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MACHINRY
DYNAMICS
MECHANICAL ENGINEERING
A Series of Textbooks and Reference Books
Founding Editor
L. L. Faulkner
Columbus Division, Battelle Memorial Institute
and Departmentof Mechanical Engineering
The Ohio State Universiy
Colurnbus, Ohio
ditd r>u
LYNN 1. FAUlKNR
Battelle Memorial lnstitute
Columbus, Ohio
m
M A R C E L
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The motivation for this book arose when it became evident to us that a
contemporary handbook of engineering mechanics did not exist. Although
there are several excellent handbooks on the subject, some are over 30 years
old. Fundamental information does not become outdated, butwe concluded
that a new book on the subject was needed. It was immediately clear that a
book of this scope would be difficult for a single author oreven two authors
toprepare.Therefore,forthe best coverage of thesubject,it is a
multiauthored work. We were fortunate that highly qualified and capable
authors enthusiastically agreed to provide chapters.
This handbook is intended as a reference work in machinery dynamics
suitable foruse by practicing engineers and graduate students. The goal is to
provide rapid access to basic information on aspectsof machinery dynamics
that is otherwisescatteredamongvariousreferencetextsandtechnical
journals. The contributors are experts in their respective fields, and their
chapters offer the reader thebenefit of their wide experience. The practicing
engineer or student can quickly comprehend the essential principles and
methodscurrently used for analysis and designinthevarious fields of
machinery dynamics treated in this handbook.
The material comprises equations, graphs, and tables, together with
illustrative examples of problems and their solutions to clarify the theory
and demonstrate the use of the basic relations in design and analysis. Line
drawings and photographs of equipment are also presented to enhancevis-
ual comprehension of the design features of machines. Included in each
chapter is an extensive list of references that have been particularly useful
in the authors solution of dynamic problems of machinery.
We want tospecifically acknowledge the lateGraham Garratt,Execu-
tive Vice President of Marcel Dekker, Inc., who encouraged the develop-
ment of this book and who committed the resources of the publisher to
iii
iv Preface
Ljwn L. Fuulkner
Eurl Logan, Jr.
Contents
...
PrefL1ce 111
Contributors 111
1 Introduction 1
Errrl Logcrn, Jr.
7 Machine Design 11
Rtrgllu N . Nrrtcrrcljtrn
3 Fundamentals of Vibrations 29
Robert H . Fries
V
vi Contents
Index 577
Contributors
Robert
David Brown Department of Mechanical and
Chemical
Engineering, Heriot-Watt University, Edinburgh, Scotland
Leonard
Montenegro Department of Mechanical and
Aerospace
Engineering, Arizona State University, Tempe, Arizona
vii
viii Contributors
Andjelka
Srdic-Mitrovic Department of Mechanical and
Aerospace
Engineering, Arizona State University, Tempe, Arizona
1. MACHINES
2. MACHINE
DESIGN
Chapter 2 shows that the process of machine design begins with the identi-
fication of a need for a new machine, and this is followed by the definition
1
2 Logan
of the properties of the machine which can fulfill the perceived need. This
involvesthespecification of requirementsforpower,speed, flow rate,
machine volume, and machine weight. Then, the designer must conceive
of a machine which has the required properties; this is calledsynthesis,
and it could start with an existing design or it could entail the invention
of a new design. The new design conceives of a group mechanisms which,
collectively, can produce thedesired effectwhile keeping within thespecified
bounds of speed, space, and cost. The motions of the parts of a machine are
transformed by mechanisms which form kinematic chainsbetween its parts.
For example, mechanisms such as linear actuators, rachets, escapements,
rocking mechanisms, reciprocating mechanisms, and reversing mechanisms
are commonly used to create a prescribed motion. The most fundamental
of available mechanism designs have been classified and analyzedby Shigley
and Uicker [l]. Finally, the new design must be analyzed using the principles
of engineering science to assure that it will function as conceived and thatit
will not fail. The kinds of analysis used in machine design usually involve
various sciences (e.g.,kinematics,dynamics,mechanics of materials,
material science, manufacturing,thermodynamics, fluid mechanics, and
heat transfer). It is clear that force and motion analysis plays a significant
role in the design of a new machine.
In summary, the design of machines requires the selection of appro-
priatemechanismsfortransferringthe desired quantity of energy by
executing motions which conform to given constraints. The science of kin-
ematics canbe used to ascertain displacements, velocities, and accelerations
of the mechanisms used in the machine. When accelerations are known, one
can calculate inertia forces on the machine components. A variableforce is
required to accelerate a given part during itscyclic motion, and the science
of dynamics canbe used to calculate the required inertia forces on the parts.
The translational and rotational accelerations of all machine parts, deter-
minedfromkinematics, is thus utilized to evaluate forces and moments
on the parts. In addition to the inertiaforces associated with accelerations,
there is external friction which mustbe overcome, and thework lost in over-
coming friction reappears as internal or thermal energy of the machine
parts, as well as of any fluid that may be in contact with the solid parts.
Because both kinds of forces are transmitted by the machine member, a
variable stress field is set up within the part.
The elasticity of thepartmaterial,actingasaspring,permits
deflection under loading, and when the load is removed, the restoring force
will accelerate the part untilthekineticenergyhas been stored and the
motion halted. A free vibration willbe enhanced if mechanical energy is
fed into the vibrating part by a variable force having a period near that
of the natural vibration. All vibrations entail internal friction associated
Introduction 3
with uneven stressing and consequent heating well as as with the plasticflow
of solids.Bothprocessesdissipatemechanicalenergy,reducethe useful
work of the machine, and create a fluctuating stress which reduces the life
of the part. There is also the probability of unwanted sound generated
by the vibrating parts.
In addition toflexure associated with vibrations, repeated stresses also
accompany the simple rotation of a shaft which is flexed only by its own
weight, andastressreversaloccurs in each fiber witheveryrevolution
of the shaft. Other kinds of machine members may not undergo periodic
stressreversal;instead,thestressmayfluctuate aboutameanwithout
changing sign. For a shaft turning at constant speed, the mean stress is
a constant shear stress, whereas at the same point, the fiber is subjected
alternately to tensile and compressive stresses.
The strength of metals and their resistance to gradual deformation or
creep decreases with increasing temperature; thus, for the operating tem-
perature to which the part is exposed, materials must be selected for the
machineparts whichminimizewear, deformation,andstress.Shapes
and dimensions are chosen toreduce the probability of the failure of a part
which is preceded by the occurrence of a stress which exceeds a limiting
value determined from the ultimate or yield strength of the material for
steadyloading,orfromfatigue-strengthdiagramsfortheparticular
material in the case of variable loading; for example, see Ref. 2. Excessive
creep can also lead to failure in cases where moving parts elongate and
rub against nearby stationary parts.
3. VIBRATION
Because of their elastic nature, all machine parts deflect under load and are
subject to the possibility of vibration, as with a spring and mass system.
This kind of deflection and oscillationis also foundin shafts, where torsional
deflection and oscillation can occur. In othercases, the part maybe attached
to anactual spring (e.g.. avalve in an automotive engine), andit is, in fact, a
springandmasssystem.Whentheforceortorque which startsthe
oscillation is periodic and has a frequency at or near the natural frequency
of vibration of the part or shaft, the oscillations can grown in amplitude,
and stresses can quickly exceed designstresses. Because the natural fre-
quency of vibration is some function of the mass of the part and thestiffness
of the spring, the designer should always utilize the science of vibrations as
part of the design analysis.
4 Logan
4. ROTORDYNAMICS
5. BEARINGANDSEALDYNAMICS
Ball and roller bearings provide elastic support for the shaft and havemini-
mal damping; they are widely used in aircraft turbine engines. Damping
can be obtained via a hydrodynamic film around the outer race known
as a squeeze-film bearing damper. Industrial turbines, on the other hand,
commonly utilize fluid-film bearings in place of rolling-element bearings
because they have a longer life, lower cost, and lower power loss. Fluid
bearings produce bearing supportstiffness as well as damping. Bothstiffness
and damping can produce destabilizing tangential forcesthat arein the same
direction as the instantaneous motion.
The plain journal bearing or a hydrodynamic bearing is a fluid bearing
in which the fluid support pressure is generated by the motionof the journal.
Plain journal bearings can develop oil whip, an instability associated with
higher speeds, with the thresholdspeed for thisinstability occurring at about
twice the first critical speed.
Plainseals are like journal bearings, but they haveamuchlarger
clearance. Greater clearance allows an axial flow through the seal, which
produces a direct stiffness associated with the axial pressure drop, and this
stiffness varies with speed as well. Both plain and labyrinth seals produce
stiffness and damping and affect rotordynamics just as bearings do.
Brown et al. [5] have demonstrated that chaotic behavior is possible
for a rigid rotor supported on journal bearings provided the eccentricity
ratio is greaterthan 0.6 andtheunbalanceforce is alittlelarger than
thegravitationalload.Theseconclusionsare based onthecalculated
response of a rigid rotormountedonjournalbearings. Sucha chaotic
response of a rotor-bearing system would not occur unless there were some
6 Logan
damage to the rotorwhich had created excessive unbalance, but the calcul-
ated results simulate possible conditions and responses with the potential
to produce shaft failure. The presence of chaos is confirmed by the response
of the rotor-bearing system as determined from observed plots of journal
orbits, phase planes, frequency spectra, and fractal dimension.
In Chapter 5 , the theory of hydrodynamic bearings is developed. The
solution of these equations for the case of short bearings yields stiffness
and damping coefficients which are used in the equations of motion for
flexible rotors.The effect of bearing stiffness onrotorcritical speed is
determined, and the author shows that critical speeds can be moved away
from operating conditionsby changing the bearingdesign without changing
therotor design.Instabilitiesoccurwheneigenvaluesarenegatively
damped, and these unstable modes occur at half rotor speed with lightly
loaded,short,circular,hydrodynamicbearings.Nonsynchronousinsta-
bility canbesuppressed throughthe use of backward flow through
tangential nozzles in the walls of oil bearings.
Annular seals are used to prevent leakage in rotating machines where
annular clearances exist between rotors and stators. Although seals can
degrade vibration performance, itis shown in Chapter5 that resonant peaks
can be suppressed by passing fluid through the seals.Seal-related rotor
instabilities, such as those predicted for shuttleengine turbopumps by Dara
Childs in 1975, can also result from improper design. Currently, there is a
need to improve theories for the prediction of damping and stiffness in seals
used in rotating machinery.
Methods for the prediction of axial thrust loads on bearings found in
turbomachinesare presented in Chapter 10. The highly complexcalcu-
lations required in high-speed turbopump design are presented and applied
to the calculationof thrust loads for three existing turbopumps. The chapter
also provides general guidance in machinery design and clearly shows the
roles of the engineering sciences in rotating machine design.
responses of the system comprising the machine tool and workpiece are cal-
culated and presented graphically as displacement andvelocity as functions
of timeandasphaseplaneportraitswith velocity asafunction of
displacement.
The graphsin Chapter 6 show clearly a lack of periodicity in the system
response. Chaotic states are indicated in bifurcation diagrams wherein dis-
placement is a function of cutting force, with stiffness as the parameter.
Bifurcation diagrams indicate that periodicity can be obtained in certain
ranges of cutting force and that the motion is less chaotic with higher values
of stiffness. The nonhomogeneity of the material comprising the workpiece
produces a variable cutting resistance, the variation of which is taken to
be Gaussian. The results canbe used to infer optimal stiffness and damping.
7. FLUID-STRUCTURE
INTERACTION
8. PREDICTIVEMAINTENANCE
REFERENCES
MA (1977).
Introduction 9
Raghu N. Natarajan
Rush-Presbyterian-St. Lukes Medical Center, Chicago, Illinois
1. INTRODUCTION
11
12 Natarajan
mean age of 35 years will become a population of older people. Thus, the
needs of the design are related to time, money, requirements of end users,
location, and so forth. It can thusbe seen that there arereally a rather large
group of interrelated complex factors involved in arriving at one of the sol-
utions to the design of a community water tank.
A design problem has adefinite purpose: thecreation of a product that
has a physical meaning. Depending on whom we talk to, the word design
conveysdifferentmeanings to different people.Engineersthink thata
designer means a person who sits before a workstation and creates a product
using available software. Others think of the designer as a creator of a
complex network system. These designers are also called system engineers.
No matter what onecalls the design engineers, they still work with a process
in which scientific ideas and tools of engineering are used to produce a
methodology, which, when carried out, will satisfy a specific need.
We will now discuss briefly the different phases of mechanical design.
It involves recognition and identification, definition of the design problem,
synthesis, and evaluation and presentation. Recognition and identification
more likely means torecognize the need for a product and to make the prob-
lem more specific. The definition of the problem includes specifications for
the thing that is to be designed. Important specifications include cost, life
expectancy, number of components to be manufactured, and reliability.
The next step in the designprocessissynthesis. This includesanalysis
and optimization of the design. If the synthesis of the design shows that
the design has not met the needs specified, the entireprocess of design should
start again. Thus, the design is an iterative process in which we proceed
through several steps, evaluate the results, and then return to an earlier
process if necessary.
Usually, a large number of characteristics affect the design, such a s
strength, reliability, corrosion, wear, utility, cost, safety, life, flexibility, sur-
face finish, and volume, to name few. a Some of these items may be import-
antforaparticularproduct design andarethus fully takeninto
consideration during the design process. Codes and standards are other
factors that should be considered. Currently, most of the products that
are designed have to satisfy certain codes and standards. These are kept
so that they meet certain uniformity, efficiency, specific quality, specified
degree of safety, efficiency and performance and quality. There are many
organizations that impose the codes and standards on the products designed
and manufactured. ASME, ASTM, ASM, and ANSI are some of the organ-
izations that are of interest to mechanical engineers.
Mechanical design most often relates to strength of materials, which
cannot be defined accurately. This indefiniteness is taken care of in the
design process by a factor called factor of safety. By including this factor,
Machine 13
the designer can choose the approximate values of the strength and still
produce a design that is safe and satisfy all other requirements. Most of
thestandardmechanicalengineeringhandbooksprovidevaluesforthis
factor which vary from one component design to the other.
In these days of an increasing number of liability lawsuits and increas-
ing demands to adhere to regulations imposed by governmental agencies
such as EPA and OSHA, it isvery important for the product developer
and manufacturer to know the reliability of their product. The reliability
method of design is one in which the distribution of stress and distribution
of strengtharerelated so thatan acceptabledesigncan be produced.
The statistical or reliability approach to design is relativelynew. It can
be used only when all the necessary stochastic data are available.
Economics plays an important part in the design. Determining the cost
of a product is complex. Materials and labor might show an increasing
trend,butthe processingmightbecome less expensivebecause of the
involvement of more and more automation. The cost may also vary from
one city to another because of laborcost,taxes,overhead,andfreight
differentials. Use of standard sizes is one method of reducing costs. Some-
times, these standard parts may not be readily available and the designer
should tryto choose those standard parts that are readily availableto reduce
the cost. Tolerances of the manufactured parts is another factor that can
influence thecost.Parts withlargetolerancescan be producedwith
machines that have higher production rates,use less skilled labor, and have
fewer parts rejected at the inspection. There are many ways of obtaining
relative cost figures so that two or more designs can be roughly compared.
One method is the dollar cost per pound of weight. Another method is
to simply count the number of parts. Obviously, the smaller the number
of parts to be made, the greater the cost will be.
The product liability concept has to be kept in mind as well. This con-
cept states thatif, as aresult of a faulty part, the consumer suffers a damage,
it then becomes the responsibility of the product producerto bear the costof
damage. Under this concept, the consumer only needs to prove that the
articlewasdefectiveandthatthedefectcausedthedamage.The best
approach to the preventionof product liability is good engineering, quality
control, and comprehensive testing procedures.
Thus, the mechanical engineering design is a complex procedure, not
just producing drawings sitting before a computer terminal. Design is an
iterativeprocessandhas to go through the need analysis,definitionof
theproblem,synthesisoftheproduct,analysis andoptimization,and,
finally, evaluation forseveral cycles. In addition tousing general mechanical
engineering, designers have to understand relevantcodes and standards,
cost analysis. reliability and safety analyses, and product liability.
14 Natarajan
In the next few sections, the basic design theory relevant to design of
machinery will be discussed. The first section will deal with theories of fail-
ure which arenormallyadopted in engineeringpractice.Followingthis
section, design criteria that have to be followed for steady and variable
loadingconditions will bediscussed. As examples of specific design
principles for shafts and axles, belt drives and bearings willbe discussed
next. Finally, a brief outline regarding the use of machine design in the
design of machinery will be discussed.
2. FAILURE THEORIES
This theory states that when at any point in a component the largest of the
three principal strains becomes equal to or greater than strain corresponding
to the yield strength of the material, then the failure is deemed to have
occurred.Thistheory is applicableonlyintheelasticrange of stresses
and assumes that the yield strengths in compression andin tension are equal.
According to this theory, failure occurs when
1 - v(az + 3) = *S,,
2.3. MaximumShearStressTheory
This theory states that failure begins whenever the maximum shear stress
at any point in the continuum becomes equal to the maximum shear stress
in a tension test specimen of the same material when that specimen begins
to yield. Failure is predictedwhenanyone of thefollowing conditions
exists:
Absolutevalue of cl - > S,
Absolute value of CJ? - u3 2 S,,
Absolutevaluc of o3 - 2 S,.
2.5. CoulombMohrTheory
This theory is basedon three Mohr's circles: one for the uniaxial com-
pression test, one for pure shear, and one for the uniaxial tension test. Once
again assuming that CJI > C T ~> q , the theory can be expressed as
3. VARIABLELOADING:FATIGUESTRENGTHAND
ENDURANCE LIMIT
Frequently,components in amechanicalsystemundergofluctuating
stresses; thus, it is important from the mechanical design point ofview
to look at the behavior of components under variable-loading conditions.
Aninterestingexample is that of arotatingshafttransmittingpower
and supported at the ends. As we know, the maximum bending stress in
a circular shaft as a result of its own weight occurs near the surface of
the shaft. At the instant when a point near the surface is at the top, maxi-
mum compressive stress is induced because of the bending moment. When
this point rotates1 SO", the same element which was under compressive stress
is now subjected to tensile stress. Thus, as the shaft rotates, the bending
stress fluctuates from a maximum compressive value to a maximum tensile
value. Most of the time. these maximum fluctuating stresses are well below
Machine 17
the ultimate stress, and,in some cases, they may be below the yield stress of
the material. Even then, failure has been observed under those conditions
because of the fluctuating nature of the stress; the failure is called jiutigue
.fuilure.
Most of the time, fatigue failure starts as a crack at placeswhere
there is a stressconcentrationor a materialdefect.Often it remains
unnoticed by visual examination. This iswhy components such as pipes
carryingradiation fluids in nuclearpowerstationregularlygothrough
acousticas well as x-rayscanningformicrocracks.Oncethesecracks
are developed, they themselves become points where stress concentration
occurs. As thecomponent is loaded,these stresses atthetip ofthe
microcracks grow in size, and finally, stresses at the cross section become
so high that failure of the component occurs suddenly. Thus, failure as
aresultoffatigue is sudden, as opposed to slowfailureresultingfrom
staticloads.Thebehavior of materialsunder cyclic loading is quite
complex and is not well understood. Therefore, components that undergo
cyclic variation in loads have to be designed with greater care than those
that are subjected to static loading.
The surface factor is based on the surface finish of the component. and
the formula used to calculate it is given by Shigley and Mischke [ I ] as
k ,=~ US:,, where S,, is the ultimate tensile strength and u and h are given
in Table 1.
The load factor is given to include the effect of different kinds of
loading on the endurance limit value:
kld = 0.923 for axial loading when S,, 5 220 kpsi
kld = 1.0 for axial loading when S,, > 220 kpsi
kld = 1.0 for bending
kid = 0.577 for torsion and shear
There are other factors that exist that include the size of the component,
temperature effect, corrosion effect, stress concentration effect, and frettage
effect. Most of the Mechanical Engineering design books deal with these
factors and the readers can refer to them for further information.
Mean Stress m
Figure 1 Fatigue diagram showing four failure criteria. For each criterion, points on
or outside the respective line indicate failure.
Gerber:
Yield:
3.4. DesignAgainstStaticLoading
and
fJ= ( c .
0.5
+ k,,)
We can alsorewrite these designequations in terms of the applied forces and
moments:
and
3.5. DesignAgainstFatigueLoading
Therotatingshaftproducesaconstantmaximumshearstressnearthe
boundary of the cross section where as the stationary bending moment act-
22 Natarajan
ing on the shaft produces completely reversed bending stress at the same
location. Thus, the torsional stressbecomes the steady stress, and the bend-
ing stress contributes to the alternating stress component. These two stress
components can be used to calculate the mean and alternating stresses.
Using both maximum shear stress theory and the modified Goodman line,
it is possible to obtain the design equation for shafts under fatigue loading
Dl:
where n is the design factor of safety, d is the diameter of the shaft, K , is the
stress concentration factor,M , is the alternating bending moment, T,,,is the
mean torsional moment, S , is the endurance limit of the material of the
shaft, and S,, is the ultimate tensile limit of the material of the shaft.
arc of contact in the pulley that the poweris transmitted from onepulley to
the other. An open-belt drive consists of two pulleys over which the belt
wraps around without crossing each other. In a crossed-belt drive, thebelt
crossesoversomewherebetweenthetwopulleys.Thepulleywhich is
attached to the prime mover is called the driving pulley. The other pulley
is called the driven pulley. Normally, a smaller pulley is used as a driver.
3.6.2. Open-BeltDrive
The angle of contact at the driver pulley is larger than the corresponding
angle at the driven pulley. They can be calculated based on the diameters
of the pulleys and the center distance between the two shafts:
and
where D is the diameter of the large pulley, d is the diameter of the small
pulley, C is the center distance between the two pulleys, and 0 is the angle
of contact. The length L of the belt is given by
L = [4C - ( D - d)2]12+ !(DO0 + dB,,)
The belt has a certain weight, and when it moves at a relatively high
speed, the centrifugal effect of the mass of the belt should be included in
the design equation. Thus, a relationship among the tensions on the belt,
angle of contact, centrifugal force, and friction between the belt and pulley
can be derived and is given as
where C, is the pulley correction factorwhich varies from0.5 to 1.O, C,.is the
velocity correction factor andvaries from 0.7 to 1 .O, TI is the allowable belt
tension specified for the belt size and material, V is the belt speed i n feet per
minute, and K,s is the service factor and varies from 1.0 to 1.8.
2
Machine Design 25
Energy can be stored in a flywheel and may be released whenever the system
requires. By increasing its angular velocity, the flywheel stores the energy,
and by reducing its velocity, it releases the energy. The change in kinetic
energy is given by
2 7
E. - El = $ I ( w ~- (07)
where I is the moment of inertia of the flywheel and depends on the geo-
metricdimensions of the flywheel as well as properties of the flywheel
material. to is the angular velocity of the flywheel. The equation can also
be written based on a coefficient of speed fluctuation C, and nominal angu-
lar velocity ( U . The coefficient of speedfluctuation C,T isequal to
( 0 2 - (ol)/co. The nominal angular velocity (U is defined by ( ( 0 2 + tu1)/2.
Thus,
E2 - El = C,TIt~
This equation is used in the design of flywheels.
Here we will discuss the selection process of a rolling contact bearing rather
than thedesign aspectsof a rolling bearing. Bearingdesign involves friction,
dynamic loads, fatigueof constituent elementsin a bearing, heat generation
and heat balance, machine tolerances,assembly, and cost. Thus, thedesign
aspect of rollingbearings in quitecomplex. A mechanicalengineering
26 Natarajan
designer should be conversant with the types of bearing available and the
method for choosing the best bearing to suit the purpose. Ball bearings
are normally rated for both radial and thrust loadings. But a bearing catalog
normally specifies bearings in terms of radialloadingonly.Bearing
manufacturers'catalogs identify
bearings by number, give complete
dimensional information, list rated load capacities, and furnish details con-
cerning mounting, lubrication, and operation.
A specific hearing application requires the selection of bearing type,
grade of precision, lubricant, closure(i.e.,open orsealed),and basic
load-carrying capacity. One of the special considerations is the maximum
speed. The limitationis in terms of the linear speed rather than the angular
speed. In other words, bearings of smaller radii can rotate at much higher
speeds than bearings of large radii. Lubrication is another consideration.
A mist or spray is the best form of lubrication for high-speed bearings.
The size of the bearing selected for an application is dependent on the size
of the shaft on which it is to be mounted and the space available. Also,
the bearing should have ahigh enough load rating to provide an acceptable
combination of life and reliability.
3.8.2. Reliability
Requirement
The median life of rolling-element bearings is about five times the standard
10% failure fatigue life. A common way of designating the life of a bearing
is by specifying its L10 life. This means that 90% have not failed, and, thus,
it corresponds to90'%1reliability. The life L corresponding to a given radial
load LR is
4. CONCLUSION
REFERENCES
1. INTRODUCTION
2. SINGLE-DEGREE-OF-FREEDOM
SYSTEMS
29
30 Fries
Figure 1 Single-degree-of-freedomsystem.
spring-mass system. For this system, the time historyof S describes the time
history of the entire system.
For example, if the mass of the system in Fig. 1 is displaced by 3 in.
and released, the system response, or time history of x, is as shown in Fig.
2. The system has a natural frequency of 2 Hz, meaning that it completes
two oscillationcycles per second. Theresponse is a cosine functionof ampli-
tude 3 in. and frequency 2 Hz.
the sum of the forces acting on a mass equals the product of theand mass
its
acceleration, in aconsistentunitsystem.Intheirsimplestforms,the
elements of translational systems includemasses,springs, and dampers.
The force characteristics of a linear spring are
F = /?(S> - .YI) (2)
and the potential energy stored in a linear spring is
U = ;/?(X.:! -S,)? (3)
Figure 3 shows a linear springin static equilibrium. DisplacementsSI and S:!
are measured from the unstretched ends of the spring. Equation (3) is easily
derivable from Eq. (2) by noting that energy is related to displacement and
force by
cl U = F c1.y (4)
32 Fries
Figure 3 Linearspring.
Newtons second law, Eq. ( l ) , describes the motion of a mass under the
influences of forces acting on it. The kinetic energy of a mass is
. 7
T = Amx- (6)
and the change in potential energy of a mass is
AU = ~ g A h (7)
where Ah is the change in elevation of the mass relative to some datum.
For analysis purposes, energy-dissipation mechanismsin translational
systems are usually represented by linear dampers, as shown in Fig. 4, with
force-velocity characteristics given by
F = ~ ( . k ?- .\.I) (8)
The procedure for deriving the equation of motion of a system is to
select a coordinate system and variable to describe the motion of the mass,
draw a free-body diagram of the mass showing the forces acting on it,
and apply Newtons second law. The summation of forces acting on the
body, positive to the right as shown in Fig. 5, according to Newtons second
law gives
RI
or
2
t) = 0
Therefore,
The mass moment of inertia of a disk rotating about its center of mass is
JC; = (23)
Substituting Eqs. (22) and (23) into Eq. (20) and collecting terms gives
17
T = $ n ~ R( - r)-& ( 34)
(l2
U = mg( R - r )
L
and
Naturalfrequency is themostimportantdynamiccharacteristicof a
single-degree-of-freedom system in most applications. Equation (30) can
be rewritten a s
..
.Y + 7
CO,.\- =0 (45)
When the system equation is written so that the coefficient on the S term is
unity, then the coefficient of the S term is the square of the system natural
frequency. For the system of Fig. 7 and Eq. (29), the natural frequency is
where [ is the drunping ratio of the system and is related to the system
coefficients by
c
g=- (50)
2&
The damping ratiois the ratio of actual damping of a system to the critical
damping of that system. Critical dumping exists when = I , which corre-
sponds to c,. = 2&.
If a solution to Eq. (47) is assumed to be of the form
x ( t ) = Ce"' (51)
as was done for the undamped system, then the characteristic equation is
+ +k =0
W I S ~ CS (52)
or
S= (-c fJ G ) ( U , , (54)
Three possibilities exist for the roots. For C' - 1 < 0, the roots are com-
plex, and the system is underdamped. For c' - 1 = 0, the two roots are equal
andreal,andfor c' - 1 > 0, thetwo rootsaredistinctandreal.The
above-illustrated method may be applied to determine the initial condition
response of the system for the three cases.
Case 1, underdamped: c < 1
= Ji'T (56)
Thedampednatural frequency is less thantheundamped natural
frequency, asindicated by Eq. (56). The underdamped response can
equivalently be written as
s ( t ) = xe-;""' sin(tudt + 4) (57)
40 Fries
where X and 4 are determined from the initial conditions. The general
initial condition responseof an underdamped system is shown in Fig.
8. The response is contained within an envelope defined by kXe-c'rJJ.
The damped natural period is
271 37c
T(, -=
W Q,,JP
Case 2, critically damped: = 1
+
) e-'"~~'[(S0 (o,,.yo)r
~ ( t= + xO]
Case 3, overdamped: > 1
where
and
Figure 9 shows time responsesof systems having all three general cases
<
of damping. It also shows a specific response for = l / f i = 0.707. The
Fundamentals of Vibrations 41
L 6 = 0.707
Figure 9 Initlal-conditionresponse for four damping cases.
where A0 and $ are constants that can be determined from the initial con-
ditions. The logarithmic decrement is defined as the natural logarithm of
two successive peaks in the response:
= J
4n' + 5'
Note that there is no need to solve for the constants in Eq. (63).
In practice, a more accurate estimate of thesystem damping ratio
results when the decrement over several successive peaks is used.When
the decrementis taken overI I cycles, the damping ratio canbe obtained from
If the system response decays to 50'1/0of its initial value, the decrement is
6 = In
(.l:,)
__ = In 2 = 0.693
and the damping ratio for 50% decay is related to the number of cycles by
(68)
0.1
0.01
0.001
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
. . .
0.8 '. ' . . . . .
3=
\
O3 . . . . .
D
3 0.4 .. .
0.2 ~ ' . . . .
. .. .
0.0
0.0 0.2 0.4 0.6 08 1.0
Equation (71) is piecewise linear. The sign on the damping term changes
each time the direction of sliding reverses. However, the equation of motion
is linear during any cycle. Therefore, the system equation be can
solved cycle
by cycle [7]. The result is a free-vibration response with a linearly decaying
envelope in contrast to the exponentially decaying envelope of the system
with viscous or linear damping. Theinitial condition response of the system
with Coulomb damping is shown in Fig. 14.
The system oscillates at the natural frequency CO,, = m, unlike a
system with viscous damping, which vibrates at the damped natural fre-
quency ( c ) ( / . Thus, Coulomb damping has no influence on the frequency
of response. Successive peaks decrease in amplitude by
The final displacement of the system is, in general, not zero, because the
sliding stops when the spring force is insufficient to overcome the friction
force. Thefinal position of the massis inside aband with limits&A, as shown
in Fig. 14.
where col, and are defined in Eqs. (34) and (50), respectively. Readers fam-
iliar with Laplace transform methods will recognize Eq. (80) as the Laplace
transfer function [S], but no knowledge of Laplace transforms is required
for the present analysis. To determine the harmonic response.we can make
the substitution [9]
itu = S (81)
Noting that ' i = -1, the result is
The right side of Eq. (82) is a complex number, which can also be expressed
as a magnitude and angle [IO]. It gives the magnitude and angle of the
response relative to the input force. The magnitude is the square root of
the sum of the squares of the real and imaginary parts,
IkX(iw1l 1
and the phase angleis the inverse tangent of the ratio of the imaginary and
real parts,
Equation (82) and its equivalents, Eqs. (83) and (84), are referred to in the
vibration and system dynamics literature by a number of names, including
,frequency response Junction, sinusoidal transfer fimction. amplitude ratio
and pkuse angle, amplijicution fnctor and dimensionless response factor.
If thesystemforcing function is F ( t ) = F0 sin w t , then the steady-state
48 Fries
2 3
response is
Equations (83) and (84) are plotted in Figs. 15 and 16, respectively. Figure
15 shows that the response is large when a lightly damped system is forced
near resonance. The peak response occurs at
-120 -
-150 -
-180 I
0 1 2 3
so the damping ratio canbe computed directly from Eq. (87) when the peak
amplitude ratio is known. The maximum value of the amplitude ratio is
sometimes called the quality.factor, or Q. The concept of a quality factor
related to thepeakamplituderatiocomestomechanicalsystemsfrom
electrical engineering applicationsin which highly resonant circuits areused
as filters, andasharpresonantpeakcharacterized bylow damping is
beneficial. Insuchafilterapplication,highquality is associatedwith
low damping. The situationis not usually true in mechanical systems, when
lightly
a damped system forced at resonance can
experience large
displacements and stresses.
Bandwidth is a related concept that also originated in electrical engin-
eering practice but is now used with some regularity in mechanical system
and vibration analysis. The bandwidth of a system [ l l ] is the frequency
range defined by
Am = CO? - (01 X 2[~,, (88)
where (01 and 02 are the hmlf-power points of the amplitude ratio curve
as shown in Fig. 17. The square of the amplitude ratio at the half-power
points is :Q', so called because the power associated with a variable is
proportional to the variable squared. In terms of decibels, the half-power
pointsare 3 dB below thepeakresponse on theamplituderatioplot.
kX
-
F0
I
l
mi + ck + ks = c j + ky (90)
Using the same procedure followed in the above, analysis, we can
write
x([) =
1':l
- Y sin(wt + 4)
where [ X / YI and 4 are plotted in Figs. 19 and 20 and are given by Eqs. (93)
and (94).
The response characteristics of the base-excitation system have some
important differences from the forced-mass system. Figures 19 and 20 show
plots of the amplitude ratio and phase angle for the base-excitation system.
When the excitation frequency is low, the amplitude ratio tends to
unity, indicating that the motion of the mass followsthe motionof the base.
At (alto,, = A, theresponsealwayshas thesamemagnitudeasthe
excitation,regardless of thedampingratio.At higherfrequencies,the
magnitude of the response increases with increasing damping ratio.
When a mechanical system experiences unacceptably high vibration, a
common remedy is to add more damping.If the excitation is applied to the
mass, as in the Fig. 5 system, then increasing the damping always decreases
the steady-state response, as shown in Fig. 15. However, as Fig. 19 shows,
the reverse is true forbase excitation at frequencies greater than to/w,, = A.
This behavior explains why many suspension systems posses light damping
and low natural frequencies.
For a damping ratio of = 1, the response magnitude is only slightly
greater than the base-excitation input at frequencies below w / o , , = A,
and only slightly less than the base-excitation input at higher frequencies.
52 Fries
10
0 1 2 3
W
-
W"
(98)
W 1 -&
- (99)
1-
and the phaseangle is given by Eq. (84). Figure 22 plots the system response
given by Eq. (100). Figure 16 plots the phase angle.
As shown in Fig. 22, the response amplitude ratio approaches zero at
low frequencies and unity at high frequencies. regardless of the damping
ratio. Near resonance, the amplitude is increasingly large for cases of a
lower damping ratio. For asystem of this type, when reduction of response
amplitude is a design objective, more damping is unilaterally beneficial.
10
9 -
0 -
7 -
6-
M X
- 5-
m&
4 -
3-
2 -
1-
0 "
0 1 2 3
U
-
W"
the vibrations of the turbine bladedecay with time. The mechanism of energy
dissipationinthese andsimilar systems is called structurd dumping or
hysteretic. dunlping. Structural damping is characterized by dissipation of
an amountof energy per cycle that is proportional to the squareof the ampli-
tude of vibration and independent of the frequency. The energy is dissipated
internally within elastic materials, including composites, metals, polymers,
and wood.Structuraldamping is alsoattributedtosmall relative motion
in joints of structures. The characterization is based on measurements and
observationsmade by anumber of investigators, includingKimball and
Lovell [12], Scanlan and Mendelson [13], and Ungar [14].
Analysis of the harmonically forced response of a system possessing
structural damping canbe accomplished by using the concept of a complex
stiffness defined by k( 1 +h), where k is the conventional stiffness and 1'
is called the structural dumpingfirctor or the hJ9steretic dumping constant.
The complex transfer function for this system is obtained by setting the
linear damping constant, c, to zero and substituting the complex stiffness
for the conventional stiffness:
X 1
-(S) = (102)
F" ,??.S2 + k( 1 + iy)
56
X 1
"(io) =
F0 1 - (w/q1)' + iy
The magnitude ratio and phase angle are
lkxl 1
Figures 23 and 24 plot the amplitude ratio and phaseangle, respectively for
the single-degree-of-freedom (SDOF) structurally damped system.
0 2 3
-30
-60
-90
-120
-150
-180
0 2 3
where IkX/FoI and 4 are given by Eqs. (104) and (105) and are plotted in
Figs. 23 and 24. The maximum amplituderesponse occurs at the undamped
natural frequency, as shown in Fig. 23, and it has value
a of
IkX/Folmax= l/?. In structurally damped systems, as shown in Figs. 23
and 24, the amplitude ratio does not approach unity at low frequencies,
nor does the phase angle approach zero at low frequencies, in contrast
to the behavior of systems with damping proportional to velocity.
2.3.2. Impulse
Response
An inzpulsiveforce is one that lasts a short time
relative to the natural period
of the system upon which it acts. The impulse, I , is related to the impulsive
force by
S
I = F(()& (107)
mi(
dt /
)
= )I
W I ( V ~- V I =
2.0
1.8
1.6
1.4
l
a
0.6
0.4
0.2
0.0
0 1 2 3 4 5 6 7 8 9 10
W[
2.3.4. ResponseSpectrum
Mechanical systems experience a variety of transient or shock loads other
thanimpulseandstep forces.Whentheobjectiveofinvestigatingthe
vibration responseof a system is to design the system to withstand the maxi-
mum expected shock loading, the concept of the response spectrunl is useful.
The response spectrumgives the maximum responseof a systemto the speci-
fied shock input as a function of the natural frequency or natural periodof a
system.Themodel is typically anundampedsingle-degree-of-freedom
system.Dampingwould usuallyreducethepeak amplitude.Response
spectrum is also used to quantify the severity of shock loads.
A variety of input types produceshockloadsonsystems.Shock
response spectra can be determined for any type of input. Most common
is forceshockapplied tothemass.Inaddition, base inputexcitations,
includingdisplacement,velocity, and accelerationshocks,have been
analyzed. Seismic shock analysts frequently use base velocity inputs.
60 Fries
\ ' .
.
.
.
. . . . .
The system of Fig. 5 without damping is the reference system for the
responsespectrumanalysispresentedhere.The first step in calculating
the response spectrumis to solve the equation of motion of the system, given
the input of interest. Thenext step is to determine the maximum responseas
a function of the system and input parameters. The response maxima are
then plotted to give a response spectrum curve that is representative of
all possible combinations of system and input parameters.
Figure 26 shows the response spectrum for the undamped system of
Fig. 5 when it is subjected to a step function with a finite rise time. The
maximum value of ( k ~ / F o ) , ,is, ~2,
~ and it occurs whenthe stepinput
has zerorise time. This correspondsto thec= 0 case shownin Fig. 25. When
the step rise time is longer, the maximum system response is lower. The
response spectrum is given [ 151 by
kx
(FO),,,= +ln;is:l (1 14)
where T~~ is the natural period of the system given by Eq. (40).
Figure 27 shows the response spectrum for a rectangular-pulse input.
As shown in the figure, the minimum system response occurs when the pulse
is shortest, and the maximum response, ( k ~ / F o ) , ,=, ~2,~ occurs when the
duration of the pulse is longer than half the natural period of the system.
The response spectrum is given [l 51 by
m
Fundamentals of Vibrations
. . .
. .
61
1 2
1,
T"
and
3. MULTIPLE-DEGREES-OF-FREEDOM
SYSTEMS
Many mechanical systems of practical interest contain more than one degree
of freedom.Thenumber of degrees of freedom in asystem equalsthe
number of variables required to define the motion of all masses of interest.
In
general,
a single mass possesses six degrees of freedom, three
62 Fries
2
. . . . . . . . .
I
. .
0 1 2 3 4
displacementsand
three
rotations.
In
three-dimensionalspace,
the
displacements might be the S , y, and z coordinates relative to some reference
system, and the rotationsmight be the angles a, /j, and 7 relative to adefined
datum set. As part of the analysis process, the degrees of freedom must be
determined.Constraints nearlyalwayslimit thenumber of degrees of
freedom to fewer than six per mass.
An equation of motion is requiredfor each degree of freedom.
Therefore, a 15-degrees-of-freedom system requires15 equations todescribe
it. The equations areusually coupled, meaning that the motionof one mass
influences the motions of other masses. A powerful method called m o d d
clnal~~sis
provides means whereby an analyst can mathematically uncouple
a set of r1 equations to produce n equations, each having a single degree
of freedom. The I? single-degree-of-freedom equations can be solved using
methods like those described in the previous section.
o= [21
Each row of Eq. (120) is one equation of motion. This set of equations is
coupledthroughthe stiffness matrix.Inthe generalcase,thematrix
equation of motion can be written as
M.? + C.? + KS = , f (122)
where M , C, and K are all r7 x 17 square matrices, representing n equations of
64 Fries
3.2. TheEigenvalue-EignevectorProblem
numerical methods, such as Ref. 17, 18, or 19. A number of numerical analy-
sis computer programs that have built-in eigenvalue-eigenvector solution
routines are available commercially.
Once the eigenvector matrix, P, is found, the transformation
x = Py (128)
d= [ 3.1007
1.27251
0.1267
P= [ -0.6592
0.7256
-0.1395
0.7120 0.2418
0.5180
0.4530
-0.3352 0.6068 1
The eigenvalues are unique.However,theeigenvectors, which arethe
columns of P , can be scaled by any constant value. Itis convenient to scale
P such that PMP = I , in which case the diagonal elements of the trans-
formed stiffness matrix contain thecoefficients of the square of the natural
frequencies.
Returningtothe three-diskexample of Fig. 29, performingthe
[1 :] [
coordinate transformation operations indicated by Eq. ( 1 30) gives
3.1007 0
J 0 1 0 $+k 0 1.2725 0 y=o (133)
0 0 0.1267
O 1
which demonstrates that the equations of motion are uncoupled in the
vector y. Each row of the matrix equation represents a single uncoupled
equation of motion.
66 Fries
e----
- ~
1 2 3
disc number
(U: 11.128
8 -
( 135)
(03 = 0.356
8 -
The ratio of highest-to-lowest natural frequencies is nearly
(1 36)
5 : 1 for this
system.
The eigenvectors give the shapes of the natural modes of vibration.
Figure 30 plots the relative amplitudes of the three eigenvectors. Figure
30 shows that in mode 1, disks 1 and3are in phasewitheachother,
and disk 2 oscillates out of phase. In mode 2, disks 1 and 2 are in phase
with each other, and disk 3 oscillates out of phase. In mode 3, all disks
are in phasewitheach other. Mode 3 has the lowest natural frequency
of all the modes. Crossings of the zero axis by lines connecting the relative
amplitudes represent nodes (i.e., is locations on the shafts where there is
no motion).
(140)
where.7; is an element of the transformed force vector
.7' = PIf (141)
and c, is called the
~ ? ~ o dclamping
al ratio.
Initialconditionsaregenerallyknowninthephysicalcoordinates
rather than the modal coordinates,so it is necessary to determine the initial
conditions in the modal coordinates. Solvingfor y in terms of S from
Eq. ( 128) gives
y(0) = P"s(0) (142)
and similarly for the velocity initial conditions.
The following steps summarize the process:
1. Write the equations of motion in matrix form as in Eq. ( 137).
2. Solve the eigenvalue-eigenvectorproblem to obtain the natural
frequencies and the normalized modal matrix, P.
3. Uncouple the equationsof motion using the transformation of Eq.
( 138).
4. Obtain the forces in modal coordinates using Eq. (141).
5. Computethe initial conditions in modalcoordinates using Eq.
( 142).
6. Solve theequations in modalcoordinates.
7. Transformthesolution back to physical coordinates using Eq.
( 128).
(143)
68 Fries
= 0.14
In this example, and typically for MDOF vibrations, the mode with the
lowest natural frequency has the lowest damping ratio. For this example,
all initial conditions are zero. Figure 31 shows the responses of the three
dependent variables.
The response is dominated by the mode possessing the lowest natural
frequency, a situationthat is typical of the response of multiple-
degrees-of-freedomsystems. Because all three segments of the shaft are
identicalandthemoment is thesameinallsegments,thesteady-state
responses are
Oj(t -+ CO) = 3d1(t -+ CO) (148)
and
&(I -+ CO) = 2&(r -+ CO) (149)
A response consisting primarily of the third-mode contribution would be
expected qualitatively because the steady-state positions closely resemble
the shapeof the third mode. The modal damping is lowest in the third mode,
and the first and second modes have higher frequencies. Both conditions
tend to make thelowest frequency mode dominate the response. The initial
delay in the 81 response relative to the 0 3 response is also typical; recall
that the step moment is applied to disk 3 .
As a final note on the modal analysis of the three-disk system, con-
sidertheresponsewhenthe stepmoment is applied to disk 1. In this
case,thesteady-stateresponses of allmodes willbe identicalbecause
the moment in the second and third shafts is zero. This response is shown
Fundamentals of Vibrations 69
k6
0 10 20 30 40 50 60
in Fig. 32. When the step moment is applied to disk 1, the presence of the
higher-frequency modes is more apparent, particularly in the 01 response.
In many instances, the damping matrix is not a linear combination
of themassand stiffness matrices.Thissituation is referred toas
nonproportionaldumping. Solutionstothemodal-analysisproblemare
still obtainablewith a morecomplexprocedurethan is includedhere.
The procedure requires recasting the original n second-order differential
equations of motion into 2n first-order differential equations of motion.
Afterward, the process proceeds similarly. Interested readers are referred
to Ref. 11.
Occasionally, a system will possess repeated eigenvalues. The chances
of such an occurrence are higher in textbook examples than they are in
actualsystems.Nonetheless,theabovemethodfailswhenasystemhas
two or more identical eigenvalues. For an extension of the above method
that works for repeated eigenvalues, interested readers are again referred
to Ref. 1 1 .
70 Fries
ke
0 10 20 30 40 50 60
3.4. Harmonic
Forcing
[:l
F(ito) = Mo(ico) 0
c=2(o.ol,J,x[ -12
0 -1
-U]
solution. For the example solution, we will set
-1 2
100
10
Id 0.1
0.01
0.001
0 1 2 3
Figure 33
E
Amplitude ratio for harmonic response of three-disk system.
3.5. Stability
The stabilityof a linear single-degree-of-freedom system model can be deter-
mined by inspection of the equation of motion. If the coefficients of the
response variable and its time derivatives have the samesign, then the sys-
tem is stable. The situationis not so simple for multiple-degrees-of-freedom
systems. For an MDOF system, the equations of motion cannot be easily
inspected to determine system stability. It is particularly important when
performing harmonic response analyses, as shown in the previous section,
that the stabilityof a complex systembe determined. The harmonicanalysis
presents results that may appear be toperfectly reasonableeven for unstable
systems. As a furthercaution,manycommon mechanicalsystems can
exhibit
instability
under
certain
circumstances.
Rotatingmachinery,
automobiles, trains, aircraft wings, and bridges are well known to possess
potentials for instability.
In somecases, stability determinationis the primary, andoccasionally
the only, reason for analyzing asystem. In these situations, the performance
of a system is deemed suitable if it is stable, and theforced or free response
may never be computed. Other times, when a system exists in hardware
Fundamentals of Vibrations 73
0 1 2 3
E
Figure 34 Phase angle for harmonic response of three-disksystem.
In Eq. (157), I is the identity matrix and 0 is a matrix of zeros of the same
dimension as M , C, and K. This formulation of the eigenvalue problem
has the advantageof directly producing eigenvaluesthat can be interpreted
as response modes according to Eq. (156). For two different, but useful,
formulations of the eigenvalue problem, see Refs. 11 and 21. The charac-
teristic equation is
and the roots of the characteristic equation are the system eigenvalues.
As an example,considerthedamped, three-disk rotational system
used in theabovemodal-analysisexample.For thissystem,thematrix
equation of motion for a step moment on disk 3 can be written as
1.6 -0.8
0 0.8
-0.8
(1 59)
Computation of the eigenvalues considers only the system matrices and not
the forcing vector. Carrying out the operations indicated i n Eq. (157) to
obtain the dynamical matrix gives
-1.6 0.8
0.8 -1.6 0.8
0 -0.4
0.4 0I 1 -0.5
1 0 01 0 0 0
and
Re(sl )
il =(1)1 ( 163)
If the real part of any eigenvalue computed from the dynamical matrix of
Eq. (157) is positive, then the system is unstable. From Eq. (163), it can
be observed that any eigenvaluehaving a positivereal part would have
an associated damping ratio that is negative, meaning that energy is added
to the system rather than dissipated.
If the (3,3) element of the damping matrix for this example
is modified,
such that
1.6 -0.8
-0.8 1.6 -O.;] ( 164)
0 -0.8 0.1
Substantial insight canbe gained from the analysis of linear system models.
Furthermore, many systems operate in regimes where they are described
very well by linear system models. Nonetheless, virtually all mechanical sys-
tems have regimes of operation that cannot adequately be described by lin-
ear systemmodels.Theextremerangesofmotion,particularlylarge
motions, are likely to produce nonlinear responses. Engineering materials
yield or separate at large strains,so any system that experiencessufficiently
large displacements is subject to these nonlinear effects. For small motions,
linear viscous damping models are prone to inadequately describe energy
dissipationmechanismsbecause of stiction in contactingpartsand
strain-magnitudedependence of internaldampingcharacteristics. As a
result,analystsarefrequently facedwiththeprospects of dealingwith
nonlinear system models. A number of books are devoted to the subject
of vibration of nonlinear systems. See, for example, Ref. 22.
4.1. Linearization
from which it can be seen that the equation of motion is linear, and the
effective stiffness is equal to the slope of nonlinear function evaluated at
the equilibrium position. The linear equation can be solved by the methods
discussed earlier in this chapter.
Linearization of equations of motion of a multiple-degrees-of-freedom
system is not necessarily a trivial matter. Just solving for the equilibrium
positions of all theresponsevariables can presentsignificant difficulties
fora complexsystemwithmultiplenonlinearities.Nonlinearalgebraic
equations can have multiple solutions. Determining which solutions rep-
resent physically realistic valuescan be difficult. In addition, the equilibrium
position of a nonlinear system can be dependent on both the initial con-
ditions and the forcing function. Gelb and VanderVelde [23] have presented
systematic methods for handling the linearization of higher-order systems.
4.2. EquivalentViscousDamping
to give
(183)
where W1iis the area enclosed by the hysteresis curve, k is the average slope
of the loading and unloading portions of the curve, andX is the amplitude
of the motion. See Ref. 5 for a treatment of this case.
80 Fries
force
4.3. Numerical
Integration
and
The y ; are called stnte vcrricrh1e.s. Values of y ; describe the states of the
system, which for mechanical systems usually include the displacements
and velocities. For systems that cannot be described by Eq. (185), it is still
necessary to solve forthehighestderivatives and representthesystem
as a set of first-order differential equations in the form of Eq. (187).
Several fourth-order Runge-Kutta formulations exist. The most com-
mon [l 81 is given by
82 Fries
where
k4 = f >I.
( + Atk3, t, + A ( ) (1 92)
Equations (1 89)-( 192) must be computed in order because k , depends on the
value of k , - l . The time step, A t , should be selected small enough such that
the desired solution accuracy is achieved and large enough that the solution
time is not excessively long. Error estimation methods provide a means of
adjusting the time step during the solution process to achieve a specified
accuracy [17]. A simple and effective method of adjusting the time step
for small problems or one-time solutions is to start with a relatively large
time step and reduce it sequentially, comparing results until the responses
are the same to the desired precision, perhaps the first four or five significant
digits.
The pendulum of Fig. 6 provides a simple system for illustrating a
numerical integration solution. We will add a linear torsional damper to
the system of Fig. 6, so that the equation of motion is
( 1 93)
(195)
and
J'2 = =8
Fundamentals of Vibrations 83
180
120
l 60
e( w s )
0
-60
-120
0 10 20 30 40 50
time (S)
Equations (198) and (199) were solved using a Runge-Kutta method for
initialconditions (0) = y , ( O ) = 0 and O(O)=yz(O) = 7c - 0.01 179.4".
See Fig. 37. The nonlinear response of this system is exhibited by the slow
initial response in moving away from the 180" inverted position. In this
example,thelinearizednaturalfrequency is 1 rad/sand thelinearized
damping ratio is 0.1. The position initial condition has the pendulum in
slightly less than a vertical position. The vertical position is a metastrrhle
equilibrium position,meaningthatthependulumwouldtheoretically
remain vertical until acted upon by a disturbance, no matter how small.
In our example, the initial response is slow because the moment developed
by the mass offset from the pivot point is small.
Once the system response is below about 20, the response is virtually
indistinguishable from the response of a linear system. The natural unit
of the response angle for this and other rotational systems is the radian.
The Fig. 37 results have been plotted in degree units to moreeasily illustrate
the nearly 180" initial condition. One result of solving system equations in
84 Fries
5. VIBRATIONANALYSIS
5.1. MeasurementSystems
Figure 38 Accelerometermodel.
Fundamentals of Vibrations 85
linear
potentiometers
and
linear
variable
differential
transformers
(LVDTs).
Analysis of theaccelerometermodel yields thetransferfunction
magnitude given by Eq. (200) and the phase angle given by Eq. (201). Note
that xOut measures the motion of the seismic mass relative to the housing:
and
(201)
The formof Eq. (200) is identical to the formof Eq. (83), which describesthe
forced-frequency response of a mass, the onlydifferences being the constant
in the numerator of Eq. (200) and the input-output definitions. Equations
(201) is identical to Eq. (84). Parametriccurves of theamplituderatio
andphase angle areplotted by Figs. 15 and 16. The figuresshow that
at frequencies well below the natural frequency of the system, the displace-
ment of the seismic mass is directly proportional to the acceleration of
the base.
Whenselecting an accelerometerforaparticularmeasurement
application, an analyst should determine the highest frequency component
to be measured. Thenhe should usually select an accelerometer whose natu-
ralfrequency is severaltimeshigher thanthe highestfrequency to be
measured. Manufacturers catalogs usually contain information on both
the natural frequencies and damping ratios of their accelerometers.
Vibrations can be characterized by strains, displacements, velocities,
orotherquantities,as well as by accelerations.However,accelerations
arethemost frequentlymeasuredresponses.Analysis of a systems
vibrationresponserequiresarecord of that response.Suchrecords are
usually stored digitallythesedays,but analogrecords,paperprintouts,
and other methods still prove useful in some applications. When digital
recordings are to be made, it is critical that the measured signals possess
no significant frequency content higher than half the sampling rate, which
is calledtheNyquistfrequency [24]. Otherwise,asignalcontamination
called aliasing occurs that can render the measurements inaccurate oreven
unusable. The presence of aliasing errors is sometimes,butnotalways,
obvious in recorded data, so serious and unknowing errors canresult if this
important detail is overlooked.
86 Fries
Oe3
0.2
h
9 0.1
c
0
P
2 0.0
Q)
Q)
0
0 -0.1
([I
-0.2
-0.3 ! I
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
time (S)
5.3. VibrationResponseCharacterization
A number of quantitative measures provide useful information about the
nature of a systems vibration response. The needs and objectives of the
analysisdetermine which measuresshouldbe used tocharacterizethe
vibration.
(203)
where p is the mean value andG is the standard deviation, both ofwhich are
defined below.
The Gaussian probability density function is a theoretical function
useful in approximating the probabilitydensity functions of a large number
I I
I l
-X0 X X0
sinusoidal response variable is most likely to lie near the extreme values of
the sine wave.
Mean Value. The mean value of a variable is defined by
The mean valueis also called the expected value and is sometimes called
simply the uveruge value; however, the latter nameis ambiguous becauseaver-
age value also describes anumber of other properties of a variable.The mean
value is the first momentof the probability density functionand can be com-
puted by
(206)
Meun Square and R M S Values. The mean square value, another com-
mon metric used to describe variables, is defined by
.J -a)
For a sine wave of magnitude SO,the mean square value is 2=~ $ 2 .
The root-mean-square value (rms) is the square root of the mean
square value:
Narrow-band filter
would comprise the complete PSD.If the input signalis an acceleration, for
example, having the units of g , then the PSD has units of g'/Hz. In con-
temporary practice, PSDs are nearly always computed digitally rather than
as indicated above. The above is included to provide a qualitative descrip-
tion of the process.
PSDs are scaled several ways,a situation that can lead to errorsif care
is not taken. The usualscaling results in a relationship between the PSD and
the mean square value of a signal given by
(21 1)
where G.,(f') is the PSD of the signal S expressed in units of S squared per
hertz, and S,(to) is the PSD of the signal S expressed in units of .l-squared
per radian per second. Thus, the integral of the PSD over the entire fre-
quency range equals the mean square value of the signal. isIt good practice
to compute the mean square value of a signal being analyzed by both Eqs.
(207) and (21 1). Good agreement between values computed in two ways,
withinl'%) or so, usually gives theanalyst confidence in thevalidity of
the computations and verifies that the units are correct.
The relationship between PSDs expressed in units of hertzand radians
per second follows from Eq. (21 l ) :
(212)
From Eq. (212) it can be observed that PSDs expressedin units of hertz are
greater than PSDs expressed in radians per second by a factor of 2n.
Another frequently used form of the PSD is called the two-sided PSD
because it is defined for negative frequencies. This form of the PSD finds
use primarily in theoretical works and differs from the above PSDs by a
factor of 2. The mean squarevalue of the two-sided PSDequals the integral
of Eq. (21 1 ) with limits -CO to CO rather than the limits shown.
One of the most useful aspects of the PSD is its ability to illuminate
harmonicsignals i n thepresence of randomsignals. Even in situations
in which the random component of a signal is substantially larger than
the discrete components, PSD analysis exposes the discrete components.
The synthetic signal plotted in Fig. is43 the sumof three signals:a Gaussian
random signal with a mean square value 4ofmm2 thatis low-pass filtered at
20.5 Hz and two sine waves with mean square values of 0.5 mm', one at
2 Hz and the other at 4.8 Hz. The first I O S of the 130-S signal are shown
i n the figure. The presence of the two sine waves is by no means obvious
in the figure.
92 Fries
0 1 2 3 4 5 6 7 8 9 1 0
time (S)
lo
0 5 10 25 15 20
frequency (Hz)
Figure 44 PSD of random signal plus two sine waves.
Fundamentals of Vibrations 93
1e-2
18-3
-N
39 l
e 4
0
v)
a
1e-5
le-6
0.1 l 10 100
frequency (Hz)
REFERENCES
1. Lord Rayleigh. The Theory ofSozrrrt1. 2nd ed., Dover. New York (1945).
2. D. T. Greenwood. Principles o/D~wurtlic.s,Prentice-Hall, Englewood Cliffs, NJ
(1965).
3. D. Karnop. D. L. Margolis, and R. C. Roscnberg, Systcw Dyrltrrrlics: A U n $ d
Approtrck. 2nd ed., John Wiley & Sons, New York (1990).
4. T. R . KaneandD.A.Levinson, Dynrrmics: T / ~ c m ym1(1 App1icutiorr.s.
McGraw-Hill Book Company, New York (1985).
5. S. S. Rao, Mcdrtrnicul Cihrtrtiorrs, 3rd ed.. Addison-Wesley.Reading. M A
(1995).
6. R.D. Blcvins, Forrmrlos for. Nrrtural A c y u e n c i c ~ sclr~tl Mode Shlrpes. Van
Nostrand Rcinhold. New York (1979).
7. R. F. Steidel, Jr..An 111trod11ctiorrt o Mechrrrlicul Vihrrrtiorrs. 3rd ed.. JohnWiley
& Sons. New York (1989).
X. J. A. Aseltine, Trun.Sforrrr Methocls irl Lirrcwr Sy.stcw~Amr1y.si.s. McGraw-Hill
Book Company. New York (1958).
9. E. 0. Deobelin, M e r ~ . s ~ ~ r ~ Systrws,
w ~ e ~ r t Applictrtiorr r r ~ l d Drsigrr. 3rded.,
McCraw-Hill Book Company, New York (1983).
10. C. R. Wylie. Jr., A d ~ ~ a r r cDrgineerirlg
~tl Mntlrrrtlcrtics, 2nd ed.. McCraw-Hill
Book Company. New York (1966).
1 1 . L. Meirovitch, Ar~rr!,~tieulMcthotl.r irr Vihrtrtions. Macmillan, New York (1967).
12. A. L. KimballandD. E. Lovell, Internalfriction in solids. PIIJ~S.Rev..
30:948-959 ( 1927).
13 R. H. ScanIan and A. Mendelson, Structural damping. A I A A J., 1:938-939
(1963).
Fundamentals of Vibrations 95
Paul B. Talbert
Honeywell Engines and Systems, Phoenix, Arizona
1. INTRODUCTION
A rotatingcomponentintroduces severaluniquecharacteristics to a
machines dynamic response:
1. Unbalanced centrifugal forces result in net mass unbalance exci-
tation forces rotating synchronously with the rotor.
2. The system response to the rotating excitation forces is a whirling
motion instead of a planar vibration.
3. A resonance occurs as the rotational speed traverses a natural fre-
quency of the rotor-bearing system.
4. The system natural frequencies arefunctions of therotational
speed due to the gyroscopic action of the rotating components.
This chapter explains these basic characteristics using simple linear
models. Specific rotordynamics phenomena studied in recent years utilize
these same basic characteristics modified to include nonlinear, asymmetric,
orspeed-dependent effects. Discussion of theseadvancedconcepts is
beyond the scope of this chapter. Table 1 lists several excellent books dedi-
cated to the field of rotordynamics. Ehrichs Hundhook of Rotordynumics,
whichincludes contributionsfrommany of therecognizedexpertsin
rotordynamics, has been of great use to this particular author.
2. UNBALANCERESPONSEANDTHECRITICALSPEED
97
98 Talbert
Date
Title Author published
-
1 Bearing center
-
2 Geometric centerof shaft
-
3 Mass center of rotating assembly
-KU - C U = MR,,,
- +
K ( V i W k )- C( k7 + W k ) = M [ (ii - e,,,Q cosQt$
+(W - c,,,~sin~ t ) i ]
-. -
Separating Eq.(3) intoj andk components yields the equationsof motion in
the Y and Z directions:
MV + Cp + KV = Mp,,,Q2c~sQ/ (4)
M W + c W + K W = M C , , sin
, ~ ~nt (5)
Focusing
on
Eq.
(4). it is convenient to utilize Eulers formula.
100 Talbert
e =cos S + i sin x, and represent the harmonic excitation as the real part
of the complex vector:
M + C + K V = Re(Me,,,Qeinr) (6)
(-Q + iQC + K ) A P = M ~ , ~ , Q ~ P ~ ~ ~
Solving for the steady-state complex response,
MelIlQ2
A=
( K - Q) + ;QC
Dividing by the mass and substituting the expressions for the undamped
natural frequency W,, = m <
and damping ratio = C/2MtoI,,
These expressions for the whirl magnitude and phase angle could also be
developed by assuming a steady-stateharmonic response W = AdQr in
the Z directionandsubstitutinginto Eq. ( 5 ) . The vector sum of the V
and W displacements over time is thus a circular whirling motion in the
direction of rotation.
Figure 2 shows the magnitude of the whirl as a functionof speed. Two
speed conditions are of particular interest:
1. At Q ~ o , ~the , frequency of the unbalance force coincides with the
natural frequency. This creates the maximum dynamic amplifi-
cation withthemagnitudedependent on thedampingratio
~ A ~ / e%l l 1/71.
, This is defined as the primary criticd speed of
the rotor-bearing system because the resonance was self-generated
by the mass unbalance of the rotor.
Dynamics of Rotating Machinery 101
Figure 2 Normalized unbalance response amplitude for the symmetrical rigid rotor.
180
135 .~~
90. l .
~..
45
<=O.lO
l
O L ~~ . ~~ ,~ ~. ~ " .3 ~~
uu 1 3
excitation force while the stiffness and damping forces from the bearings
remain low astherotor spins about its
mass
center.
Acommon
misconceptionaboutrotating machinery is thatthebearingloadsand
vibration increase linearly with the mass unbalance force, ML',,,!~~&''. As
shown in Fig. 4, the bearing forces increase with spin speed squared only
at low speeds below the critical speed.
3. GYROSCOPIC
EFFECTS
A spinning body has angular momentum in the spin direction equal to the
product of its mass moment of inertia and the angular velocity about its
spin axis. An external coupleis required to change the directionof the angu-
larmomentum.This resistance toachange in thedirection of angular
momentum is usually called the gyroscopic action or effect.
Gyroscopic effects canstrongly influence thecriticalspeeds of a
rotating shaft-disk assembly. If the whirling motion of a rotor is not purely
cylindrical, the direction of the rotor's angular momentum is continuously
changing. Forces at the bearing supports provide the couple, M y required
to change the rotor's angular momentum. For a steadyprecession of a disk
+
in which the precession,r, and spin.0, axes are ata right angle, as shownin
3
Fig. 5 , the required external coupleis about anaxis perpendicular to the spin
axis:
104 Talbert
Note that the external couple from the bearing supports is in the same direc-
tion as the change in rotors angular momentum.
In order to understand the gyroscopic effect on critical speeds, con-
siderthe rotor-bearing systemshowninFig. 6 with the following
assumptions:
1. A disk is attached to a massless, rigid shaft at distances (11 and U?
from the two bearing supports.
2. The stiffness at the bearing supports is equal in the Y and Z direc-
tions and there is no cross-coupling.
3. The rotational speed Q is constant.
In Fig. 6, the whirling motion is shown at an instantwhen the rotor is
in the X- Y plane. The disk displacement V in the Y direction and rotation
r in the Z direction are small compared to the axial length of the rotor;
hence,small-angleassumption can be used to simplify the equations of
motion.
Applying Newtons second principle for forces in the Y direction,
CF= M V
(9)
-(V-u,tanT)KI-(V+u2tanr)K2=MV
Applying Newtons second principle for moments in the Z direction about
the disk center,
c MZ = z,r
(10)
( V - a l tan r)alK,
-(V + u2 tan I-)QK~+ I p Q j =
Machinery
Dynamics of Rotating 105
Assuming the displacementsat the bearings are small compared to the rotor
length, rearrangement of Eqs. (9) and (10)yields the equationsof motion for
the rigid rotor:
M V +( K +
~ K,) v + ( n , ~ z- ~1~ K~)r = o 1)
(1
=-Bsine)
Solving Eq. (13) for A and substituting into Eq.(14) results in the following
characteristic equation for ( O i i ) :
(15)
The square rootsof the two solutionsof Eq. (15) for (Oil.) are defined as the
whirl speeds, (01 and Q,. The criticalspeeds of this rotorsystem are thewhirl
speeds for l. = 1.O.
For each whirl speed, there is a corresponding mode shape specifying
the relative values of the systems degrees of freedom. The relative mode
shape associated with each natural frequency can be determined by solving
Eq. (13) for B and assuming a value for A:
Mpdht
A-
B - 1.ooO
0.048
I
I 0.0 20 40 txo ao 10.0
L4.5
l
m -1o.m lo.m 20,m 3 m
Spin speed, rpm
Figure 8 Whirl speed map for the example nonsymmetrical rigid rotor.
natural frequency of this system has both ends of the rotor displacedin the
same direction. Thesecond natural frequency has an associated mode shape
with the ends of the rotor displaced in opposite directions. These two mode
shapescan switch orderforvariouscombinations ofinertiaproperties
and/or axiallocations,butone will alwayshaveacenterlinecrossing
and the other does not. Gyroscopiceffects are usually significant on which-
ever mode has the largest rotation, I-. If Eq. ( 1 5) is also solved for various
whirl ratios,a whirlspeed map can be constructedasshown in Fig. 8.
Thenaturalfrequency is usuallyreferred to as the whirlspeedwhen it
is not synchronous with the spin speed. Note that for this example system,
the whirl speed ofthe second mode doubles for a synchronous whirl ( i = 1 .O)
versus a nonspinning rotor (l.=O.O). The gyroscopic effect can be so large
that the whirl speed never crosses the l.= 1 .O line; thus, there would be
no second critical speed of the rotor-bearing system.
4. FLEXIBLEROTATINGASSEMBLIES
Models in the preceding sections assumed the rotating assembly was rigid
and that motion was due to flexibility at the bearing supports. In general,
108 Talbert
bution produces a response 10 times greater at the third critical speed. Note
that the response has no contribution from the second critical speed for
either case because theselected unbalance distributions produce a zeroexci-
tation force for this mode.
Dynamics of Rotating Machinery 111
Figure 11 Response of the examplc flexible rotating assembly for two unbalance dis-
tributions.
5. BALANCING
Figure 12 Relationship between the reference timing mark and the response meas-
urement signals.
process.Figure 12 showstherelationshipbetweenthereferencetiming
mark and the peak in theresponsesignalbefore and after the addition
of a balance weight.
The simplestbalancingprocedureisthesingle-plane, single-speed
influence coefficient method in which theresponse is assumed to vary
linearly with the unbalance force:
=H
where c(") is the unbalance vector for condition n, &") is the response
vector,
and H is the influence coefficient representing the
linear
rotor-bearing system. The "hat" symbol above U and R parameters signify
that these are rotating vectors which can be expressed as an amplitude
and phase angle at any specific point in time. The influence coefficient is
not a rotating vector, but itis a complex quantity also having an amplitude
and phase angle. Its phase angle represents the phase lag of the response
vector relative to the unbalance vector as previously shown for the sym-
metrical rigid rotor example in Fig. 3.
In thesingle-plane, single-speed influence coefficient method, thebase-
line response associated with the original unbalance condition, U('), is first
measured at the desired balance speed. A trial unbalance weight is then
added at a known angular location and response the is measuredat the same
Machinery
Dynamics of Rotating 113
speed. This provides two equations to solve for the two unknowns H and
U O ) , namely
$1) - $0,
H=
U ( ' ,- CC0)
L.
and
where the subscripts denote the tworesponse and two balance planes which
do not have to be at the sameaxial locations. For a two-plane, single-speed
influence coefficient balance,thereare six unknowns: H I I , H I ? , H21,
Hz2, cy), c\').
and The baselineresponseassociatedwiththeoriginal
unbalance condition is first measured at the desired balance speed. A trial
unbalance weight is then added at a known angular location to one plane
and the response is measured at the same speed. A second trial unbalance
weight is thenadded at aknownangularlocationtothe secondplane
and the response is measured at the same speed. This providessix equations
to solve for the six unknowns.
If gyroscopic effects do not strongly affect the rotor-bearing system, a
multiplane multispeed influence coefficient balance may effectively reduce
synchronousresponseoveranextendedspeedrange. For thisprocess,
the number of unbalance and response planes d o not have to be equal.
Response measurements are obtained with a trial unbalance added in turn
at each of the balance planes. However, the number of response planes must
be greater than or equal to the number of balance planes. Solving the result-
ing equations in a weighted least-squaremanner allows more emphasisto be
placed on one or more specific operating speed.
114 Talbert
BIBLIOGRAPHY
1. INTRODUCTION
115
116 Brown
2. HYDRODYNAMIC
BEARINGS
Figure 1 Journalbearinggeometry
S($)'= (1 - n2)?
nn[1 6n2 + n2(1 - n')]'.
where
p N L D R'
S=--
W C'
The equilibrium eccentricity is at an angle to the load line. This attitude
angle is also a function of the eccentricity ratio:
Using the approximate formulas for the stiffness and damping coefficients,
8QW
i2Q
W W "~
nwC
(6)
4W-i8QW i2Q W
nwC
"
nC
MQ2 +
For a rigid rotor, the load W = M g , and dividing by Mto', the equations
become
(;) =o
120 Brown
12
10 - r
Tilted 3 Lobe I
I
I
Y l
8 - \ l
\ I
\
/ Bearing
Short
6 - . x - / '
- - - - a
4 - - a - -
a
Lemon
0 2 Lobe
0 0 0 0 - 0 0
2-
l , l , l , l , l , ~ , , , , , , ,
0'
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 .o
Eccentricity Ratlo
CR I TICAL
SPEED
CPIl
Figure 3
t
I
l
0 S
LOG (Total Support Stiffness) N/m
l 2000
10000
t 0
KYY 0
0 0
2nd Critlcal
8000
0
ge"
0
0 0
6000 0 0
0 e
Kxx
4000
10000 I 1
9000 1
8000 -
-
.-c 7000
\
V
c
E
.0
-
Ad
n
p
.-
6000 -
5000
4000
-
-
1 1st Mode
> 3000 -
1000 I ,
o L ' " ' ' " ' " ' ' " " ' " I
0 2000 4000 6000 8000 l0000 12000 14000 16000 18000 20000
RotationalSpeedr/rnin
The rotor assembly also needs to be examined for stability. The bear-
ing coefficients have to be added to theelastic model for therotor toevaluate
the complex eigenvalues for free vibration. If any of these eigenvalues are
negatively damped (i.e., the real part is positive), then the systemis unstable.
The natural frequencies of the example system are shown in Fig. 6, which
showsthevibrationoftheunstablemodesplottedagainst rotor speed.
It is clear that the instabilities are initially at half rotorspeed. As the
bearings are lightly loaded, this result is not unexpected.
At higher speeds, the unstable mode frequency ratios reduce as the
system approaches its natural frequencies. In simpler cases, the final result
would be a fixed subsynchronouseigenvalue,classicallytermedarotor
whip.
In
this
example,
the natural frequency varies
due to the
speed-dependent stiffness of the bearing oil films.
The above-discussed example was deliberately designed to emphasize
the effects of an oil film on response and stability. In industrial practice,
there are many different hydrodynamic bearing designs which are more
stable than the short circular bearing used here. The stability of two of
themorecommonnoncircular profiles hasalready been demonstrated
124 Brown
3. ANNULARSEALSANDBLADE TIPFORCES
K --P S
- pDH
('
126 Brown
1
20.0 40.0 80.0 60.0 100.0
FREQUENCY Hz
1
20.0 40.0 60.0 80.0 100.0
FREQUENCY Hz
4.00 plain
plain
a
S
3
4 3.70
plain
2 0.05 5 mm
holes
cG
S
W
4 mm
holes
>
3.25 3 mm
""""""----- _ _ L _ _ _ _ _ - _ _ _ _ -
hole:
0
50.0 60.0 70.0 80.0
ROTATIONALFREQUENCY Hz
UNACCEPTABLE
I
1 2 3 4
CRITICAL SPEED RATIO, N / N C R
where z is the stage torque. D is the average pitch diameter of the turbine
blades, H is the average height, and p is a coefficient ranging from 1 for
impulse turbines to 5 for highly reactive stages.
Wachel and Nimitz [6] published an empirical formula for aerody-
namic cross-stiffness in centrifugal compressors:
where P is the power (inkW), Molis the molecularweight of the gas,D is the
impeller diameter (in m), /I is the restrictive dimension in the flow path (in
m),.f'is the speed (in Hz), p~ is the density of the fluid at discharge conditions
(in kg/m'), and is the density of the fluid at suction conditions (in kg/m').
In practical designs it has long been realized that there is an oper-
ational boundary for centrifugal compressors that reduces the probability
of subsynchronous vibration. This boundary is a function of the ratio of
critical speed to compressor load. A typical example is shown in Fig. 12
based on work published by Kirk and Donald [7]. A number of unsatisfac-
Effect of BearingslSeals
ResponselStability
Rotoron 129
3.1. AnnularSealTheory
As a starting point, Black [S] neglected shaft rotation and used a bulk flow
formulation of the continuityand
momentum equations
for pre-
ssure-induced incompressible flow between two flat plates. The plates were
separated by a time-dependent gap heightto obtain the pressure distribution
equation. The boundary conditions were a pressure drop at the entrance to
thegapdueto Bernoulli effect andapressure drop Ap alongthe seal
duetofriction. Black arguedthattheanalysisalsoappliesto a nearly
centered shaft undergoing a small motion about a concentric position within
a seal and integrated the pressure distributions over the shaft surface to
obtaina linearizedforce in terms of shaftdisplacement, velocity, and
acceleration. Black also argued that theresults could be applied to the more
general caseof a shaft rotating with speed R, in that if the motions areviewed
in a reference frame O.yvrotating athalf speed, a purely axial flow is seen. He
assumed fully developed Couette flow in the circumferential direction and
used a half-shaft speed rotating frame and a transformationback to a fixed
reference frame to obtain the fluid reaction forces on the shaft:
130 Brown
"
l
O l l 3 4 % 5
Wn
Figure 15 Geometry of radial grooves in the inlet faceof a balance drum. (AfterRef.
IS.)
0.8
0.6
0.4
0.2
t
Flow coefficient CQ=Q/nR2h
Figure 16 Experimental swirl reduction with radial grooves.
b/R=0.032
-
-
....a......
withdut goover ;R.=6150
1.5 mm dwp goovea ;R.4950
3.0 mm deep goovsr; R.4850
5 -
0
0 1250 2500 3750 5000
Rotational Reynolds numberRoo
Figure 18 An example of directstiffness-theory and experiment. (From Ref. 11.)
.....................................................................
- - - l l
-Blacks theory
Current
theories
tend
overestimate
to direct damping and
cross-stiffnessbut to underestimatedirect stiffness forlong seals. Two
examples of these measurements are shown in Figs. 18 and 19, taken from
Ref. 11. Other data has been presented at the 5th and 6th. Vibrations in
Rotating Machinery Conferences organized by the Institution of Mechan-
ical Engineers [ 19.201.
Vibrations in RotatingMachineryInternationalConferences,IMechE,
United Kingdom:
IMechE Headquarters, London, February 1972
Cambridge University, September 1976
Cambridge University, September 1980
University of York, September 1984
Heriot- Watt University, Edinburgh, September 1988
University of Bath, September 1992
Oxford University, September 1996
International Conferences on Rotordynamics, International Federation for
the Theory of Machines and Mechanisms (IFToMM):
Rome, October 1982
Tokyo, September 1986
Lyon, France, September 1990
Chicago, September 1994
Darmstadt, Germany, September 1988
NASA-sponsored workshops on rotor instability, organized by Professor
Childs at Texas A&M University:
May 1980, published as NASA C P 2133
May 1982, published as NASA CP 2250
May 1984, published as NASA CP 2338
May 1985, published as NASA CP 2409
May 1986, published as NASA CP 2443
May 1988, published as NASA CP 3026
May 1990, published as NASA CP 3122
May 1993, published as NASA CP 3239
May 1996, published as NASA CP 3344
136 Brown
These are obtained by solving Eq. (1) for small perturbations of displace-
ment and velocity assuming a linear variation with these small changes.
The coefficients are nondimensionalized by a nominal stiffness W I C and
a nominal damping W I C o and in this form are functions of the bearing
eccentricity ratio n. Thus,
CK,,
-
4[n2(2- n)+ 16n]
W D
CK,,,.
.. - -
+
4[~1(1- n 2 ) ( 1 2n2)+ 32n( 1 + n)]
W D(l - n)
CK,,, -
-
TI
1[ .-16n4]
- n)2 (
W D n m
WCB.~,,
- h-[&( 1 + 2n) - 16n2]
-
W Dn
-
- -8[n2( 1
O C B , ~- wCB,~,
. - + h)- 16nI
W W D
where
D = [TI(1 - n2) + 16n]3
Now, when the eccentricity ratio n is small. the stiffness anddamping
coefficients can be approximated to
8W l 4w 1
K IS --,
- K,,,. = - K.vy = ,; and = --
TIC .. ne* n
Effect of BearingslSeals on Rotor ResponselStability 137
ACKNOWLEDGMENTS
I readily admit to any errors and omissions in this chapter due to my own
inadequacy. However, there are a number of individuals who deserve rec-
ognition for their contribution to my understanding.
First and foremost, Henry Black, who I had the privilege of working
with from 1968 to 1980. Some ofhis research students were also very helpful,
notably Dag Jenssen, Mike Walton, Jim Murray, and Sue Nuttall (now
Milne). My own research students who contributed in no small way were
Salman Leong, John Hart, and Shaouki Ismail.
Dave France of Weir Pumps has long been a collaborator and valued
friend.Myparticularthanksareextended to ProfessorPaulAllaire of
theUniversityofVirginiaandProfessor Dara ChildsofTexas A&M
University for typical American friendship and hospitality.
REFERENCES
Marian Wiercigroch
Aberdeen University, Aberdeen, Scotland
1. INTRODUCTION
The dynamic interactions between the cutting tool and theworkpiece affect
directly both the quality and productivityof the metal cutting, andthis can
also cause an uncontrolled rise of vibration in the system. Although the
conditionsforinstabilities in somecases can be satisfactoryexplained
by linear dynamics, the overall interactionsbetween the machine tool (MT)
andthecutting process (CP) have to bestudiedasnonlinear.As an
example of such behavior,the self-excited oscillations(chatter)may be
given. Despite of the fact that there have been several theories put forward
to explain them, no sufficient agreement between different investigators has
been reached yet (e.g. Refs 1-3). It is believed that the reason for these
divergences is duetotheapproach, which treatsthedynamics of the
machinetoolandcutting processseparately.Thesimplestcase, which
questions the validity of this assumption, is the intermittent cutting process
[4]. Fundamentally, there are two different kinds of chatter; the primary
chatter and the secondary chatter. The primary chatteris caused primarily
by the frictional effects of the chip acting on the rake surfacewhere, due to
arelative motion between the workpiece andtool,a difference exists
between static and dynamic frictions. The secondary chatter is predomi-
nantly an outcome of the regenerative effect where the workpiece profile
from the previous pass has some similarity to the profile of the next pass
PI.
139
140 Wiercigroch
2. LITERATURE REVIEW
Literature search shows that dynamics of machine tools and cutting pro-
cesses have been studied most extensively in the mid-forties by Merchant
[6,7], and later in the fifties and sixties by Russians. The fundamental work
done by Zorev [S] and Kudinov [g, 101 would be a good example of those
investigations, where the dynamics characteristics of the cutting process
play the key role in the system stability. Although this research line is still
active, bringing continuously new models (e.g., Ref. 1l ) , due to the funda-
mentalassumptionsmade,stability is mostlydependingonthecutting
process. Contrary tothis line, a significant bodyof research has been carried
out,assumingthemachinetoolstructure is mainlyresponsible forthe
dynamical effects (e.g., Ref. 12).
Although the primary chatter has been observed widely for many years
[ 1,12,13], it was first numerically investigated by Grabec [ 141. Another com-
mon characteristic which can be given here is an existence of the stick-slip
phenomena in themachinetoolslideways,whichhasagreatinfluence
on the dynamics of the cutting process. This was studied in a great detail
by Rabinowicz [l 51 and Bell and Burdekin [16]. Summarizing, one may
stress the inadequacy of the separate investigations into the machine tool
and the cutting process from a nonlinear analysis point of view.
Recent investigations into nonlinear dynamics show the existence and
theimportance of chaoticmotion, which occursinmanypractical
applications. There have been many publications on chaos, including some
textbooks (e.g., Ref.17); however, theyare mostly dedicated to the continu-
ous problems. Although some discontinuous systems have been analyzed
(e.g., a piecewise oscillator [18], impact systems [19,20], rotor systems with
clearances [ l ! ] ] ) very
, few investigations have addressed the dynamics of
the cutting processes. Preliminary theoretical works carried out by Grabec
[l41and Wiercigroch [22,23] haveshownsomeevidence of chaotic
vibrations, which are mainly due to the nonlinearity of the cutting force
and the intermittent contact between a cutting tool and a workpiece. Also,
the recent experimental studies conducted by Wiercigroch and Foong dem-
onstrate some symptoms of chaotic motion [24].
The main goal of this chapter is to present and exploresimple models
which describe the dynamic interactions in the uncoupled MT-CP system
in a comprehensivemanner.An extensiveanalysis of a wide spectrum
of dynamicresponses such as periodic,quasiperiodic,subharmonicand
superharmonic,andchaoticmotion willbe given. Modernnonlinear
dynamic analysis techniques, such as the construction of bifurcation dia-
gramsandPoincaremaps, will be employed to ascertainaqualityof
motion. A broadprogram of numericalsimulation willbe carriedout
Dynamics
Nonlinear of Process
Tool-Cutting 141
3. DETERMINISTIC MODEL
fo
Other Processes 4
I f oneconsidersamachinetool as an n-degree-of-freedomsystem
and expresses explicitly the cutting force, Eq. ( I ) takes the following form
[95]:
mx + c(x)x + k(x)x = fcu,(x.x ) - t(x) (2)
where m, c( ), and k( ) are mass, viscous damping, and stiffness matrices,
respectively; x, x, and x are generalizeddisplacement,velocity,andac-
celeration,
respectively, feu,( ) is thecuttingforce,and t( ) is the
dry-frictionforce.
A practical example of such system is a rough hole-boring processon a
horizontal boring machine[25],where the geometric accuracyof the process
is achieved via kinematic coordination of the rotation of the spindle and the
axial (horizontal) motion of the cross-table. In Fig. 2, a dynamic model of
the above-described system is shown, where the cutting force is generated
when the spindle rotates with rotational velocity W . The spindle is housed
in the headstockby a system of high-precision and heavy-dutyroll bearings.
The workpiece is mounted to thecross-table, which moves towardthe
spindle during the hole-boring process.
As can be seen, the process is highly nonlinear and also parametric,
as some parametersarevarying withtime(e.g., the overallspindle
stiffhess). Thecutting force
generated
here is proportional
tothe
cross-section area of thelayerbeing cut.Thisareacan becalculated
knowingthechange of thegeometricvector, Ag, which,in turn,can
be foundfromtheformula [27]
Ag = @X + Agi,, (3)
where @ is the transformation matrix and Agi,, is the dynamic change of
theinputvector.Thus,an expression forthedynamiccuttingforce
canbewritten
f,,,, = w(g)Ag + h(i)Ai (4)
where w(g) is the processamplificationmatrixand h(g) is thedamping
effect in the cutting process matrix.
One of themostessentialtasks in nonlineardynamic analysis is
thenumericalintegration of theequations of motion, especially if
the
consideredsystem has
motion-dependentdiscontinuities,
where
any imprecision can generate false solutions. As far as accuracy is con-
cerned,thecollocationmethodsareregardedasone of the best [26];
however, these methods require tlw restart (i.e., calculation of the accel-
eration vector at each time step). If the vector of external force is given
explicitly. therestart is straightforward. In our case.theright-hand
side of Eq. ( 2 ) hasthecuttinganddry-friction force;therefore,some
Dynamics
Nonlinear of Process
Tool-Cutting 143
= nI1
/=l
/t,
cia, H , , / ( X k ) ( i = I . 2 , 3; I E l?; I 5 k 5 l?) (9)
Nonlinear Dynamics of Tool-Cutting Process 145
Figure 3 MT-CP system: (a) physical model. (b) chip geometry. (c) former form of
f, and (d) new form off, as a function of the relative velocity Y,..
The cutting parameters ct, are functions of the system's displacement and
velocity, which can be written as
M, = g(x. X). (10)
It was demonstrated by Jiulian et al. [ l l ]that the instantaneous separation
of the cutting tool from the workpiece, namely a discontinuous process,
has a great influence onthenonlinearsystemdynamics.Therefore,our
model of the machine tool-cutting process system will take into account
thefeedbackcontrolloopthrough feu,( ) and thediscontinuityofthe
process. To concentrate on the nonlinear dynamics issues,asimple but
realisticmodelof theMT-CP system will be considered.Theelastic,
146 Wiercigroch
dissipative, and inertial properties of the machine tool structure, tool, and
the workpiece are represented by a planar oscillator, which is excited by
the cutting force components* .fy and f,. (see Fig. 3a). It is assumed that
the relationship between the cutting forces and the chip geometry, namely
the cutting process characteristics, is captured by orthogonal machining,
where the cutting edge is parallel to the workpiece and normal to the cutting
direction, as depicted in Fig. 3b. In our case, the cutting parameters, a,
should be understood as the depth of the cut, / I , and the relative velocity,
v,.. Due to the vibration in the x direction, the relative velocity v, can cross
the zero-value point; therefore, static and dynamic friction occurs. Thus,
the cutting process characteristics as a function of the relative velocity can-
not be expresseddirectly by formula (9); therefore,onecanpostulate
the following relationships:
relationship between the cutting force f:. and chip velocity is graphically
presented in Fig. 3c, where for v,. < 0 the excitation force is equal to zero.
In reality, this force never disappears, as there is always a considerable
friction force due to the compression force in the vertical spring. To make
this approach more realistic, a Coulomb friction force acting in the x direc-
tion for thev,. -=0 cases needs to be added. On the other hand, Eq. (6) should
still be valid to predict the total force f;. for the v,. 2 0 cases. A modified
formula, which satisfies the above-listed conditions, is written as follows
and is presented graphically in Fig. 3d:
where
where
148 Wiercigroch
To solve Eq. 19, the corresponding initial condition was specified, x(0) = 0,
where x = [ S , , S?, x 3 , x4]7.
The expressions for the cutting forces [Eqs. (14) and ( 1 6)] have five
different discontinuities, which can be labeled as one of two groups; either
to the continuous discontinuity (unsmooth function), DiscC, or discontinu-
ous discontinuity, DiscD. This classification was used to design a precise
integrationscheme, which is based onthefourth-orderRunge-Kutta
algorithm. The discontinuity DiscC is a product of a linear function and
Heaviside function, whereas DiscD is a straightforward sign function (see
Fig. 4).
As the analyzed system is nonlinear and can exhibit a broad variety of
motion, it was essential to provide a high-accuracy integration routine. Each
time discontinuity occurs, the precise value of time has to be calculated in
order to provide the correct initial conditions for the next integration step.
A standard zero finder algorithm cannot be used effectively in this case;
therefore, the computations were conducted using the method developed
by the author, for which a flow chart is presented in Fig. 5, and willbe
discussed briefly. For a given set of parametersandinitialconditions,
the numerical integration is carried outusing the fourth-order Runge-Kutta
procedure with a fixed time step, AT = 0.001 until a discontinuityis detected.
Then, based on the type of discontinuity recognized, the precise value of
time, t*, is calculated,either by an inverse interpolation or a bisection
routine. The authorsexperience with the monitoringof the computersimu-
lation indicates that thebisection routine is used more than 60% of the total
computing time, when the discontinuities are determined.
Dynamic responses of the system may be portrayed by the family of
the characteristics depicted in Fig. 6, where the system nonperiodicity in
Nonlinear Dynamics of Tool-Cutting Process 149
x om x om
04 -
-x 00-
0 4-
om
analysis, only the two-parameter vector, p* = [(, qo]', was chosen, where
(,v = (! = 4. The results presented here were obtained by fixing the values
of the following parameters: / L O , = 0.1, cl = 0.3, c2 = 0.7, c3 = 1.5, c3 = 1.2,
h 0 = 0.5, R0 = 2.2, and 1'0 = 0.5. Figures 7 and 8 show an influence of the
cutting force modules, 4 0 , on system dynamics in the x and y directions,
respectively. For the stiffness ratio CI equal to 0.25 and 40 up to 1.6, the
system is irregular. By increasingthevalue of 40 above1.6,thesystem
regains its periodicity. More careful investigations of the above-mentioned
region of 40 demonstrates an interesting scenario of a transition between
different types of motionwith an increase of the branching parametervalue.
The system responses are irregular for lower values of 40; however, higher
irregularities are better pronounced for the J J direction. If a value of the
branchingparameter is between0.36 and0.43,the systemexperiences
period 3. After the first periodic region, a catastrophic transition to an
irregular motion is observed, which lasts until 40 is approximately equal
to 1.O. Then, the system gradually approaches stable vibrationswith period
1 passingthroughnarrow windoivs of' irregulur motion. Summarizing,
for cc=O.25, the system dynamics undergoes vast changes. Setting up the
152 Wiercigroch
stiffness ratio (Y equal to 1 and 16, the system dynamics is completely dif-
ferent (see Figs. 7b, 8b, 7d, and 8d). For almost the entire range of the
cutting force modulus, the system oscillates either periodically (see Figs.
7b and 8b) or almostperiodically (see Figs. 7b and 8d),excluding the lower
values of 40, where some transient irregular motion occurs. The bifurcation
diagramsconstructedfor c( = 4 show another example of an unusual
behavior (i.e., unidirectional bifurcation). The system bifurcates in the x
direction and is stable in the y direction for 40 between n 0.24 and 0.54,
despite of the fact that the equations of motions are coupled. There is also
a shtft of the critical point for the x and y directions.
For the x direction, the system starts with two bifurcation period sf
doubling types and then vibrates chaotically. For the J' direction, the system
oscillates with period 4 after crossing the critical value and then becomes
chaotic. The bifurcation diagrams depicted in Fig. 7 provide useful infor-
mation from a practical standpoint; that is, for c( = 0.25 and CI = 1.O, the
system, after regaining periodicity, decreases its vibration amplitude with
an increase of the cutting force. This fact can be used in the design and
control of the process. For c( = 16, the system responses are consistent with
Dynamics
Nonlinear of Process
Tool-Cutting 153
than 0.26, the results coincide with the linear vibration theory prediction;
that is, a higher damping ratio stabilizes the system responses. When this
criticalvalueispassed,thesystemvibratesperiodically in boththe x
and y directions until a fascinating phenomenon is detected (i.e., the dmths
and births of periodicsolutions,arethedampingratioincreases).This
can be understood as follows: The system is asymptotically stable in the
finite intervals and oscillates periodically for a finite number of discrete
values of the branching parameter. This curiosity occurs for both directions.
Any categorical statement about the existence of chaos in the system
requires a consistency between the proofs obtained from different quality
of motion detecting techniques. Constructing a Poincark map is helpful
to assess and classify the dynamic system responses for twodiffering values
of thebranchingparameter(e.g.,module of thecutting force 40). For
instance, considering two cross sections of the bifurcation diagram depicted
in Fig. 7a at qo = 1.O and qo = 1.25, the chaotic motion is forecasted for the
first case. Nevertheless, the system responses unveiled to be subharmonic
for both values of the branching parameter (see Fig. 10). The suspected
chaotic motion for40 = 1 .O is, in fact, period l 1 and the other oneis period
4. However, one can recognize some signs of chaotic motion from the pre-
sentedPoincaresections(i.e.,theperiodicorbitsareaccompanied by
clouds of irregular points). This may be explained by the existence of
trunsiel~tchuotic motion, which usually dies out in the long term.
As far as the dynamicsof the cutting processis concerned, it would be
interesting and beneficial to observe trajectories of the cutting edge for the
above-analyzed cases of different forms of motion. Moreover,it would help
to view the obtained results through different hypothesis of the self-excited
vibration. Because theanalyzed system canproduce complexbehavior
(including chaotic) and for the practical reason outlined earlier, one con-
structsPoincaremaps of thetrajectoriesinstead of thetrajectories
themselves. This is more convenient in most cases, as a replacement of a
trajectory by its Poincare section can simplify the process of the systems
response recognition. Figure 11 shows two topologies of the Poincare maps
obtained for the same values of parameters as Fig. 10 was constructed.
The presented maps do not correlate fully withany of the self-excited
vibrationhypothesis;however,somesimilaritieswiththefallingfriction
force hypothesis can be recognized from Fig. 11.
4. STOCHASTIC MODEL
-1.01
-2.0L L L . J "
-2.0 -1.0 0.0 1.o 1 0
X
Dynamics
Nonlinear of Process
Tool-Cutting 157
has been made, the models used are deterministic, using average values of
the cutting material coefficients, without taking into account the stochastic
issues. Inparticular,therandomness of thecutting resistance is worth
examining because of the varying grain size of the workpiece.
Chip irregularities areinfluenced by an inhomogeneity of the material
being cut, which leads to a random cutting resistance. A rigorous mathemat-
ical treatment of the plastic deformation for inhomogeneous material is a
complex issue and, so far, nosolid foundation has not been laid in this area.
As a consequence, a simple and pragmatic approach is used to model the
cutting resistance. The cutting resistance can be expressed as a function
of the cutting tool trajectory
('(F) = c(x, .l'. z ) (70)
where v ( [ ) = (S( l ) , y ( t ) , ~ ( 1 ) is
) a parametric function of time. It is expected
that the material inhomogeneity is a stationary Gaussian process. Hence,
it is reasonable to assume that the variation of the cutting resistance is
also stationary
a Gaussian process. In
general,
this process is a
three-dimensional one. However, in this chapter, we consider the cutting
resistance asaone-dimensional process, which is areasonableapproxi-
mation for orthogonal cutting.
It is assumed that the cutting resistance has been normalized by its
mean; hence, the mean is equal to 1:
(72)
0.3
0.2
0.1
A 0.0
C
-0.1
-0.2
-0.3 -
I I 1 I
-0.4
0 2 4 6 a 10
A.
Figure 12 Stochastic specific cutting resistancc for (a) i.= 1 (dashed line) and (b)
i.= 5 (solid line) and their corresponding spectral density functions.
Dynamics
Nonlinear of Process
Tool-Cutting 159
be noted that as i. increases, the correlation length decreases and the data
fluctuate more rapidly.
Assuming the same mathematical model of the MT-CP system as in
the previous section, the cutting forces .L( ) and h.( ) will be dependent
on thestochasticproperties of theworkpiece, which is capturedthe
randomness of the specific cutting resistance c(.Y):
,f\(s. j.S. .v) = c(x)qohH(\S.)[(.,( \vr - 1) + 1]H(1?) (26)
The most dangerous state for a cutting tool is a transient period when a
new layer is being cut. Impacts between the tool and the workpiece occur
frequently; therefore, it would be beneficial to predictthetimehistories
of the cutting forces.
Investigationshad been carried out
forthe
deterministicmodel. No substantial increase in thecutting forceswas
reported. However, this is not thecase once the stochasticcutting resistance
is modeled. To demonstrate theeflect, Figures 13a and 13b compare the time
histories of the cutting forces .fl. and ,f;.. for the deterministic (constant
cuttingresistance)andthestochastic(randomlyfluctuatingcutting res-
istance) cases. For the stochastic model, CJ = 0.2 and E, = 1 is used (see Fig.
12). For the deterministic case (upper diagrams),we note that the transient
period is relatively short and that thereis no abnormal response during that
period. These confirm the earlier findings. The x-component cutting force
exhibitsdiscontinuitiesthatcorrespondtotheloss of contact between
the tool and the workpiece. The stochastic results are shown as the lower
diagrams of Figs. 13a and 13b. It is observed not only a longer transient
period, but also a much greater impact force. In the S direction, where
the tool undergoes a higher stress, the force can be as much as300%,greater
than the averagevalue under steady cutting conditions. The time interval of
tool separation is also longer. This current theoretical prediction, which has
not reported been earlier, is consistent with the manufacturing reality; that
is, the majority of cutting tool breakages occurs during the transient period.
To see theoverallpicture,thelong-termdynamicbehaviorneeds to be
addressed.
The Poincare maps are used to examine the long-term trend; hence, the
initial transient period is skipped. Figures 14a and 14b display the Poincark
points (X, S) and (F,J)), respectively.Boththedeterministic andthe
stochasticcasesareshown.Forthestochastic case,two E. values,1.0
and 0.3, are used,where l / i corresponds to the correlation length. The
deterministic case may be viewed as the case jb+O (i.e., the data are fully
correlated). Reading the figures from the top down, the correlation length
decreases,meaning thattherate of fluctuation of cutting resistance
increases. For allcases, we observethatthe responses are chaotic. The
stochasticity does not drastically change the topology of Poincare maps.
0.0
0 40 80 120 160
t
3.0
20
*?
1.0
0.0
0 40 80 120 160
t
-3.0 I I 1 I l I
0 40 160
80 120
t
9iwhticcSse
1.5
4 3 0.0
-1.5
L' ' ' " ' I
-3.0I I I I
0 40 80 120 160
t
Figure 13 Time histories for the (a)
x component and (b) y component of the cutting
force.
Dynamics
Nonlinear of Process
Tool-Cutting 161
(a) (b)
Delermmlslic DetermmlsHc
-1.5
1.5
X
I
00
SlochasUc
I
1.5
-1.5
4 =
-
-1.5 0.0
Y
SlochasHc
A = 0.3
-1.5 I
-1.5 00 -1.5 0.0
X Y
1.5
'"I stochastk
A - 1.0
..I
ThePDFsamplestheentiretrajectory,ratherthanthespecial
Poincark section. This technique presents the relative frequency of each
region in the phase plane visited by the trajectory. The joint PDF is deter-
mined by overlaying a grid system on the phase plane. By counting the
number of pointsfallingwithineachgridandnormalizing,thejoint
Stochastic
h = 0.3
Figure 15 Joint probability density function for (a) deterministic and (b) stochastic
(A = 0.3) cases.
Dynamics
Nonlinear of Process
Tool-Cutting 163
PDF is produced. The result for the ( S , X) phase plane is depicted i n Fig. 15
for the deterministic and the stochastic(E. = 0.3) cases. A comparison of the
two PDFs shows that the randomness of the cutting resistance tends to
smooth out some fine features of the deterministic case.
Longtimehistoriesrequired to construct Poincare maps make the
task very computingintensive. For thestochasticcase, it is necessary
to constructthestochasticcuttingresistancedatathatcoverthe whole
periodofsimulation, which often involves several thousand cycles.
Thecomputation time forgeneratingthese datacan be onetotwo
orders of magnitude longer
than
the
average time
spent
for
the
deterministic system, especially for cases with shorter correlation lengths
(larger i ) . Therefore, a pseudostochastic process was used to reducethe
computingcost. I n thepseudostochasticprocess,shorter
a segment
of random data is generated. Segments are then stacked together to pro-
ducethedesirablelengthforthedynamicsimulation.Figure 16 com-
paresPoincaremapsobtainedusingthepseudostochasticprocesswith
differentsegmentlengths, S,, = 2 0 and 100. The differencesbetween
thetwomapsareevident. I t is thereforecautionedthatthe use of
thepseudostochasticprocess in placeofthe full processneeds to be
handledwithcare.
So far, the differences in system response for the deterministic and the
stochastic cases under a fixed set of system parameters were examined. To
scan the effect for a whole range of parameters, the bifurcation diagram
were constructed.Figure 17 presentsthebifurcationdiagram,where .v
is a function of the cutting force magnitude, (10. Figure 17 shows a bifur-
cation diagram obtained for E. = 1 and (T = 0.2, using the same parameters
as in Fig.7c.Thecomparison with thedeterministiccaseshowsthat
the stochasticity not only smears the amplitude of vibration but also moves
the first critical point of the first period doubling to a lower value. I t also
destroysthe secondperiod doubling. In someothercases, which are
notshownhere, it is impossible to distinguishanycriticalpoint on the
bifurcation diagram.
The study of carried out by Kapitaniak [33] shows that the introduc-
tion of a random noise to nonlinear continuous systems exhibiting chaotic
behavior (say, a Duffing oscillator) can decrease its chaoticity drastically.
Its influence on a discontinuous system. such as the one investigated here,
is unknown. I n Fig. 18, a bifurcation diagram is constructed by choosing
the stochastic quantity, standard deviation as a branching parameter. It
should be noted that the deterministic system(a = 0) is chaotic. Even a sub-
stantial increase i n the magnitudeof noise does not dampen the chaoticity of
the system. On the contrary, random noisetends to increase the system
irregularity, especially in the J - direction.
164 Wiercigroch
3.0 1 1 I I
l
xu = 20
-3.0
-3.0
L
0.0 3.0
X
3.0 I 1
I I I
(W X" = 100
. .
-x 0.0 -
- .....
. ,
r....,.
. . . .
-3.0 1 I I 1 I
1 Stochastic
x
2.0
0.0
t
-2.0
-4.0 I I I I I
5. CONCLUDING REMARKS
-5.0 I I I I I
h 0.0
. . . .,
-1.o I I I I I
Figure 18 Bifurcation diagrams as a function of the standard deviation for the (a) .a-
and (b) >' directions.
REFERENCES
1. S. A. Tobias. Muclritw TOO^ Vihwtions, John Wiley & Sons. New York (1965).
3. I. Yellowey, A simplepredictivemodel of orthogonalmetalcutting. h t . J .
A 4 r r c . h . Tools k f U f 7 U f : . 27:357 (1987).
Dynamics
Nonlinear of Process
Tool-Cutting 167
Dale E. Palmgren
Arizona State University East, Mesa, Arizona
1. INTRODUCTIONTOROBOTICS
1.1. General
Description
The transition from the early depictions of robots as machines that res-
embledpeople,aspresented in theearlysatiricalplay by Karel Capek,
to that of current-day industrial and autonomous robots is the result of
the evolution of several different technologies. This evolutionary process
has yielded a machine that is capable of following instructions that have
been preprogrammed into the controllerof the robot, but is it very primitive
when compared with the capability of a human being!
The current robot, whether used for industrial purposes or for more
autonomous applications, is limited by technology and the lack of millions
of years of evolution.Largeadvancements in microprocessors,sensor
technology, and the ability to think in a global ways would be required
to advance robots toward humans on the evolutionary scale.
Although current robot technologyis the result ofjust over 40 years of
research and development, current uses in the industry and theservice sec-
tors of oureconomyare well developed.Alarge amountofresearch
and development is being done in the areas of autonomous robots. It is
hoped that autonomous robots will be able to contribute to both industry
and service areas of our economy because of their mobility and global
thinking!
169
170 Palmgren
degrees of freedom and would be able to not only locate a point in space but
also to orientateitself to thatpoint in space. Recognize that there is a maxi-
mum ofsix degrees of freedom in (three-dimensional) space.If more thansix
axes of motion areused for a particular robot, the robot hashigh a degree of
mobility but not more degrees of freedom.
Therearefour generallyaccepteddescriptions of industrialrobot
manipulators. With theexception of one coordinatesystem, the descriptions
follow the general descriptions of math coordinate systems:
Cartesian
Cylindrical
Spherical
Articulated
These are represented in Figs. 1-4.
It should be noted that although a physical description of a robot is
related to the construction of the robot, programming might allow for robot
motion in other coordinatesystems. For example, imagine that a robot man-
ipulator is in the Cartesian coordinate configuration; there is no reason,
through programming, that the robot cannot move according to the cylin-
drical coordinate system; or a robot that has an articulated configuration
could move along the Cartesian coordinate system.
At the end of the robot, the end or arm tooling or end effector is
attached. The endeffector is what does theuseful task and allows the robot
to be interfaced with the manufacturing environment. Very often, end
effectors are of special design, such as a vacuum gripper or a gas metal
arc welding (GMAW) torch, to name a few.
1.5. IndustrialRoboticSystemsandApplications
important it is to track the weld seam and to move the welding torch at the
correct speed!
Material handling is also a very good example of using a robot in a
manufacturing environment. Imagine a person having to place a 50-lb sacks
of cement ona pallet every day! What a wonderful opportunity for a robot!
Using a robot that has a lift capacity of capable of picking up atleast 50 lbs
and end-of-arm tooling thatuses vacuum suction cups, it becomes an easy
task for the robot. Also, programming using a teach pendent or off-line
program is very easy, as you only have to program the first point and then
use the palletizing mode for the rest of the robot program. The palletizing
program simply increments in the X,Y and 2 directions from the first point
by incremental amounts that have been input by the robot programmer.
Other material-handling applications include usinga robot to load a
part into a vertical or horizontal maching center. Once again, this robotic
application reduces operator fatigue and improves productivity. The teach
pendent program is probably the most commonly used method with mech-
anical grippers comprising the end-of-arm tooling.
Electronic assembly of circuit boards is very popular becauseof high
assembly speeds and minimal assembly errors. Programming with a teach
pendentand off-line programmingarethecommonmethod of pro-
gramming. The end-of-arm tooling for electronic assembly varies by appli-
cation and is usually a special design.
178 Palmgren
E~-I7
Figure 8 Work-spacedevelopment.
3. ROBOT KINEMATICS
Figure 10 Three-linkmanipulatorconfiguration.
A few other comments regarding the two-link planar robot the devel-
opment of the forward kinematic equations follow. As shown in Fig. 9,
revolute joints are used, but prismatic (linear) joints can be used as well.
Additionally, more rotational (or prismatic) joints can be used and the
forward kinematic equations can be developed in a manner similar to that
shown in Fig.10. Finally, the originof this drawing is known as the world
coordinate system, and points P,,and PJ, are associated with the tool
coordinate system. The joint variables 81 and 82 canthenbeusedin
Robotics: An Overview 181
4 = 01 + 0 2 + 03
3.2. Inverse
Kinematics
S ,. - sln(O,) = sin(6;
+ 8;) = sin(t);) cos(6;) + cos(8;) sin(6;)
6; is a small-angle approximation.
s;= S, + s;C,
I
182 Palrngren
ao2
"
sol
Thus, for a three-link planar manipulator, it is only necessary to take the
partial derivatives of the following kinematic equations to determine the
Jacobian:
Kinematic equations for three-link planar manipulator
184 Palmgren
then
S O P =JO.
For
l%%
and assuming
m. ..
The acceleration for a two-link planer manipulator is
P=JB+J 8
0.
l+
4. DYNAMICS OF ROBOTS
+ + g(U) + J(0)k = T
0.
H(fl)U C(U.
where H(O) is the generalized moment of inertia, C(0. f l ) is the centrifugal
and Coriolis factors, g(0) is the gravitational factor, J(U)k are the external
forces and moments on links, and T is the torque or force on each link.
Some very generalcommentscan be madeaboutthisequation.
Obviously, if there is no motionof the robot, only the gravitational, external
forces. and moment factors need to be considered, which reduces this to a
staticsproblem.Second,asthespeed of therobotend-of-armtooling
increases, the joint velocities increase as well and, therefore, the inertial,
centrifugal
andCoriolis
factors become important as well asthe
gravitational, external force, and moment factors. Which factor is more
important is not only dependent on joint velocity and acceleration but also
position. Therefore, any exact "up-front" prediction of the robot dynamic
Robotics: An Overview 187
response prior of knowing the exact path and speed is of little use to the
robot designer.
In thespirit of continuing with themuch used two-linkplanar
manipulator, a dynamic model will be presented that uses the Lagrangian
method of analysis. Simply stated, the Lagrangianis equal to thedifference
betweenthekinetic andpotential energiesof thesystem.Theequation
for the Lagrangian is
L = Kinetic energy - Potential energy
T = -a a~ a~
---
at 3; a0
where T is the torque (or force on the joint.A simple example of using the
Lagrangian method canbe demonstrated used a onelink robot (see Fig. 11):
X = RI COSU
Y = R1 sin H
X = Rl(sin 0 ) 0
Y = Rl(C0S 0)O
1 ,
K z= - t n V-
2
188 Palmgren
YI
I PM. P"
then
1
K = -m(R:b')
2
P = mgh
then
P = mgRl sin 0
1
L = -m(RTb') - mgRl sin 6
2
Robotics: An Overview 189
and
Unlike the previous example for a one-link manipulator, this equation has
aCoriolisandacentrifugaltermshown;notermforthegravitational
efiect is shownbecausethistwo-link manipulator lies in theplane of
a flat table.However, if themanipulator is nowpositionedvertically,
190 Palmgren
the effects of gravity must be taken into consideration and a third term can
be added to the above equation:
5. TRAJECTORYGENERATION
6. SUMMARY
REFERENCES
BIBLIOGRAPHY
Mohammed Anwer
Independent University, Dhaka, Bangladesh
1. INTRODUCTION
Rarely are there machines that do not have some interaction with one or
several fluids. The range and the typeof these interactions can be very wide,
and theydependmainly on thetypeandapplication of themachines.
Machineswhichproducemechanicalenergy(e.g.,internalcombustion
engines, gas or steam turbines, etc.) invariably use a fluid as a medium
fortransfer of thermalenergyproduced by the fuel.Fluid is also used
forcoolingthesemachines or theircomponents. A wide range of
fluid-structure interactions appears in these machines or their components.
For example, the variety of flows appearing in a gas turbine can be flow
in straight pipes, flow in bends. flow over curved surfaces, and so forth;
in a combustor, these can be jet in a confined flow, jet in a swirling flow,
flow with suddenexpansion,and so forth; in aheatexchanger,these
can beflow overbanks of pipes, flow in abend, flow in coaxialpipes,
and so forth; in an internal combustionengine, thesecan be flow ina straight
pipe, flow in bends, jet in a cross-flow, confined flow in a cylinder, and so
forth. The physicsoffluid-structure interaction has a major impact on
the overall performance of these machines.
Fluid-structureinteractionrefers to both ( 1 ) howthe flow field is
modified because of the presence of the structure and (2) how the structure
reacts to the properties of the flow. Generally, when there is a structure
in a flow, the flow field is modifiedby the appearance of a wake region,
redistribution of momentum and stressfields, generation of secondary flow,
and so forth. In a similar fashion. the reaction of a structure placed in a flow
195
196 Anwer
2. FLUID-STRUCTUREINTERACTION:FUNDAMENTALS
In fluid mechanics, certain flow configurations form a base for the under-
standing of other fluid flow phenomenon. These are (1) flow bounded by
solid walls, such as pipe flows and channel flows, (2) flow bounded by a
solid wall on one side and a fluid on other sides, such as boundary-layer
flows, and (3) flow bounded by another fluid of different density andlor
velocity on all sides, such as jets, wakes, and free-shear layers. The under-
standing of these flows helps us to understand more complicated flows.
In a practical flow situation, more than oneof these basic flows are usually
present. These basicflows are notdiscussed in this chapter, but the concepts
of these flows are used to explain more practical flow situations. As dis-
cussedpreviously,alargevariety of fluid-structureinteractions appear
in machines and their elements. A discussion of all these flow situations
is beyond the scope of this chapter. Only some general flow configurations
will be discussed. These are flow downstream of stationary and vibrating
bluff bodies, such as cylinders, spheres, cubes, and so forth, and curved
boundary layers.
Reynolds number means that the inertia force is small compared to viscous
force.* Therefore. the inertia terms are neglected from the Navier-Stokes
equations. The detailed derivation of the Stokes equations may be obtained
from the work of Lamb [5, $3381 or Illingworth [6]. The solution [7] for
the axial velocity U at a point x@, 8) in polar coordinates is
u=u+cu (- - 2l o g - -a- + - 4
I' (l?)
41.2
,;
+Cx- u x ("L)
1
2 2I"
where U is the free-stream velocity vector, U is the radius of the cylinder, and C
is a constant which is quoted from Ref. 5 as
2
C=
In (7.4/Re)
The drag force F(/ on the cylinder is obtained as
F,/ = ~ I T ~ U ~ , C
where p is thedynamic viscosity of the fluid. The drag coefficient C'/ is
obtained from
(4)
*It Inay also mean that the viscous force IS high compared to inertia force. Thls option IS not
cons~deredhere.
200 Anwer
Figure 2 Sequences of proposed model for vortex shedding from a steady circular
cylinder at Re = 100. (From Ref. 11.)
degrees from the forward stagnation point)and p0 is the static pressureof the
free stream.Pressure anddrag coefficients are directly related toeach
other-static pressure can be integrated around the circumference of the cyl-
indertoobtainthedrag force onthe cylinder(although thedrag force
can be measured directly also). In a seriesof investigations,Wieselsberger [8,9]
reported the drag coefficient of a circular cylinder for the Reynolds number
ranging from 10 to lo6. His results, along with more recent measurements
[13-171, are shown in Fig. 3. The general nature of the curve is that with
theincrease in Reynoldsnumber, C(/ reducesgraduallytoa value of 0.9
around Re = IO. Then, Cd increases slightly to 1.2. Around 3x105, Cd drops
sharply, leading to another gradual rise. The drag coefficient obtained from
Stokes theory is also plotted in Fig. 3 in the lower range of Reynolds number.
It is clear that the Stokes theory matches well with asymptotically expanded
results of Wieselsberger.
The results of surface pressure are used to explain the behavior of Cc/
shown in Fig. 3. Figure 3 shows that for lowervalues of theReynolds
number, C(/ decreases with an increase in Reynolds number. In this range,
with an increase in Reynolds number, the inertia force becomes more domi-
nant compared to theviscous force (recall that forcreeping flow, the inertia
force was negligible compared to viscous force); hence, the drag coefficient
reduces [15]. Many results are available for measurement and calculation
of the surface pressure for, Re < 100 [ l 5 1 8-21]. Some of these results
are shown in Fig. 4. With the increase in Reynolds number, the pressure
on the frontface of the cylinder is not affected substantially, but the pressure
on the back face of the cylinder increases and gradually approaches the
inviscid theory (zero drag) curve; hence, the drag coefficient decreases.
The drag coefficient continues to decrease to a value of approx 0.9 until
Rex2x103.
Beyond Re = 2x IO, in Fig. 3, the dragcoefficient increases slightly. In
this range of Reynolds numbers, the laminar boundary layer that separates
from the surface of the cylinder continues as a free vortex layer into the
flow and becomes turbulent farther downstream into the flow [22-241. With
a further rise in Reynolds number, the transition to turbulence in the free
vortex layer approaches the surface of the cylinder. The flow in the vortex
layer is modified, with the resultthat the pressure on the rear of the cylinder
decreases [22]. This is seen in Fig. 5, where it can be observed that whereas
pressure ontherear of thecylinder doesnotchangeappreciablyfor
Re = 2800 and 5000, it decreases for Re = 9900, 27,700, and 40,700. This
reduction indicates a rise in the dragcoefficient. The dragcoefficient gradu-
ally increases to approx 1.2 around Re = 2 x lo4 and stays constant until
about Re= 1 . 5 lo5.
~ The flat portion of the surface pressure profile on
the rear face of the cylinder indicates separation.
202 Anwer
Fluid-Structure Interaction 203
c!
0
I
9
I
?
0 30 G0 00 120 150 I YO
Anglc on circumference, 0 (deg)
Figure 4 Surfacepressure of a circular cylinder for 5 5 Re 5 100. (From Ref. 15.)
09
0
-?
0
Figure 5 Surface pressureof a circular cylinder for 2800 5 Re 5 40.700. (From Ref.
22 .)
0
IO4 2 6 10 2 6 IO6 3 6 lo7
Reynolds number, Re
Figure 6 Drag coefficient of a circular cylinder during the transition to turbulence.
pressure on the back face of the cylinder decreases, thereby increasing the
drag coefficient. Moreinformation, ofhistoricalinterest, on pressure
and drag coefficients and factors influencing these may be obtained from
Ref. 31 ($4 187-194).
Veloci(v i n the ~ * u k e . For Re > 1, vortices exist on the back face of the
cylinder.Figure 11 shows thelength of the wake region asa function of
Reynoldsnumber for Re 100 obtained by experimentalmeasurements
[16.32,33] and by numericalcalculations [14,15,34]. Thegraph shows that
in the low-Reynolds-number range, the wake grows linearly with Reynolds
number.
Fluid-Structure Interaction 207
where U( is the velocity at the centerline of the wake and y is the perpen-
dicular distance from the centerline of the wake.
208 Anwer
0 8.8 x 10'[17)
8 8 x IOJ 117)
v :,ox IO' [ l 7 1
For Re=80 (Fig. 12c), the axial velocity shows a W-shaped profile.
The W portion is the negative flow inside the vortex on the back face of
the cylinder. However, as the hot-wire anemometer is not able to discern
the direction of the flow, the velocity in the vortex region appears positive.
The W-shaped profile has not been observed for Re= 10 and 40, because
for Re = 10, the length of the vortex is smaller than the first axial location
of measurement (x/D = l), and for Re= 40, the first axial location of meas-
urement ( x / D= 1) is in the vicinity of the length of the vortex (see Fig. 11).
Thedevelopment of the axial velocity on the flow axisdownstream of
the cylinder for Re = 5 to 40 [35] is shown in Fig. 13. These results show
that the vortex region actually does not appear before R e = 10. For values
of Re > 10, the velocity first decreases with increasing x / D ,indicating that
measurements are being conducted inside the vortex.
Velocity measurements in thewakeforhighervalues of Reynolds
number are almost nonexistent. The reason for this is that, because vortices
are being shed intermittently into the flow, the entireflow downstream of the
cylinder is unsteady.Therefore, velocity measurements at aparticular
location do not have much physical significance, as the velocity changes
Fluid-Structure Interaction 209
0 20 40 GO 80 I00
Rcynolcls number, Re
Figure 11 Wake length as a function of Reynolds number for Re < 100. (From Ref.
15.)
7
i
(a)
-6 4 -2 0 2 J (1
Spanwise disrancc,y/D
Figure 12 Spanwise profile of axial velocity as a function ofdistance downstreamof a
circular cylinder: (a) Re = IO; (b) Re = 40; (c) Re = 80. (From Ref. 16.)
212 Anwer
............
5.63 0
.
0 .
.........
..
4.13
3"
. e .
!
3
Re = 80
x
0
C!
I 2 3 4
Axial distance downstream of the cylinder, x/D
Figure 13 Recovery of the axial velocity on flow axis downstream of a circular cyl-
inder for 5 5 Re 5 40.5. (From Ref. 35.)
214 Anwer
m
VJ
m
Fluid-Structure 215
Re SID ylD
80 1.2 1.o
90 1.6 1.2
called theBirrnard-Karminvortex-street.Experimentalworkforthe
Reynoldsnumberup to 8000 [26,31,59-611 andnumericalcalculations
for the Reynolds number up to 106 [62-641 show that for lowervalues
of a, vorticesareshedonboth sides ofthecylinder to formthe
B3rnard--KZrm2nvortex street.Around c1 2.5, thevorticescompletely
disappear.
2.1.2. Developing flowfor a circular cylinder
The behavior of physical quantities is quite different in a developing flow
than a steady flow. These differences canhavea significant impacton
the overall performance of the machinery. For example. the difference in
drag coefficient or vortex-shedding pattern may result in a different load
pattern for the machinery, hence different structural stresses. Developing
flow invariablyappears in machineriesduringstart-upandshutdown.
,Therefore, the study of developing flow is vitally important for machinery
dynamics.
By integrating the Helmholtz vorticity equation, Payne [65] found that
for Re = 40, the drag coefficient starts with a value of 3.0 and reduces to a
steady value of 1.618 at t*= 2(t*= Uot/D, t is time in seconds). However,
similar calculations for Re = 100 failed to give an equally good comparison.
Further numerical work [66-711 has consistently shown that for developing
flow, numericalresultscomparepoorly withexperimentalfindingsfor
Re > 50. First, reliable numerical calculations for Re > 50 were performed
using a fourth-order compact scheme to calculate the Poisson equation,
andasecond-orderalternatingdirection implicit scheme to solve the
vorticitytransportequationfor R e = 300,550, and 1000[72] andfor
Re = 9500 [73].
Results indicate that the characteristicsof wake development are dif-
ferent for Re < 5000 and Re > 5000 [72,74-761. For Re 5000, a pair of
secondary eddies develop at t* = 2.85 on the back face of the cylinder (Fig.
15a): one near the shear layer at the top (or bottom) of the cylinder and
another the flow axis downstream of the cylinder. The eddy near the top
(or bottom) of the cylinder continues to receive vorticity from the shear
layer, and continues to grow. On the other hand, the eddy near the flow
axis continues toreceive a vorticity of opposite sign from the eddy growing
alongtheshearlayer;hence, it gradually loses strengthanddisappears
around t* = 5.0.
For Re > 5000, a very thin recirculating wake is formed which divides
the recirculating zone into two parts (Fig. 15b). One part of the vortex
moves toward the separation point at the top (or bottom) of the cylinder;
the other part of the vortex grows to become the larger main vortex. This
development process is completed from t* = 0.5 to t* = 2.5.
Fluid-Structure Interaction 217
Figure 16 Evolutionof drag coefficient and wake length of a circular cylinder for
Re = 300, 500, and 1000. (From Ref. 74.)
shoe vorticeswrap around the base of the bluff body and trail downstream in
multiple vortex pairs with their axes parallelto the direction
of the mainflow
(Fig. 18). These vortices persist, moving withthe main flow, until they reach
farther downstream, where they are diffused by viscosity. This description
provided by Sakamoto and Arie [78] adequately shows the complex nature
Fluid-Structure 219
2.0
221
I .o 1.5 2.0
-i
(e) Re = 9,500
.
Figure 18 Horseshoe vortices in the junction of a circular cylindcr and a flat plate.
0
N
F0
Q'
detaches from the body. The proposed structure of the two-, four-, and
six-vortexsystem is shown in Fig. 20. Velocity measurements also show
that the axial velocity inside the horseshoe vortex may reach as high as
75% of thevelocity outside the boundary layer, and height
the of the vortices
4 vortex system
4
LID
3 U,,
p - p . = - - ,L1 -U.K
2 r3
where a is the radiusof the sphere andI is the radius vector
of the point(K, y, 2).
Integrating the pressure around the surfaceof the sphere, the drag force and
the drag coefficient of the sphere are respectively
F,/ = 6y1DU0 (10)
tia terms in the Ndvier-Stokes system. The details of the derivation of the
problem and its solution may be obtained fromRefs. 6 or 82. As a final result,
the drag coefficient is obtained as
Cd = ?Re
(l +$Re)
It would be shown shortly that the dragcoefficient predicted by Eq. (12) com-
pares well with experimental result for Re < 5.
High-Re-vnolds-number,flow As theReynoldsnumberincreases, the
curvature of the sphere induces a shear layer on the surface of the sphere.
The circulation of the shear layer induces a flow separation and generates
a vortex roll onthe back face of thesphere. Because thesphere is
axisymmetric, the vortex roll resembles aring.Flowvisualization exper-
iments [83] have revealed that thisvortex roll is formed for a Reynolds number
of approx. 24. It was further observed that around Re = 130, the vortex roll
begins to oscillate. The source of instability for this oscillationhasbeen
attributed to the wake. At a higher Reynolds number, the roll oscillates with
a larger amplitude. Flow visualization experiments[84,85] have revealed that,
sometime during this large-amplitude oscillation, some of the fluid in the
region of the vortex roll breaks away and is carried downstream in the form
of elongated horseshoe vortices. A schematic representation of these vortices
is shown in Fig. 22. These hairpin vortices continue to elongate, and there
is no evidence that these actually separate from the surface of the sphere.
Side view
J] ~opview
I
Fluid-Structure 227
Hence, many researchers have decided not to call this shedding.It should be
pointed out here that, although there is overwhelming evidence of the flow
structure being as described here, this is not agreed upon unanimously [ W .
0 30 60 00 I20 1 so 180
Angle on circumll-rence, 0 (dcg)
Figure 24 Surface pressure of a sphere for 5 5 Re 5 40. (From Ref. 94.)
0 60 120 180'
Angle on circumference,6 (deg)
Figure 25 Surface pressure of a sphere for 100 5 Re 5 5000. (From Rcf. 95.)
2.51 x 10'1971
2.98 x IO' [97]
v 4.35 x 10'1')61
flow, the flow separates around 0 = 60' from the forward stagnation point.
After the transition to turbulence, the point of separation moves suddenly
to around 0 = 100" from the forward stagnation point. Figure 29 further
shows that, after the transition is complete, the point of separation does
not varysignificantly with afurther increase in the Reynoldsnumber. Figure
30 shows that the point of the transition to turbulence moves toward the
forward stagnation point with the increase in the Reynolds number.
I 0 1o6 I 0
l
Reynolds number, Re
Figure 27 Drag coefficient of a sphere for Reynolds number during the transition to
turbulence.
5
0
5
l
Figure 28 Surface pressureo f a sphere for Reynolds number beyond the transition to
turbulence.
Fluid-Structure Interaction 233
reports both a high and a low Strouhal number, without giving any expla-
nation for this behavior. Spectral analysis of the velocity inthe wake of
the sphere [S51 has indicated that two distinct dominant frequency modes
exist in the wake; one corresponds to the lower Strouhal number, and the
othertothehigherStrouhalnumber. The St-Re relationship for higher
and lower frequencies consolidated
from different investigators
[84,85,98,103-1061 is shown in Fig. 31. The higher frequency is detectable only
near the sphere, whereas the lower frequency is also detectablefarther
downstream of the sphere [M]. Using this observation, it is explained that
the higher frequency is associated with the small-scale instability of the shear
layer, and the lower frequency with the large-scale instability of the wake
[85,103,104]. For Re < 800, the higher frequency was not observed.
0
2 4 6 810' 2 4 6 8 Io4 2
Reynolds number, Re
Figure 31 Strouhal number as a function of Reynolds number for a sphere: (a) high
frequency: (b) low frequency. (From Ref. 84.)
236 Anwer
-
Figure 32 The nature ofvortices of a rectangular cylinder for (a) short depth and (b)
long depth.
by an induced reverse flow into the formation region. The base pressure
determines the amount of vorticity that is being shed from each side
of the body and this in turn is related in some way to the strength of
the fully formed vortices.
Eventually, these vortices shed into theflow as an alternating Karman
vortex-street. It is conjectured that once vortices are shed, the structure of
the vortices does not depend on whether the shedding has taken place from
a rectangular cylinder or a circular cylinder. Therefore, an attemptis made
to understand many of the features of this flow configuration from the case
of a circular cylinder.
Ivd = 0.5
2 .0
ci 2.0 \
- v
-
~
N
l
front side base
.
I /l d h *
9
m
I
Figure 33 Surface pressure of a rectangular cylinderfor (a) h/d = 0.5. h/d= 1 .O. and
(c) k/rl=2.0. (From Ref. 108.)
Bostock and Mair [l081 experimentally investigated the effect of Izld upon the
surface pressure on four sides of a rectangular section. Results for hid= 0.5,
1.0, and 2.0 are shown in Fig. 33. Theseexperiments were conductedat
Re = lo5 (Re = Uoh/v), with the height side facing the flow at 90. Figure
33 clearly shows that theeffect of changingof hlcl upon the pressurecoefficient
is more prominent upon the base; and the effect isminimum on the frontface.
Therefore, in most research, only thepressure coefficient onthebase is
reported.
The surface pressure coefficients for the specialcase of kid= 1 .O
(square section cylinder) at Re = 4 x IO5 [108], Re = 1 . 7 6 lo5 ~ [109], and
~ [ 1 101 are shown in Fig.34.The
Re = 4 . 7 4 lo5 difference in pressure
coefficients fordifferentReynoldsnumber is not as distinct in thiscase
as was observed for a circular cylinder and a sphere.
238 Anwer
Figure 34 Surface pressure of square cylinder for Re = 4 x IO'. 1.76 x IO', and
4.74 x 105.
1
l
l
0 1 2
-.
J
Wd
Figure 36 Drag and pressure coefficients on a rectangular cylinder as a hnction of
h/d. (From Ref. 107.)
2 4 6 8 10 12 1 4 x lo4
I
Reynolds number, Re
Figure 37 Base pressure of a square cylinder as a function of the Reynolds number.
(From Ref. 107.)
section cylinder [109,112], shown in Fig. 38. The high value of C,; on the
sides and on the rear face is attributed to the vortex rolls on these faces.
It is important to recognize that high values of the fluctuating pressure
coefficient on the two sides of the square section will induce vibration in
a direction perpendicular to the direction of the flow. The large difference
in the two measurements is attributed to different levels of turbulence in
the measuring tunnel.
Lee [l091 further investigated the influence of angular alignment of a
square section cylinder upon different properties of the flow. He has found
that a slight realignment of the cylinder causes a tremendous change in
the forces on the cylinder. The pressure coefficient on four sides of a square
section cylinder for an alignment cp = 12.5" (where cp is the rotation angle)
is shown in Fig. 39. A comparison of Figs. 34 and 39 shows that the surface
pressure is a strong function of the alignment of the cylinder.
The behaviorsof the base pressure,drag coefficient, lift coefficient, and
the rms component of the fluctuating forces upon the square section along
two directions as a function 43 are shown in Figs. 40 and 41. In Fig. 40,
242 Anwer
it can be observed that aroundcp % 13.5", the base pressure is maximum, and
the drag andlift coefficients are minimum. This behavioris attributed to the
change in the arrangements of vortices on the walls of the cylinder as cp
changes [109]. These vortex arrangements are shownschematically in Figs.
42a-42e. As discussed earlier, forcp = O", two vortices are generated on sides
ad and bc (Fig. 42a). As cp increases, the separation vortexon face ad gradu-
ally becomes weaker (Fig. 42b) and eventually disappears around cp % 13.5"
(Fig. 42c). At this angle, the separated flow on side bc reattaches at the
corner c. The effects are as follows: (1) a weaker vortex on faced cd, which
increases the base pressure; (2) because the separation vortex on face ad
disappears and the vortex on face bc becomes stronger, generating a lift
force onthe cylinder. All of this contribute to reducetheoverall drag
on the cylinder (Fig. 40). For cp > 13.5", one of the vortices on face cd con-
tinues to become weaker (Fig. 42d) and eventually disappears at cp = 45"
(Fig. 42e). Figure 41 shows the large fluctuating component of the forces
actingonthesquare cylinderwith rotation.It is predicted thatthe
fluctuating forces may be as high as four to six times the stationary forces
c!
0
v -
Figure 39 Surface pressure of a square cylinder for 47 = 12.5 . (From Ref. 109.)
Figure 40 Lift, drag. and base pressure coefficients o f a square cylinder as a function
of angular alignment cp. (From Ref. 109.)
244
-0 10 20 30 40 50
Angular alignment, (p (de@
Figure 41 Forces on a square cylinder as a function of angular alignment v. (From
Ref. 109.)
when the oncomingflow isnot aligned perpendicular with one of the faces of
the square cylinder [ 1091.
(C) v =45"
Figure 42 Schematic representation of vorticeson a square section cylinder as a
function of angular alignment of a square cylinder.
0 -7 4 6 S 10 12 14 x lo4
Reynolds number, Re
uenlan [ 1071
Velocity in the wake. The recovery of the axial velocity in the wake of a
square section cylinder has been measured [l101 for Re = 4 . 7 4 ~lo4. These
results, along with the results of recovery of axial velocity in the wake of
acircularcylinderatsame Reynolds number,areshown in Fig. 46. It is
248 Anwer
Fluid-Structure Interaction 249
of the element. These two secondary flows accompanying the main flow
aroundtheroughness element formtherecirculating regionbehind the
element. The lengthof the recirculation region for a two-dimensional body
has been estimated to be nine times the height of the element [l 19,1221.
Further investigation hasrevealed that thelength of the recirculation region
decreases linearly with the increase in the depth (length in the direction of
the flow) of the rectangular section[123,124]. As the depthof the rectangular
sectionincreases, the flow reattaches on the top of theelement.After
reattachment,the length of therecirculationregiondoesnotdecrease
any further [125]. It should be recognized that although the velocities in
the recirculation region are small (not more than 20% of the undisturbed
value), these have major implications on the heat transfer in the immediate
vicinity of the element.
The rateof recovery of the axial velocity is extremely important in the
case of flow inside a machine-as velocities determine the level of mixing of
convective heat transfer. The recovery of axial velocity in the wake of a
square cylinder placed inside a boundary layer has been investigated for
Fluid-Structure 251
Figure 49 Surface pressure on a cube placed inside a boundary layer. (From Ref.
120.)
II)
2
h
.
gm
C
-mn
--
._
m m
-
._
L
0)
>
-
-
nn 0.5 0.0 0.0 0.0 0.0 0.5 I .o
Asia1 velocity, U/ci,
element of L / H = 2 . 5 and 8.5 [128], shown in Figs. 51a and 51b. Figure 51a
shows that the span wise profile of the axial velocity for L / H = 2.5 almost
recovers by X/H = 12.86, whereas for L / H = 8.5 (Fig. 51b), the spanwise
profile does not recover completely, even by X I H = 40.0.
AthigherReynoldsnumbers,the influence of thelength-to-height
ratio of the section on the flow downstream of the roughness element is
considerably less. Results for L I H = 2.5 and 8.5[l281 at ReX 34,000, shown
in Fig. 52, show that the difference between the velocities for the two L I H
ratiosarehardlynoticeableforX/H>10.5. Because oftheenhanced
diffusion at higherReynoldsnumbers,the flow becomes more uniform,
hence minimizing the effect of the length of the element.
Thecombinedeffect ofthelength-to-heightratioandReynolds
number upon the recovery of the axial velocity in the wake of roughness
element is rather complicated. Figure 53 shows the vertical profile of the
velocity defect (velocity deficit at that height from the undisturbed velocity
atthesameheight)as a functionofaxiallocationfromtheroughness
element,length-to-heightratio oftheroughnesselement,andReynolds
numberobtainedfrom differentinvestigations [ 1 17,122,127,1281. For
L I H = 3, the defect at higher Reynolds number seems to be higher at
X /H = 10. However, for L / H = 9 and CO,the velocity defect is lower for
higherReynoldsnumber.This resultshould be acceptedwithcaution,
as sufficient dataarenotavailableforfurtherunderstanding ofthis
phenomenon.
Considerable effort has been made for theoretical modeling of flow
downstream of a roughness element placed inside a boundary layer. Hunt
[125,129] has demonstrated considerable success in understanding the flow
downstream of aroughnesselementthroughtheoreticalmodeling.The
details of Hunt's theory is beyond the scope of this chapter and may be
obtained in Refs.129 and 130. This theory is applicable only in the far wake.
An important outcome of Hunt's theory is that it gives a universal form of
the vertical profile of the velocity defect for all axial locations in the far
wake.Thistheory,predictsthatforatwo-dimensionalcase,the profile
for the meanvelocity defectat various locations along the wake be canmade
to collapse one
on line by plotting [ u / U O ( H ) ] ( X / H )against
(Z/H)[k'n(X/H)]['/"'+')l, where U is the velocity defect, Uo(H)is the velocity
atthe heightoftheroughnesselement in theundisturbedboundary
layer, k = 0.41 is the von K6rman constant, and n is the exponent of the
power law of the turbulentvelocity profilein the undisturbed flow. A similar
result can be obtained for
the
three-dimensional case by plotting
[ u / U o ( H ) ] [ ( X- a)/H]'(3+")/(2+")1 against ( Z / H ) [ X- u)/H]['/("+')],where ( I
is a property of the boundary layer, which is considered constant. Because
n is small (n X 117), Hunt's theory predicts that the mean velocity decays
Anwer
254
0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 0.0 0.5 1.0
Axial velocity, U/Uo
0
0 0 0 0.5 1 .o
Axial velocity, U/U,
Figure 52 Vertical profile of the recovery of axial velocity downstream of a
rectangular elements for Re = 34.000. (From Ref. 128.)
C?
parallel to the surface untilX i H = 10, after which it begins to rise. Figure 5 5
further shows that it takes a very long distance (more than 200 times the
height of theelement)fortheaxial velocity profile toreturn to an
undisturbed condition.
Fluid-Structure interaction 257
Figure 56 Recovery of the skin friction coefficient on the flow axis downstream of
rectangular elements of diffcrent L / H .
under the flow condition, which is different than the Strouhal frequency in
most cases.
The geometrywhich has been the subject of most research on vibrating
bluff bodies is circular
a cylinder. For circular
a cylinder,
the
vortex-shedding frequency j;. and the Strouhal frequency .f;. are generally
the same. However, asfF comes closer to the natural frequency of vibration
jif of the cylinder, the vortex-shedding frequency J;. locks in to the natural
frequency of vibration of the cylinder J f , and the Strouhal frequency .fi
is lost. This means that both cylinder
the and the wakehave the same charac-
teristic frequency. Moreover, there is a narrow band of frequency around
the Strouhalfrequency, where the vortex-shedding frequencyf, corresponds
to the natural frequency of vibration of thecylinder fif and not to the
Strouhal frequencyf;. Underthese conditions,if the dampingof the cylinder
is less, self-excited resonant vibration may develop in the cylinder. For a
narrow band offluid velocity, the amplitudeof vibration can be of the order
of 1 D [ 1401. The planeof vibration of the cylinderis generally perpendicular
to theflow, although under certain conditions thecylinder may also vibrate
in-line with the flow.
The first detailed investigation of flow downstream of a circular cyl-
inder vibrating freely under the influence of a flow was conducted by Feng
[141]. The most outstanding result of this investigation was the discovery
of a hysteresis characteristic. Hysteresis describes the phenomenon that
the characteristic properties of the flow are different for increasing and
decreasing cylinder frequency. The results of Feng showing the hysteresis
of amplitude of vibration of the cylinder, alongwith more recent hysteresis
result of basepressure [140], areshown inFig. 57. Figure 57a shows
experimentalmeasurements [140,141] and numericalcalculations[l421
for a hysteresis loop of A I D (where A is the amplitude of vibration and
D is thediameter of thecylinder) as afunction of reduced velocity
UOlfhD. The difference between the two results shown in Fig. 57a is indica-
tive of the sensitivity of these
results to
experimental conditions.
Nevertheless, the overallhysteresis nature of thetwoinvestigationare
similar.Asthevelocityincreases,theamplitude of vibrationgradually
increases. Around UO/hD = 6.5, the amplitude ratio drops by almost 40%.
With a further rise in reduced velocity, the amplitude ratio continues to
drop gradually. However, as the UOlhD is gradually reduced from higher
values to lower values, A / D follows a different path. Although the results
of Feng [l411 do not identify any discontinuity in the change of A I D with
the reduction of UO/fbD, the results of Brika and Laneville [l401 identify
a second discontinuity in the reduction route also. Figure 57b shows the
hysteresis natureforthe basepressure. Thephenomenonof hysteresis
has been the subject of long discussions, but it is yet to be fully explained
Fluid-Structure Interaction 261
-
0.4 0.6 0.8 1 .o l .2 I .4 I .6
Reduced velocity, Vd(Zxj$)
and
understood [135]. These results
indicate that
the
vibration
characteristics,hencethemechanicalloading,formachinerieswith no
predominantinduced frequency will be different
for
increasing and
decreasing speeds.
Figure 58 shows Fengs result of lock-in of a freely vibrating cylinder.
The frequency of vibrationf;, of the cylinder remainsconstant as thevelocity
increase, as it is thestructuralproperty of thecylinder. Witha rise in
velocity, the reduced velocity UoLfhD increases; hence, the vortex-shedding
frequencyJ;. increases. As,f;./f;, approaches 1, the vortex-shedding frequency
locks in to the cylinder vibration frequency. With a further rise in velocity,
thevortex-sheddingfrequencyremains locked to thecylinder vibration
frequency. Although Fengs results showthat thevortex-shedding frequency
locks on to the cylinder vibration frequency in a range 1 .O S.f;./fil5 1.25,
C
4 5 6 7 8
Fluid-Structure 263
Figure 59 Lock-in of amplitude for forced vibration of a circular cylinder. (From Ref.
143.)
264 Anwer
observed for a Reynolds number as high as 4000 [l441 and 2 . 4 lo4 ~ [145].
Other investigations have reported the lock-in range as 0.85 i f ; . / f h 5 1.0
[146,147], 0.85 if;.l.fb5 1.4 [148], and 0.8 i.f,,l.f;,
i 1.2 [149]. It is further
reported that a certain critical threshold of the amplitude ratio A I D has
to be exceeded for lock-in [l351 to happen. There is a wide difference in
the reported critical amplitude ratio also. The different values of the critical
amplitude ratio, as reported, are0.05 for Re < 150 [143], 0.004 for Re< 150
[150], 0.05 for Re% lo4 [151], 0.15-0.17 for 1 . 5 ~ 1 0 ~ < R e ~[152], 3x10~
and 0.084 for lo4 < R e < lo5 [159].
0 4 8 12 16 20
Reduced velocity, U,/fbD
Figure 60 Surface pressure at location U = 90 of a vibrating circular cylinder as a
function of amplitude ratio and reduced velocity. (From Ref. 157.)
Fluid-Structure 265
9
c4
c:
i
c
- 0.75
.-9
L)
W
g"
t-
d
U I
WJ
c3
h-? -l
N
c
0.25-
9 L
where K is the initial circulation of the vortices, I,. is the longitudinal spacing
betweenvortices, and Id is thelateralspacing betweenvortices. Other
variables are asdefined previously. It has been observed [l581 that the drag
coefficient obtainedfromEq.(13),andnormalized withitsvalue cor-
responding tothestationary cylinder CdA,,, predictstheexperimental
measurements of drag coefficient quite well. This comparison, shownin Fig.
63, has been consolidated by Griffin [l 571 from differentexperimental
measurements [144,158-1621 againstamodifiedStrouhalnumberSt*
Fluid-Structure 267
defined as
st*= ( +-;),;
1 .- st
further shows that the same curve also predicts the normalized base pressure
rather well [ 1571.
For a stationary circular cylinder, a universal behavior of the Strouhal
number as a function of Reynolds number was observed in Fig. 14. For a
vibrating circular cylinder, Griffin [ 1571 has also been able to define a uni-
versal St-Re relationship. Figure 64 shows that if the Strouhal and Reynolds
268 Anwer
2 4
Wake Reynolds number, IJ,dYv
Figure 64 The wake Strouhal number asa function of the wake Reynolds number for
a vibrating circular cylinder. (From Ref. 157.)
numbers are defined using the wake width d and the mean velocity at the
edgeoftheboundarylayer u h (denotedasthewakeStrouhalnumber
and the wake Reynolds number, respectively, by Griffin), the dependence
of the Strouhal number on the Reynolds numberreduces to a very narrow
band. Griffin [l 571 has further reevaluated his earlier results [163,164] to
show that the normalized wake width also indicates a smooth behavior when
plotted against the wake Strouhal number.
The formation lengthof vortices 1, is shown in Fig. 65 as a function of
several flow parameters.This figureshows thattheformationlength
decreaseswithincreasingmodifiedStrouhalnumber,amplituderatio,
and frequency of vibrationof the cylinder[163]. The wake widthd increases
withincrease in themodified Strouhalnumber,asshown in Fig.66.
Experimental results [l631 suggest that the ratio k / d is a significant par-
ameter of the wake and approaches a unit value asymptotically, as shown
in Fig. 67. At this asymptotic limit, there is a breakdown in the regular
Fluid-Structure Interaction 269
Figure 66 The width of wake as a function of the wake Strouhal number for forced
vibration of a circular cylinder. (From Ref. 157.)
vortices decreases, keeping the lateral spacing the same. A 35% reduction in
longitudinal spacing between vortices hasbeen observed as the frequency of
vibration is changed from 0.856, to 1 .l,!;, [149].
Other geometries which have received attention in research involving
vibrating bluff bodiesarecylinders of squareandtriangularsections
[146,147]. Lock-in has been observed for a square section cylinder also under
forced vibration [168,169]. Results shown in Fig. 68 for two values of the
amplitude ratio show that the behavior of a square cylinder is similar to
a circular cylinder. Lock-in starts at about O.S/;, for both valuesof the ampli-
tude ratio. Surface pressure measurements [ 1681 on a squaresection cylinder
for several values of the amplitude ratio and reducedvelocity are shown in
Figs. 69a and 69b. A comparison has also been provided in Fig. 69 with
data of a stationary cylinder. Figure 69 shows that vibration has almost
no effect uponthesurfacepressureonthefrontface of thecylinder.
Therefore, any changes in drag willbe reflected by a change in the base
pressure. A comparison of Figs. 69aand 69b shows that the result of increas-
ing both the amplitude ratio and reduced velocity is to increase the back
pressure, which results in a reduction of drag on the cylinder. These results
Fluid-Structure Interaction 271
Figure 67 The ratio I, /(l for forced vibration of a circular cylinder. (From Ref. 165.)
i
0
6 7 8 9 IO 11 I2
Reduced velocity, U,,$
Figure 68 Lock-in of a square cylinder for two amplitudes of vibrations. (From Ref.
168.)
bodies and a different velocity field downstream of the array. The results
obtained from these investigations help to provide a mathematical model
for flow arising in several kinds of machinery (e.g., cascades of blades in
turbomachinery, pipes in heat exchangers or boilers, etc.).Because the com-
bination of geometries and their arrangements are numerous, only a general
nature of flow resulting from the array of the bluff body is presented here.
For a circular cylinder, an interesting result is that both in tandem and
across the arrangement, the pressure on the surface of the cylinder switches
betweentwostablepatterns (so-calledswitch phenomenon) [172-1771.
Anexampleoftheswitchphenomenon is shown in Fig. 72, indicating
the surface pressures of two cylinders placed in tandemand in contact with
each other [178]. The surface pressure on the two cylinders switch between
thesetwoprofiles. As theprofiles in Fig. 72 arenotsymmetricabout
any axis, the cylinders placed in this arrangement experience both drag
and lift forces.Thevariationof lift coefficient andinterferencedrag
coefficient as a function of cylinder spacing S is shown in Fig. 73 [ 1781. Inter-
ference drag is defined as the difference between the drag of the cylinders in
combination with the total drag of thecylindersmeasured in isolation.
274 Anwer
u4 6 IO 12
Figure 72 Surface pressures on two circular cylinders in contact with each other i n
across the arrangement. (From Ref. 178.)
Fluid-Structure 277
Figure 73 Effect of cylinder spacing upon lift and interference drag coefficients of
two cylinders placed across the arrangement at Re = 2 x lo5. (From Ref. 178.)
1 2 3 4 6
Cylinder spacing, VD
beyond which the length of the wakeas well as the widthof the wake become
invariant of the spacing of the cylinders. Figure 78 shows that the drag
coefficient drasticallydecreaseswiththeincreasein 6. Onceagainwith
6 > 40, the rise in the drag coefficient with the Reynolds number is almost
close to that of a single isolated cylinder.
Anwer
The geometry used most often to model the flow through cascades of
turbomachineryblades is that of multiple flat platesperpendicularly
blocking theflow, placed at tandem. For 50% a blockage ratio (areaof plates
to the total area of the tunnel), the drag coefficient as a function of the
Reynolds number [l801 is shown in Fig. 79. It is observed from Fig. 79 that,
for a low Reynolds number, when plates are placed close to each other, the
drag can be as high as six times that of an isolated plate. This is clearly
an indication that the spacing between turbine or compressor bladesis very
Fluid-Structure Interaction 279
Figure 76 Wake length downstream of a row of cylinders placed across the arrange-
ment as a function of the lateral spacing and Reynolds number. (From Ref. 179.)
Figure 77 Wake width downstream of a row of cylinders placed across the arrange-
ment as a function of the lateral spacing and Reynolds number. (From Ref. 179.)
critical, as the drag on closely placed blades could be several times higher
than those placed apart.
Investigations on arrays of rectangular [ 1271 and cubical elements
[l261 placed inside a turbulent boundary layer show that downstream of
280 Anwer
W i n d e r spacing, 6/D
the array. the vertical extent of the disturbance region remains similar to
that of a single element.However, thehorizontalwidth of thewake
may reach as high as three times that of a single element. Furthermore,
the friction coefficient downstream of the array is substantially lower than
that of a single element. These results further indicate that characteristics
of cascade of turbine and compressorblades would be substantially different
than that of a single-blade element.
2.4. CurvedSurfaces,CurvedDucts,andCurvedPipes
It was stated in Sec. 2 that most practical flows are extremely complicated,
so that their investigation becomes very difficult. Therefore, flow involving
several geometries of bluff bodies in different kinds of flow were discussed
in previous sections. These results help us to understand more complicated
geometries appearing in actual flow. On the contrary, flow over curved
surfaces and flow in curved ducts and pipes are cases which are applicable
to machinerydirectly,asthesestructuresare extremely common in
machinery.Flow inside heat-exchangerpipes, flow overpressureand
suction sides of blades, flow between blade passages, flow in intake ducts
Fluid-Structure 281
PI
1 2 4 6 810 2 4 6 8 100 2 4
Reynolds number, He
Figure 79 Drag coefficient of two flat plates placed acrossthe arrangement as a func-
tion of the Reynolds number. (From Ref. 180.)
K - 96 K = 606
The secondary flow moves from the inner bend (closer to the center of cur-
vature of the bend) to the outerbend (farther from the center of curvature
of the bend) along the plane of the bend, and it returns to the inner bend
through the top and bottom surfaces of the bend. As a result of the second-
ary flow, the maxima of the velocity profile is shifted toward the outer bend.
Schematic representation of the axial velocity contours and secondary flow
streamlines are shown in Fig. 80. The secondary flow superimposed upon
the axial flow results in a flow of helical nature in the top and bottomhalves
of the bend separately. These secondary flow cells are called Dean cells,
after W. R. Dean who first predicted these secondary motions in his theor-
etical analysis [ 181,1821. The flow is completely three dimensional within
the bend. The general nature of the flow as described here does not depend
on whether the geometry of the cross section of the bend is circular or
otherwise.
The theoretical analysisof Dean showed that the structureof the sec-
ondary flow in a curved bend depends on the dimensionless parameter Dean
number K, defined as
K=Re -
&h
where a is the radiusof the pipe (of half-widthof the duct),R,, is the radiusof
the bend, and Reis the Reynolds numberbased on a and the velocity in the
straight pipe (or duct). The Dean number can be interpreted as the ratio
Fluid-Structure 283
of the square rootof the product of the inertia force and the centrifugal force
to viscous force. Since the original investigation by Dean, flow in curved
pipes and ducts have received extensive attention. An overview of these
investigations may be obtained from the review articles written on this sub-
ject [ 183,1841.
Thethree-dimensionalnature of the flow within the bendsection
makes this flow extremely complicated for experimental investigation. Sev-
eral numerical investigations have been conducted both for curved pipes
and ducts, but experimental results are limited so that the results of these
numerical investigations have not been completely validated. Furthermore,
there are several variations of flow through curved pipes and ducts; for
example, the flow can be laminar or turbulent, the flow can be fully devel-
oped before entering the bend,or the flow may be allowed to develop within
the bend. Each of these variations of the flow produces different results.
Hence,acompletediscussion on flowin curvedpipes and ducts would
be very lengthy and not desirable here. Therefore, only some general fea-
tures of flow through curved pipes and ducts are presented.
As a result of the secondary flow set up within the bend section, the
maximum velocity shiftsfromthecenter of thepipe (orduct)toward
the outer bend. Extensive results are available foraxial and circumferential
velocities within the bend section for both laminar flow in pipes [185-1891
and rectangular ducts[ 190-1931, as well as turbulent flow in pipes [ 194-1991
and rectangular ducts [193,200]. These results include both experimental
measurements and numerical calculations.
The development of the axial velocity in bends of circular and square
cross sections for both laminar and turbulent flows are presented in Figs.
8 1 a-8 1 d. These results are atdifferent Dean numbers. Theshift of the maxi-
mum of the velocity toward the outer bend is obvious. These figures further
indicate that the axial velocity is perturbed by the curvature of the bend
immediately as the flow enters the bend. The shift of the velocity toward
the outer bend is almost complete by 90" into the bend. The axial velocity
does not change substantially after 9 0 into the bend.
A substantial amount of research has been conducted to decipher the
nature of the secondary flow in circular and rectangular sectioned bends.
The general nature of the secondary flow is that two helical cells are set
upwithin the bendsection,symmetricaroundtheplane of thebend.
Although the existence of secondary flow within the bend section is agreed
upon, there is wide disagreement about the nature of the secondary flow.
Besides a two-vortex Dean cell structure, a four-vortex Dean cell structure
has also been detected within the bend section. The four-vortex structure
has been observed both in a square sectionedbend [201-2061 and in a
circularsectioned bend [207,208]. Althoughmost of thework cited on
Anwer
Figure 81 Evolution of axial velocity within the bend section: (a) laminar flow in a
curved pipe[188]; (b) laminar flow in a curved duct [191]; (c) turbulent flow in a curved
pipe [194]; (d) turbulent flow i n a curved duct [200].
Fluid-Structure Interaction
286 Anwer
the second helical structure have been conducted numerically, these have
also been observed by flow visualization [209] and experimental measure-
ments [187,210,21 l]. What makes matter more complicatedis that whereas
some researchers have detected the second helical cell near the inner bend
[210,21 l], others have detected it nearthe
outer bend [187,191]!
Furthermore,althoughthe second cell has been reportedfortheDean
number range 145-852 [190,191], they have not been observed for Dean
numbers 500 and 1093 [ 1881.
Although several issues regardingthesecond helical cell remains
unresolved, it is generally agreed that the appearance of the second helical
cell is related to instability within the bend. This instability maybe triggered
by any internal or an external factor. Daskopoulos and Lenhoff [212] have
performedabifurcationstabilityanalysis to show that i n acircular
sectioned bend, a two-vortex cell structure is the stable helical cell structure
for a Dean numberbelow 956. This result is in apparent conflict with results
reportedearlier [207,208], whichhavereportedastablefour-vortex cell
structure for a Dean number below 956 [201,202]. The numerical investi-
gation of Daskopoulos and Lenhoff is conducted for a wide range of Dean
numbers. The variation of axial velocity, in terms of isovelocity contours,
and secondary flow streamlines with respect to Dean numbers are shown
in Figs. 82a-82d. These streamlines are for laminar flow at a 90 location
within thebend.The general natureof thesecond helical cell reported
for turbulent flow [l961 is similar to Fig. 82. Further confusion arises in
the numerical calculations of Daskopoulos and Lenhoff by the fact that
for a high Dean number, both a stable two-vortex solution and a stable
four-vortexsolutionarereported.These twosolutionsare shown i n
Fig. 83. Therefore,astherearemoreconfusionthananswersfor
thecase of second helical structure, further discussion of thematter is
avoided here.
The obvious effect of shifting of the velocity maxima toward the outer
bend is an increase in shear stress along the outer bend. Forflow through a
circular pipe bend, the behavior of friction factors for laminar and turbulent
flows are shownin Figs. 84a and 84b, respectively. These figures, reproduced
fromRef. 213, have been consolidatedfromdifferentinvestigationson
laminar [213-2161
flow turbulent
and flow [213-2191 for
15 < R[,/a < 2050. Figure84ashowstheratio C f ; / C t ;(where C,; is the
coefficient of friction in the curved section andCf<is the coefficient of friction
in the straightpipe section) as a function of Dean number for a laminar flow.
The rise in the coefficient of friction in curved section is remarkable. Figure
84a also shows that for each radius ratio, the flow becomes turbulent at
different values of the Reynolds number. In fact, with the rise in curvature
of the bend, the transition to turbulence is delayed. The critical Reynolds
Fluid-Structure
Axial
velocity
Contours
L
L
U
-
C
5
3
W L
W
C.
-
C
g
h
v
Secondal.y
veloclty
streamlines
Axial
velocity
conlours
- -
c-
L
W L
-
0 2
-
-
c
r
--
r
Secondary
velocity
streamlines
(U) Four-vorlex
solunon
Figure 83 Two-vortex and four-vortex cell patterns of flow through a pipe bend for
K = 5000. (From Ref. 212.)
vature of the bend. the straight pipe value is attained at a larger Reynolds
number. For the case of a turbulent flow through a circular pipe bend,
experimental measurements of shear stress [ 194,2201 along inner and outer
bends,usingawall-mounted hot-film probe, are shown inFig. 85. The
tremendous perturbation in shear stress caused by the curvatureof the bend
is apparent.
The coefficient of friction is indicative of the convective heat-transfer
coefficient. The variation of shear stress around the circumference of the
bend indicates that heat transfer around thecircumference of the bend will
not be uniform. Therefore, if hot fluid passes through the bend, transferring
heat to the wall, as the shear stress along the outer bend is higher, the outer
bend is expected to have a higher temperature than the inner bend; con-
versely, in boiler tubes, the inner bendis expected to have a higher tempera-
ture than the outer bend.
(a)
0
IO" I u' IO' 10'
Figure 84 Variation of coefficient of friction through a pipe bend: (a) laminar flow;
(b) tubulent flow. (From Ref. 213.)
290 Anwer
0
-20
- upstream
pipe
straight
-10
I
"
0
bend section "++
90"
downstream
pipe
straight
180"
l
10
-"
20
xlD Degrees xlD
Figure 85 Evolution of shear stress along the inner bend and the outerbend for
turbulent flow through a pipe bend. (From Ref. 220.)
0 l 1 I 1 1 I l I I
-50 -25 0 25 50 75 100 125 150 175
-100 -50 U 30
Distance in flow direction, x/&
3. FLUID-STRUCTUREINTERACTION:APPLICATIONS
In both the axial turbine and the axial compressor, the active stage is
therotorstage.Fluid is compressed,ormechanical energy is extracted
in the rotor stage. Therefore, the thermodynamic analysis of a compressor
or a turbine is concentrated on the rotor stage. In an ideal analysis, the
backbone of thisthermodynamicanalysis is the velocity diagrams.An
example of a velocity diagram is shown in Fig. 90. The different quantities
shown in Fig. 90 are defined as follows:
U I= the absolute velocity of the fluid exiting from the nozzle (or IGV)
M'I = the relative velocity of the fluid as received by the rotor blade
V8
U? = the absolute velocity of the fluid leaving the rotor (the stator stage
receives the fluid at this velocity)
M'? = the relative velocity of the fluid leaving the rotor
v0 = the circumferential velocity of the rotor
v, = the axial velocity of the fluid through the turbine (or compressor)
= the nozzle exit angle; the blade inlet angle; the angleof the absol-
ute velocity of the fluid which leaves the nozzle (or IGV)
p2 = the blade exit angle; the angle of the absolute velocity of the fluid
leaving the rotor
yl = the inlet air angle; the angle of the absolute velocity of the fluid
which is received by the rotor
72= the exit air angle; the angle of the relative velocity of the fluid
leaving the rotor; the blade of the next stator stage receives the
fluid at this angle
Figure 90 is shown for an axial turbine. The velocity diagram for an
axial compressor is similar, except that the direction of 1'0 would be opposite.
In the ideal analysis,it is assumed that thefluid leaves the blades of the
stage tangentially. The work doneby the turbine (or work absorbed by the
compressor) is calculated by consideringthechange in themomentum
of the fluid entering and leaving the rotor stage. The ideal work is deter-
mined to be
W = vo(u1 sin + U? sin ,!l2)
or
= v,J(M,~sin y1 + "2 sin y2)
or
= vov,(tan y2 + tan 7 , )
or
= v,)v,(tan ,!lI + t a n [L)
The ideal stage efficiency is obtained from
&b =
+ (W; -
(24; - U;) \l$
2
4
;+ (W; - W);
The primary feature that makes an actual flow through blade passages
substantially different than the ideal model is viscosity. Because of the vis-
cosity of real fluid, the boundarylayers are developed on all surfaces inside
the blade passage. These surfaces include the concave pressure side,the con-
vex suction side, thebase, and the hub surfaces. These boundary layers have
laminar, transitional, and turbulent characteristics.AS some of these bound-
Fluid-Structure 297
I S
Figure 92 Variation of the exit velocity and its direction over the height of the blade.
(From Ref. 244.)
NACA 65(13.4,0)10
, XACA 65(12A,o)10
p 60,0
= = 1.25 (3 = 60,(r = 1.25
l
1
i
i
i
( U ) U:'
70 40
16.1"
60 SO 100 0 20 10 60
l
SO 100
Percentage chord Percentage chord
Figure 93 Velocity ratio of flow through the blade passage as a function of chord
length for two angles of attack: (a) LY = 16.1' ; (b) LY = 24.1 .
pressures on the blade are almost the same. However, the surface pressure
changes drastically for the higher value of the Reynolds number. Moreover,
the change is more prominent on the suction side of the blade. Furthermore,
with thechange in Machnumber,thesurfacepressure profilebecome
steeper over the suction side. This information is important in gas turbine
application, where the velocity of gases is nearly sonic and compressibility
effects cannot be neglected.
The variationof drag coefficient as a function of the angle of attack is
shown in Fig. 97. These experimental measurements [249] show that the
drag coefficient decreases with the increase in the angleof attack, and then
increases again. For the case shown in Fig. 97, the minimum drag coefficient
is obtained when 2% 16". The increase in drag coefficient at low and high
angles of attack is associated with stalling of the blade. At a low angle
of attack, the blade stalls on the pressure side. whereas at a high angle
of attack, the blade stalls on the suction side. Figure 97 further shows that
with real fluid, the blade performs better when the fluid arrives at an angle
of attack.
Fluid-Structure 303
U
m
..
35 40 45 50 55 60
Air inlet angle, PI (deg)
Figure 94 Variationof the air outlet angle as a hnction of the air inlet angle for
different Reynolds number. (From Ref. 250.)
n. o 0.5 IO 0.5
Ratio of distance along chord, */c
Figure 95 Pressure coefficients on the blade surface as a function of the air inlet
angle: (a) Dl = 95.; (b) P, = 115'; (c) /lI = 125 . (From Ref. 241.)
Figure 96
Ratio of distance along0.0E l
chord, r k (b) ,\.la = 0.7
The effect of Mach number and Reynolds number upon surface pressure
of a turbomachinery blade. (From Ref. 241.)
Fluid-Structure Interaction 305
x NACA 65(12A10)10
p = 60, U = 1.25
G -
M-
C
.-
c)
0
E"-
QJO
0
U
2WJ
12 16 20 24
Angle of attack, a (deg)
-S
9
0
- 0
0.0 0.4 0.8 I .2 1.6 7.0
S >
0.0 0.4 0.8 1.2 1.6 2.0 2.4 1.8 3.2
Lift coefficient, C/ Lift coefficient, C,
Figure 98 Drag coefficient as a function of the lift coefficient for different solidity
ratios: (a) /ln = 90 : (b) /In = 30'. Blade section NACA 8410.
c:
N
0= 1.5
._
-0.1 0.0 0.1 0.2 0.; -0.1 0.0 0.1 0.2 0.3 0.1 0.0 0.1 0.2 0.;
Angle of attack, a (rad) Angle of attack, a (rad) Angle ofatrack, a (rad)
Figure 99 Variation of the lift coefficient as a function of the anglc of attack for
different solidity ratios, p = 45 . (From Ref. 239.)
measurements are for inlet air angle /l = 45". Figure 99 clearly shows that
within the unstall limit, the lift coefficient is proportional to the angle of
attack. With the decrease in solidity,the rate of the increase of the lift
coefficient with the angle of attack increases and the limit of the stall angle
decreases.Figure 98 alsoshows that, at least for low angles of attack,
the inviscid model for the prediction of the lift coefficient is not too far
experimental measurements.
Figure 100 shows the variation of life coefficient as a function of the
stagger angle and solidity ratio. Increasing the stagger angle while keeping
thesolidity ratiothesamehastwoopposing effects. Ononehand.as
the stagger angle increases. the lift coefficient of the blade increases. At
the same time, the blade stalls at a lower angle of attack. This is because
as the stagger angle increases, the blockage to flow increases. This means
that the fluid will have to change direction within the blade passage faster.
This causes thefluid to accelerate ordecelerate at a higher rate, thusleading
to early separation.
On the other hand, keeping the stagger angle the same, the effect of
increasing the solidity ratio also has two opposing effects. On one hand,
with the increase in the solidity ratio, the rate of the increase of the life
coefficient with the angle of attack decreases, hence the lift on the blades
decreases. At the same time, the blade stalls at a higher angle of attack.
Increasing the solidity ratio while keeping the stagger angle the same helps
to guide the fluid through the blade passage more efficiently, hence separ-
ation is delayed.
l4t1h-c of hlrdes. As discussed in earliersections,a wake region
develops downstream of any bluff body. The recovery of the velocity in the
wake may take considerable distance downstream of the body and generally
depends on the geometry of the body. In the caseof turbomachinery, a similar
Fluid-Structure Interaction 307
2.0
C
.2 zi
g;
0
L
50'
=:
0
) /
I
I
/
piI
I
I
I
I
I
I .o
_Ic
2 I
Figure 100 Variation of the lift coetticient as a function of the angle of attack for
different stagger angles and solidity ratios. (From Ref. 239.)
308 Anwer
wake region develops downstream of the blade. It takes some distance for the
velocity to recover. This information is important, especially inmachines
where there are multiple stages. The fluid near the surface of the blades must
be allowed to gain some of its momentum back before it is allowed to pass
through the next stage. If the momentum of the near-wall fluid is less, sep-
aration becomes easier. The development of the axial velocity in the wake
of a blade is shown in Fig. 101. Figure 101 shows numerical calculations [253]
along with comparison of experimental measurements [254] for three angles
of attack.This figure shows thatthe velocity developmentimmediately
x 'P
P
I IP
Figure 101 Recovery of the axialvelocity in the wake of a turbomachinery blade: (a)
a = 2 ; (b) a = 0 ; (c) CI = -6 . (From Ref. 253.)
Fluid-Structure Interaction 309
U
A
-0.3 -0. I5 0.0 0.15 0.3
Spanwise distance,y/c
downstream of the blade is slower' for the negative angle of attack. However,
for all three angles of attack, the velocity develops by an appreciable amount
by xIc = 0.56. Furthermore, it is also clear from Fig. 101 that numerical tech-
niquesarequitecapable of predictingtheactual velocity developmentin
the wake of a blade.
One of the mainobjectives of investigating flow through bladepassage
is to determine the losses within the blade passage. Losses associated with
flow within a blade passage consistsof losses in the nonseparated boundary
layer, of additional losses due to separation, andof losses due to turbulent
Anwer
(C) CY. = -6
mixing i n the wake. Losses within the blade passage are quantified in terms
of the loss coefficient c,., defined as
0 0.8 1 .G 7.4
Solidity ratio, o
Figure 102 Loss coefficient as a function of solidity ratio for different values of air
inlet angles and deflection angles. (From Ref. 249.)
shown in Fig. 102, shows the loss coefficient as a function of the solidity
ratio. three values of angle of the incoming flow, and four values of the
deflection angle. The figure shows that for low values of the solidity ratio,
the loss coefficient asymptoticallyapproaches infinity. There is a value
c,.
of solidity ratio were is minimum. As S increases beyond this is increases
gradually. The reason for this is that when the number of blades is low,
S is high; the blades are susceptible to separation on the suction side. As
the number ofblades increases, (T decreases. The passage between the blades
act as a guide for theflow, hence stabilizing the flow on the suction surface;
as a result, separationis delayed and Cl.decreases. As D continues to decrease
further,strongersecondary flows are set up within the passage,which
312 Anwer
( b )Re = 4 x IO'
I
Figure 103 Loss coefficient as a function of the airinlet angle forfive airfoil shapes at
two different Reynolds numbers. (From Ref. 242.)
v
0.0 0.3 0.G 0.9
Mach number. Ma
Figure 104 Loss coefficient as a function of the Mach number for five airfoil shapes
at two different Reynolds numbers. (From Ref. 242.)
Figure 105 Loss coefficient as a functionof the Reynolds number for Ma=0.3.
(From Ref. 242.)
0.9
Figure 106 Loss coefficient as a function of the Mach number for three values of the
Reynolds number. (From Ref. 242.)
x10
Reynolds number, Re
Figure 107 Effect of the turbulence level of the inlet stream upon the loss coefficient
as a function of the Reynolds number for Ma = 0.5. (From Ref. 242.)
1 I
Figure 108
0.5 0.8
lI .o 2.0
Reynolds number. RC,
flow. These secondary flows are called the corner flow, the circulatory flow,
andtheclearance flow, respectively.Thesethreesecondary flows are
superimposed on the two-dimensional flow through the passage. It is quite
clear that theresulting flow is extremely complicated. Several attempts have
been made for theoretical modeling of the secondary flows, with limited
success [267]. The secondary flows cause considerable losses, because their
kinetic energy is lost and adds to the wake losses. The secondary flow in
many cases amounts toalmost 5Ooh of the total losses [268]. Factors affect-
ing these losses are blade height, boundary layer thickness of the incoming
flow, the profile of the incoming flow, the shape of the leading edge of
theblade,andthetipclearance. As aresult of thesesecondary flows,
the losses are not uniform across the cross section of the blade passage.
Results of measurements [242] show that the losses are considerably higher
318 Anwer
Figure 109 Effect of the artificial production of turbulence upon the loss coefficient
as a function of the Mach number: (a) Re = 1 x IO5; (b) Re = 4 x lo5.(From Ref. 242.)
near the walls. These losses are caused by premature separation influenced
by secondary flows.
Limited informationregardingsecondary flow is availablefrom
measurements [250]of the four test conditions shown in Fig. 110. The figure
shows that the secondary flow is mostly negative near the wall. The intensity
is not very high, but, more importantly, the secondaryflow redistributes the
profile of the axial velocity near the wall substantially.
eraction Fluid-Structure 319
a = O.8,chord = 13 cm
o a o v
0, 20.4' 48.3' 55.5" 562"
U, 44.9
44.6 46.8 41 mk
Re 3.S9 4.05 4.26 4 2 s x 10'
IJ, -23.8'' 20.9' 14.6" 24.4'
3.3. Stall
As statedearlier,stalling is associatedwiththeseparation of flow on
machines or their elements. Surfaces with convexcurvature, such as airplane
wings andturbomachinery blades, andmachineelements withsudden
expansion,suchasvanelessdiffusersandpassages between blades in
turbomachinery,are highly susceptible to flow separation.Stalling is a
majorconcernfor allthesemachineelements.Thissectiondealswith
stalling in turbomachinery only.
Stalloccurs in turbomachinerywhen an adversepressuregradient
causestheflowtoseparateoverthesuction side of theblade.Once
separated,theshearlayer is highly unstableandthe flow can rapidly
undergo the transitionto turbulence. The turbulentflow entrains morefluid
than the laminar flow, and as a result, the turbulent shear layer bends toward
the solid wall, causingthe flow to reattach as a turbulent boundary layer. A
320 Anwer
stays separated, but theflow reattaches to the surface as the turbulence level
is increased.
The effect of a 1.S9 : 1 elliptic leading edgeis shown in Figs. 11I C and
11 Id. Figure 11 I C shows that theleading-edge separation is greatly retarded
even for a turbulence level of less than 5%. It was observed at angles of
attack of 4" and 5", although the flow was separated for a circular leading
edge. However, for an elliptic leading edge, the flow remains well attached
to the surface. In the case of a circular leading edge, the effect of raising
the turbulence level of the incoming flow is mainly to help the flow reattach
to the surface. There was no substantial increase in the surface pressure
of the airfoil. On the contrary, for an elliptic leading edge, the effect of
increasing the turbulence level of the incoming flowis a drastic increase
in the suction pressureof the leading edge, along with the almost disappear-
ance of the separation bubble, which means that the flow remains com-
pletely attached to the entire surface of the blade.
As thebladesoftheturbomachinerystall,observations in an
axial-flow compressorhavedemonstratedthattheregions of separated
or reversed flow arenot axiallysymmetricbutoccur in moreor less
well-defined patches around the circumference of the compressor annulus.
The regions of retarded flow remains approximately the same shape and
are propagated circumferentially with a velocity proportional to the speed
of the rotor. These stalls are called "rotating stalls." The rotating stall
has been explained as successive stalling and unstalling of bladesin a rotor
or cascade. Referring to Fig. 112, the stalled blade channel offers a high
resistance to the flow through the cascade, and the approaching flow tends
to be diverted to each sideofthestalledregion. The incidenceangle is
reduced to the left of the stalled blades and increasedto the right. This tends
to stall the next blade on the right and unstall the last blade on the left.
Hence, the stalled region moves to the right. Apparently, as the average
flow angle of a cascade approaches stalling, the preferred flow pattern is
one with groups of blades severely stalledalternatingwithgroups of
unstalled blades rather than a uniform stalling of all blades. The flow pro-
cess involved can be termed unsteady only within the individual blade pass-
age of the affected blade rows. Across any flow annulus throughout the
length of the machine, the flow rate stays constant with time.
To analyze stalling in annulus of turbmachinery, a flow coefficient C,!.
and pressure coefficient C,, are defined as
Mass flow
c,,,= Flow when mean actual velocity equals tip speed
Total pressure increase across rotor
c" -- Dynamic pressure corresponding to rotor tip speed
0.0 5.0 10.0 15.0 20.0
Distance along airfoil, 2.dl
Figure 111 Effect of angle of attack upon the separation on the blade: (a) circular
leading edge, turbulence level 15%; (b) circular leading edge, turbulence level 5%;
(c) elliptic leading edge, turbulence level 15%; (d) elliptic leading edge, turbulence
level 5%. (From Ref. 273.)
Fluid-Structure 323
Unstalled blades
.
1 """
.,..:.*:.;
.... ........
.:.:.>
$~~.~;.'
.: j:
- - "_"
,,+S:?$?
..:.:<
.
....
.........
.. .. .
?
"_
Stalled blades
Whenthecompressorcharacteristicsareplottedagainstthesetwo
parameters,thecharacteristicsatallspeedscollapseononecurve.An
example of such curve is shown in Fig. 1 13. Because the Reynolds number
based on the chord length is of the order of lo5 and the Reynolds number
based on blade thickness is in excess of lo4, the effect of the Reynolds
number is minimum [274]. Toward the high end of C,, the operation of
the compressoris stall-free. As the throttleis closed, C, reduces and a peak
in C, is observed. This peak is identified as the surge limit. Below the surge
limit, a rotating stall is set up. For very low values of C,, the compressor
operates in complete stall condition. The pressure rise curve at the surge
limit might take on one of the two forms. In one case, the onset of stall
is smooth, and no discontinuity in pressure is observed; in the other case,
there is a discontinuity both inC, and C,-the discontinuity in C, exceeding
20% of thepeakpressure coefficient [274]. The C,-versus-C, curve
demonstrates a hysteresisat the surge limit, showing that the curve follows
a different path for decreasing and increasing throttle. is difficult
It to predict
the nature a priori.
There is a controversy about the number of rotating cells within the
annulus [275]. Figure 113 also shows [274] that depending upon C, and
other flow conditions, anywhere from onefive to cells may be rotating within
the annulus. In a different investigation[276], it was found that depending
upon C,, one, two, or three rotating stall cells are observed within the
annulus. These structures of flow appear for a very narrow range of flow
coefficient and are very stable. One cell appears for 0.39 < C,, < 0.4, two
cells for 0.37 < C,,, < 0.39, and three cells for C,,,< 0.37. An alternating pat-
Fluid-Structure 325
0
0.0 0.25 0.5 0.75 1 .o
Flow coefficient, C,
Figure 113 Pressure coefficient across the stage as a function of the flow coefficient
for a blade passage. Also shown is the number of rotating cells. (From Ref. 274.)
tern of stall is more stable than anaxially symmetric stall. The strong retar-
dation of the flow in the stalled region causes an increased flow rate, hence
an unstalling tendency over the remainder of the annulus. The blade tends
to stall near the hub.
An example [274] of the structure and the circumferential extent of the
stall cells is shown in Fig. 114. As the throttle is closed, the circumferential
extent of the stall cells continues to grow linearly. The structure changes
326 Anwer
Flow coefficient, C,
gradually from small widely spaced cells to multicell regime to large widely
spaced cells-to complete stall. The change of the stall cell structure from
one structure to another structure can be sudden or gradual [274].
The speed of the rotatingcells depends onwhether the stallis partial or
complete.The speed of partialstall cells have been measuredas 0.38~0
(where (U is the rotational speed of the rotor) in the direction of the rotor.
The propagating speed of full stall cells is 0 . 2 6 ~which
. is comparable with
a speed of 0 . 2 5 ~obtained in an earlier investigation [277]. The speed of
the rotating cells does not seems to depend strongly on the flow coefficient
or the number of cells rotating within the annulus [275].
There are somedefinite geometric and aerodynamic requirements that
must be achieved by an operating cascade before rotating stall will occur.
The requirements for obtaining rotating stall might be divided into three
basic categories: ( 1 ) aerodynamic andflow qualities, (2) cascade geometries,
and (3) stability factors. In addition, a stimulus or initiating trigger must be
considered a necessary factor [278].
The major flow qualities break down primarily into the magnitude of
the blade relative flow velocity and the cascade incidence angle. It has been
demonstratedthatthere is aminimum velocity below which stalldoes
notoccur [276]. I t is reasonabletoassumethatthere is an upperlimit
of velocity at which the blade passage is choked so that the transportmech-
anism does not work [278]. This means that for each cascade, there is a
Fluid-Structure 327
range of velocity for stall to propagate. This range may or may not with vary
incidence angle. The stall point of a cascade is a function of the detailed
geometry of the blades andthe
blade row
assembly as well as
boundary-layer and free-stream flow conditions. The operating Reynolds
number, compressibility effects, and the flow turbulence level are highly
influential factors.
The cascade geometryis extremely important in determining whether
propagating stall is possible. The blade mustbe packed so closely that aero-
dynamic characteristics do not reflect directly the isolated airfoil perform-
ance of anindividualblades.Inotherwords, if the flow transport
mechanism is tofunction, thebladepassage flow must be sensitive to
stalling, or flow separation, of the blades that form the passage. It has been
demonstrated that reducing the solidity virtually eliminated the multiple
rotating stall problem[274]. This would imply that there is a minimum value
of solidity below which rotating stall cannot occur in a cascade of a par-
ticular blade section and stagger [278].
The clearance between the tip of the blade and the hub is another
factor affectingstall characteristics [279]. Astheclearance is increased,
the blade as a whole stalls at a slightly higher inlet angle,although the maxi-
mum static pressure increase across the cascade does not increase. The direct
influence of clearance is concentrated in a region near the clearance whose
magnitude is of the orderof 25%) of the chord. Furthermore, as the clearance
is increased, the region that can withstand the highest angle of attack before
stalling moves slightly from the tip toward the root of the blade.
Stabilityfactorsforrotatingstallareprovided by uniformityof
pressures, massflow distribution, and symmetryin the geometryof the pass-
age parts.
It should be noted that because the blade design varies spanwise in a
typical blade row of an axial compressor, a portion (root or tip) of the blade
will stall before the rest. The subsequent redistribution of flow the then tends
to inhibit stalling in the remainder of the span, thus sharpening the bound-
ary between stalled and unstalled regions. The actualflow through the com-
pressor row, or cascade, consistsof part good flow and part separated flow.
The loss coefficient in the two sections are different.
Damping of therotatingstall is achieved not only by aero-
dynamicallyunstalledstagesbutalso by combinations of bladerows
desiring to instigate a different rotating stall pattern. This creates an insta-
bility of pattern, which causes an intermittent jumping or hunting between
two stall patterns.Airfoil geometry appears tobe another highly significant
factor. It is possible to operate a stage in which rotating stall does not
occur [280]. The unusual feature of the stage is that the tip section had
a very high camber.
328 Anwer
3.4. Cavitation
As the volume of a given mass of gas increases, the pressure exerted by the
gas decreases. Nevertheless, the pressure remains positive; however, large
the volume may be. The same is not true for liquids, owing to a quite dif-
ferent form of their equations of state. Liquids havea very small coefficient
of compressibility, such that a small change in volume is associated with
a very large change in pressure. Under such conditions, it is possible math-
ematically thatpressureatanylocation within the liquid will become
negative. Analyzing the Bernoulli equation
7
1
p+,+,/, =C
P -
where C is a constant throughout the liquid, it is not difficult to note that
the pressure p will become negative at locations where the local velocity
exceeds J-. I n practice, however, liquids are not able to withstand
thetension of negativepressure. The state of theliquidchanges to the
gaseousphase andtendstoform cavities of vapor, which expandand
relieve the negativepressure. Thecontinuity of liquid is thenlost and
thedescription of the flow involvesposition andmotion of cavity
boundaries. The formation and subsequent history of such cavities consti-
tutesthephenomenon of cavitation.Tests on liquids at restshow that
the tendency toform cavities when pressure is reducednearly tozero
is associatedwiththecontinual presence of nuclei which are believed
to be tiny pockets of undissolved gas-some liquid vapor is certain to exist
in small pockets. But gas-usually air-appears to be the more essential
element for cavity formation.
Understanding cavitation is extremely important for machines hand-
ling liquids. Cavitation results in a drop of hydraulic efficiency, increases
damages to machinery, induces vibration in machines, and increases noise
generated by the machines. Cavitation occurs when the minimum pressure
within the flow at any locationis approximately equal to the vapor pressure.
Generally. there are three mechanisms which may lead to such a conditionin
machinery handling liquids. These are as follows:
(a) The pressure on the suction side of a pump may fall below the
vapor pressure of the liquid at the local bulk temperature. In
such a case, the liquid in the entire inlet piping cavitates.
(b) I t was discussed in earlier sections that the lower pressure is influ-
enced by the curvature of the surface (e.g., curvature of the lead-
ing edge of anairfoil).Cavitationmay be initiated by low
pressure influenced by such a structure. This is the cause for cav-
itation from the tip of an underwater propeller.
Fluid-Structure 329
(c) It was discussed in Sec. 2.1.6 that the local pressure downstream
of a surface-mounted elementis substantially lower than the sur-
rounding fluid. In a machine handling liquids, it is possible to
have unwanted nicks, scratches or surface irregularities on pipe
walls or blade surfaces. Such features on surfaces occasionally
cause the local pressure to fall below the local vapor pressure,
resulting in cavitation.
Experience has shownthat if a body is sufficiently smooth, the onsetof
cavitation can be adequately determined from the theoretical value of the
minimum pressure. The onset of cavitation is described by the Thoma par-
ameter [281], defined as
where h,, is the suction head andH is the total head across the machine. This
description of onset of cavitation is defined for the overall cavitation of
machines. For local cavitation in machines, the onsetof cavitation is defined
by the incipient cavitation number, G,, defined as
where p is the local pressure, p,. is the vapor pressure at bulk temperature,
and v is the local velocity. One can define a minimum pressure coefficient
1pvL
2
wherep,,, is the minimumpressure in the fluid. In thefield of cavitation, it is
usually assumed that at the state of incipient cavitation, the minimumpress-
ure is equal to vapor pressure. Furthermore, it is assumed that small vapor
bubbles do not alter materially the pressure field from that obtained from
thenoncavitating-flowregime. From theseassumptions, it follows that
(T,= C,,,,,,".In most instances, the fundamental theoryof incipient cavitation
has proved tobe correct. However, extensive experiments on bodies in uni-
formstreamhaveindicatedthat (T,< C,,,,,,,,[282]. It is thoughtthatthe
departures from vapor pressure are due to theso-called time effects associ-
ated with the growth of a vapor bubble to macroscopic size.
It has been very difficult to determine any general functional behavior
for cavitation. For some structures, cavitation depends on the Reynolds
number; for others, the Reynolds number does not have any effect. It is
330 Anwer
X 1 Oj
Figure 116 Inception cavitation number as a function of the Reynolds number for
cavitation from a circular disk. (From Ref. 282.)
growth of the bubble, (2) filling, and (3) break-off from the surface. The life
cycle of these bubbles have been estimated to be 0.003 S [285].
As mentioned earlier, cavitation may be influenced by unwanted sur-
face irregularities. These surface irregularities may be nicks or scratches
ormismatch of matingparts.In machineshandlingliquids,these are
one of the major concerns for avoiding cavitation. Thedesign of the entire
machine does not anticipate these surface irregularities, but these appear
as a matter of practical effects. Results of the artificial inception of cav-
itation [286] and the effect of the pressure gradient of the boundary layer
[287] upon artificial inception of cavitation are shown in Figs. 117a and
117b. These figures show the effect of h l d (where h is the height of the
protrusion and dis the boundary-layer thickness) on theincipient cavitation
number for circular and triangular protrusions. Figures 1 17a and 1 17b show
thatfor a circularprotrusion of heightequal totheboundary-layer
thickness,theincipientcavitationnumberincreases by afactor of 3.
For a triangular protrusion,, the increase is almost a factor of 6. For both
332 Anwer
Figure 117 The eKect of the pressure gradientof the boundary layer on the inception
cavitation number as a functionof the relative height of the isolated structure for arti-
ficial inception of cavitation: (a) circular protrusion;(b) triangular protrusion. (From
Ref. 287.)
0 1 2 3
Distance downstream ofcavity startingpoint (ins)
Figure 118 Pitting per second in the vicinity of a cavlty of two lengths. (From Ref.
283.)
Figure 119 The value of exponent II inrelation r,, 0: V'' as a function of hours of
operation. (From Ref. 293.)
Fluid-Structure 335
4. CONCLUSION
Within the bend section, shear stresses undergo radical change. The
shear stress increases along the outer bend and decreases along the inner
bend. Turbulence generation is enhanced along the outer bend and sup-
pressed along the inner bend. In some cases, the transition to turbulence
may also be suppressed. As bends are extremely common in heat exchangers
and boilers, these results indicatethat heat-transfer characteristics should be
given due concern in these machine elements.
Discussion on developmentof flow over curved surfaces indicate that a
concave surface has a destabilizing effect on the flow, and a convex surface
has a stabilizing effect on the flow. Shear stress is reduced on a convex sur-
face and increased on a concave surface. These results demonstrate that
heat-transfercharacteristicsontwosides of a turbomachinebladeare
remarkably different.
The discussion in this chapter indicates that the fluid-structure inter-
action in a machine is influenced by local factors and parameters. The par-
ametersdeterminingthe
characteristics of the flow are enormous.
Therefore, to understand the nature of the fluid-structure interaction in
a particular machine, it is necessary to consider the parameters, factors,
and conditions peculiar to that particular machine.
REFERENCES
10. H. Hashimoto and0. Sano, Stokeslets and eddies in creeping flow, Ann. Rev.
Fluid Meclt., 12:335-363 (1980).
11. A. E. Perry, M. S. Chong and T. T. Lim, The vortex shedding process behind
two dimensional bluff bodies, J . Fluid Mech. 116:77-90 (1982).
12. J. H. Gerrard, The mechanics of the formation regionof vortices behind bluff
bodies, J . Fluid Mech., 25:401413 (1966).
13. D. J . Tritton, Experiment on flow past a circular cylinder at low Reynolds
number, J . Fluid Mech., 6:547-567 (1 959).
14. H. Takami and H. B. Keller, Steady two dimensional viscous flow of an
incompressible fluid past a circularcylinder, Phys. Fluid 12(Suppl II):51
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Fluid-Structure 351
Prapoj Phataraphruk
Honeywell, Phoenix, Arizona
1. INTRODUCTION
1.1. ButterflyValves
355
356 Phataraphruk
1.2. PoppetValves
A poppet valve uses a metal disk to open or close the valveby inserting the
disk into the flow stream, as shown in Fig. 2. The disk and shaft assembly
is usually called a poppet. Typically, the pressure force on the poppet is
designed to be statically balanced. The relationship between the position
of the valve and theflow area is not as linear as isit with the butterfly valve.
This canbe a problem for valves which needto close slowlyto prevent water
hammer. The advantage of the poppetvalve overthe butterflyvalve is that it
can be made leak-tight because the valve sealsdirectly against the valve seat.
Most of the poppetvalves havea bellows to provide sealing and spring rate.
Thus, the failure of the bellows during the vibration could occur if the
bellows surge frequency matches the frequency of the input vibration.
1.3. BallValves
There are two types of ball valve: full ball valvesand segmented ballvalves.
Figures 3 and 4 show the configuration of these valves. The advantage of the
ball valves is that theflow passage has no restriction when isit in the open
position. Therefore, it can achieve a higher flow rate than any other type
of valve in an identical flow line. These valves are used extensively in
Structural Dynamics of Flow Control Valves 357
1.4. GateValves
Figure 5 shows a typical gate valve configuration. This typeof valve iscom-
monly used in industrial applications and aircraft fuel systems. Thevalve is
a linear-stroke mechanism. The sliding flat surface gate seals against a face
seal. To open the valve, the gate retracts from the flow stream; therefore,
the valve can be thin, but it has to be high so that the gate can be fully
retracted. For example, a 6-in. gate valve must have a height of 18 in.
For ahigh pressure, the gate must be thicker than the butterfly plate because
it has the flat surface; thus, the valve can be as heavy as the ball valve.
, ///l ' - ,
-$,)..l/ .,
* , / / . x ,
/,
Figure 6 Split-flappercheckvalve.
Figure 7 Single-flappercheckvalve.
because it has fewer stagnation areas where ice can form. In line sizesaround
1 in.,the single-flapper check valve haslowerpressuredropthanthe
split-flapper check valve.
A poppet check valve configuration is shown in Fig. 8. The primary
advantage of this valve isthat it can resist vibration-induced damage better
than the split-flapper checkvalve. The umbrella poppet valve, shown in Fig.
9, is used primarily in low-flow control circuits that require zero reverse
flow. These valves are also effective in keeping washwater and rainwater
out of control vents.
Structural Dynamics of Flow Control Valves 361
2. DYNAMICLOADS
In designing the valves, there are many areas that must be considered, such
as performances, materials. operating conditions, static loads (such
a s proof
or burst pressures), and dynamic loads.In this chapter, we will consider the
dynamic loads associatedwith mechanical vibration, as this typeof loading
is one of two primary factors in low-cycle and high-cycle fatigue f ci I lures
invalves. Theotherprimaryfactor is shockloading.Vibration is the
oscillating motion of a system abouta reference state.Themechanical
vibration occurs a s a physical displacement in space as evidenced by sight
touch, and, indirectly, by sound. Two type of vibrations will be discussed
in the chapter: sinusoidal and random vibrations.
2.1. Sinusoidal
Vibration
2.2. RandomVibration
t"--- 7 Penod,T 1
and is called the first nmnent of the mean. The mean value of a random
function can be measured by a full-wave rectified voltmeter (see Fig. 13).
The mean square valueof the random function, or the second moment
ofthe mean. is analogous to the moment of inertia in engineering mechanics.
The mean square value is very useful because it is proportional to power or
energy.Measuringthemeansquarecan be accomplished by a true
voltmeter.Therootmeansquare is obtained by takingthesquareroot
364 Phataraphruk
of the mean squarevalue or the square root of the total area under the
power
spectrum curve. As a result, the acceleration in the random vibration is in
grins. In most cases, theg,,, and the standard deviation (la) are equivalent.
The distributionof mean power with frequency inrandom vibration is
called the power spectral density with a unit of $ / H z Figure 13 shows a
power spectral density curve. The power spectral density contains the same
information in the frequency domain as the autocorrelation contains in
the time domain. In fact, the two are Fourier transforms of each other.
A random wave is assumed to be stationary if its primary statistics do
not vary with time. The significance of a stationary random wave is that
a valid sample can be obtained at any time during the sequence of a test.
2.3. Shock
Recently, shock loads, such as pyroshock, transportation shocks, and drop
test, are included in valve specifications. Shock can be described as a rapid
load applied to system
a for ashort durationof time (i.e., a transient random
Structural Dynamics of Flow Control Valves 365
vibration). The shock can be expressed either in the time domain or in the
frequency domain. When the frequency domain is used, the shock is called
the shock response spectrum(SRS). A detailed discussionof shock response
will be included in the following section.
3. DESlGNlANALYSlS
3.1. Design
Considerations
3.1.2. Requirements
A complete understanding of the valve requirements, such a s weight, line
size, andmaximumoperatingtemperature, is necessary to assure that
all importantfactors have been considered.Theserequirementscan be
i n the form of military specifications, customer specifications, or govern-
ment regulations.
3.2. Analytical
Methodology
\ 12 dbloct
Using Table 1, the area under the 12-dB/octave curve (see figure) is
given by
[
Area = 0.5g~fi 1 - ($)l
where g1 = 0.3giHZ.ji = 1390 Hz, andfi = 2000 Hz. Here, the resulting
area is 107.8g. The flat part of the curve
has
an
area of
0.3( 1390-47) = 402.9g. The g,,, is obtained from the square root of the
total area under the curve; g,,,,, is 22.66g.
Further analysis to obtain predicted response can be performed by
either hand calculation using Miles equation or by finite-element analysis.
3.2.2. Handcalculation
UsingtheMiles equation is aquick way to obtain resultsforasimple
system.Theprediction of theresponse is close to thetestresult when
the frequencyused in the equationis the dominant frequency. Most butterfly
valves have fundamental frequencies between 200 and 400 Hz. The ampli-
fication factor (Q) depends on howthe valve is supported. Typically, Q
ranges from 15 to 20. The Miles equation can be written as
370 Phataraphruk
- -
n
S n
I I
c
U U
>lm ml:
-
I
U
Cl m * 'A W P 00
W m
Dynamics
Structural of Flow Control Valves 371
COMPARISON
OFPREDICTED
AMPLIFICATION
FACTOR(Q) . .
25
20
15
10
0
0 100 200 300 400 500 600
FREQUENCY (HZ)
In some cases, the input power spectrum is not in the same plane as the
vibration table. I n such a case, it is required to transfer the spectrum to the
372 Phataraphruk
test plane in which the analysis is usually performed. The procedure for
transferring the spectrum is contained in the following example problem.
Example Problem
where g,,,(o) is the PSD response ($/Hz), W(to) is the PSD input (g/Hz),
IH(to)l is the transfer function, I , nz, and n are the direction cosines of x
with respect to X , Y , and Z , respectively, l, m, and n are the direction
cosines of with respect to X, Y , and Z , respectively, and P m, and n
are the direction cosines of z with respect to X, Y , and Z , respectively.
f
where
[=[
cos U -sin 8
s i n 0c o s 8 1
Similarly for the transmissibility, we have
Structural Dynamics of Flow Control Valves 373
[ S;.(200),
cos
S,.(200)y ] = [ [
45 - sin 4 5 1 0 5 1
sin45cos45
and
= + S;.y = 112.5g
Hz
~
For the same inputPSD and 0 but withy= 250 Hz, Eq. (3) gives Q = 16.25;
theresponsebecomes = 132g/Hz andthehandcalculation yields
the final result:
g,,,, = [0.5(132+ 112.5)50]o.5= 78.183
k x
Flgure 16 Finite-element model.
Dynamics
Structural of Flow Control Valves 375
Table 2 NaturalFrequenciesandParticipationFactors
Mode Frequency
1 106.651
2 193.691
3 202.468
4 247.582
5 274.855
6 284.382
7 420. I26
8 430.042
9 558.005
10 683.921
11 744.804
12 942.492
1151.35 13
1267.80 14
15 1329.97
16 1678.57
17 1770.66
1824.21 18
19 1869.16
--
-
10
l.
O-
0.01
( HZ.)
(HZ.)
Figure 19 Sinusoidalvibrationfrequency
378 Phataraphruk
l la 100 101
WWCllY. -K VALUW
UIILIRATION. PEAK VALUlS
O I S L U r Y I K I . PEAK-TWEAK V A b W
FRECNPICY
Hz-
Figure 20 Primary variables in sinusoidal vibration.
in Fig. 22. Using the Miles equation (3) the amplification factoris 15.13 at a
frequency of 205 Hz.Thus, the predicted response is 30.3g, and the test
showsaresponse of 32.6g. Theamplificationfactorcanalsoapplyto
the sinusoidal vibration prediction.
This sectionwill concentrate only on the relationship between the ran-
dom vibration and the sinusoidal vibration, because most of the present
PSD input. The purposeof the following
vibration tests are described in the
derivation is to determine the sinusoidal level, which is equal to the g,,
Structural Dynamics of Flow Control Valves 379
c
8
380 Phataraphruk
?
a
!
m
ii
Dynamics
Structural of Flow
Valves
Control 381
value that can cause the same fatigue damage as the random vibration
spectruminput.The g,,, of a single degreeoffreedomsystemfora
broad-band random vibration is defined as
where W ( t )is the PSD input (g2/Hz) at theJ,,f,, is the natural frequency
(Hz), and Q is the amplification factor [-1/(25)], where 5 is the critical
damping ratio. The correction factor is defined as
Thus, the relationship between the sinusoidal g and the g,,,, response is
For typical aircraft materials, values of l.= 2 and a = 6 fit well with
experimental data.
Therefore, Eq. (8) can be written as
The magnitude of the equivalent sinusoidal input givenby Eq. (9) will cause
the same fatigue damage as the level of g,,, obtained from W ( [ ) .
382 Phataraphruk
I
Nanrral Frequency. Hz
Figure 23 Mechanical analogy for shock response spectrum measurement.
Dynamics
Structural of Flow Control Valves 383
range of the transient. If each component hasa damping value equal to the
damping used to define the SRS. thenthemaximum peak acceleration
response of the component due to the transient vibration is represented
by the SRS. In the test, all natural frequencies of the component do not
have to be identified because the SRS yields the maximum acceleration
response for any resonance frequency that may exist within the frequency
range of the analysis. However, the response may be higher if the ampli-
fication factorof the componentis larger than theQ used in the SRS. Figure
24 shows that the response of a valve is higher than the SRS at 575 Hz,
which indicated that the amplification factor of the valve is larger than
10 at that frequency. The SRS is also a very useful tool for design and
testing.
Using the SRS for a design,the best estimate of the naturalfrequencies
should be obtained first. They can either come from a previous test or afrom
finite-element analysis. Forthepreliminaryanalysis,themode with the
highest participation factor should be selected to determine the response
from the SRS curve. This allows the designer to estimate the applied load
forthestressanalysis. Typically, the highermodeshave less influence.
For a preliminarydesign, the response from the highermodes might be
ignored.Whenthenatural frequencies andthe amplification factorare
defined, the peak response of the component canbe obtained from theSRS.
384 Phataraphruk
Then, the peak stress resulting from the peak response will be compared with
the ultimate strength of the material. It is important to recognize that the
ultimate strength of materials changes depending on the rate of applied
strain. Figure 25 showstheproperties of A16061-T651 aluminium([l]).
At the strain rate of 600 in./in. S, the ultimate strength is approximately
6061-TW AI
STRAIN (Y4
SHOCK PULSE
.; .{ .; .: .'
. .:
: i
.; :!. ,. ,. .. :. !.
- 4 o o o i : ; ; ; ; : i
0 0.0050.01 0.0150.020.0250.030.0350.040.0450.05
mm ( W
-
SHOCK RESPONSE SPECTRA PYRO SHOCK CRITERIA
VENT 6 S C U m E VALVE
10
IO too 1000 10000
Froquoncy (H.)
4. TESTING
I ' I
I I
lI :
l
I I I
I I I
15 250 500
Frequency, Hz
$
Q ,."" Q? P.
Bandwidth of resonance,
k = A f/fn
A tlT
factor*
/ ontheupperscale to the IJI.
Draw a linefrom the k value
/
line crossesthe center scaleat
the valueof the time compression
factor, which multiplied times the
swept-sine duration gives the equiva-
lent random-vibration test time.
occur at 600 Hz and at 1700 Hz. The responses to a Ig input are 4g and 5g,
respectively. The response of the control accelerometer at 600 Hz is shown
in Fig. 31 and is close to 40g. On the other hand, when the control acceler-
ometer is moved to the valve flange, the 600-Hz response is only 8g, as
shown in Fig. 32. Because the input level is specified at the valve flange,
the latter value is reported; however, the variation noted here occurs well
as
with random vibrations.
REFERENCES
This Page Intentionally Left Blank
10
Axial Loading in Turbomachines
Dave Mohr
D& Propulsion & Power Systems, Mims, Florida
1. INTRODUCTION
393
394 Mohr
2. THEDESIGNPROCESS: A SHORTOVERVIEW
operated close enough to its design conditions that any efficiency require-
ments are satisfied? Are any high-pressure vessels in the machine (pump
impellers, diffusers, and discharge volutes, for example)designed with suf-
ficient strength to tolerate both the worst-casequasistaticanddynamic
loads that are expected? If the machine is to be of limited life, are the
worst-case applied loads such that the expected fatigue life is indeedin
excess of the total number of cycles required? (Both low-cycle and high-cycle
fatigue cases should be examined here, depending on the component.) If
elevated temperature working fluids are involved, are thermally induced
loadssuchthatthefatigue life requirementsareagain satisfied? What
are the predicted critical speeds of the entire rotating assembly? If these
speeds are analytical estimates, how accurately are the actual component
masses and bearing stiffness known?Wheredoes the range of expected
operating speeds fall with respect to these critical speeds? Does any portion
of the operating speed range lay above the subsynchronous whirl inception
speed? If so, is sufficient damping being provided to suppress rotordynamic
response in this region? Will the machine (with instrumentation attached)
fit intotheinstallationspace provided?Are theconnecting flanges on
the machine in therightplacesforinstallationintotheoverallsystem?
Are bolt holes (if any) on both structural attach and fluid fittings at the
correct locations, are they of the correct size, and are bolt circles clocked
correctly? (This is a common problem.)
The above list of questions is by no means exhaustive andis intended
only to provide a sample of the type of scrutiny to which a design should
be subjected. If a machine is the product of an aggressivedesign (aero
and rocket power plants are an example), this evaluation process takes
on a renewed importance. The desire for reduced weight not only makes
answers to the above questions more important, but opens a list of others.
Machinery that is considered flightworthy generally takes unit loading
to a substantially higher fraction of material capability thanwould be done
otherwise. Furthermore, thinner cross sections in components (primarily
load-reactingstructure) inevitablymeanreducedmachinestiffness and
lowered natural frequencies. Under thesecircumstances,thecomplexity
of variousdynamicinteractivephenomenacanincrease very quickly.
For example, in a conventionally designed rotating machine, it is common
practice to model a rotating assembly as a distribution of lumped masses
linked to rigid structure by a set of stiff springs which approximate the
bearings. Approximations of the natural frequencies and mode shapes of
the rotating assembly follow from this line of inquiry. However, in the case
of amachinedesigned specifically for lowweight,such asa high-
performance turbopump, it is entirely possible that one or more natural
frequencies of the pump housing (the structure that ultimately supports
398 Mohr
the rotating assembly) may lay within the range of some excitation source
withinthe turbopump.Inthisevent, thedynamicallygeneratedforces
may (at the very least) prevent the pump housing components from reaching
theirrequiredfatigue life if theseforces are not considered. A grimmer
possibility is that of uncontrolledresonancesbetweenthehousingand
rotating assembly if theirrespective natural frequencies are allowed to
coincide.
The above paragraphs demonstrate someof the essentials of a single
design iteration cycle. When the adequacy of the design is addressed by
all the disciplines involved (represented above by the series of questions),
it would not be unusual for some unsatisfactory condition to be discovered.
Inthisevent,theconditionmust be rectified.Designmodifications, or
fixes, will have to be formulated and evaluated. For any given problem
condition, several different options for a fix may be possible. Generally
speaking, it is wise to preserve as many of these options for aslong a period
as possible in order to cope with any unforeseen events or circumstances.
Each candidate modification must be assessed analytically for its effective-
ness as a remedy for the problem condition. It must also be assessed to
determine whether or not the modification itself will bring about some other
unsatisfactory condition. This constitutes the start of the second iteration of
the design process.
After some suitable number of design iterations, a configuration will
be generated which inspires sufficient confidence in its performance poten-
tial and integrity that a prototype canbe built. This prototype may include
instrumentation that is considerably i n excess of that planned for the oper-
ational units. This is often referred to as development instrumentation.
Provisions for it should be made generously in the prototype even if the
instrumentation itself is notdeemednecessary attheoutset.This is
especially true in areas in which any appreciable analytical uncertainties
may exist. At the same time, each development measurement that is added
should be scrutinized to be certain that the measurementis, in fact, provid-
ing a quantity that is of some definite physical interest. Care mustbe taken
to ensure that the quantitysensed by the instrumentationis indeed the quan-
tity of interest. For example, a transducer intended to measure a staticpress-
ure should be carefully oriented so as to be as insensitive a s possible to
dynamic pressures that are present.
Testing of the prototype may be performed either in the actual oper-
ational system, or on a stand-alone basis in a component test facility. Such
a Facility will provide a unique capability to gather data 011 the operation
of a machine under a variety of off-nominal circumstances. For example,
it may be desired to map the head-flow performance of a boiler feed pump
alongload lines otherthantheonealong withthe pump will normally
ading Axial 399
3. SOURCES OF AXIALTHRUSTLOADSIN
TURBOMACHINERY
In this section, we will examine some of the sources of axial direction thrust
loads in turbomachinery. The analytical treatments in this section will con-
sist (for the most part) of simple and straightforward applications of the
basicprinciplesof fluid mechanics.Becausethesetreatmentsarebased
on first principles,theiressentialsarenotdependentonthetypeof
machinery under consideration, nor do they depend on any of the funda-
mental flow regimes that may be involved.
We will examine some of the phenomena that contribute to axial direc-
tion loads in turbine components and make some inferences on how these
phenomena impact turbine design. We will also examine this situation in
regard to pump elements and begin to explore how pump-stage designs
are affected by axial thrust forces.
We will also examine the subjectof flow losses in this section.It should
be understoodthat when we speak of losses in thiscontext, we are
normally referring to losses of total pressure that are due to the irreversible
nature of all real flow fields. Until veryrecently, losses werequantified
purely on the basis of past experience, with nosignificant attempt to predict
them from first principles. With computational methods rapidly gainingin
usefulness, ourabilitytoaccuratelypredict losses in turbomachinery is
steadily improving. Thisis indeed fortunate, for as we continue to increase
demandsonmachineperformance,theaccuratepredictionof losses
becomes critical to the successful performance of a new machine design.
3.1. TurbineThrustLoads
Turbines (both axial and radialflow) are subjected to a number
of externally
applied forces as they operate. Someof these forces have components that
oading Axial in Turbomachines 401
act in the axial direction. Thus, they are of interest in our discussion of rotor
axial thrust loads. The character of the various axial load components can
differ significantly from axial-flow turbines to radial-flow ones, and forthat
reason wewill considerbothseparately.Itshould be noted here that
although axial and radial turbines are not generally considered as competi-
tive acrossalargeportionoftheirperformanceregimes,thereexistsa
portion of both regimes that could be satisfied (roughly equally well) by
eithermachine.Forexample, when sizing aturbineforaparticular
application, it may turn out that a radial-flow machine or a long-bladed
axial-flow machine may be acceptable from the standpoint of the specific
speed range that is indicated. In this case, other factors may determine
the machine selection. The axial thrust loads involved and/or structural
considerations may come into play here.
Consider a turbopump where both a turbine and a pump are to be
placed on a common drive shaft. If the thrust load generated by the pump
component of the turbopump were stipulated, the thrust load component
generated by a radial-flow turbine could bring about a resultant rotor thrust
load thatis beyond the capacity of the thrust load reaction system employed
in the turbopump. In that event, modification of either the operating speeds,
the diameters involved, or other aspects of the geometry may resolve the
situation. Alternatively, an axial-flow turbine, with the somewhat different
character of its axial loads, may be indicated.
A slight modification of this scenario might be that a radial-flow tur-
bine is incorporated into the turbopump in question; however, a device
known as a balance pistonis required for the axial thrust balance. The bal-
ance piston is shown in rough form in Figure 19. The balance piston is
capable of reacting substantial thrust loads; however, the device requires
that the rotor translate a small amount in the axial direction. Although
the amount of motion varies with thesize of the machine, valuesin the tens
of thousandths of an inch aretypical.Variations ofthismagnitude in
the tip clearance of an open-faced radial turbine are likely to result in sub-
stantial changes in the turbine blade tip leakage. This may degrade the tur-
bineperformancetoanunacceptabledegree.Inthisevent,itmay be
desired to add a shroud to the turbine rotor to render it (more or less)
insensitive to rotor axial position. As we will see in a subsequent section,
the addition of the shroud changes the character of the turbine thrust force
significantly. As we analyze our shrouded rotor modification we may
determine that the turbine rotor shroud becomes marginal from a structural
standpoint, particularly if the turbine operates athigh tip speeds. This con-
dition will, of course, worsen as the turbine operating temperatures are
increased. Conditions such as these could again make the axial-fiow turbine
an attractive alternative.
402 Mohr
Static Pressure=Pl
Static Pressure=P2
-x-
%- -
P2 2 P1
v2 <v1
Blade Row Radial Pressure Gradient
Inlet Outlet
M
H
P y p *PhH
S
S S
U U
r r
e blade row span e blade row span
Static Pressure=Pl
Pressure=PZ
Static
W 1%
?bDDD:
-4- S; -
I X
P2 P1
v,= v,
Blade Row Radial Pressure Gradient
Inlet Outlet
(b)
Figure 1 ( a ) Turbineblade row cascades-negative reactionblade row. (b) Turbinc
blade row cascades-zero reaction(impulse) blade row. (c) Turbine blade row
cascades-"high reaction blade row.
Axial Loading in Turbomachines 403
Static Pressure=Pl
Static Pressure=PZ
y 19
:>>PRP!
-K- S, -
1 X
p2 << P1
v2 v1
Blade Row Radial Pressure Gradient
Inlet Outlet
r(ir
e blade row span
It should be kept in mind as one reads the above scenarios that they
have been recounted (and/or fabricated) for the sake of illustration only.
They are intended to provoke thought and should notbe taken as a general
indicator of the suitability of one type of hardware over another. They
should serve only to highlight afew of the many constraints that may need
to be considered if a system design effort is to proceed to a successful com-
pletion.
3.2. AxialDirectionLinearMomentumChanges
It can be seen from the above expression that acceleration of the working
fluid in the axial direction through the blade row will result in a force acting
in the axial direction. This forceis referred to as momentum thrust andis
analogous to the mechanism used to generate thrustin thenozzle of a rocket
engine.
Although many axial-flow turbines are designed to stage velocity dia-
grams that stipulate constant axial velocity,thisis not universally true.
For instance,asmallsingle-stagesupersonicimpulseturbinecould be
designed with symmetrical blading (for ease of fabrication) and with rotor
upstream and downstream pressures that are essentially equal. Figure l a
illustratesapossibleexample of a design of thistype.Inthiscase,
pressure-area-type forces on the rotor can be assumed equal in magnitude
and opposite in direction. In the absence of a static pressure change, flow
across the rotor decelerates due to losses. (More detail on this topic is con-
tained in subsequent
a section.)
Therefore,the
magnitude of the
rotor-relative exit velocity (V,) is less than the inlet velocity ( V ] ) .If flow
is assumed to be steady,thetimederivativeterms in themomentum
equation are eliminated and the equation reduces to
the rotor blade row, and thus no changein static pressure across the blade
row. Turbines of this type derive the working fluid momentum entirely
in the nonrotating vanerow(s). These machinesare referred to as impulse
turbines and constitute a large fraction of the total number of axial-flow
turbineimplementations(particularlysmallones).Figure l a illustrates
an example of this. Impulse turbines are often characterized by any or
all of the following: A working fluid flow rate that is small in proportion
to thelargepressureratiothatexistsacrosstheturbine,arelatively
low value of the specific speedterm ( N s ) , and a relatively low value of
the so-calledvelocity ratioterm (UIC), where U representsblade
tangential velocity and COrepresents the ideal gas velocity associated with
isentropic expansion across the turbine (or turbine stage) pressure ratio.
Due to the less favorable nature of these conditions, impulse turbines gen-
erallyrepresentthelower-performance regime of axial-flowturbines,
although this must often be tolerated.
In othertypes of applications, the basic turbine operating environment
can be made more favorable. In this context, favorable means higher
specific speed,higherbladespeeds,highervalues of the velocity ratio,
and so forth. This regime is favorable for several reasons. Among them
are the following:
In this case, the total work extracted from the turbine stage is simply
110, - h03. Theblade row liberatesmomentumfortheworkingfluid by
expanding the fluid from enthalpy / I ? to /Q. The degree of reaction of this
stage is defined astheratio of theenthalpy drop acrossthebladerow
( h 2 - / l 3 ) to the total work extraction of the stager. Thus, the reaction,
R. is
ding Axial in Turbomachines 407
This value can range from zero to unity. As described earlier, an impulse
turbine liberates no additional fluid momentum across its rotor. Therefore,
/ l 2 = } l 3 for a degree of reaction of zero. For values of the velocity ratio
of less than approximately 0.45, this type of stage generally delivers the
highest performance. However. when higher velocity ratios are possible,
the highest turbine performance is attainable at degrees of reaction greater
than zero. For example,when velocity ratios as high as 0.6 can be achieved,
a stagewith a valueof R of 0.50 (referred toas a 50%,reaction stage) could
be designed for, if other conditions permit. For intermediate values of the
velocity ratio(say, between 0.45 and 0.60), values of reaction between
Ol/o and 50%,might be implemented if other factors permit.
The decision process regarding the degree of reaction for the stage(s)
of a turbine is of great importance not only to the issue of turbine aerody-
namics but also to the balance of axial forces that act on a turbomachine
rotor. Refer to Fig.I . This illustration is of a single-stage axial turbine that
operatesatatotal-to-staticpressureratio of poI/p3, withadegree of
reaction R. It should be apparent that the static enthalpy required at station
1 toproducetherequiredreaction R will worktostipulatethestatic
pressure, p I , that must exist at station 1. Note in the figure the difference
in the blade row upstream and downstream static pressures for the high
reaction case as compared to the impulse case. The static pressures, p1
and p , acting over their respective blade row annulus areas, A , and A ? ,
respectively, constitute an approximationof the blade row pressure thrust
force that accompanies the specified reaction R. In turbines that operate
either at high absolute pressures or that operate athigh flow rates (and thus
have blade rows with large spans), this pressure thrust force can become
quite large.
There are two other factors that are worth noting at this point. First,
although it was stated that the static pressures p1 and p2 form the basis
for the componentsof the blade row pressure thrust, it should be understood
that these static pressures are not constant in the radial direction across the
blade row leading edge (in the case of P I ) and trailing edge (in the case
ofp?). Rather, the assumptionof equilibrium in the radial direction requires
that both of these pressures vary in that direction (i.e., from blade hub to
tip). If thebladespan is sufficient thatthispressuregradient becomes
significant, it will be necessary to divide the blade annulus into several dis-
cretestreamtubesorstreamfilamentsandintegrate pressure-area
forces in the radial direction to obtain correct results.
Second, it is possible thatsurfacesotherthanthebladesmay be
exposed to blade row pressure in some form and may contribute to turbine
axial thrust. For example, a turbine thatis constructed with discrete wheels
or disksforeachstage will normallyexposeboth wheel faces (top
408 Mohr
and bottom sides) to blade hub static pressure. A disk pressure thrust
force componentwill be created on eachside of the disk, with thedifference
between the upstream and downstream forces depending on degree of reac-
tion, exposed disk areas, internal clearances, and so forth. A subsequent
section will discuss these phenomena in more detail.
As we will see in one of our case studies, the axial forces induced by
blade row reaction can become dominant forces in the turbine and may
makeaerodynamically desirable
degreesof
reaction
impossible to
implement successfully.
pressure-area forces are present between the inlet and exit areas of a
stage. Figure2 shows an exampleof such a situation for a typical centrifugal
pump stage impeller. It should be noted that, in the case of a pump, the
pump inlet and discharge areas typically represent the lowest and highest
pressures, respectively, that are presentin the system. The pressure gradient
presenthere is, therefore, also the highest in the system. The axial pre-
ssure-area force generated across this pressure gradientcan become a domi-
nant component of the resultant thrust force. At the same time, the large
magnitude of the pressure gradient can make theprecise prediction of this
dominant force componentalsothemostuncertain. Because thispre-
ssure-areaforce acts over the impeller frontshroud,this force is also
referred to as the shroud thrust force.
The impeller rear side (or hub) canalso be subject to a large pressure
gradient. Referring again to Fig. 2, we can see that the reference pressure
on the outboard side of the hub is, again,theimpellerdischargestatic
pressure. The inboard side reference pressure is somewhat dependent on
the precise anatomy of the pump in question. In some cases, the leakage
flow is allowed to drain into the impeller inlet through holes in the hub.
In this case, the hub pressure-area force is bounded on the inboard side
by the impeller inlet pressure (plusthe losses in flow through the hubholes).
In other cases, the leakage flow is used other places in the machine (as a
coolant for instance). In this event, the leakage flow rate can be controlled
by a shaft seal, with the precise pressure at the base of the impeller hub
controlled by a combination of the seal leakage characteristics and the pre-
ssure-flow characteristics of the downstream hardware. If further control
of the static pressure on the hub is needed, a dynamic seal may be placed
on the hub at any radius desired. The exact radius on which the seal is
to be placed and the required dynamic seal gap can be determined by trial
and error. Examples of thisexercise are contained in our Case Studies.
Another possibility involves the use of what are referred to as antivortex
ribs. These are simply a set of radial ribs on the impeller hub, which func-
tion as a small radial-vaned pump. Actually, the term antivortex ribs
is something of a misnomer because these vanes simply substitute one type
of vortex pattern for another. In cases where the axial clearance between
the ribs andthepumphousingcan be keptsmall,theseribscanexert
the greatest controlof the hub side thrust force. If the rib-to-housing clear-
ance is kept large, these ribs will be substantially less effective. Large internal
clearancesaresometimes designed intoamachineintentionally. For
example, in a pump that is movinga highly reactivechemical(such as
an aggressive oxidizer), rubbing contact between rotating and stationary
parts mustbe prevented at all costs. If a pump uses a separate balance piston
to react rotor axial thrust, changes in the pump operating point can result in
significant rotor axial motion. In this case, clearances between the balance
ribs and the pump housing can vary appreciably, resulting in inconsistent
410 Mohr
Fluid
Particl e
r
d0 F4
?)P- c;
"
a,. - "7
rather than inversely. The usual expression of the tangential velocity dis-
tribution in a forced-vortex field is
V/,= KIW (5)
where is the fluid bulk tangential velocity, K is a constant, which we will
definebelow, I is thedistancefromtherotationalaxisofthevortex,
and o is the angular velocity of the vortex (radls).
The reader will also note that the above tangential velocitydistri-
bution indicates radially increasing angular momentum. In the case of finite
flow throughourcontrolvolume,themoment-of-momentumequation
indicatesthatatorqueinput is required tosupport fluid rotation. As
the reader will no doubt infer from the above line of inquiry, the forced
vortex is associated with work-transfer processes. For our purposes, these
processes differ only in the value of K . K is defined here as the ratio of fluid
tangential velocity to the tangential velocityofalocal rotating surface.
As we shall see, the various phenomena occurring in differentplaces in
a piece of machinery will bring about substantially different values of K.
In the case of flow in awell-guidedpassagesuch asthechannelsofa
shrouded centrifugal impeller, K is equal to unity.
An intermediate setof these circumstances canbe seen in Fig.5a. In
this example, the rotating member is smooth (i.e., nonbladed) and is in prox-
imity to a smooth stationary surfacein the machine. For this case, value a of
K of 0.45-0.5 is classic, depending on the details of the physical situation.
The physical interpretation of a value for K less than unity is simply to
indicate that the fluid lags behind the velocity of the rotating surface
at any particular radius.
Figure 5b illustrates a case of a low K value. In this example, the
rotating member is again smooth and is again in proximity to a stationary
surface in the machine. However, in this example, the stationary surface
is bladed (or slotted,if one prefers). Configurations such as this are com-
mon when it is desired to avoid the pressure gradients associated with strong
vortex flow. In this case, the isolation provided by the slots tends to prevent
rotation of the fluid mass by the rotating smooth surface. In instances such
as this, K values of 0.15-0.2 have been recorded. Values of K which are
even lower can be achieved when transient contact between the rotating
and stationary surfaces can be tolerated.
It should be mentioned here that Daily and Nece, in their 1960 pub-
lication [l] published what is (to this authors knowledge) the most complete
and systematic investigation of the regimeof smooth rotating members and
smooth stationary surfaces. Their investigation included not only the K
values and their associated pressure gradients (which have great relevance
to axialthrustformulations)butalsovalues oftheso-called torque
416 Mohr
4
,
V0 = K r o a u i d Particle
K- 0.5
L
.
V0 = Kro m u i d Particle
K- 0.1-0.2
Figure 5 (a) Smooth rotating disk with smooth stationary wall. (b) Smooth rotating
disk with slotted stationary wall.
Axial Loading in Turbomachines 417
where M is the fluid resistive torque, p is the fluid density, W is the disk
angular velocity, and a is the disk radius. This quantity is related to the
resistive torque generated by the recirculating flow and, thereby, to the
powerconsumed by therecirculationas well asheating of the fluid in
the process. The former can be quite important in small machinery, where
the recirculation fed by various leakages is a higher percentage of totalflow
than in larger machinery. The latter becomes important when temperature
differences in various flow legs, when combined, would result in phenomena
such as localized phase changes. Refer to Fig. 2. Fluid that is recirculating
from the high-pressure to the low-pressure side of the impeller will tend
to form a vortex on the impeller shroud with a value ofK equal to approxi-
mately 0.5 under many circumstances. Some heating of this leakage flow
will also result. Combining the leakage flow that is being recirculated to
the front wear ring with the impeller inlet flow will then act to raise the
fluid temperature near the periphery of the impeller inlet. If the pumped
fluid were a cryogen that is near saturation conditions, the resulting inlet
flow could be warmed enough to produce a vapor content high enough
to impede the impeller hydrodynamic performance. Accurate prediction
of the thermodynamic stateof fluid in this area will be essential for arriving
at a designwith sufficient inlet flow area to achieve the intended pump
suction performance.
The abovediscussion is but thebriefest introduction to some aspects of
vortex flow and their impact on turbomachine design and analysis. The
experienced reader will know of any number of important points which
could meaningfully supplement this discussion. Also, detailed reading of
thepublication by DailyandNece [l] is stronglyencouraged.During
our coverage of some real-world case studies, the importance ofthe topics
discussed in this section will be reinforced.
5. LOSSES IN TURBOMACHINERY
Students and practicing engineers are all familiar with the concept of empiri-
cal predictionof losses in flow fields. Perhaps thefirst consistent exposure of
students to this strategyis in the first elementary course in fluid mechanics.
As apartofthistraining,studentsareintroducedtotheideaofthe
prediction of pressurelosses in pipe flow components (elbow andtee fittings,
straight pipe runs, etc.) using loss coefficients. These are usually supplied
418 Mohr
which axial thrust load components are computed. In this manner, if the
internalpressureschedule i n a machinedeviatessubstantiallyfrom that
intended, the machines basic structural integrity can become questionable.
As higher performance, lower weight, and smaller diameters are sought,
this issue becomes more critical.
The engineer attempting the detailed design of turbomachine com-
ponents and systems is faced with a task that can be substantially more
complex than the design of a pipe flow system. Whereas pipe flows can
(in mostcases) be regarded a s onedimensional.the flow fields in
turbomachinerycomponentsare decidedlymultidimensional.Thiscom-
plicates the mass. momentum, and energy considerations (by the introduc-
tion of at least a seconddegree of freedom)tothe point thathand
computations are impractical for geometries of reasonable interest.next The
step in the solution of these flow fields usually involves a two-dimensional
attempt. I n these cases, the so-called stream function and/or the potential
function can be discretized over a domain of interest. Although a complete
derivation of these functions is beyond the scope of this text, it is interesting
to note that both of these functions wind up satisfying the same partial
differential equation---Laplaces equation
v% = 0 (6)
After enforcement of the appropriate boundary conditions (these involve
specifying the normal derivatives and are where the stream and potential
functions differ), solutions are generated which enable fluid velocities to
be computed at each point in the domain. This velocity distribution is
in itself useful a s a check on the ability of the flow passage in question
to perform its intended function. Often, flow passage design is performed
iterativelyuntil a prescribed velocity distribution is achieved.Further,
the velocity distribution can be used in conjunction with the components
geometrytocomputeapressuredistribution overthe domain.These
analyses can be performediteratively while changingthecomponents
geometry until any desired boundary condition is obtained.
The analysis technique described has its roots i n early and mid-1960s
developmentworkandformsthe basis of whatmight be calledthe
standard design tools that are in use today (mid-1990s). However. these
techniques possess several limitations, twoof which are relevant here. First,
because they are two-dimensional techniques, they obviously cannot pro-
vide solutions that encompass the entire domainof interest, a s that domain
is threedimensional.Second.thesetechniquesprovide only idealor
inviscid solutions, which by definition neglects all loss mechanisms such
a s boundary layer buildup, secondary flows, and so forth. The former con-
dition is addressed by using the two-dimensional planar analysis tech-
420 Mohr
,Meridonel Plane
Blade-to-Blade
plane I
Also, the solution provides actual blade surface velocities, which are of great
interest. When stream tubes are cut from the meridonal plane at several
radii,blade-to-bladeanalysescanbeperformed ateach ofthese radii.
The combinationof these two sets of analyses provides what would be called
a quasi-three-dimensional look at the flow field between blades.
Itshould be pointedoutthatthesolutionmethodologypresented
above contains a number of simplifying assumptions. Among them is an
assumption that there is no radial interaction between the stream tubes.
This is required in order for the numerical approximation in each plane
to stand on its own. Another is anassumptionthat viscous effects can
be neglected, whichmeans that the streamipotential function methods carry
the free-stream flow field all the way to the blade surfaces. Thisis a con-
dition which is obviously not true. To overcome this, a numerical scheme
which uses thebladesurfacegeometryandthecomputedcoreflow
characteristics to approximate the growth of the boundary layer can be
employed.Thiscomputedboundarylayercanthen be superimposed
on the computed free-streamflow field. If a more refined estimate is desired,
the computed boundary layer canbe substituted for thephysical blade geo-
metry,andthestreamipotentialfunctionapproximatingthecore flow
can be solved again. This second iteration can be used to generate another
boundary-layer estimate and so forth. When successive iterations do not
result in any significant change to the coreflow or boundary layer, the prob-
lem can be considered solved to the accuracy that is desired. Incidentally,
this convergence may take no more than two iterations.
The above paragraphs are simplified
a description of the channel-flow
analysis for the first nozzle or stator of an axial-flow turbine. The number
ofradialplanes in which flow solutionsaregenerated will dependon
theradialheight of the flow passage,theaccuracythat is desired,and
so forth. The flow field at the outlet of the nozzleistator that is computed
from the above procedure is then used as the inlet boundary conditions
for the first turbine rotor, and the above process is repeated. In this manner,
the flow fields in the entire turbine can be approximated one blade row at a
time. Blade sections whichdo not satisfy our desires will, of course, be modi-
fied as we proceed through the design process.
The design procedure we have just discussed will attempt to account
foronetype ofloss, thatduetoboundary-layergrowth.The presence
of the boundary layer on the blade surfaces and on the hub and endwalls
essentially causes a new flow passage to be defined, with an aerodynamic
flow area that is less than the geometric flow area. Accelerations due to
this area reduction will result in total pressurelosses due to the acceleration
itself and losses due to diffusion which may occur downstream. However,
the stream tube flow assumption suppresses radial direction secondary
422 Mohr
The energy liberated per the above expression to duethe decreasein pressure
is known as c>sprrn.sionenergj'. Because no work is performed across the
stator and adiabatic flow is assumed. the energy balance requires that this
expansion energy be manifested as an increase i n the working fluid kinetic
energy. This change of kinetic energyis most intuitively shown in graphical
form,as in Fig. 9. Thisgraphshowsenthalpy ( / I ) onthe verticalaxis
and entropy ( S ) on thehorizontal axis. Assuch, it is referred to as an
/!-S diagram. The diagonallines on the graph arelines of constant pressure.
Graphs of this type are presented in any classical thermodynamics text. To
follow our isentropic assumption, the fluid state at station 0 (the stator inlet)
is first located on the h-S diagram. Next. the isentropic state at station 1 is
Axial Loading in mrbomachines 423
-. . ... - -..-....
, .E .E .E .E
.E
I n c O ~ W O I n O
O O O O r r N
0
W
424 Mohr
Pstaticl
P static2
S
Figure 9 Enthalpy-Entropy (h-S) diagram of axial turbine stator expansion process.
ocity vector is known, then the statorinlet kinetic energy can be expressed as
with the axial and tangential vector components defined by the sine and
cosine, respectively, of the stator outlet angle.
Let us now refer to Fig. 1 again. We will now explicitly state that the
inlet conditions are nonstagnant (i.e., ( 1 I>>O). We will further assume that
P I and P? are known and that P? is specified such that the stator outlet
flow is entirelysubsonic.Thestatoroutlet kineticenergy can now be
expressed as
/1kl117 +
= Y2hklIll @ A / I ~ ~ ~ ~ , (12)
where Ahisell is the kinetic energy liberated by expansion across the stator,
is the flow kinetic energy at the stator inlet,Y 2is the stator row kinetic
/1klI1l
energy loss coefficient, and @? is thestator row expansionenergyloss
coefficient; the magnitude of the stator outlet velocity can be expressed a s
the blade row inlet relative Mach number. (Notehere that for a stator row,
the inletrelative Mach numberis identical to the absolute Mach number.)
Accounting for theeffects of supersonic relative inletflow, a new expression
for the blade row kinetic energy can be written as
The above discussion is but one simple example of how various loss
mechanisms aredealt with in onetype of turbomachine,the axial-flow
turbine. At this point, we could question the value of this exercise, because
our interest in this chapter is rotor axial thrust loads. It should be under-
stood that accurate accounting of the losses in the turbine will be critical
to the prediction of rotor thrust. The various losses will conspire to deter-
mine the pressure distribution needed in the turbine stages to satisfy the
velocity vector diagram (and, therefore, the turbine work) requirements.
When working with the design of an axial-flow pump, losses in the
machine can be tracked in a manner somewhat analogous to the turbine
example. Accurate characterization of these losses is important to thrust
load predictions because losses influence the choice of stage velocity dia-
grams in order to obtain the required stage pressure rise.
Centrifugal- or radial-flow machines present a more difficult problem
where the prediction of losses is concerned. Cascade experiments, which
providemuchapplicabledat to axial-flow designs, arenotablyabsent
for centrifugal-flow machinery. Although many companies engaged in cen-
trifugal machine development have cataloged their own loss correlations,
these are usually linked to a particular design philosophy. As such, their
utility should be viewed skeptically.
430 Mohr
0
CV
tl
l
ading Axial in Turbomachines 431
an axial thrust component which we will call 4,.The resultant rotor thrust
+
load is therefore F, FP. If the machine rotor is to be maintained in static
equilibrium, the classic formulation of statics tells us that
6.1. Rolling-Element
Bearings
Inner Race
Outer Race
FreSultant
= resultant force vector
8 = contact angle
elements (balls in this case) that is used is less than the number which can
actually fit circumferentially in the space between the races. This enables
the bearing to be assembled by locating the races nonconcentrically and
placing the rolling elements in the gap between the races. The inner race
is then snapped into its final position, concentric with the outer race.
In order to ensure that the rolling elements remain equidistant, a component
known as a cage is necessary, as shown in Fig. 14. Cages can be con-
structed of a single piece of plastic or metal (steel or bronze is typical)
or assembled in placeinthebearingusingariveted construction.The
grooves in the inner and outer races can be seen to be circular in cross
section. The radiusof curvature of these grooves is very slightly larger than
that of the rolling balls (typically the groove radius is set to approximately
101% of the ball radius). This facilitatesassembly and also allows the bear-
434 Mohr
ing to react an applied axial thrust load. Application of a thrust load to the
shaft supported by the bearing causes the bearing inner race to translate
slightly relative to the rolling elements, as shown in Fig. 14. The magnitude
of the bearings internal clearances and the relationship of the race and ball
radii of curvature cause the applied force to be reacted within the bearing
at an angle 0 , as shown in the figure. The angle, known as the contact
angle, is shownexaggerated in the figure forclarity.Inactuality,
deep-groove Conrad bearings operate at quite a small contact angle due
to low internal clearances. We can easily see that a contact angle close
to zero will result in a relatively large resultant force within the bearing.
Significantly higher axial thrust loads could be reacted if the bearing design
were such that the contact angle were greater.
In the above description of the Conrad-type bearing, we noted that
the number of rolling elements was lower than the maximum attainable.
This, as mentioned earlier, is due to the assembly process of the Conrad
bearing.Inanothertype of ballbearing,the filling-slot ballbearing,
a small slot is placed in the inner and outer races. This filling slot allows
balls to be inserted directly between the races, with the races in the con-
centricposition.Thisallowsthemaximumquantity of balls to be
assembled. For this reason, the filing-slot bearing has a noticeably greater
radialloadcapacitythantheConradbearing.However,the presence
of the slots results in axial load relief at those locations in both races. This
renders the filing-slot bearing unsuitable for any application where axial
thrust is involved. The filling-slot bearing is described here chiefly to pro-
vide a point of comparison with the Conrad type. The filling-slot bearing
will not be mentioned further.
In the discussion of the Conrad bearing,we made the observation that
higher axialthrust loads couldbe reacted if the contact angle,0 were greater.
This can be accomplished through modification of the design of the cross
section of both races.Such a modification is shown in Fig. 15. We can
see that both races have been modified to include a shoulder. Through
care in the design of this feature, any contact angledesired can be obtained.
Bearings with this race geometry are generally known as angular-contact
ball bearings. Angular-contact bearings are used extensively in applications
where high speeds and/or heavy thrust loads are involved. As the contact
angle increases, so does the bearings ability to react axial thrust. A contact
angle of approximately 40 represents a practical maximum. This allows
the bearing to react to very heavy thrust loads.
In some applications, it is desirable to have one bearing package that
provides for thrust loads in both directions. In such cases, angular-contact
bearingsmaybeemployedinpairs.Theyaregenerallyconfigured in a
back-to-back arrangement such as that shown in Fig. 16.
Axial Loading in Turbomachines 435
Rolling
(Balls) Race
Race
6.2. BalancePistons
In some turbomachine applications, thrust loads can be generated that are
beyond the capability of rolling-element bearings to react. This can occur
when either operating speeds and/or pressuresbecome very high,when
bearings are poorly lubricated, or a combination of both. When operating
Axial Loading in Turbomachines 437
Figure 17 (a) Back-to-back angular contact ball bearings with flush-ground inner
races. (b) Angular contact
ball bearings with flush-ground inner racesafter mounting.
438 Mohr
Bearing Retaining
Cartridge
Nut \m
Bearing Retaining
Race
Inner Spacer Belleville Spring
(Typical of 2)
/
achine Shaft
\ l \ /
L
Low Pressure
Balance Piston
Fluid Sump
the rotor which acts in the +X direction in Fig. 19. In this event, the rotor
(and impeller) translates in the +X direction. This motion acts to increase
the axial gap at the high-pressure orifice and to decrease the gap at the
low-pressure orifice. This results in an increase in the magnitude of the bal-
ance piston force, which acts in the - X direction. This tends to counter
the externally applied force and restore static equilibrium. If the externally
applied force werein the -Xdirection, the rotor motionwould act toreduce
the axial gap at the high-pressure orifice and to increase the gap at the
low-pressure orifice. This would result in a decreased balance piston force
or a net shift of the balance piston force in the +X direction. Again, this
tends to counter the externallyapplied force and restore static equilibrium.
We have seen that balance pistons are capable of reacting extremely
high thrustloadsunderconditionsthat wouldcauserolling-element
bearings to fail. In addition, the piston can be made capable of reacting
to changes in the machine operating conditions over a fairly wide range.
Despite these virtues, balance pistons have a number of fairly serious dis-
advantages, which bear discussion. Because balance pistonsoperate by gen-
eratinga pressure-areaforce,system operating pressuresmust be high
enough to provide the needed authority. The areas over which these press-
ures actmustalso be highenough to generateforces of the needed
magnitude. For example, if we wished to use the front shroud surface of
the pump stage impeller in Fig. 19 as a balance piston surface, the need
for sufficient shroud area couldplace constraints on theimpeller hydrodyn-
amic design. An impeller of a large radius ratio (inlet radius to outlet radius)
would have a narrow shroud that may not providesufficient balance piston
capacity. In this event, increase
an in the impeller diameter may be necessary
to increase the shroud area. This would decrease the pump-stage specific
speed, adversely effect pump efficiency, and increase the pump bulk and
weight.
To design the balance pistonsuccessfully, the capacity required of the
piston must be accurately known. This requires a detailed knowledge of
all of the axial thrust components present in the machine. Some of these
are easily calculable; others are not. In addition, physical sizing of the piston
itself depends on an accurate knowledge of the vortex strength along the
surface in questionto determine the radial pressure gradient associated with
it. Although we can make whatseems perfectly reasonable estimates of this
vortex strength basedon past experience, these have oftenbeen wrong. Ana-
lytical estimates need not be wrong by more than a few percent before the
absolute magnitudeof the error is intolerable. This is particularly true with
machinery where the operating pressures are very high.
If we refer again to Fig. 19, note again the high- and low-pressure
orifice gaps. If the impeller shown in the figure has a diameter of approxi-
ding Axial 441
mately 12 in., the sumof the axial gaps of the high- and low-pressure orifices
might be ontheorder of 0.030-0.050 in. For machinesofsmaller
dimensions,thebalancepiston orifice gapsmightscaleroughlypro-
portionally. These dimensions, plus some study of the figure, should lead
us to the conclusion that rather precise fabrication is necessary if the balance
piston is to function correctly. The necessity for both the machining and
inspection of the finished hardware to the tolerances involved can act to
significantly increase hardware costs and lead times.
In some cases, the use of a balance piston can significantly degrade the
apparent hydraulic performanceof apump. It shouldbe understood that the
balance piston fluid can be regarded as simply waste or leakage fluid
over which we have little control. In some applications, the waste fluid
isused in other portions of the turbomachine, such as a lubricant or a
coolant. In these instances, the needs of the components downstream of
thebalancepistonmaydeterminethe flow raterequired of thepiston.
In other cases, the balance piston fluid is simply exhausted after existing
the low-pressure orifice. Under these circumstances, we may seek to mini-
mize the balance piston flow rate, consistent with the minimum clearances
thatare reliable obtainable.In still othercases,specialcircumstances
may haveto be considered. If a turbopump is movingan aggressive oxidizer,
such as liquid oxygen, even a slight rubbing contact between impeller and
housing may result in ignition of the metal parts and catastrophic failure.
In these instances, internal clearances are made more generous than usual
to guard against any rubbing contact. This may change the configuration
of a balance piston. In particular, in Fig. 19, we can see that there exists
a slight radial overlap between the impeller high-pressure orifice and the
pump housing. When the axial gap at this point reaches zero, rubbing con-
tact will occur (we should also note that at this point, balance piston flow
will ideally go to zero and balance piston force willbe at a minimum).
If this were a liquid-oxygen application, the impeller high-pressure orifice
might be modified so as to provide for a small radial gap between impeller
and housingwhenthehigh-pressure orifice axialgap is equaltozero.
Theradialgap we providewouldhave to be sufficient toaccountfor
any rotordynamic excursions (if any) that we would foresee. This radial
gap increases flow area at the high-pressure orifice, effectively increasing
the balance piston flow rate for any given balance piston capacity. Because
this constitutes increased internal leakage, the apparent efficiency of the
pump is degraded. The range of effective operation of the balance piston
itself is also degraded. In a subsequent section, we will study just such a
machine.
We have mentioned previously that axial motion of the turbomachine
rotor is necessary for proper balance piston operation. Providing for this
442 Mohr
axial motion turns out tobe quite difficult and is responsible for yet another
set ofproblemsassociatedwiththe use ofabalancepiston. I n some
machinery. the axial motion of the rotor is accommodated by permitting
the outer races of the rolling-element bearingsto slide within their retaining
cartridges while theretainersremainstationary. At thesametime,the
internal clearances between the bearing outside diameter and the cartridge
inside diameter must remain very small in order for the bearings to react
to the radial load. Theseconflicting requirements make it necessaryto con-
trol the dimensions of the hardware in this area to estrc.me precision. A
clearance sufficient to allow thebearingouterrace to rotate is inviting
disaster. However, a clearance small enough to cause a sticking. condition
of the bearing in the cartridge is also undesirable. The subtleties of this situ-
ation are delicate indeed, and are worthy of books on their own. We will
simply say that the use of balance pistons has caused rotordynamics prob-
lems
with
number
a of turbomachines dueto
the
interaction of
rolling-element bearings with the clearances providedfor their axial motion.
The reader may be gaining the impression that balance pistons, par-
ticularly self-compensating ones, are simply not easy devices to implement
successfully. Many considerations are involved, and each design case must
be considered individually. On the other hand, these devices make possible
the routine operationof turbomachines that would otherwise be impossible.
7. CASE STUDIES
The following sections contain example design problems that have been
extracted quiteclosely from real-world situations. These case studies have
been reproduced here for several reasons. First, it is hoped that they will
serve to indicate the substantial diversity of design problems that engineer-
ingpersonnelface.Additionally,theseexamplesattempt to showhow
the design criteria for a component must oftenbe modified and/or compro-
mised in order to address system-level constraints. Finally, certain of
these examples reproduce shortcomings i n the original analytical work that
led to the design i n question. In each case, the analytical error was under-
standable but contributed either toreduced machine performance or tosig-
nificantproblems duringdevelopmentuntiltheerrorwasdiscovered. It
is hoped that these case studieswill reduce the probability of similar errors
in the future.
Although the subject of each of the following case studies is matters
relating to rotor axial thrust, it should be understoodthata significant
amount of other information is required to adequately define the environ-
ment and context of a particular design. We will attempt to provide this
ding Axial 443
7.1.1. Background
A space propulsion system using liquid hydrogen (LH?) and liquid oxygen
(LOX) as propellants is being designed. The system is to produce a thrust
in vacuum of 230,000 Ibf. The fuel pump for this application is required
to displace a steady-state flow rate of 83.5 lb m / s of liquid hydrogen. This
flow rate was derived fromengine-specific impulse performance and mixture
ratioconsiderations.The desiredmaincombustion chamberpressure is
approximately 750 psia. To move the needed hydrogen flow against this
chamberpressure,a fuel pumpdischarge pressure of 1240 psia willbe
required. To accomplish this, a pump configuration with seven axial flow
stages has been selected, with each stage contributing equally to theoverall
pump work. Thedecision to employ seven stages is the result of both analy-
sis and testing of a variety of candidate pump configurations. A centrifugal
pump configurationwas examined during the design period but was rejected
444 Mohr
pressure ratio such as exists in this application. Because of the large dif-
ference in static pressure between the first and second rotor rows, there
is a corresponding difference in the working fluid density between the rows.
This results in a first rotor row, which, in this case,has blades whose height
is small. In this case, small means that it becomes difficult to hold tur-
bine blade-to-housing tip clearances that are not a noticeable fraction of
the overall turbine blade passage height. When this occurs, leakage around
the blade tips results in a relatively large decrement of efficiency. It would
be desirable to have rotor blades which have a larger height. This could
be achieved by decreasing the turbine pitch diameter. This would require
that the blade annulus height increase to maintain the required flow area.
However, this would decrease the turbine blade speed (and the velocity
ratio) and decreasethe attainable efficiency. A three-stagearrangement
would tend to worsen this situation, as well as carrying a significant weight
penalty.
We have another option open to us which mayprove to be more
attractive. A second statorirotorcombination placed as shown in Fig.
21 resultsvelocity-compounded
in
a arrangement, also called a
Curtis-staged turbine in honor of its inventor.
In
the
velocity-
compounded turbine, the drive gas is expanded to essentially outlet static
pressure in the turbine nozzle. The first rotor is designed so as to contribute
a high fraction of the total turbine work. The second stator is not a nozzle
per se, butmerely a set of turning vanes thatredirect the swirl component
of the gas velocity to a direction suitable forwork extraction by the second
rotor. The second rotor is designed to recover the remaining fraction of
the total turbine work.
How can we determine the best work split for the two rotors? A
workable procedure is as follows: Construct an arbitrary vector diagram
for the first nozzle and rotor, and compute theefficiency. Increase the first
nozzle dischargeangle(dischargingmoretowardthetangential), which
increasestheloading onthe first rotor.Again,computethe efficiency.
Repeat this procedure until the first rotor efficiency begins to decline. This
occurs when the next increment of work due to increased turning in the
blade passage is overcome by the additionallosses due to the increased blade
loading. With the first nozzle and rotor flow angles held constant, place a
second stator and rotor downstream on thevector diagram. Utilizing only
the swirl from thefirst rotor, arrange thesecond stator and rotorflow angles
until the swirl component from the second rotoris nearly zero. NOW,if the
work of bothrotors is computedandsummed,the worksplitcan be
determined. For our current example, a work split of W % ) / (firstisecond
rotor) is obtained by using theaboveprocedure. If onecomputesthe
efficiency thus obtained, it can be seen that even using the highly loaded
Axial Loading in Turbomachines 449
Radial
locatton of D y n a m c Seal 5.233 inches
Figure 21 Case Study #l(a). Axial flow liquid hydrogen turbopump drive turbine
turbine cross section.
that the turbine velocity ratio (and therefore blade speed) is too low to
recover the full kinetic energy that is available, it is certainly possible to
add a third rotorrow to capturethis energy,if desired. Below velocity ratios
of approximately 0.20, two rotor rows may not be able to recover a l l avail-
able energy efficiently. When velocity ratios dip below approximately 0.13,
the addition o f a third rotor row will begin to show a noticeable performance
increase if the loading on each row is carefully arranged.
By using the above iterative process, we can arrive at a workable
design vector diagram for our LH2 turbopump drive turbine. We select
a two-row velocity-compounded impulse turbine, which will have a design
velocity ratio ( U / C " ) of 0.20. As seen previously,this velocity ratio is
theresult of both weight andpackagingconstraints.Figure 22 shows
the design vector diagram. In studying the vector diagram. we should take
note of two points.
First, itshould be understoodthatthisdiagram representsblade
mid-span conditions only. Conditions at the hub and tip differ from those
at the mid-span due to the radial equilibrium considerations discussed in
a previous section. These locations (especially the hub) should be checked
for adverse conditions, particularly diffusing flow across a vane or blade.
Diffusing flow (i.e., flow against an adversepressuregradient) in a
high-turning-angle device such asaturbinecanresult in theseparation
of the boundary layer from the blade surface. The region near the blade
hub is particularly sensitive to thiscondition(why'?).Thiscanmake it
impossible for the blade row to pass the intended flow rate. Any unsatis-
factory conditions discovered here may cause us to modify our mid-span
vector diagram.
Second, inspection of the vector diagram shows small static pressure
changes across the second stator and second rotor. These are necessary
to preservetheimpulsecondition(equality of inlet and exit relative
velocities) and avoid diffusingflow in the presence of expansion and kinetic
energy losses. It should be understood that a srnall pressure budget (above
the required exit static pressure) should be maintained at the first nozzle
outlet for this purpose. One notable exception to this is the first rotor row.
For blade rows whose inlet relative Mach number is above unity, diffusing
flow (or "negative reaction") is generally tolerated. Attempts to maintain
an impulse condition ( W , = W2 i n Fig. 33) across supersonic rotor rows
have met with a general lack of success. Therefore, the current convention
(to this author's experience) is to design the vector diagram for uniform
static pressure across the rotor row at the mid-span and accept the adverse
pressure gradient which will follow at the hub. In most instances, the avail-
able kinetic energyat this location will be sufficient to avoid embarrassment.
However, the hub cross section should still be analyzed for behavior of the
Axial Loading in Turbomachines 451
Axial Statlon 1
Nozzle Outlet
Axial Station 2
Firs( Rotor Outlet
Axial Statlon 3
Stator Outlet
Awal Station 4
Second Rotor Outlet
5"
WI
W4
U
C4
Axial Station
1 2 3 4
Figure 23 Case Study #l(a). Axial flow liquid hydrogen turbopump drive turbine.
Axial Loading in Turbomachines 453
Rotor
First Outlet Second Stator Inlet
Mean Huh HubMean Tip Tip
(b)
Case Study #I(b). Axial flow liquid hydrogen turbopump drive turbine.
Rotor
Second
SecondOutlet
Stator Inlet
Figure 23 Case Study #I(d). Axial flow liquid hydrogen turbopump drive turbine.
ading Axial in Turbomachines 455
Stream'l'uk 1
Strean1Tube2
Stream Tube 3
Stream
Tube Blade
Total
Areas Row upstream
Figure 24 Case Study #l. Axial flow liquid hydrogen t u r b o p u m p F i r s t rotor blade
row upstream pressure-areaforce: Diagram of firstrotor bladeshowing radii ofstream
tubes 1, 2, and 3.
where the value of r varies continuously from the blade hub to the tip, and
the angular coordinate, 0, varies from zero to 2 7 ~
To approximate this integral withsimple algebra, we will assume that
the blade row upstream static pressure varies only in the radial direction.
Further, we will divide our computational domain into three annular areas,
or stream tubes, overwhich average conditionswill be applied. Our three
stream tubes superimposed on the blade row are shown in Fig. 24. Also
shown is the average static pressure acting over each stream tube. Although
not shownin detail, the calculations for these pressures are straightforward.
Also shown in the figure are the corresponding stream tube area and the
force contribution of each stream tube. The total pressure-area force for
the first rotor row upstream side can be seen to total 2609 lbs.
where U is the disk rotationalvelocity (ft/s) ata particular valueof radius, ct,
is the fluid tangential velocity (ft/s) ata particular value of radius, and g is
the gravitational acceleration constant.
By dividing the disk surface into a number of stream (as tubes
we did in
the case of the blade row above), thefluid total head may be computed as a
function of our radial location on the disk. Figure 25 shows a plot of fluid
total head as a function of radius for our turbine first-stage disk upstream
side.
We should note here that the fluid kinetic head is also known as a
function of radius. It then follows that
llstatic = htotal - hklnetic
If the fluid density is known, we can express static pressure as
P = ktaticp
In this manner, the disk upstream side pressure can be computed for
various radii in a step-by-step manner when the blade row hub conditions
are known. It should be emphasized here that the blade hub is assumed
to constitute a boundary condition from which the rest of the flow field
conditions can be determined. Fluid densityis known at this boundary from
the blade hub pressure and temperature conditions. For purposes of a first
approximation, the assumption that fluid density is constant with radius
ding Axial in Turbomachines 459
445000 I
440000
E 435000
0
G=
4 430000
S:
i
$ 425000
5
6 420000
415000
410000 I
4 0 3 1 2 5 6
Radius on disk, in
StxamTuk 1
St~eamTube2
Hub
;I 1
R4.344 in
R4.521 i n
V I
I
V
J
1
1
I
Mean Tip Stream tube 1 avg Stream tube 2 aVg Stream tube 3 avg
Tube 1 : Al=n(6.167-5.9902)=6.760
in2 Pressure-Area Force
Tube 3: A3=n(6.5212-6.3442)=7.154
in
Figure 27 Case Study #l. Axial flow liquid hydrogen turbopump-First rotor blade
row downstream pressure-area force. Diagram of first rotor blade showing radii of
stream tubes 1, 2, and 3.
upstream side aswell as the first disk underside from the drive shaft radius
to the radiusof the dynamic "stator seal." For this reason, we will perform
the pressure-areaanalysis for the second rotor disk upstream side first.
We will thenassumethatthe first diskunderside pressuredistribution
inboard of the seal will equal the corresponding pressure distribution on
the second rotor disk. These calculations and results are shownin Fig. 28.
1" rotorbladehubradius=5,985inchcs
1" blade outlet hub pressure ( e,,,h120.5 psia) acts from r,,,,,=5.985"
4 to
r,,,,,,-5.233"
rlnner=l,590".
The I" disk underslde thrust force can be found by surnnung the pressure-area
components Inboard and outboard of thc dynamic seal. The outboard component can be
The inboard cornponcnt can bc computed lrorn Inspection of Figure 30. and can be tbund
Figure 28 Case Study #l. Axial flow liquid hydrogen turbopump-First rotor disk
First rotor disk and second stator showing
d o w n s t r e a m side pressure-area force.
dynamic seal.
ding Axial in Turbomachines 463
It should be noted here that the radius at which the dynamic stator
seal is placed can, in itself, become a design issue. If we assume a fixed
clearance between the seal elements (independent of radius), then the seal
annular areabecomes a function of radius. Therefore, seal leakagewill vary
directly with the radius on which the seal is placed. It would obviously be
desirable to minimizethisleakage, as it decreases turbine efficiency. On
the other hand, the reader will notethatasthe seal radius is reduced,
the pressure-areaforce on the first rotor diskunderside will increase,
because a larger area will be pressure controlled by the first rotor blade
outlet hub pressure. An exercise for the interested readeris to vary the radius
of the stator seal and reproduce the data in Fig. 28 to observe the effect of
varying seal placement on the overall turbine axial thrust.
7.1.7. Secondrotoraxialthrustcomponents
The analyses required to determine the thrust components for the turbine
second rotor are carried out in a manner similar to the first rotor. Figures
29-31 show these data and calculations. The only fundamental difference
here concerns the second rotor bottom side calculations for both the blade
row and rotor disk. Referring to Fig. 21, the reader will notice that the
turbine exhaust duct is of a large diameter and relatively nonrestrictive.
For this reason, the second rotor underside will be unable to sustain a sig-
nificant radial pressure gradient. In this instance, a good approximation
of the pressure-area force on the second rotor underside (including the blade
row) can be obtained by assuming that the blade mid-span pressure over acts
the entire underside area. It should be understood, however, that careful
464 Mohr
Turbine Rotor 1
m = 6.22 Ibmkec
= -1 372
CaAla12 Wsec
Turbine Rotor2
m = 6.22 I b d s e c
= -860 Wsec
Caula,2
Figure 29 Case Study #l. (a) Axial flow liquid hydrogen turbopump fluid
momentum forces for turbine rotors 1 and 2. (b) same as (a).
Axial Loading in Turbomachlnes 465
Tvbc # rad wtcr rad mncr Arc. rad mcm Y mean Cu mrnn (uHCu) dluCuY8 S!.llc pres Gal Dcnn S m c h ~ Dvn
i hcad Total head Tube P * A
Inchcl mrhcx 1n2 Inchcl Wsrc NIIC Wred ilhl0(1l.n PI. n
lbrnlnl n ll Ibf
0 5 81 581 117192 6869599 9418211 I 0 1 4 0019822 4992748 7116%9 5 M 1 1 8
l 581 1388 1484176 1199 1114024 M20118 8161191 2090129 l O l O l S 5 0019822 4q71011 b811111 5015214 1510211
2 5188 4966 1112681 5117 12242JI 6121115 1491709 3948101 1024624 0029822 4941474 5825111 5005127 1406481
1 4Vbb 4 144 1260189 4715 I12441P 1622191611181 I l619411 101 8971 0029822 4920194914143 49b9111 1284 l1
4 4144 4 1 2 2 I1 48896 4131 1024616 5121211 5249499 1110 162 1011801 0029822 4891224 4080161 49160II 11M714
5 4122 1 1 1011002 3911 9248117 4624269 4276712 1020891 1009112 0029822 4812171 1124605 4905821 !M6412
6 11 1218 92s109 1489 8210611 4121101 1401631 2711b2 1004902 0029822 4812248 2611851 4878706 9296142
7 1278 2 8 5 6 8112117 1061 7252688 1626144 2610074 2402348 1001172 0029822 4814218 2044121 4814681 8141691
8 285b 2414 7011211 2615 6214764 1121182 1916101 2W1011 W19221 0029822 4818540 1520601 4811752 6998b54
0 2414 2012 589J289 2221 52Jb819 262842 1181718 l181806 W51132 0029822 4805171 1074091 4815914 586512
10 2012 159 4175315 1801 4258915 2129457 W69111 1414515 W28618 0029822 4744110 101CW1 4801169 4141211
evaluation should precede assumptionslike this, as our next case study will
show.
The followingis a recap of the various axial thrust components for
our turbine, as well as the resultant turbine thrust.
First Rotor
Component Thrust (16 f)
Blade row inlet -2,609
Disk upstream side - 10,814
Blade row outlet 2,568
Disk downstream side 10,893
Blade row momentum -41
466 Mohr
Hub
iMean
Blade row upstream static pressures, psia
Stream Tube
Blade
Total
Areas Row upstream
Second Rotor
Conlporwnt Thrust (/h.f)
Blade row inlet -3,728
sideupstreamDisk -9,937
Blade rowldisk downstream
side 14,060
Blade row momentum -31
Resultant turbine
axial
thrust 361
ading Axial in Turbomachines 467
7.2.2. Configuration
To facilitatepackagingontheengine, it hasbeendecided thatthe
turbopump is to have one rotating shaft, to which will be affixed a pump
for RP-l. a pump for LOX, and a drive turbine. This carries the obvious
constraint that the angular velocity of all three components be the same.
To bring about thespecified engine chamber pressure, LOX and RP-1 pump
discharge pressures mustbe 1600 psia and 1850 psia, respectively. The LOX
and RP-l pump inlet pressures are 65 psia and 45 psia. A combination of
analytical studies and prototype testing has shown that the cavitation per-
formance of the oxidizerpump will be the ultimate constraint on turbopump
shaft speed. In this instance, the turbopump (and, therefore, turbine) shaft
speed specified is 5500 rpm.
The turbine is to be powered by combustion products of LOX and
RP-l. As statedpreviously,thishotgas will be provided by a separate
468 Mohr
gas generator. This gas generator has been designed so as to supply the
turbine with gas at a total temperature of 1700F, at a total pressure of
920 psia.Arequirementexistsfortheturbineoutletstaticpressure to
be approximately 50 psia,whichsets the turbine total-to-static pressure
ratio at 18.4.
The
nominaloperating
parameters of ourturbine
can be
summarized as follows:
0 Delivered
power 62,705 hp
0 Shaft
speed 5,500 rpm
0 Propellants LOXIRP- 1 combustion products
0 Gas properties Total temperature#2150 deg R
Averagemolecular weight 23.2 lb/mol
Constant press specific heat
0.671 BTU/lb deg R
Specific heatratio 1.148
0 Inlettotalpressure 921 psia
0 Outletstaticpressure 50 psia
As with Case Study 1, we can use the above data tobegin our turbine
sizing and staging design exercise. Also, as with Case Study 1, the specified
operatingconditionsarenotparticularlyfavorablefor efficient turbine
operation. In particular, the readers attention is directed to the C,, value
quoted above. When compared to that for Case Study 1, the reader can
see the large difference in the energy level of the two working fluids.
The high C, of hydrogen-based working fluids (as shown in Case Study
1) brings about high spouting velocities even at relatively modest pressure
ratios. For our current turbine case, the working fluid is considerably less
energetic. However, the large pressure ratio available again brings about
highgas spouting velocities.Therefore, efficient turbineoperation (i.e.,
operation of aturbinestage ator near anoptimum velocity ratio,
U / C o ) demands either a large number of stages or a single stage with a
very large diameter to bring about high blade speedat a relatively low angu-
lar velocity. Due to the severe weight restrictions imposed on rocket pro-
pulsionsystems,neither of these situations is generallypermissible.
Indeed, whenwe size a single-rotor impulse turbine for optimum blade speed
under these circumstances, a turbine pitch diameterof almost 7.5 ft results.
The weight of a configuration such as this causesit to be dismissed immedi-
ately.As we can see fromFig. 20, a single reactionstage is similarly
out of the question.
When we inquire as to a maximum permissible diameter, we are told
that a turbine assemblyoutsidediameter of approximately 3.5 ft is the
maximumthatcan be accommodated.This is due to both weight and
ading Axial in Turbomachines 469
7.2.3. Prototypeturbineaxialthrustanalysis
To size and properly orient a thrust bearing for testing of our prototype
boosterengineturbine,thefollowinganalysishas been performed. For
the sake of simplicity, blade row mid-span conditions are assumed to exist
470 Mohr
Axial Station 1
Nozzle Outlet
Axial Station 2
First Rotor Outlet
Axial Station 3
Stator Outlct
Axial Station 4
Sccond Rotor Outlet
U
(Midline blade speed = 845 ftlsec. inlct total pressure = 921 psia)
Axial Station
4 3 1 2
50 psia
Static Pressure. 50 50
Static864701
Enthalpy,
ft-lbf/lbm
797460 883740 889424
2494 4595
Absolutc
ftiscc
Velocity. 2235 1033
Roller Bearing
Turbine Nozzle
Force
5
n
5
where midot = turbine mass flow rate of 157 lb/s
=axial velocity at blade row exit
Caxial~
C;Ixlall
=axial velocity at blade row inlet
Force = -1025 lb f
Axial Loading in Turbomachines 473
7.2.5.
Test results
We have now reached the point in our development effort that includes
component-level testing of our prototype turbine. In fact, several turbine
units have been tested in our component testing facilities. These turbines
are equipped with sufficient instrumentation to accurately diagnose their
performance. The thermodynamic performance of our turbine prototypes
has been close to our predictions. However, our test reports also state that
virtually every turbine test hasbeen stopped prematurely due to unexpected
indictionsfrominstrumentationontheturbineball-bearing assembly.
Referring to Fig. 33, we can see that this is the bearing packageresponsible
for reacting the turbine axial thrust.
Upon disassembly of turbineunits, we find thattheball-bearing
assemblies show signs of heavy distress. Heavy wear and pitting on the
rolling elements and races all indicate that this bearing is being overloaded.
In addition, abnormal locationsof the load tracks on the bearing races indi-
cate unexpectedly high contact angles between balls and races. This tends to
indicatethattheoverloadcondition is primarily in theaxialdirection.
Finally, load-sensing instrumentation(in the formof strain gauges) has been
placed ontheretaininghardwareforthethrustbearing assembly.This
instrumentation has been calibrated for axial load and is showing a steady
state axial load of 10,000 lbs.
When we question our Instrumentation Engineering group as to the
validity of the 10,000-lb load indication, they tell us that the topof scale
of the instrumentation used in this case is 10,000 lbs. This was considered
suitable because a 4100-4200-1b load was expected. Therefore, it is entirely
likely that the actual load on the turbine thrust bearing has been well in
excess of 10,000 lbs. The exact magnitude of the overload is, at this point,
unknown. Clearly, this is an intolerable condition and further investigation
is needed.
Assumed uniform
50 psia pressure
field
m 1 Rotor Blade
1 Rotor Disk
*:
Radius= 16.52 inches j
b :
Pressure-Area Force
Figure 34 Case Study #2. Large liquid oxygeniRP-l turbopump. First rotor blade
row upstream pressure-area force-initial analysis.
In order to accurately assess our problem,we must look with a more critical
eye at the details of that analysis. As in Case Study 1, the resultant axial
thrust of the turbineis composedof a numberof components. Theseinclude
pressure-area forces over the blade row inlets and outlets, pressure-area
forces over the upstream and downstream sides of the turbine disks, and
momentum thrust forces generated by each of the blade rows.
To begin our reassessment, we will focus our attention on the first
rotor bladerowupstream (or inlet)side.Referring to Fig. 34, we can
see that the static pressure specified at the first blade inlet on the turbine
vector diagram (see Fig. 32) was assumed to act over the blade annulus
area. Is this assumption reasonable? From our previous discussions, we have
found that angular momentum, not static pressure, is conserved across the
turbine blade span. Therefore, a static pressure gradientin the radial direc-
tion must exist. Will that gradient be significant in this case?We have also
foundthatthegradient increaseswithheight of the bladepassage and
themagnitude of thetangential fluid velocity (swirl).Referring to Fig.
35, we can see a table of the flow properties at the hub, mean diameter,
Axial Loading in Turbomachines 475
and tip of the blade annulus. Asin Case Study 1, these properties have been
calculated using the following assumptions:
0 Theturbinedrive fluid behaves as an idealgas.
0 Theangularmomentum ofthe flowfield is constant across the
span of a blade or vane at aparticularaxialstation(i.e.,
I' V,, = const).
0 Thegasstagnationpressureandtemperaturearebothconstant
across the span of a blade or vane at a particular axial station.
We can see that the static pressure at the blade hub is approximately
36 psia, or approximately30'%,less than the mid-span pressure. At the blade
tip, the free-vortex flow field generates a static pressure of approximately
65 psia, or about 130% of the mid-span value. The radial gradientis indeed
significant. As in Case Study 1, the axial force exerted by this free vortex
is given by
FaXKll = 7 i"
0 huh
P(r)rLhdfl
17.45
Radius 16.21 18.69 16.15 17.45 18.75
c u 175 -2
-2021 -1887 -2184 -202 1 -1881
114.7
Ptot 114.7 114.7 114.7 114.7 114.7
Radius
17.45 15.33 19.56
Ptot
57.8 57.8 57.8
rCu
340.3 340.3 340.3
Ctotal
1033 1041 1027
where
P s t a t i ~ 6 5 . 2psia
Pstatic=36.3 psia
ri-\rnn First
Rotor Blade
.. .. ..
. . .
.. .. .. .
First Rotor Disk .. .. . ..
. . .
inches
Radius=
16.52 . .. .
. .
c
inches
Radius=
17.14 . .
b :
.. ...
Radius= 17.76 inches .
Radius=18.38 inchcs
Figure 36 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor blade
row upstream pressure-area force-second look analysis.
Assumed constant
50 psia pressure
Turbine Geometry
=(50)[n(16.52-4.62?)1
pressure acts over the area of the disk from the bladehub down to the radius
of the drive shaft.If we refer to Fig. 34, we find that the sourcepressure at
the rotor disk periphery is approximately 36 psia. An assumptionof 50 psia
constitutes a significant error. Further, from our previous discussion, we are
aware that a noticeable radial pressure gradient (produced by rotation of the
disk) can exist in cases such as this.
It should be noted here that, in many turbine examples, the actual
radialpressuregradientcaused by thesemiforcedvortex flowfieldis
not very large. This is due to the fact that, although the changes in head
from one stream tube to the next may be large, the working fluid density
is quite low. This results in low delta pressures from one stream tube
to the next. However, we should also be reminded that the exposed areas
480 Mohr
in this particular example are quite large. Changes in static pressure that are
relatively small as a percentage may bring about differences in forces that,
although also small as a percentage, may be large in absolute terms.
If we discretize the first rotor disk upstream side into 10 stream tubes
and carry out the calculations for the change in static pressure with radius,
we generate a table similar to that shown in Fig. 38. The initial estimate
for this thrust component gave us a value of -39,516 lb f. Accounting
for the radial gradient in the blade annulus, as well as the gradient over
the disk, results in
Faxlal
= -27,675 lb f
The reader should note that the difference in the axial force predicted
between the original analysis and our second look is on the order of
12,000 lbs. It should alsobe noted that the result indicated here would imply
an increase (in the positive direction) in turbine thrust, increasing the load to
be reacted by our thrust bearing. This appears (at this point) be consistent
to
with our test experience and physical evidence. Although it would be a
mistake to consider our problem solved at this point, the original analysis
clearly contains at least one very substantial error. A discrepancy such
as this would cause us to scrutinize the remaining parts of the original analy-
sis quite carefully.
Theremainingportions of oursecondlookthrustanalysisare
shown in Fig. 39-47. The figures containside-by-sidecomparisonsof
the original thrust analysis with our second look. The reader is strongly
encouraged tostudy these figures carefully.Theerrorsintroduced by
ignoring the radial pressure gradients are frightening when one considers
the nature of the machinery under discussion here.
When our second look analysis is completed and the new turbine
thrust components are totaled, we find that the actual axial load to be
reacted by our turbine thrust bearingis 16,453 lbs. At this point, the turbine
test failures, as well as the overloaded thrust bearing hardware, become
substantially less mysterious. With this information, our turbine test hard-
ware canbe modified suchthat component testing can proceed with a strong
confidence of success.
The purpose of this case study has been to illustrate the importance of
accounting for radial pressure gradients in one aspect of turbomachinery
design. Not all machinery will produce the dramatic results displayed here.
However, it is hoped that the reader has gained an appreciation for the
importance of accuratelyaccountingfortrue physical conditionswhen
analyzing a design case.
A point of comparison with Case Study 1 is also instructive. Ifwe
compare Figs. 21 and 33, we can see that the turbine in Case Study 1 con-
Axial Loading In lbrbomachines 481
Stream tube 10
Stream tube 1
l
1745 m
186m
l 6 52 m
462 m
IO
I19
05
IWIkgR
23 L1
M 3x42
58 I rai'uc
Figure 38 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor disk
upstream side pressure-area force-second look analysis.
tains a rotating seal at the second stator, whereas our current turbine does
not. In fact, the computation of axial thrust components in Case Study
1 was complicated slightly by the presence of the discontinuity in pressure
in the radial direction across this seal. What accounts for the difference
482 Mohr
Radius= 18.69inches I
I
I,
l
Radius= 16.21 inches I I
7
1-7
I I
l I
h I
I l
Pressure-Area Force
in design between the two machines? As part of the turbine design in Case
Study I , we chosetoconstructavectordiagramthat preserved the
impulse condition (equality of relative velocities) across the stator row.
Inthepresence of losses, thisrequiresa staticpressurechangeacross
the stator to prevent deceleration. Consequently, a noticeable delta P
exists acrossthe stator at the hub. The dynamic seal acts tominimize leakage
across this pressure differential. In the current turbine design, the negative
reaction condition across the stator results in almost no pressuredifference
at this location. A seal is, therefore, unnecessary.
A design effort has begun fora new high-performance cryogenic rocket pro-
pulsion system. The engine will employ liquid hydrogenand liquid oxygenas
Axial Loading in Turbomachines 483
Blade Row Inner radiusOuter radius Mean rad Avg PressArea Force,(PA)
stream tube inche inches psiainches in2 Ibf
1 16.21 17.04 16.62 47.07 86.34 4063.96
17.04 2 17.86 17.45 49.80 90.64 45 13.80
17.86 3 18.69 18.28 52.53 94.93 4987.12
Assumed constant
50 psia pressure
Turbine Geometry
Curvic
Coupling
radius= 8.30 inches
l 7 45 n
248m
1621 n
n3m
IO
0 791
05
1639 k g R
23 23
66 m -
581 rad.=
Tukb rxnsrad Irmrrrd b h r d Arca u r n r Um (uXCu) 'Yt01Yg W K p a C m h S m bM M TadWTtixPA
c
ncha ncha VI m? n i v ~ W.rr Wur2 J h t d . f l p n a IWR R R R bf
0 1621 7ffl83 392 42 N 7 W 3 4563 0 06 0m I r n L394l4 lll402I
l 1621 15419 I58145 7860 74651 17327 2786584 910611 4 5 3 1 O W 2 2 4 1083252 216619 llM914 356162
2 15419 14628 I50235 7467 70824 35112 Zy)8012 86513 45OI 0050218 lUl6167 1949U IS6263 336.32
3 I4bB 13G7 14232s 7074 W'U 3UVl 244108 81958 4479 OWL18 1070522 174449 1088057 316797
5 13LL17 13016 134415 M80 6 3 l M 31582 I W87 TI403 44% O W 2 3 I W 8 1 9 155074 1080327 297563
5 l3016 12255 12650s 6287 59335 m 6 7 1760299 72848 4431 0060228 I059358 1x1839 l07iM2 278621
6 l2255 llsbl 1185'55 58% 55505 27752 IS03995 68293 WIOOo(nL1R IoYL18 119745 IoM213 255937
7 IlW 10673 1 1 0 6 8 5 5501 51675 25838 1335158 61738 43W 0060228 IN% l037W lOS'w39 251500
8 10673 9 8 8 102175 5108 47845 L1923 II4458Y 59123 53720060L18 IN5023 88976 1053921 2.3294
9 9882 S(nl 94865 4715 W 1 6 X I 0 8 9686862 41628 4351 0050233 IDWZ8 75102 IMffl58 B5303
O
I 9091 8 3 8W55 4322 40186 -X093 M74505 IC071 4339 0 W ? U 1037174 627oR IN345 187503
Taalls&kdarm 270NOSbf
m fa
Figure 42 Case Study #2. Large liquid oxygen/RP-l turbopump. First rotor disk
downstream side pressure-area force-second look analysis.
the fuel and oxidizer pumps as separate and independent units, each with its
own drive turbine.
The engine also employs a new thermodynamic power cycle that is
referred to as a "staged combustion" cycle. A simplified schematic of this
cycle is shown in Fig. 48. Although a complete description of the cycle
is beyond the scope of this text, a brief overview is in order.
486 Mohr
Assumcd uniform
50 p s ~ apressure
lield
I \+ Second
Rotor Blade
Disk
Radius= 15.61 lnclles
.
Radius= 19.29 Inches
Pressure-Area Force
Istatic=54.6 psia
PstatIc-44.3 ps1a ~
fl
Rotor Blade
Radius=l5.61 Inches
Radius=16.84 1nrht.Y
Sec(lnd
Radius= 18.06 inches
.
c
Radius-19.29 inches
Assumed constant
50 psia pressure
\
Turbine Geometry
-17455 Ibf
Figure 45 Case Study #2. Large liquid oxygen/RP-l turbopump. Second rotordisk
upstream side pressure-area force-initial analysis.
The rocket engine systems in Case Studies 1 and 2 powered their drive
turbines with a smallcombustor called a gas generator. This combustor is
supplied propellant from the discharge of both propellant pumps,in parallel
withtherocket engines maincombustionchamber.After passing
through the turbine, this fuel-rich hot gas was dumpedoverboard through
any of a number of schemes. However, the central idea of the staged com-
bustion cycle is to use this turbine exhaust gas as the main combustion
chambers fuel source (this avoidswaste of significant quantities of raw fuel,
and results in a noticeable increase in specific impulse performance). This
carries the implication that the exit of the turbopump drive turbine(s) is
at a static pressure significantly higher than the main combustion chamber
pressure. For example, the turbines in Case Studies 1 and 2 had exit static
pressures of100 psia and 50 psia, respectively. However, the new engine
will require a turbine exist static pressureof on the orderof 3500 psia when
operating at its rated chamber pressure of 3000 psia.Consideringthis,
the workingfluid flow rate through the turbine should be as high as possible,
in orderto keeptherequired turbine inletpressurefrombecoming
unreasonable (this high turbine inlet pressure would have to be supplied
Mohr
Stream tube 10
Stream tube 1
1745 m
3 68 ~n
IS 61 ~n
8 1 C"
In
n 731
01
1668 Dc8 K
21 21
66 10882
581 radf,r
by the propellant pumps). The obvious limiting condition for turbine flow is
theentireengine fuel flow-approximately 149 l b m / s (Thisquantity is
derived from the engine thrust, specific impulse, and mixture ratio require-
ments mentioned earlier.) From studiesof possible variations of this power
plant cycle (theinputformost ofwhich camefrom people otherthan
ourselves), itis decided that approximately80"h of the total engine fuel flow
will be made available to serve as turbine drivefluid. The other 20% is to be
used elsewhere in the cycle. The 119 lb m / s of available hydrogen is to be
splitbetween the fuel and oxidizer turbopump drive turbines. The split
of hydrogen between the two turbines will be such that thefuel turbine con-
sumes the majority of the available fuel. This is simply because the fuel
pump system requires approximately three times the generated power of
the oxygen pump system (simple calculationsby the reader can easily show
Axial Loading in Turbomachines 489
, - , . ~
. Second
Rotor Blade
Assumed uniform
50 p i a pressure
/
,
field
Pressure-Area Force
Oxygen Flow
Control Valve Oxygen Flow
Control Valve
Hydrogen
490 Mohr
Second
Stage
First 1 urhlne
Turbme Interstage
Impeller
Figure 49 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbopump rotor cross-section.
ading Axial in Turbomachines 491
The reader will note that the turbopump is composed (for purposesof
this discussion) of three main elements. A two-stage turbine delivers the
power needed for turbopump operation. This turbine uses the combustion
products of hydrogen and oxygen described earlier as its propellant.
Themainpumpstage impeller is, asitsname implies,the main
pumping element in the turbopump. It supplies the liquid-oxygen require-
ments of the engine's main combustion chamber. The discharge pressure
forthemainpump is, therefore, set by thepressureiflowrequirements
of the main combustion chamber and other hardware (ducting, valves. etc.)
between the pump and the chamber. When the engine is operating at its
full power level, the main pump stage is required to displace a mass flow
of 1160 lbsis of liquid oxygen. This rate of oxidizer flow constitutes the
total required by the main combustion chamber, as well as other places
in the engine cycle.At this condition, the main pump stage discharge press-
ure is predicted to be 4600 psia.
The preburner pump stageis shown at the farleft of Fig. 49. The pur-
poseofthepreburnerstage is to supplytherequiredliquidoxygen to
the preburners, as shown in the figure. The preburners are the hot-gas gen-
erators which create the propellant needed by the two turbopump drive
turbines. The liquid-oxygen feed pressure required of the preburner pump
is computed by addingtotheturbine inletpressure(whichcan be
approximated by multiplyingtheturbineoutletpressure by theturbine
pressureratio),thepressure drop acrosstheinjectionsystemofthe
preburner,thepressuredropassociated withtheoxygen control valves
shown in Fig. 48, and the pressure drop associated with the ducting between
the preburner pump and the oxygen control valve. When we carry out this
computation, we arrive at a preburner pump outlet pressure of approxi-
mately 7900 psia. The preburner pump mass flow rate will simply be the
sum of the oxygenflow requirements of the two preburners. From the engine
cycle considerations mentioned previously, this combined rate is (at the
engine's full power level) approximately 120 Ib m/s.
Aquestionthatcould be raised at thispointconcernsthebasic
packaging of our turbopump. Why use two pump stages instead of one?
TWOpump stages are certainly more complex than one. They also lengthen
the turbopump axially and result in increased weight. One of the answers
to thisquestion lies in thethermodynamics of ourengine cycle. To
implement only one pump stage, that stage would have to generate the single
highest pressure required by our engine (7900 psia). We should note that
only about 10"% of the pump working fluid is required to be delivered at
this pressure. Raising the pressure of the remaining oxygen(1000+ lb m/s)
by an additional 3300 psia would require considerably more turbine power
(and
thereforeturbinepropellant)
than
two-pump-stage
a scheme.
492 Mohr
Mid line blade speed= 1284 ft/sec, inlet total pressure=5785 psia
1 4 2 3
980 psia
Pressure,
Static
Temperature,
Static
deg R 1478
1503
1553
1578
6310072443Wsec
Velocity,
Absolute
(deg
Angle
Flow to axial) 74 -35 74 -28
Figure 50 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopumpturbine configuration #l. Turbine velocity vector diagram.
CL-
Y
- CL
Main Pump Stage
Impcllcr
high-pressure orifice and close the left-hand low-pressure orifice. This will
act to increase the average pressure over the left-hand impeller shroud.
Atthesametime,theright-handhigh-pressure orifice closes while the
right-hand low-pressure orifice opens. This lowers the average pressure over
the right-hand impeller shroud. The result of thisis a net force acting to the
right in the figure. This acts to restore rotor equilibrium in thefaceof
perturbing forces.
We have beengiven the following assignment: to evaluate the suit-
ability of the componentsof this turbopump and gauge their ability to func-
tion properly together, particularly with regardto rotor axial thrust. We are
given the following guidelines from which to work:
0 Themainpump-stage impeller is assumed togeneratenoaxial
thrust (other than that generated by a pressure difference across
the balance pistons) due to the symmetry of the double-suction
arrangement.
0 It is desired that theaxialthrustforces of thepreburnerpump
stage and turbine should balance each other as nearly as possible
at the engines full-power operating level. This avoids the need
for the thrust ball bearings to react large loads at high speeds
in steady state. At theengines full-power level, the main impeller
balance piston has an axial restoring force capability of approxi-
mately 65,000 Ibs.
ading Axial 495
Where:
F,= Impellerinletpressure-areaforce
F>= Impellershroudpressure-areaforce
F4= Impellerhubpressure-areaforcedownstreamoflabyrinthseal
F T B ~ =Axial force on pump impeller due to turbine and main pump balance piston
Figure 52 CaseStudy 3. High-pressurestagedcombustionrocketengine.Liquid
oxygen turbopumppreburner pump impeller free body diagram.
From the data presented and the direction of the force vectors shown
in Fig. 52, we cancomputetheresultant axial thrustgenerated by the
preburner pumpimpeller. This resultanttotals 41,608 lbs and acts (as shown
in the figure) in the positive X direction, or toward the turbine.
0.472
Mach 0.45 1 0.430 0.473 0.45 1 0.430
Figure 53 Case Study #3. High-pressure staged combustion rocket engine. Liquid
oxygen t u r b o p u m p t u r b m e configuration #l.
502 Mohr
5.04
Radius 4.792 5.188 4.705 5.04 5.375
rC u -240.66
-240.66 -240.66 -240.66 -240.66 -240.6
0.187
Mach 0.190 0.184 0.191 0.187 n 1x3
Radius
5.04 4.705 5.375 3.704 5.04 5.376
where
I st rotor inlet
Radius, in Pstatic.psia
4912 4.791 Hub
4980 5.04 Mean
5039 5.288 Tip
Blade Ro Inner rad Outer rad Mean rad Avg prcss Area Force
tube # in in in psia in2 Ibf
1 4.791 4.957 4.874 4935 5.073 25034
4.957 2 5.122 5.040 4977 5.246 26107
5.122 3 5.288 5.205 5019 5.418 27195
1 st rotor outlet
Radius, in Pstatic psia
Hub 457 4.791 1
Mean 4575 5.04
Tip 4578 5.288
l st rotor
row
outlet
Pressure-Area force= 71993 Ibf
Tvbc 1 l h t c r radInncr rad hlcm rad k e a Y mean Cu mean (uHCu) d(uCu)lg Stalls Pres Gas Dcnr SUDF Her Dvn hcul TDlal Ilea Tube Y'A
mchcr Incher nnchrs 1n2 fWYc Nwc fClYc2 >h toU1.h p s a IWfLl ft h 1) Ibf
0 4 792 4 l92 4192 OOOO 12200 610 1 744817 4571 OW8911 618928 1190 664719 0
I 4 191 4600 46% 16'2 11% 2 $08 I 71091 916 4166 OW8911 618242 1161 661801 21806
2 4 6 w 4408 4504 1421 11474 $117 658222 1176 4151 0998911 611911 ill7 M1028 24701
I 4408 4 211 4111 1 IW 1098 6 140 1 001421 1702 4548 OW8911 651615 4601 MO126 21007
4 5217 4021 4121 49tU 10498 $240 51lOl4 I628 454OOW89ll b5441J 4281 658698 22516
5 4015 j814 1910 4129 lOOl0 (W1 100981 1114 4112 OW8911 611250 1894 617144 21412
6 1814 I642 1718 4.199 9122 476 I 411110 1480 4124 OW8911 612140 I524 b51bb4 203'2
7 ?M2 1451 154h 4268 9014 4517 4080V 1406 41170W8911 b11086 l172 b14258 19278
8 1 4iI 1 259 I 11i 4018 8546 .I27I 1b5169 1112 4110 OW8911 61WP.8 2819 652917 I82W
9 1219 lob8 1101 1801 8OSI 402Y j24MO 1218 4101 0998911 649141 2524 bIIbb8 17144
10 ?W8 2 816 2912 3 517 1510 178 5 ?l6512 l184 4497 0998931 648211 2227 610484 16484
FitcurveforbladeannuluspressureFirstbladeheight
0.672 in
217.26 term Linear
Number
2865.3
Constant
term of tub
stream 3
Tube web thickness= 0.224 in
Blade
RoInner
rad
Outer
rad
Mean rad
Avg
press
Area Force
tu be in in2 inpsia in Ibf
6.77839124.816
1 4.9284.704 265 14
7.0933960 5.045.1524.928 2 28092
7.40940095.264
5.376
5.152 3 2970 1
Blade row inner radiu outer radiu Mean rad Avg press
Area
Force
tube # inches inches inches psia in2 Ibf
1 4.704 4.928 4.816 3637 6.778 24655
4.928 2 5.152 5.04 3640 7.093 25818
5.152 3 5.376 5.264 3642 7.409 26983
Component Lbf
pressure
inlet
First row
rotor
force -78336
pressure
topside
force
First disk -349657
First row
rotor exit pressure
71992
force
First bottomside
disk pressure
force 209 132
Second rotor
inlet
row
pressure
force -84307
Secondtopside
pressure
disk
force -167719
Second pressure
rotor
exit
rowforce
77455
Second bottomside
disk pressure
force
177542
momentum
fluid
First rotor
force 313
Secondmomentum
fluid
rotorforce 563
turbine Total
41608thrustpump
preburner
Total
Interpropellant
Package
thrust
Seal 5000
ratio considerations. (We are reminded here that the turbopump shaft speed
is already at a maximum due to main pump-stage impeller cavitation per-
formance and that a minimum turbine efficiency constraint of approxi-
mately 75% must be met to satisfy engine performance requirements.)
oading Axial 509
1 2 3 4
4720
Static
psia
Pressure, 4595 3800 3640
2841ft/sec
Velocity.
Absolute 720 2745 887
note that the outlet angles for each blade and vane row are kept unchanged
from thebaseline turbine design. We do thisonly for the sakeof expediency
and with the understanding that the actual angular changes involved would
not be very large. However, in reality, the vector diagram would be com-
pletely reoptimized when turbine pressure distributions are changed.
The flow conditions for hub, meanline, and tip stations for the con-
figuration 2 turbineareshown in Fig. 57. Usingthesestaticpressures,
ding Axial in Turbomachines 511
we can again derive thepressure-area load data for the blade rows and disk
faces, as well as the fluid momentum forces for the blade rows. These data
are shown in Fig. 58. In Fig. 59, we see the various thrust components
tabulated, alongwith the resultant rotor thrustof approximately 60,000 lbs.
Itshould be notedherethatour designmodificationhasessentially
succeeded. Our modification of turbine pressure distribution has lowered
the resultant rotor thrust to a level which is within(if on the outskirts
of) thebalancepistonrestoringforcecapability.However, in view of
the uncertainties inherent in our analysis of the rotor thrust components,
as well as uncertainties that no doubt exist in the quoted balance piston
capacity, we decide to explore the next logical modification to reduce turbine
axial thrust.
The thought process that led us to attempt to reduce the first disk
upstream side pressure load is essentially the correct one, and we can carry
this one step further. Because the first turbine stage is already an impulse
Radius 5.376
Tstatic 1480
Caxial 838
22 rCu -1 22 -122
887
Ctotal 894 88 1
Mach 0.168
where
U= blade
speed, ftisec
Ttot=fluidstagnationtemperature,degR
Ctotal= fluidveloclty,Wsec d w
Mach=fluidMachnumber
514 Mohr
Fit curve
for blade annulus
pressure First blade height
0.497 in
Linear term 329.88
Constant term Number
of
3054.2 stream
3 tub
Tube web thickness= 0.165667 in
Blade Ro Inner rad Outer rad Mean rad Avg press Area Force
tube # in in in in2 psia Ibf
1 4.792 4.957 4.874 4662 5.074 23655
4.957 2 5.123 5.040 4717 5.246 24745
5.123 3 5.289 5.206 4771 5.419 25855
FitcurveforbladeannuluspressureFirstbladeoutletheight
Term Linear 0 0.497 in
Constant 4595
Number
stream
of
3tub
Tubewebthickness0.165667 in
0 0
l 25936
25828
3 237%
4 22610
< 2 I540
6 2045s
7 19170
8 18101
9 17211
10 Iblbb
210190 Ibf
516 Mohr
Fit curve
for blade annulus pressure
First
blade height
0.672 in
Linear term 260.42
Constant term 2482.5 Number of stream tub 3
Tube
web thickness= 0.224 in
5041"
0 672 m
1 l04 m
2 876 ~n
10
0 l828 8"
os
l478
J 619 Ib/mck
424 5672
1056 8 radiwc
Tube i( 1IuIcr r d Inn- rad hlcrn rad Area U mm Cu mean iuMCu) AIuCuVg Suue P r a 0 1 % Dens Sllllc He1 Dyn head Told I1.a Tvbr P * A
Inches Inches mrhn m2 Nwc Rwc fWuc2 Ah tola1 ft p m lbiN ll n n IbF
0 1701
4704 4701 O W 11981 1WI 111920 170s 0810217 627110 5581 011091 0
I 4704 ,4521 5611 S298 11710 5875 690292 818 1701 0850217 026867 612211
5166 19W9
2 4 521 4 IJS 4410 8 088 11284 5642 616661 1656 I6W 0850217 625418 4949 630?68 18794
I J 138 4156 4 247 4878 1081 9 1400 58S202 15'18 I687 0850217 624520 4549 628969 17984
4 4 IS6 1071 4064 1668 10151 517b 115910 1511 l680 0850217 621273 JIM 627.119 17118
1 1971 17W 1881 4 I58 988 7 493 4 4887R6 1461 1674 0850217 622170 IUW 625975 16177
6 17W 1607 Ib W 4 248 942 2 471 l 441810 11% 1661 0850217 621129 14-0 62457L1 I5579
7 1607 lJ24 1 0 6 4018 R956 J478 401012 1129 16-51 08S0211 620111 ill8 621250 14785
S JJ14 1242 113) 1828 8490 42J 5 IbQJ21 1161 3656 0880211 619l87 1802 621989 11995
U 1252 JUS9 J I10 1 618 802 S 401 2 121972 1194 1651 0850217 618291 250; 02079s 11209
10 1059 2876 2967 1408 7519 1779 115689 1127 JN608i0211 bl7J47 1121 619M8 12421
rota1 2nd dnk topwdo prcmrc force- IS99JJIbf
Axial Loading in Turbomachines 517
Fit curve for blade annulus pressure First blade outlet height
Linear Term 4.4643 0.672 in
Constant 7 361
Number
of stream tub 3
Tube
web thickness 0.224 in
Component Lbf
First pressure
rotor
exit
rowforce
723 11
bottomside
disk
First
pressure
210190
force
Second rotor
inlet
row
pressure
force
-80796
Second topside
disk
pressure
force - 159934
Second rotorpressure
exit
rowforce
77450
Second disk
bottomside
pressure
force
17764 1
Firstmomentum
fluid
rotorforce -21 1
momentum
Secondfluid
rotor
167
force
thrust
preburner
pump
Total 41 608
Interpropellant
Package
thrust
Seal 5000
st rotor Resultant
Figure 59 CaseStudy3.High-pressurestagedcombustionrocketengine.Liquid
oxygen turbopumpturbine configuration #2 design axial thrust totals.
stage, we cannot lower thefirst nozzle outlet hub pressure any furtherwhile
maintaining a 50/50 work split between the turbine stages. To lower this
pressure further, we must abandon the equal work split and bias the turbine
work toward thefirst stage. Specifically, we now propose changing the stage
worksplit to 60140 while maintaininganimpulse first stagewith a
second-stage reaction of approximately 10% at the blade mid-span. This
ading Axial in Turbomachines 519
4 3 1 2
Let us explore the effect of relocating the impeller hub labyrinth seal
from its present radius of 1.68 in. to a radius of 2.00 in. The new estimates
for preburner impelleraxial thrust components are shown in Fig. 64. It
can be seen that ourseal adjustment modification has increased the impeller
thrust by approximately 19,000 lbs, bringing the net rotor thrust to just
under 37,000 lbs. A force of this magnitude is comfortably within the stated
capability of the main pumps thrust balance piston.
ding Axial 521
4.791 5.285Radius
5.04 4.795 55.288 5.04
2888 cu
3028 3183
1636 1636
Ttot 1636
1546 1539
Tstatic 1529
1272 rCu
1546
Ttot l546 1546 l546 1546 1546
2318
cu 2483 2174 2483 2318 2174
1546
ltot 1546 1546 1546 1546 1546
2570
Ctotal 241 1 2273 2570 241 1 2273
cu 0 0 0
rCu 0 0 0
U= blade
speed,
ft/sec
Cu = fluidtangentialvelocity.ft/sec
Ptot = fluidstagnationpressure,psia
Ctotal = fluidvelocity.ft/sec d m
Mach = fluidMach number
524 Mohr
Blade Ro Inner rad Outer rad Mean rad Avg pressArea Force
tube # in in in psia in2 Ibf
1 4.792 4.957 4.874 4433 5.074 22490
4.957 2 5.123 5.040 4496 5.246 23589
3 5.123 5.289 5.206 4560 5.419 24709
Blade row Inner radiu Outer radiu Mean rad Avg press Area Force
tube # inches
inches
inches psia in2 Ibf
1 4.791 4.957 4.874 4303 5.073 21830
4.957 2 5.122 5.040 4305 5.246 22585
5.122 3 5.288 5.205 4308 5.418 23340
First
rotor row outlet Pressure-Area
force= 67755 Ibf
526 Mohr
Blade RoInner rad Outer rad Mean rad Avg press Area
Force
tube # in in in psia in2 Ibf
1 4.704 4.928 4.816 3702 6.778 25094
4.928 2 5.152 5.04 3747 7.093 26576
5.152 3 5.376 5.264 3791 7.409 28085
Tube x (Mer radInn" rad M ( c u nd Ymcm cu mean (")(C") d(uCuyy Stmr Pres Gail Dens Sltil~cHe, Dyn hrrd Totd He. Tub< P.A
lnchsr nnchar inLhn an2 Ww Nuc fWxd Ahrnm1.n pm lb,fll h R R Ibf
0 4704 4 l04 J l04 O m l198 1 50" I 111920 1678 0 8 J 2 l l 2 628781 1581 blJlb5 0
l 4104 4521 4bll 5298 11750 5875 bW2VZ 858 l 6 1 4 0 8 4 2 1 1 2 b28lJI 5166 b1J501 I94W
2 J521 5118 4JlO 5088 11284 $012 616641 IbM 1661 0 8 4 2 1 1 2 b26892 49J9 b118J1 186i1
I J 118 J 116 4241 J818 1081 9 5409 58S202 1598 1600 0 8 J 2 I I 2 615691 4119 bl02Jl 1180
4 41% 3911 JUIJ 4668 1010 I116 SIIYIU 1 0 1 16510842112 62JS4b JIM 628712 l1051
I 1913 1100 1881 JJ58 988 l J9J.1 488186 1561 1631 0842112 621449 1100 b21249 lh258
6 1199 I b01 169'I J2J8 9J?2 171 I 5.11810 I196 3641 08J2112 622401 l450 0258S1 IS466
l 1601 I J2.I 1516 JUl8 89s 6 4578 J01042 1129 1615 0842112 62140b Ill8 624524 14618
8 1414 12J2 I 111 I828 8J90 4:J I )MU21 1261 1629 O$J:ll? b20Jb1 2802 621262 13804
9 12JZ 1019 1150 3618 8025 301: 121972 IIP4 1b240812112 619565 2501 622M8 11111
10 IOI'I 2816 29b7 l408 1559 1179 285689 1111 lb19O8J2ll2 618721 2221 620942 1?111
Tal.l\r,illlddlrklopud~
prrnurc iorcc- 158111 Ibi
Axial Loading in Turbomachines 527
Second rotor
row
outlet
Pressure-Area force= 77461 Ibf
I h m i Told HCI T v b r P * A
n bf
5 W 615114 0
5121 bJ.1199 22149
1816 b122J9 21b2b
4lb9 b10114 20110
I926 628bQ01 l9401
1501 026928 18298
1111 025141 11202
2719 bZ38bl 16112
2191 b224b9 15027
2ohb 021112 11947
1765 bIWb9 12871
Mohr
Thrust
Component Lbf
Firsttopside
disk
pressure
force 13023
-3
First rotorpressure
exit
row
force
67754
Firstbottomside
disk pressure
force 196807
Second rotor
row
inlet
pressure
force
-79755
Secondtopside
disk
pressure
force -158771
Second disk
bottomside
pressure
force
177744
Second momentum
rotor
fluid force 41
Figure 63 CaseStudy 3. High-pressure staged combustion rocket engine. Liquid
oxygen turbopum-turbine configuration #3 design axial thrust totals.
Where:
The reductionof the seal outlet pressurebrought aboutby the lower K value
hasdecreasedtheimpeller hub pressure-areaforce by approximately
3500 lbs.
At this point,we have evolved arotor configuration which requires an
axial restoring force from the main pump balance piston of approximately
33,500 Ibs. This is on the order of 51% of the quoted capability of the bal-
ancepiston. We haveachieved our designobjectives. The analysis that
remains to be done consists of evaluation of the rotor axial thrust at a
set of operating points other than the design point. Because this rocket
engine systemis to be capable of operation over a significant range of thrust,
turbopump operating points corresponding toseveral different thrust levels
should be carefullyexamined to determine the magnitude and direction
of the required balance piston restoring force. Although the design point
operation may be satisfactory, it is entirely possible that operation at points
corresponding to other thrust levels will reveal deficiencies in our design.
Thesewouldrequirecorrection by thesamemethods we have been
describing in this case study. When this exercise has been completed, we
can proceed with confidence into the testing phase for this turbopump.
The early phases of testing for machines such as the one in this case
studyshouldalwaysincludeaset of thrust tests. The turbopump used
for thesetestsshould be a prototype incorporating sufficient instrumen-
ding Axial 531
ACKNOWLEDGMENTS
1. INTRODUCTION
The use of turbomachinery in gas turbine power plants, be it to produce
power for ground-based utilities or as aircraft engines, is one of the most
significant as well asfascinatingtechnologicaladvances in our lifetime;
the last 50 years. Justifiably so, it has attracted the attention of an endless
list of prominentresearchengineersandscientistsand,subsequently, it
may be regarded as a very mature field. We have now entered an age of
turbomachinery applications which pushes the bounds of material science,
fluid dynamics,combustion science, and so forthandtrulydemands
creativity and ingenuity on the partof the scientist to achieve even remotely
identifiable improvements in turbine performance or compressor efficiency.
An improvement in compressor efficiency may be attainable, even when
a significant increase might be unthinkable. Such improvements can result
in a drastic reduction in engine weight, a property which is quite important
in aircraft design. It has become fashionableto research methods in passive
and active control of disturbances upstream of compressor inletsto promote
operation atlower engine massflow rates, therefore, dramatically increasing
the stall marginof the engine. Hence,they have been given the term smart
engines by their developers.* Thin-film cooling is a subject of considerable
533
534 Srdic and Strang, Montenegro,
2. LDV
TECHNIQUE
2.1. Physical
Model
There aretwo models to explain the physics of the LDVsystem: the Doppler
and the interference fringe model. The Doppler model provides a more rig-
orousmathematicalexplanationthantheinterference fringe
model.
However,ourintent is to provideasimpleunderstanding of LDV
techniques. Therefore, for the sake of simplicity, we are using the inter-
ference fringe model to explain the principle governing this technique.
The objective of this LDV instrument is to obtain a measurement
when asmallparticle(about 1 pm in size)scatterslightimpulses while
traversingperpendicular
to
the
interferencefringes
(probe
volume)
formedattheintersection of twocoherentandmonochromatic laser
beams.Thescattered light is collected by astationaryphotodetector,
and the frequency of the scattered light is Doppler shifted as the particle
travels through the probe volume. The Doppler frequency is proportional
totheparticle velocity. The frequency of thelaser andtheoptical
geometry determine
the
relation
between particle velocity and the
Doppler frequency of the scattered light. Refer to Ref. 1 for greater detail
concerning the principles of the LDV concept. A simplified drawing of a
basic LDV system and the appropriate equations for the probe volume
areshown inFig. 2.
As a general rule, LDV systems have three basic components: the transmit-
tingoptics,the receiving optics,andthe electronicsignalprocessing.
The hardware layout is shown in Fig. 3. Before detailing each component,
it is important to establish two basic requirements in order for a successful
measurement to be made. The measuring locationmust have optical access
fortheprobevolume,andthemeasuring flow musthaveparticles that
can be measured.
Turbomachinery
Techniques
and
Optical
Advanced 537
Photodetector Processor
Splitter Lens
Conditioner
Nomenclature
6f Fringe
spaclng
ROBE-VOLUME
a Angle of intersecllon
i. Laser
wavelength
U Panlcle veloclfy
fD Dopplerfrequency
d -1 Beamdiameter
dZ Length of probe-volume
dx Width of probe-volume
d Z =d x / m a12 f Focal
distance
-
Figure 2 BasicLDV system.
Legend:
1 Laser
2 Pnsm
3 Bragg cell
Processor
4 Wedge pnsm
Output to computer
<-
5 Lenses I
detector
6 Photo I
7 Amplifier
m ~
Shifterhixer
l .e
8.5
-e .S
-1.8
There exist many forms of bias errors with the application of LDV systems
for velocity field measurement. Examples of such errors arevelocity gradi-
ent biasing,fringebiasing,particleaccelerationbiasing, and velocity
biasing. The most prominent error source for typical measurements in a
turbulent flow field is the statistical bias arising from an error in the mean
velocity and turbulence level. It iswell known that the sampling rate of
alaser-Dopplervelocimeter is dependent on therateat whichseeded
particles pass through the probe volume. Consequently, the measurement
of the velocity of a uniformly seeded flow is biased toward volumes of fluid
traveling with velocities greater than the mean. In essence, for afinite sam-
pling time, the probability of the probe volume recording the velocity of
faster moving parcels of fluid than slower moving parcels is greater. This
results in the high prediction of the mean velocity and, subsequently, an
error in the determination of the rms velocity.
McLaughlin and Tiederman[6] have proposed a methodof correcting
the velocitybiasing errorforone-dimensional systemswithuniformly
seeded flow. It is suggested thatthe bias error is proportionaltothe
magnitude of the instantaneous velocity. In computing the time average
of the streamwise velocity, in this particular case, from a continuous series
of realizations, each point must be weighted by the inverse of the magnitude
of the instantaneous totalvelocity. In determining the mean value, the sub-
sequent summation is divided by the summation of a corresponding dis-
cretelyestimatedweightfunction.However,theinstantaneous velocity
vector is notalwaysknown(i.e.,single-componentandtwo-component
systems);therefore,a simplified approach was developed and assessed.
The approach defines a weight function which requiresknowledge of a
scaling constant typical of theratio of therelativemagnitudes of the
fluctuatingtransverseandstreamwise velocity components.Care must
be taken because this requires interpretation of the data and enters as a
user input to the correction.
Turbomachinery
Techniques
and
Advanced
Optical 545
with receiving optics (addressed in detail earlier) to the frequency shift (or
velocity) isby means of a burst mode counter. This hardware individually
analyzes each burst associated with a particle passing through the probe
volume by determiningthecorrespondingDopplershift in frequency
(velocity) fromthetemporalspacing of theintensity spikeswithin the
Gaussian envelope defining the burst. The intensity spikes are clearly pro-
duced by the passing of the particle through the region of constructive
and destructive interference (often referred to as the fringe pattern) within
the probe volume coincident with two intersecting laser beams. The result-
ant velocity signal is output on a seemingly random distribution of time
intervals.
For high data rates, it was identified by Gaster and Roberts [l21 that
treating the data as if they were equally spaced produces fairly good esti-
mates of turbulent statistical quantities and spectral distributions, hence
circumventing the difficulty of handlingunequallyspaced data. Such an
assumption translates into selecting the estimated velocity from the most
recentburst and recording it at the time (within a continuous series of
equally spaced time intervals) of interest. This approach can be taken if
the condition of high data rates is met; however, it is an assumption which
must be taken with caution.
The processing of a finite-velocity record of equal-time intervals has
been well attended to in the past and the methods taken for signal pro-
cessing, in particular, the estimation of spectra have become part of our
fundamental understanding of the subject. The velocity data can be used
to directlyevaluate theautocorrelationfunction,from which adiscrete
Fourier transform with subsequent use of the Wiener-Klinchine theorem
yields the one-dimensional power spectrum. This technique is commonly
referred toasthe Blackman-Turkey approach.Furthermore, a Fourier
transform of the velocity signal weighted withan appropriate window func-
tion (Hanning, Parzen, Welch, top-hat, etc.) to account for itsdiscrete rep-
resentation (i.e., the velocity distribution between time intervals) can be
applied and, for a given frequency,thespectralpowerdensitybecomes
the sum of the square of the modulus of the Fourier amplitudes for the
negative and positive components, or harmonics (generalapplication of
a complex Fourier transform; of course, a real signal simply implies that
theFourieramplitudesforthe negative and positive componentsare
complex conjugates of one another). It can be expedited when there exists
2 N , where N is an integer, samplesin the data realization, hence accommo-
dating the use of a fast Fourier transform (FFT). The application of these
methods,includingadescription of thesoftware invariouscomputing
language (Fortran, C, etc.). is provided in elaborate detail in Ref. 13. Also,
see Ref. 14.
Turbomachinery
Techniques
and
Advanced
Optical 547
4. INTRODUCTIONTOPARTICLEVELOCIMETRY
1. Laserspecklevelocimetry (LW)
2. Particletrackingvelocimetry(PTV)
3 . Particleimagevelocimetry(PIV)
Optical criteria stem from the fact that particles serve the purpose of
transmitters of an optical signal and, thus, lower
a limit on the size of tracer
particles is being imposed to ensure that enough scatteredlight is captured
by the recording medium. This size varies with the ratio of the refractive
indices of particle and the fluid.
Laser speckle velocimetry is a PV method which involves atracer con-
centration so high that imagesof the particles overlap each other. This is the
oldest of all three methods. Illumination of the tracer with a laser or other
coherent light source causes an interference pattern to appear, known as
the laser speckle pattern. This pattern is created by the random phase dif-
ference between light scattered from different particles. In general, this pat-
terncan be analyzedusingtheYoungsfringetechnique to extract
informationonthepositions of particles thatcreatethe laserspeckle
pattern, thus allowing the local velocity to be computed from the change
of position of the particles inferred from the speckle pattern. Typically,
exact positions of scattering particles are not being found, but the local vel-
ocity is directly inferred from the rate at which the speckle pattern changes
as the scattering particles move with the flow.
Particle tracking velocimetry is characterized by a low tracer concen-
tration such that overlapping particle images are unlikely and individual
particle images can be followed in time. Local velocity is simply inferred
fromthedistancethattracerparticlestravelbetweentwoconsecutive
flow-field snapshotsseparated by a knownshort time interval.Particle
images canbe followed for a long enough timeso that the method canyield
both instantaneous velocityvector distributions (Eulerian description of
the flow field) as well as trajectories of individual particles (Lagrangian
description of the flow field). This fact makes PTV a superior method in
comparison with LSV and PIV in measurement problems whereknowledge
of the time evolution of the flow pattern is important. Theonly disadvantage
of this method is its relatively low spatial resolution compared to PIV and
LSV, making the latter two more attractive for measurements in which high
spatial resolution is required.
Particle image velocimetry is a method that involves tracer concen-
trations somewhere between the typical concentrations in LSV and PTV.
Images acquired in consecutive time steps are segmented into a number
550 Srdic and Strang, Montenegro,
ACKNOWLEDGMENT
REFERENCES
Heinz P. Bloch
Consulting Engineer, Montgomery, Texas
1. PREVENTIVEMAINTENANCE [l]
553
554 Bloch
1.1. Introduction
Preventive maintenance encompasses periodic inspection and the implemen-
tation of remedial steps to avoid unanticipated breakdowns, production
stoppages,ordetrimentalmachine,component,andcontrolfunctions.
In other words, preventive maintenance is the rapid detection and treatment
of equipment abnormalities before they cause defects or losses.
Without strong emphasis and an implemented preventive maintenance
program, plant effectiveness and reliable operations are greatly diminished.
Plants must minimize machinery failures.
In many process plants or organizations, the maintenance function
does not receive proper respect. The naive perception is that maintenance
does not add value to a product and, thus, the best maintenance is the
lowest-cost maintenance. Armed with this false perception, traditional pro-
cess and industrial plants have not done the following:
0 Emphasizedpreventive,corrective,routinemaintenance
0 Properlydevelopedmaintenancedepartments
0 Properlytrainedmaintenancepersonnel
0 Addressedpredictivemaintenance
Excessive unpredictable equipment failures have been the result.
Maintenance is not an insurance policy or a security blanket, it is a
requirement f o r success. Without effective preventive maintenance, equip-
ment will fail during operation.
Historically, there have been five levels of equipment maintenance:
1. Reactive orbreakdownmaintenance
2. Routinemaintenance
3. Correctivemaintenance
4. Preventivemaintenance
5. Predictivemaintenance
Maintenance traditionally has focused on the first level (breakdown
maintenance) and, unfortunately, many plants still do. Experience shows
ntenance
Predictive Troubleshooting
and 555
shutting down of the production process, or time and labor lost in such an
event.
Asbadas theseconsequencesofpoorlyplannedmaintenanceare
much worse is the negative impact on overall performance which includes
the subtle role of worker morale in frequent breakdowns, product quality,
and unit costs.
1.2. PreventiveMaintenanceEffectiveness
t
Amount d preventive maintenance
Figure 1 Maintenancecostoptimization.
-
1.3. Maintenance
Improvement
Problems associated with machine uptime and quality output involve many
functionalareas.Manypeople,fromplantmanagerto engineers and
operators, are makingdecisions and taking action thatdirectly or indirectly
affect machineperformance.Production, engineering,purchasing,per-
sonnel, stores, maintenance, outside vendors, andso forth, all have internal
systems, processes, policies, procedures, and practices they use to manage
their own sections of the business enterprise. These organizational systems
interactwithoneanother,dependononeanother,andconstrainone
another in a variety of ways.
1.4. Program
Objectives
Maintenance deficiencies
procedures) (neglect, 30 1
Assembly or
installation defects 25 2
Off-design or unintended
onditions service 15 3
peration Improper 12 4
Fabrication or
processing errors 8 5
Faulty design 6 6
s Material 4 l
Source: Ref. l .
1.5. Program
Development
1.6. MachineryPreventiveMaintenanceProgram
1.7. Summary
To summarize, a preventive maintenance program is a comprehensive pro-
gram of reliabilityimprovement andfailurepreventioncarriedout by
all personnel, with the understanding and support of management. A good
preventive muintenunce plun should be able to do the following:
1. Maintain or improve machinery reliability
2. Represent a planned maintenance program
3. Include training to improve maintenance skills of both operators
and maintenance specialists
4. Ensure the development and updating of proper and adequate
records on the condition of the equipment
5. Encompass utilization of proper and accurate tooling to maintain
the machines
6. Ascertain
availability of proper
spare
parts
andproperly
reconditioned components
No single technique used alone cansolve all the problems thatresult in
high machinerymaintenance.Undueemphasis is oftenplaced onthe
predictiveaspects of maintenance to the exclusion of preventivemain-
tenance. Both have their place; they are complementary. Thebest available
maintenance management practiceis to apply predictive techniques in efforts
to accurately define when to perform preventive maintenance.
Troubleshooting and Predictive Maintenance 561
2. PREDICTIVE
MAINTENANCE
2.1. PredictiveMaintenanceVersusPeriodicInspection
Maintenance
2.3. Program
Althoughthefeasibility of monitoring will varywitheachcategoryof
rotatingequipment,therearesomethings which can be andshould be
monitored. Thefirst step in the programis to decide what is to be monitored,
and the following forms the basis of the program:
1. Daily operating reports andlogs: to observe operating parameters,
pressures,temperature, flows, and so forth.Theseareoften
overlookedandrecordedaspart of theoperatorsduties but
not
referred
to
until
lifter
problem
a develops. Continual
monitoring can show trends of developing problems.
2. Maintenance records andK>earmeusurements, taken as part of the
overall maintenance program covered previously. These records
are the most important of all parts of the program. Inspection
records will be the basis of the trend and prediction of possible
component failure and also the basis of planning for shutdown
and replacement of worn and failing components.
3. Infrared thermography. This very simple procedure can represent
an important part of a maintenance program and does predict
temperature-related problems before failure occurs.
4. Lubricating oil monitoring should be a part of the maintenance
programs, as it helps to detect the progressive deterioration of
components such as bearings. It consists of monthly sampling
of lubricating oil, performing spectrographic analysiswhich pro-
vides an accurate quantitative breakout of individual chemical
elements contained in the oil elements such asoil additives, as well
as contaminants. A comparison of the amount of trace elementsin
successive oil samples can indicate wear patterns ofall wetted parts
in the equipment and warn of impending failure.
The full benefits of oil analysis can only be achieved by taking
frequent samples and trending the data for each major machine.
The basic data on each major machine allow the laboratory to
build a unique database. Reports then include values from the
current tests, the average for the particular unit, and values from
previous tests. A spike in the content of one element indicates
a sudden changein the conditions inside the machine. A compari-
ntenance
Predictive Troubleshooting
and 563
3. MACHINERYFAILUREANALYSISAND
TROUBLESHOOTING
In recent years, the term failure analysis begun has to mean more than the
traditional metallurgical analysis of broken machine components. Where
the
metallurgist
once
reported
high cycle fatigue
as
the
failure
mechanism, present expectation may well demand that he and his collab-
564 Bloch
3.1. TheKepner-TregoeApproach
In the late1950s, and Tergoebegan teaching a systematic approach to prob-
lem solving and decision making [4]. They stated theseven basic concepts of
problem analysis as follows:
1. The problem analyzer has anexpected standard of performance, a
should against which to compare actual performance.
2. A problem is a deviation from a standard of performance.
3. A deviation from standard must be precisely identified,located,
and described.
4. There is always something distinguishing that has been affected by
the cause compared to that which has not.
5. The cause of a problem is always a change that has taken place
through some distinctive feature, mechanism, or condition to pro-
duce a new. unwanted effect.
ntenance
Predictive Troubleshooting
and 565
(a)
Check chart for centrifugalpump problems
Wear
Frllurr Cauur
Insufficient clearance
Misaligned journal
bearing
Rough surface finish
on journal
Pores and Cavities in
bearing metal
Insufficient
metal
bond 0
Overloadvibration 0
Current passage
Unsuitablebearingma-
terial
Contamination of lubri-
cant
Insufficient or lack of lu-
bricant
Oil viscosity t o o low
Oil viscosity t o o high
Improper lubricantselec-
tion
Lubricant deterioration
Figure 4
ntenance
Predictive Troubleshooting
and 571
Step 8: Next steps. If the concerns have been adequately addressed, the
client should be ready to say what is next.
As can be seen,this is a constant divergent/ convergent process.We
beginby expanding the number of problem statements, then narrow to
one. We proceed with multiple wishes or approaches, then narrow to one,
and so on.
intenance
Predictive Troubleshooting
and 573
There are Some other keys about the group and the techniques:
1. N o morethan seven people.
2. Includepeople who have knowledge of the problem.
3. Someonemust be willing to take action.
4. Visibility is critical.
5. Methodmust be agreed upon.
6. Six rolesassigned.
7. Strive for freshness. (Creativityis not necessarily a new idea,
but one that is new to you.)
Thecorestep in solvingproblems is developing appropriateaction.
Indeed,supportingtheactionstep is theprimaryreasonforanyother
analysis, and perhaps the only sound reason
A novel, new, or creative solution may alsobe worth a lot in terms of the
following:
I. Support by fellow employees andmanagement
2. Interest
3. Motivation of workers
4. Competitiveadvantage
5. Reducingotherproblems
6. Allowing previously unusable techniques to become feasible
Being effective with creative thought involvesletting go-not an easy
thing to do. It involves using the right side of the brain- something we
arenot used to. Only by doingthiscan we becomebalancedthinkers
and balanced problem solvers.
3.2.1. Decisionmaking
Deciding is choosing a courseof action. Frequently, it is in this area that the
machineryfailureanalyst andtroubleshooterhas to show his stuff.
Because all action involves risk, we believe that a good process should help
to reduce this risk. Keep in mind that decision making may be facilitated
by encouraginggroupinputorgroupparticipation.Inmany instances,
the role assignments given for the Action Planning and Generation phases
should be continued.
Usually the machinery troubleshooter will be involved at the point
whereeverybodyasksthequestionWhere do we gofrom here? We
are talking about follow-up decisions.
The Follow-up Decision Routine depicted in Fig. 5 can be used to
determine appropriate action steps after a machinery component failure
has occurred. It begins with the decision as to whether or not the observed
574 Bloch
I / 1
Y
I i t
ntenance
Predictive Troubleshooting
and 575
failure mode turned up within its standard life expectancy. Standard life
expectancy for a given failure mode is the time period in which we, quite
oftensubjectively,expectthisfailure modetoappear. A few simple
examples may illustrate the process.
Let us start with the failure of a rolling-element bearing in a refinery
pump. After verifying that this failure mode occurred within the standard
life expectancy of the bearing, we movedown to thequestion. Because
rolling-elementbearingshaveafinite life, we reason that suchafailure
can be predicted, but not prevented, by appropriate predictive maintenance
techniques. This decision leads to the next question: Could modification
of maintenance ensure earlier recognition of defect? If we answer yes,
we aredirectedtoperiodicmonitoring,inspection,repair,oroverhaul
of the machine. If the answer is no, we proceed to additional questions
which, when answered, allow us to identify appropriate follow up steps.
The Seven Root Cause failure analysis methodis outstandingly suited for
mechanical work forces, including, of course, maintenance technicians and
othersentrusted withequipmentreliabilityimprovementtasks at a
grass-roots level, so to speak. This is how the most experienced and knowl-
edgeable of them would tackle a failure analysis task [5].
Suppose a centrifugal pumpdevelops a defect. It is taken to the repair
shop and dismantled. The mechanic or machinist finds a defective bearing
and replaces it. The pump is reassembled, reinstalled, and recommissioned.
It will probably fail again real soon. Why?
The problem is that no one has botheredfinding the true cause of the
bearing distress. With worldwide statistics showing that 91% of all anti-
friction bearings fail prematurely, it can be demonstrated that many plants
in the United States and elsewhere are setting themselves up for numerous
repeatfailuresunless they uncover and remove thetruerootcauses of
failures.Intheparticular eventmentionedabovetheproblemcould be
an out-of-toleranceshaftdiameter,anincorrecttemperaturesettingon
the bearing heater, or a number of other correctable deviations.
A properly structured root cause failure analysis program will have an
immediate, measurable payback. A good program is deceptively simple. It
recognizes that d l failures, without exception, belong to one or more of
only seven categories:
0 Faulty design
0 Material defects
0 Fabricationor processing errors
576 Bloch
REFERENCES
579
580 Index