On the dynamics of cracked rotors: A literature survey

Jorg Wauer
Institut fiir Technische Mechanik, Universitdt Karlsruhe, Kaiserstrasse 12, D-7500 Karlsruhe,
West Germany

Propagating fatigue cracks can have detrimental effects on the reliability of

rotating machinery. An early crack warning can considerably extend the durabil-
ity of these very expensive machines, increasing their reliability at the same time.
Vibration monitoring as a means of detecting crack initiation has been receiving
much interest. A detailed study of the vibrational behavior of cracked rotating
shafts, therefore, is an important problem for engineers working in the area of the
dynamics of machines. This article presents a review of the field of the dynamics
of cracked rotors, including the modeling of the cracked part of the structure and
finding different detection procedures to diagnose fracture damage. The material
should be helpful to scientists and researchers working in this area or planning to
work in it in the future. Since the study of nonrotating, cracked structural
elements obviously is relevant to the cracked rotor problem, the review can also
be a basis for discussing the dynamics of cracked beams and columns.

Machine condition monitoring has been receiving increased
attention in recent years. Vibration monitoring has, perhaps,
the greatest potential since it can be carried out without dis-
mantling any part of the machine and usually without even
taking the machine out of use.
One form of damage that can lead to catastrophic failure if
undetected is fatigue cracking of the shaft [1-5]. Since a crack
influences the stiffness of the rotor, and the stiffness, on the
other hand, influences the dynamic behavior of such a system,
vibration monitoring as a means of detecting crack initiation
and growth should be a powerful instrument. An early remark
that this could be useful was given in a 1974 General Electric
Technical Information Letter by Kolzow [6], along with two
others from the same source [7], and a little later in an article by
Shatoff [8]. A detailed study of the vibrational behavior of
rotating shafts with transverse cracks, therefore, is necessary.
Since the middle 1970s, many researchers have realized the
importance of this problem. Obviously, the first work was done
by the General Electric Company [9,10]. Dimarogonas [9], in a
paper probably not available to the pubhc, and Pafelias [10]
introduced the bending stiffness description of a rotor crack
and determined it from compliance measurements. The incor-
poration of the stiffness change due to a crack into the equa-
tions of motion was dealt with in several papers in 1976
[11-15]. Gasch [11,15] and Henry and Okah-Avae [12] consid-
ered the nonlinear mechanism of a closing crack with different
flexibilities for open and closed cracks, described in body-fixed,
rotating coordinates. Applying this principle to a DeLaval rotor
(ie, a simply supported, massless shaft carrying a rigid disk in
the middle), they solved the governing equations of motion by
an analogue computer. By transformation to stationary coordi-
nates, they obtained linear equations of motion with time-peri-
Transmitted by Associate Editor A W Leissa
odic coefficients. Mayes and Davies [13] and Dimarogonas [14]
derived a rough analytical estimation of the crack compliance
based on the energy principle of Paris and worked directly in
space-fixed coordinates. In order to obtain analytical solutions,
Mayes and Davies [13] introduced some simplifications, espe-
cially in relation to the stiffness properties in stationary coordi-
nates, which were considered as a time-periodic step function.
This paper also contained the first experimental results on the
dynamics of cracked rotors.
Many papers followed these first investigations into the
vibrations of cracked rotors. On the one hand, earlier work was
continued [16-23], and on the other hand, other researchers and
groups gave new impulses [24-63]. Besides the contributions by
Mayes et al [16,18,19,21,22], Dimarogonas and Papadopoulos
[20,23], and three groups associated with Mahrenholtz and
Grabowski [24,27,34,35,43], Diana and Bachschmid [41,45,
52,54], and the Bently Corporation [31,37,38,48,49,59-63],
the single works by Meyer [26], Ziebarth and Baumgartner [29],
and Nelson and Nataraj [51] contain, perhaps, the most remark-
able results. The state-of-the-art at the beginning of the 1980s,
which is nearly the state-of-the-art today, was summarized in
the book of Dimarogonas and Paipetis [64].
While in [16] the investigations of [13] for a simple two-
degree-of-freedom disk rotor were extended to a rotating
Bernoulli-Euler beam, in [18] the considerations were applied
to more practical shaft-bearing systems. In the last couple of
publications [21,22], the authors correlated some experimental
results with their theoretical background. They modified the
open/close mechanism of [11,12,15] and suggested a method
for calculation of the change in stiffness due to a crack. They
also outlined a method for using standard linear rotordynamic
programs to solve such problems.
Grabowski and Mahrenholtz [24,27,34,35,43] utilized a
modal formulation to investigate the vibrational behavior of
realistic cracked rotor systems. In connection with detailed

ASME Book No AMR067, $8.00

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14 Wauer: Dynamics of Cracked Rotors: Literature Survey
experimental results by Ziebarth et al [25,29], they developed a
crack mechanism and used it in their dynamic rotor model.
From a numerical solution of the equations of motion, they
concluded that primary vibrations (so-called synchronous or
1 X -vibrations) and subharmonic vibrations (so-called 2 X -
vibrations) are independent of the size and position of the
unbalance and that the phase in the response is an important
crack indicator.
Similar results were obtained by Bachschmid, Diana, et al
[41,45,52,54], They recommended some modifications of
Grabowski's crack model and developed, finally, a diagnostic
procedure to predict malfunctioning conditions of a turbogener-
ator set.
Using the concept that a transverse crack in a structural
member introduces local flexibility due to the strain energy
concentration in the vicinity of the crack tip under load,
Dimarogonas and Papadopoulos [20,23] derived the complete
local flexibility matrix of a cracked, rotating shaft and verified it
by experiments. They reported that subharmonic resonances
and frequency shifting due to coupling of bending and torsional
vibrations, for instance, are primary sources of information for
the identification of the presence of a crack. Their work on
cracked rotors is closely connected with a number of papers
[94,96,102,124,129,131,132,138,141,154] on cracked, nonro-
tating structures.
Different members of the Bently Corporation improved the
understanding of the dynamics of cracked rotor systems by the
development of both demonstration rigs and practicable crack-
detecting systems based on their own theoretical work
[31,37,38,48,49,59-63]. In a paper by Muszynska [38], both
gaping and breathing cracks were considered and modeled by
local changes in stiffness. She developed the solution for a
gaping crack with unbalance and gravity excitation, and con-
cluded that the increase in the 1X -vibration (due to the crack)
is more than the increase in the 2 X -vibration. She also dis-
cussed the probable dependence of increased vibration on ini-
tial asymmetry and damping.
Ziebarth and Baumgartner [29] established their crack model
on the basis of detailed (but quasistatic) experimental investiga-
tions. They consequently formulated the equations of motion in
stationary coordinates and applied them to practical turbine
rotors. Then they compared the analytical results with extensive
measurements on model rotors and test runs of numerous
turbine generators. As practicable crack indicators, they sug-
gested significant peaks in vibration amplitudes, shifting of
natural frequencies, unstable vibrations, and changes in the
double-frequency vibration component.
As a certain counterpart, in the most detailed investigation
about cracked rotors, Meyer [26] described the dynamic phe-
nomena establishing the crack model in body-fixed coordinates
(similar to Gasch [11,15] and Henry and Okah-Avae [12]). His
work was exclusively theoretical and he only considered the
simple example of a one-disk rotor. He showed that the trans-
formation to stationary coordinates leads, in general, to nonlin-
ear equations of motion. That means that the reduction to
linear equations of motion with periodic coefficients, estab-
lished by nearly all authors who work in these coordinates, is an
approximation.
Currently, the vibrations of cracked rotors and crack detec-
tion in such machinery are active fields of research [65-77], The
contributions of Dirr and Schmalhorst [69] and Schmalhorst
[73] can be considered as continuations of Mahrenholtz and
Grabowski's work. They describe the crack more accurately
than others by a 3-dimensional finite-element analysis and
successfully simulate the vibrations of a cracked test rotor on
the basis of measured crack shapes. The Dr-Ing thesis of
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Appl Mech Rev vol 43, no 1, Jan 1990
Schmalhorst [77] summarizes these investigations. Iman et al
[67] presents an on-line rotor crack diagnosis system which will
detect even very small cracks by a so-called histogram signature
analysis technique. The articles [65,74] summarize some earlier
results of the same authors and Ishida et al [75] give some
interesting theoretical and experimental details on vertical shaft
systems. A paper by Wauer [78] studies the modeling and the
formulation of governing equations of motion for cracked vis-
coelastic distributed parameter rotors.
In all these references on cracked rotors, the modeling of the
cracked part of the structure and the detection of failures are
very important questions. As a consequence, the literature on
these two problems in relation to finite (nonrotating) media,
such as beams, columns, etc, is relevant.
In the first category, two papers by Kirmser [79] and
Thomson [80] seem to be the earliest ones studying vibrational
characteristics of a beam with local discontinuities in the form
of a small slot. Since the field of fracture mechanics was not
established at that time, a beam with different cross-sectional
areas in different fields along the beam axis was considered. An
essential idea, common to both papers, was to replace the
slotted bar by a uniform bar with a modified load.
For nearly 20 years, no essential advance could be noted
until the last third of the 1960s. Meanwhile, the fundamentals
of fracture mechanics were developed, and since then a continu-
ously increasing number of papers on the effects of cracks in
structures has been published. In this connection, both 1-
dimensional structures, eg, beams and columns, and 2-dimen-
sional members, eg, plates and shells, have been studied in
detail [83-135].
The main idea in modeling the crack is to introduce a local
comphance matrix (6 X 6, in general) in which the elements
describe the reduced stiffness due to the crack by means of
Irwin's theory [81,82] of stress intensity factors. Liebowitz et al
[85,87] and Okamura et al [88] computed the diagonal element
corresponding to tension; Rice and Levy [91] computed the
four elements corresponding to tension and bending, including
their coupling terms; Dimarogonas and Massouros [97] calcu-
lated the diagonal element related to shear parallel to the crack
edge; and Anifantis and Dimarogonas [103] introduced a 5 X 5
matrix neglecting torsion. Similar considerations, but for special
loading, eg, pure tension or pure bending, were carried out by
Petroski et al (see, particularly, [101,104,118]) and Gudmund-
son [102,105]. The essential modification in Petroski's work,
taking up ideas of Kirmser [79] and Thomson [80], was that he
did not deal with a reduced stiffness but with an additional
singular load which is determined in such a way that it has the
same effect. The advantage is that a subdivision of the structure
in different parts is unnecessary. Gudmundson (see, especially,
[102]) formulated an interesting perturbation method, calculat-
ing the eigenfrequency of the cracked structure from properties
of the uncracked member. In one of his papers [105], some
quantitative results on bending of beams containing a closed
transverse crack can be found. A full 6 x 6 matrix for an
arbitrary loading of a beam structure finally was introduced by
Papadopoulos and Dimarogonas [125] and Haisty et al
[129,135]. From a theoretical point of view, a particularly
interesting paper is that by Bernasconi [123], which considers
vibrations of stepped shafts using singularity functions.
At the same time as the field of monitoring rotating machin-
ery vibrations to detect rotor cracks was initially studied in
detail [17], such work was begun for nonrotating structures by
Adams et al [136,138], Calculating the ratio of frequency
changes in two different modes due to cracks provided the
possibility to identify the damage location uniquely. The sensi-
tivity to crack depth, however, was small. Many papers fol-
Appl Mech Rev vol 43, no 1, Jan 1990
lowed [137,139-162] until the present, in which various detec-
tion procedures were proposed. While Wedig et al [140,143,145]
used methods of covariance and correlation analysis in the case
of stochastic excitations, for instance, Kujath et al [150,157]
(see also [53]) extracted the transient vibration signal from the
"old" steady-state response (without a crack) to the "new"
steady-state response (after fracture) and used it for crack
detection. All of these works do not enter into the sensitivity of
the used indicators to the crack depth. However, finding the
most sensitive procedure for detecting a crack in its initial stage
is one of the most interesting questions for applications. Only
three papers, by Wang and Zhang [154], Gu et al [160], and
Girard et al [161], have discussed this problem systematically
(but not for rotors). Their results, perhaps, can be used to
develop better procedures to diagnose fracture damage in rotat-
ing structures in the future.
ACKNOWLEDGMENT
This work was carried out while the author was a Visiting
Professor at Virginia Polytechnic Institute and State University,
Blacksburg VA, and was supported in part by the U.S. Army
Research Office under Grant No. DAAL03-87-K-0040.
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Jorg Wauer is a Professor of Technical Mechanics at the Univer-
sity of Karlsruhe, West Germany, holding this position since 1977.
He apprenticed as a mechanic and studied mechanical engineering
at the Engineering College of Kaiserslantern and the University of
Karlsruhe. He received his Ing-Grad and Dipl-Ing degrees in 1964
from the Engineering College of Kaiserslautern and in 1969 from
the University of Karlsruhe, respectively. At the University of
Karlsruhe, he was promoted to Dr-Ing in 1972 and Docent habil
in 1976. Professor Wauer's industrial experience includes positions
as a mechanics specialist and design engineer. Structural dynamics
and dynamics of machines are his principal research interests.
Professor Wauer has authored or co-authored approximately 50
scientific papers concerning these and other topics in fluid dynam-
ics and thermoelasticity. He is a member of the GAMM, and is
active in several committees.