Guangbin Wang, Yilin He
572
frequency is only two kinds of fault signal of the stack, but to a certain extent the imbalance fault
weakened the influence of the misalignment fault to the whole system.
By using the rotor test bench for imbalanced-misalignment coupling faults experiment, the
experimental results verified the correctness of the simulation analysis in a certain extent.

6. Acknowledgements

Financial support from National Natural Science Foundation of China (51175170), National High
Technology Research and Development Technology (863 Program) 2013AA041105, National Energy
Board projects wind turbine test key technologies and certification testing technology research, aid
program for Science and Technology Innovative Research Team in Higher Educational Institutions of
Hunan Province, the outstanding master degree thesis cultivation project of Hunan University of
science and technology (S110111), are gratefully acknowledged.

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Vibration Analysis and Diagnosis of Coupling Faults in Rotor System
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