159

Chapter 10

The Rotor System Model

R otor systems are subjected to many kinds of forces. Forces can act in radial
and axial directions, and torques and moments can act in angular direc-
tions. These forces can be static, or unchanging in direction and time, or they
can be dynamic, where they can change in magnitude or direction with time.
Static forces acting on the rotor system produce static deflections of rotor
system elements. For example, a static radial load applied to the midspan of a
rotor shaft will cause the shaft to deflect in a direction away from the applied
load. Or, when a torque is applied to the shaft of an operating machine, the shaft
will twist to some extent in response to the torque.
Dynamic forces acting on the rotor system produce vibration (Chapter 1).
Vibration can appear in the form of radial, axial, and torsional vibration. Usually,
we measure radial vibration in machinery because radial vibration is the most
common vibration problem. Axial vibration is less frequently encountered but
can produce machine problems. Torsional vibration is very difficult to measure
and tends to be overlooked. Both torsional and axial vibration can produce radi-
al vibration through cross-coupling mechanisms that exist in machinery.
Unbalance is the most common example of a dynamic force (the force direction
rapidly rotates) that produces radial vibration.
How do dynamic forces act on the rotor system to produce vibration?
Somehow, the rotor system acts as an energy conversion mechanism that
changes an applied force into observed vibration. The rotor system can be
viewed as a very complicated “black box” that takes dynamic force as an input
and produces vibration as an output (Figure 10-1). If we can understand the
nature of this black box, we should be able to understand how forces produce
160 The Static and Dynamic Response of Rotor Systems

Figure 10-1. The rotor system as a “black

Dynamic force Rotor Vibration
box.”The system converts dynamic input
system
forces to output vibration.

vibration. We should also be able, by observing the vibration and knowing the
workings of the black box, to deduce something about the forces that produce
the vibration.
We can try to guess the contents of the black box by shaking it using a tech-
nique called perturbation and observing the behavior of the system. This is the
same technique some people use when trying to guess the contents of a
wrapped gift. They shake the gift and evaluate the weight, balance, and sound.
When applied to rotor systems, the shaking applies a known force to the rotor
system, and the vibration response to the force is measured.
We can also try to estimate the contents of the black box by developing a
mathematical model of the rotor system. A good model will allow us to relate
observed vibration to the forces that act on the system. This will allow us to
detect, identify, and correct potential problems in the rotor system.
A good model will also give us the ability to predict how changes in forces
will affect vibration. This is the key to effective balancing technique. Imagine
trying to balance a complex machine by merely guessing how much weight to
add and where to place it. Without a systematic approach based on knowledge
of rotor behavior, accurate balancing would be virtually impossible. A model
gives us the foundation for a systematic, efficient, and effective balancing tech-
nique.
In this chapter we will develop a simple model of a rotor system. The pri-
mary result of the model, Dynamic Stiffness, is the solution to the mystery inside
the black box. It is a fundamental and important concept for understanding
rotor behavior, it provides a powerful tool for malfunction diagnosis, and it is the
key to successful balancing.
In developing this model, there is no way to avoid the mathematics of
differential equations and complex numbers. We will make every effort to keep
the mathematics as simple and clear as possible. Those who do not have the
mathematical background should be able to skip the math and still understand
the concepts. The math is there for those who wonder where it all comes from.
We will focus on the development of a rotor system model based on radial
vibration. The basic concepts that we will develop here can be easily extended to
axial and torsional vibration.
 Chapter 10 The Rotor System Model 161

Introduction to Modeling
Everyone has seen scale models of aircraft. A model airplane mimics impor-
tant features of the real thing. When viewed from different directions, a well-
built model airplane can look very much like the real thing, but it includes only
certain features of the full-sized airplane. However, even though it looks the
same, a model airplane does not behave in all ways as a real airplane; if it does
not have a working engine, it cannot fly. In fact, all models are simplifications
designed to represent particular features, which will not function properly when
pushed beyond the limits of their applicability.
Our rotor system model is a mathematical representation that is designed
to mimic certain important features of the real rotor system. The rotor model is
an attempt to describe the function of the black box that transforms dynamic
forces into vibration.
Because it is only a model, it will have limited applicability. The limits of the
model are stated in the assumptions used to derive the model. Assumptions
almost always involve simplifications that make the solution of the model easi-
er. Applying a model beyond the limits expressed in the assumptions will usual-
ly lead to error. Sometimes the error can be tolerated, sometimes not. Often the
amount of error is unknown.
Most real rotor systems are very complex machines. We cannot, given the
current state of computers and mathematics, construct a model that duplicates
the behavior of these machines in every detail. We can construct complicated
computer models that do a good job of mimicking some aspects of complex
behavior, but the results of such models tend to be very narrowly focused and are
difficult to generalize.
Simple equations can be more easily understood and interpreted. The
benefit of the simple approach is clarity and, we hope, an intuitive understand-
ing of basic rotor system behavior. Because of this, we will develop a model that
will yield some relatively simple algebraic equations. The price we pay for this
simplicity is that the model may not have the capability to accurately represent
the behavior of complex systems. We must always keep in mind that a simple
model will be limited in its application. In essence, we will trade detail for
insight.
The model we are going to develop is a variation of an early rotor model,
often called the Jeffcott rotor, developed by Henry Jeffcott [1] in 1919. Our model
extends the Jeffcott model by including the effects of fluid circulation around
the rotor and by using complex number notation to simplify the mathematics.
It is necessary to include fluid circulation effects if we want our model to predict
the rotor response in machines with fluid-film bearings, seals, and other areas
162 The Static and Dynamic Response of Rotor Systems

where fluid is in circumferential motion. This form of the model was developed
by Bently and Muszynska and is best summarized in reference [2].

Here are some basic definitions of terms that will be used in the derivation
and discussion of our model and throughout the book:
The rotor system includes all parts of the machine that are involved with
vibration. This includes the shaft with any attached disks, the bearings that sup-
port the shaft, the structures that support the bearings, the machine casing, the
foundation system, coupled machines, and attached piping systems or unse-
cured cabling. The rotor system can also include all of the plant equipment that
is involved in the process in which the machine is imbedded. When working
with simple models it is easy to forget that real rotor systems include all of these
components.
The rotor is the rotating shaft assembly that is supported by bearings. The
rotor may be rigidly coupled to other rotors in other machines, effectively form-
ing a large, extended rotor.
The stator is the stationary part of the machine that contains the rotor. The
rotor rotates in and is supported by bearings in the stator. The purpose of bear-
ings is to eliminate friction while preventing unwanted contact between the
rotor and the stator.
Forces that act on the machine will be divided into internal and external
forces. Internal forces are those that appear from the machine’s interaction with
parts of itself. Support forces in bearings, forces resulting from shaft deflection,
and forces due to interaction of the rotor with the surrounding fluid are exam-
ples of internal forces. External forces are forces that are applied to the rotor sys-
tem and produce some sort of perturbation, or disturbance of the system, such
as impact forces due to rotor-stator contact, static radial loads, or deliberately
induced perturbation forces. Even though rotating unbalance is generated inter-
nally, it will be treated as an external force.
The term synchronous refers to anything that is rotating at the same fre-
quency as the rotor. Unbalance is an example of a synchronous rotating force.
The term 1X is used to describe a synchronous frequency (–1X is also consid-
ered to be a synchronous frequency).
The term nonsynchronous refers to any frequency other than synchronous.
A nonsynchronous frequency may be either supersynchronous (higher than run-
ning speed) or subsynchronous (lower than running speed).
A rotor system parameter is a property of the system that affects system
response. Mass, stiffness, and damping are examples of rotor system parame-
ters.
 Chapter 10 The Rotor System Model 163

Isotropy Anisotropy
Figure 10-2. Isotropic and anisotropic systems. A
system property is isotropic if it is the same in all
radial directions. A system property is anisotropic
if it has different values in different radial direc-
tions.

The term isotropic describes the properties of a system that are radially sym-
metric. For example, isotropic stiffness means that the stiffness of the system is
the same in all radial directions (Figure 10-2). The term isotropic is distinct from
the term symmetric, which implies a geometric (shape) symmetry.
A system property is anisotropic if it has different values in different radial
directions. Fluid-film bearing stiffness is isotropic when journals operate at low
eccentricity ratios and anisotropic at high eccentricity ratios, where the stiffness
in the radial direction is typically much higher than the stiffness in the tangen-
tial direction. On the other hand, rolling element bearing stiffness is usually
isotropic.

Modeling of physical systems usually follows a structured process:

1. State the assumptions that will be used. These usually involve

simplifications that allow easier solution of the problem, but
limit the application of the model. These limits must be kept in
mind when applying the model to the real world.

2. Define a coordinate system. The rotor system moves in space,

and there must be a measurement system to describe the
motion.

3. Describe the forces that act on the system. Model forces as phys-
ical elements which depend on displacements, velocities, or
accelerations. For example, rolling element bearing support
force can be described as a spring element where the force is
proportional to the displacement of the spring.

4. Develop a free body diagram. This diagram contains the rotor

mass and all of the forces acting on it.
164 The Static and Dynamic Response of Rotor Systems

5. Derive the equation of motion. This is the differential equation

that combines the forces and mass elements with a physical law
that describes how the system must behave.

6. Solve the equation of motion. The result will be an expression

that describes the position of the system over time.

7. Compare the predicted behavior to the observed behavior of the

machine. Theoretical behavior is compared to the results of
experiments.

8. Adjust the model if the description is not adequate.

Assumptions
The assumptions define the limitations of our model. They make the model
easier to solve at the expense of detail in the final results.

1. The rotor system will have one degree of freedom in the complex
plane (1-CDOF). One degree of freedom implies that there is
one, independent, lateral position measurement variable (r,
which will be complex), no angular deflection, and one
differential equation to describe the system. This will produce a
model capable of only one forward mode, or resonance.

2. The rotor system parameters will be isotropic. This will allow us

to use a more compact mathematical description for the model.
The effects of anisotropy will be discussed in Chapter
{anisotropic rotor response}.

3. Gyroscopic effects will be ignored. Gyroscopic effects can cause a

speed-dependent shift in rotor system natural frequencies. This
can be very important for overhung rotor systems, but we can
ignore gyroscopic effects and still gain a good understanding of
basic behavior.

4. The rotor system will have significant fluid interaction. All the
fluid interaction will be in an annular region; that is, a fluid-film
bearing, seal, impeller, or any other part of the rotor that is
equivalent to a cylinder rotating within a fluid-filled cylinder.
 Chapter 10 The Rotor System Model 165

5. Damping will be viscous and due only to fluid interaction. There

will be no other source of damping in the system. This reduces
the number of parameters in the equation and simplifies the
mathematics.

6. The model will be linear. This is a difficult term to define briefly.

A useful definition is that a system is linear if a multiplication of
the input by a constant factor produces a multiplication of the
output by the same factor. For example, if we multiply the
unbalance by a factor of two, then the vibration of the machine
will increase by a factor of two. Also, if a linear system is sub-
jected to a dynamic input at a particular frequency, only that
frequency will appear as an output. While machines can and do
behave in nonlinear ways, nonlinear mathematics can be very
difficult to solve algebraically. Fortunately, most machinery
behavior is approximately linear, and the linear models approx-
imate real machine behavior well enough to be quite useful.
(That’s good, because balancing techniques depend on linear
behavior.)

7. A fluid will completely surround the rotor. Fluid-film bearings

will be fully lubricated (360°, or 2π). While normal hydrodynam-
ic bearings operate in a partially lubricated (180°, or π) condi-
tion, misalignment can unload the bearing, resulting in a tran-
sition to full lubrication and fluid-induced instability. Also, seals
are designed to operate concentrically with the rotor; thus, they
operate, by design, in a fully lubricated condition. For these rea-
sons, the fully lubricated assumption is both realistic and nec-
essary to adequately describe fluid-induced instability prob-
lems.

8. A nonsynchronous, rotating, external force will be applied to the

rotor system. We will see that rotating unbalance is a special
case of this general nonsynchronous force.
166 The Static and Dynamic Response of Rotor Systems

The Coordinate System and Position Vector

Figure 10-3 shows a basic physical description of the rotor system. The rotor
can be described as a single, concentrated, perfectly balanced rotor mass, M,
located in the center of a 360° fluid-film bearing. A massless shaft is supported
at the left end by an infinitely stiff bearing that provides only lateral constraint
(no angular constraint). Thus, all of the rotor mass is concentrated in the disk
and is supported by the bearing. The only stiffness element in the system is
associated with the fluid bearing (which can also represent a seal). The rotor
rotates at an angular speed, Ω, in rad/s, in a counterclockwise (X to Y) direction,
as shown in the section view. The bearing clearance is greatly exaggerated for
clarity.
Note that, even though this description implies that the rotor mass and
shaft can pivot in the small bearing, the rotor is assumed to be constrained to
move only in the plane of the bearing with no angular deflection. The most accu-
rate description of the model would eliminate the shaft and small bearing alto-
gether, leaving only the rotor mass and the fluid-film bearing.
Figure 10-4 shows the coordinate system for the measurement of the lateral
motion of the rotor mass. The X and Y axes represent the real and imaginary
axes of the complex plane. The terms real and imaginary come from the mathe-
matics of complex numbers. Both of these directions are quite real, and nothing
about the rotor position is imaginary. The origin of the coordinate system is the

Bearing shell Circulating

fluid

Massless
rotor shaft

Ω
M M

Rotor mass

Side view Section view

Figure 10-3. The basic, physical rotor system. The rotor is a single, concentrated mass, M, located
in the center of a fluid-film bearing. The shaft provides no support for the rotor mass; all of the
mass is supported by the bearing. All of the stiffness in the system is assumed to be located in
the fluid bearing (which can also represent a seal, if desired). The rotor rotates counterclockwise
(X to Y) at an angular speed, Ω, in rad/s, as shown in the section view.
 Chapter 10 The Rotor System Model 167

equilibrium position of the rotor when no external forces are applied to the
rotor, and, in our model, it is located at the exact center of the fluid-film bearing.
The vector, r, represents the position of the center of the rotor relative to the
equilibrium position. It is defined in the rectangular complex plane as

r = x + jy (10-1)

where x is the position of the rotor in the X direction, y is the position in the Y
direction, and

j = −1 (10-2)

The length, or magnitude, of r is A, where

A = r = x2 + y 2 (10-3)

jY
jY

Ω A
r jy
r jy
θ
x X x X

Figure 10-4. End view of the rotor and its coordinate system. At left, the rotor is deflected from
the center of the system. The detailed view at right shows the response more clearly. The X axis
and the Y axis are the coordinate axes of the complex plane. See the text for details
168 The Static and Dynamic Response of Rotor Systems

The angular position of r is measured as a positive angle in a counterclockwise

direction from the positive X axis. This angle, θ (Greek lower case theta), is given
by
y
θ = arctan   (10-4)
x
Also,

x = A cos θ (10-5)
y = A sin θ

Notice the similarity between this position vector notation and the vibration
vector notation in Chapter 3. The two are very closely related; in fact, the solu-
tion of the model’s equation of motion will yield vibration vectors.
Leonhard Euler (1736-1783) showed that the position vector can be
described using an exponential notation, which is very compact:

r = x + jy = Ae jθ (10-6)

where e = 2.71828... is the base of natural logarithms.

The elements in front of the exponential function (in this case, A, but there
will be other elements) define the length, or amplitude (magnitude) of the vec-
tor, r. The exponential function defines the angle of r.
If r rotates around the origin with constant, nonsynchronous circular fre-
quency, ω, then the angle, θ, becomes a function of time:

θ = ωt + α (10-7)

where α (Greek lower case alpha) is the angle at time t = 0, when a Keyphasor
event occurs, and r is located at an angle α with the horizontal axis. The
Keyphasor event acts like a strobe, momentarily freezing the rotating vector at
the angle, α. If we substitute Equation 10-7 into Equation 10-6 we obtain a gen-
eral expression for r that is very useful for the solution of differential equations:

r = Ae j(ωt +α) (10-8)

Equation 10-8 describes a position vector that rotates (the tip precesses)
about the axis in the complex plane. We obtain the velocity (the rate of change
 Chapter 10 The Rotor System Model 169

of position) by differentiating the position with respect to time, assuming con-

stant amplitude, A:

dr
v= = r
= jω Ae j(ωt +α) (10-9)
dt

We differentiate once more to obtain the acceleration,

dv
a= = r

=−ω 2 Ae j(ωt +α) (10-10)
dt

A few words about j are in order. Whenever j appears outside the exponen-
tial, it basically means “change phase by 90° in the leading direction.” In
Equation 10-9, j orients the velocity vector 90° ahead of the precessing position
vector. This makes sense if you realize that, as r precesses in an X to Y direction,
the instantaneous velocity of the tip of r points (for circular motion) 90° from r
in the direction of precession.
Note also that the amplitude of the velocity is proportional to the circular
frequency, ω.
In the acceleration expression in Equation 10-10, the negative sign indicates
that the direction of acceleration is opposite to the direction of r. The negative
sign is the product of j · j ( j 2 = –1), so acceleration must lead displacement by
90° + 90° = 180°. The amplitude of the acceleration is proportional to ω 2.
Finally, note that the mathematical angle measurement convention is that
for positive ω, r precesses in a counterclockwise (X to Y) direction, and the
measured angle is positive. This is opposite of the Bently Nevada instrumenta-
tion convention, where phase lag is measured as a positive number in a direction
opposite to precession (see the Appendix). This difference is very important
when trying to relate the results of the model to measured vibration.
170 The Static and Dynamic Response of Rotor Systems

Lambda (λ): A Model of Fluid Circulation

Whenever a viscous fluid is contained in the annular region between two,
concentric cylinders which are rotating at different angular velocities, the fluid
will be dragged into motion. This motion can have a complicated behavior. What
we need is a simple way of quantifying this behavior. λ (Greek lower case lamb-
da) is a model of fluid circulation that reduces this complexity to a single param-
eter. Though our discussion of λ will focus on fluid-film bearings, keep in mind
that these concepts can be applied to any similar physical situation, such as
seals or pump impellers.
Imagine two, infinite flat plates separated by a fluid-filled gap (Figure 10-5).
The upper plate moves with a constant linear velocity, v, and the lower plate has
zero velocity. Because of friction, the linear velocity of the fluid next to the sur-
face of the moving plate will be v, while the velocity of the fluid next to the sur-
face of the stationary plate will be zero. The velocities in the fluid will form a lin-
ear velocity profile as the velocity smoothly changes from one surface to the
other. The average linear velocity of the fluid (red) must be somewhere between
zero and v, and, for this situation, it is 0.5v.
Now imagine wrapping the two plates into two, concentric, infinitely long
cylinders, as shown at the bottom of the figure. This is similar to a rotor operat-
ing inside a fluid-film bearing. The fluid is trapped in the annular region
between the cylinders, the inner cylinder rotates at some angular velocity, Ω,
and the outer cylinder remains motionless. As with the flat plates, the fluid next
to the surfaces of the cylinders must have the velocity of the cylinders. The angu-
lar velocity of the fluid next to the inner cylinder is Ω, and the angular velocity
of the fluid next to the surface of the outer cylinder is zero. The fluid in the annu-
lar region will have an average angular velocity between zero and Ω. For these
infinitely long cylinders, the average angular velocity will be almost 0.5Ω.
Real journals and bearings are not infinitely long. In real bearings, the fluid
is lost due to end leakage and has to be replaced. This is usually accomplished
by radially injecting makeup fluid into the bearing through one or more ports. If
the ports are radial, when this fluid first enters the bearing, it has zero angular
velocity. The new fluid gradually undergoes angular acceleration due to the
shearing action of the moving fluid that is already in the bearing. But, at the
same time, because of the pressure differential between the injection point and
the end of the bearing, the fluid starts moving axially. As a result, the fluid path
traces out a spiral (Figure 10-6) and may be ejected before it reaches the angu-
lar velocity seen in the infinite cylinder. For this reason, the average fluid angu-
lar velocity in typical, fully flooded, hydrodynamic bearings is typically lower
than 0.5Ω.
 Chapter 10 The Rotor System Model 171

Figure 10-5. Viscous fluid flow between infi-

nite flat plates and infinite circular cylinders.
At top, the upper gray plate moves with a Infinite flat plates
constant linear velocity, v, and the lower v
plate has zero velocity. Because of adhesion
of the fluid, the linear velocity of the fluid 0.5v
immediately next to the surface of the mov-
ing plate will be v. The fluid next to the sur-
face of the stationary plate will have zero
velocity. The average linear velocity (red) of Infinite circular cylinders
the fluid for this situation is 0.5v. Now, imag-
ine wrapping the two plates into two con-
centric, infinitely long cylinders, containing
the fluid in the annular region between the
Ω
cylinders (bottom). The inner cylinder
rotates at some angular velocity, Ω, the
outer cylinder remains motionless. As with
the flat plates, the fluid next to the surface
of the inner cylinder will have angular veloc-
ity Ω, and the fluid next to the surface of the ∼0.5Ω
outer cylinder will have zero angular veloci-
ty. For these infinitely long cylinders, the
average angular velocity will be almost
0.5Ω.

Ω Ω

λΩ < 0.5

Figure 10-6. Fluid flow in a journal bearing. Fluid is injected into the bearing through one or
more ports. When this fluid first enters the bearing, it has zero angular velocity. This fluid gradually
undergoes angular acceleration due to the shearing action of the moving fluid that is already in
the bearing. Because of the pressure gradient between the inlet port and the end of the bearing,
the fluid traces out a spiral path to the end of the bearing. It does not reach the circumferential,
angular velocity it would reach in an infinite cylinder. The average fluid angular velocity is λΩ.
172 The Static and Dynamic Response of Rotor Systems

If the fluid average angular velocity is vavg , then λ is the dimensionless ratio
of the average angular velocity to the angular velocity of rotor rotation:

vavg
λ= (10-11)
Ω

and v avg = λΩ (10-12)

λ is called the Fluid Circumferential Average Velocity Ratio. It is a measure of the

fluid circulation around the rotor and is a powerful tool for understanding rotor
interaction with fluid-film bearings and seals. Typical values of λ for a fully
flooded, hydrodynamic bearing with only radial injection of fluid are between
0.35 and 0.49. Hydrostatic bearings, because of their higher injection pressures
and decreased exit time (less circumferential flow), can have values of λ less
than 0.1.
If the injected fluid has a tangential angular velocity component, it will
affect the value of λ. If the fluid enters the bearing or seal with an angular veloc-
ity component in the direction of rotor rotation (a condition called preswirl),
then λ can have values considerably greater than 0.5. This can happen when the
fluid is preswirled by a previous stage in the machine.
If fluid enters the bearing or seal with an angular velocity component oppo-
site to rotor rotation (antiswirl), then λ can have a value much less than 0.5, even
approaching zero. Fluid is sometimes deliberately injected tangentially against
rotation (antiswirl injection) in order to control a fluid-induced instability prob-
lem. This will be discussed in more detail in Chapter {Fluid-Induced Instability}.
Bearing geometry can also affect λ. Plain cylindrical bearings tend to have
the highest values of λ: 0.43 < λ < 0.49. Many bearing designs have been devel-
oped to break up circumferential flow and reduce λ. Examples include tilting-
pad, lemon bore, pressure dam, multi-lobe, and elliptical bearings. Eccentricity
ratio also affects λ, and this will be discussed later in this chapter.
For the purposes of modeling, λ will be assumed to be a constant.

Fluid-film Bearing Forces and Stiffnesses

We have discussed how a cylinder rotating inside another, fluid-filled cylin-
der can set the fluid into motion. This is a good model for a plain, cylindrical,
journal bearing or seal.
Assume the rotor is rotating at angular velocity Ω in a counterclockwise (X
to Y) direction. When the journal is perfectly centered in the bearing (eccen-
 Chapter 10 The Rotor System Model 173

tricity ratio, ε = 0), the only forces acting on the shaft are shearing forces associ-
ated with the fluid. The journal acts like a pump, moving the fluid around the
annular clearance in the bearing.
When the rotor is centered in the bearing, the radial clearance is the same
all around the circumference of the bearing. However, if a static load is applied
to the rotor, the rotor is displaced from the center. Now, the moving fluid
encounters a reduction in available clearance and must slow down. The deceler-
ation of this fluid results in an increase in the local pressure in the fluid (Figure
10-7). Some of the fluid escapes axially, but the fluid near the axial center of the
bearing cannot. The fluid produces a circumferential pressure wedge that push-
es on the rotor and moves it to the side. The rotor moves until the force pro-
duced by the pressure wedge exactly opposes the force applied to the rotor. The
position vector, r, extends from the center of the bearing (the equilibrium posi-
tion and origin of the coordinate system) to the center of the rotor and is not
precessing for this static load example. This pressure wedge is the primary
means of rotor support in hydrodynamic journal bearings.
The force due to the pressure wedge can be resolved into two components
(Figure 10-7, right), a radial component that points in the opposite direction of
r toward the center of the bearing, and a tangential component that points 90°
from r in the direction of rotation. Both forces are assumed to act through the

F F

r Ω r
Ω

jDλΩr

–KBr
Figure 10-7. The forces in a fluid-film bearing. A static force, F, is applied to the rotor, which is
rotating with angular velocity Ω. The rotor moves until, at position r, the force produced by the
pressure in the oil wedge exactly cancels the force that is applied to the rotor. The pressure
wedge forces can be resolved into two component vectors, a radial component that points in the
opposite direction of r, toward the center of the bearing, and a tangential component that acts
through the center of the rotor and points 90° from r in the direction of rotation. The sum of
these two forces is equal and opposite to the applied force vector.
174 The Static and Dynamic Response of Rotor Systems

center of the rotor. The vector sum of these two forces is equal and opposite to
the applied force vector.
These two force components behave like forces due to springs. The radial
force component, FB , can be modeled as

FB =−K B r (10-13)

where KB is the bearing spring stiffness constant in N/m or lb/in. FB is propor-

tional to the displacement and the stiffness, and the minus sign indicates that it
points in the opposite direction of r. Such a force is also known as a restoring
force, because it always acts in the direction of the original position, attempting
to restore the system to equilibrium.
The tangential force component can be modeled as

FT = jDλΩ r (10-14)

where D is the damping constant of the bearing. The j indicates that the direc-
tion of FT is 90° leading relative to r (in the direction of rotation, Ω). In the
figure, FT is rotated 90° from r in an X to Y direction (the rotation direction of
the rotor). If the rotor were rotating in a Y to X direction, then FT would point in
the opposite direction. The term jDλΩ is called the tangential stiffness. See the
Appendix for a discussion of the origin of this expression.
The tangential stiffness is proportional to the fluid damping. More impor-
tantly, it is proportional to the average fluid angular velocity, λΩ. Thus, the
strength of the tangential force depends on both the rotor speed and λ; it will
get stronger with increasing rotor speed and increasing λ.

Other Sources of Spring Stiffness

Besides fluid bearings, many other elements of the rotor system behave like
springs. The shaft acts like a beam that is supported at two points by bearings.
When a force is applied to the shaft, it will deflect, producing a restoring force
directed towards the applied force. Shafts can be relatively flexible, such as in
aeroderivative gas turbines, or very stiff, such as in electric motors. Because the
shaft acts like a beam, beam deflection equations can be used to estimate its
stiffness.
Some bearings can act like a pure spring, with little or no tangential
stiffness. Rolling element bearings and low speed bushings (such as oil-impreg-
nated bronze bearings) are examples. Also, hydrostatic bearings, because of
their high spring stiffness and low λ, have relatively low tangential stiffness.
 Chapter 10 The Rotor System Model 175

Seals also contribute spring and tangential stiffness to the rotor system.
Sometimes this stiffness can be significant when seals are located closer to the
midspan of the rotor. Floating seals that become locked can produce drastic
increases in rotor system stiffness.
All bearings are supported in structures that can deflect under load. Thus,
bearing support pedestals and the foundation system also contribute spring
stiffness to the rotor system.
In our development of the rotor model, all sources of spring stiffness in the
rotor system (including the bearing spring stiffness) are combined to produce
one, effective spring constant, K. This constant is formed from the series/paral-
lel combination of the various different spring stiffnesses. We will use an equiv-
alent spring force vector, FS, to describe the spring force:

FS =−K r (10-15)

Like the bearing spring force, FS is proportional to K, and the minus sign indi-
cates that it always points in the opposite direction of r (Figure 10-8).

–Kr

Figure 10-8. The spring force. The rotor is dis-

placed to an arbitrary position, r, from the origi-
nal position. The spring force is always directed Ω
back toward this original position and is propor- r
tional to both the magnitude of the displace-
ment and the spring stiffness, K. K contains all
spring stiffness contributions in the rotor system:
shaft, bearing spring stiffness, bearing support
stiffness, and foundation stiffness.
176 The Static and Dynamic Response of Rotor Systems

The Damping Force

All rotor systems have internal forces that are related to the dissipation of
energy. Friction is an example of a dissipative force. Friction forces can result
from contact of the rotor with the stator, the movement of attached parts on the
rotor, or from internal friction in the rotor material itself (also called hysteretic
damping). All of these friction forces will be assumed to be small.
The viscous damping force is generated when a fluid is sheared between two
surfaces in relative motion or when a fluid passes through a small orifice. An
example of a viscous damping force is the force that is generated in an automo-
bile shock absorber. The shock absorber has a piston that forces trapped fluid
through an orifice, converting mechanical energy into heat in the working fluid.
Another example is a boat being propelled through the water. If the engine
stops, the viscosity of the water will dissipate the kinetic energy of the boat, and
it will come to a stop. The forces acting here are a combination of shearing and
pressure drag.
Similar damping forces occur in a fluid-film bearing when the rotor pre-
cesses in the bearing. Put simply, the damping forces occur through a combina-
tion of shearing of the fluid and pressure drag. The amount of damping force
generated is related to the velocity of the journal in the bearing. Additional
damping can come from rotor interaction with the working fluid that surrounds
it. Note that pressure drag effects are not, in a strict sense, equivalent to viscous
drag. However, for simplicity, we will lump pressure drag effects into our descrip-
tion of the damping force that is based on viscous drag.
The damping force vector, FD , is modeled by

FD = −Dr
(10-16)

The damping force is proportional to the damping constant, D, and acts in a

direction opposite to the instantaneous velocity vector, r
(Figure 10-9).
The magnitude of the damping force depends on both the damping and the
velocity; if the velocity is very small, then the damping force will also be small.
This can happen in rotor systems when a nodal point is located inside a fluid-
film bearing. The small vibration at that location will produce a relatively small
damping force. Conversely, if a mode shape produces a large amount of vibration
inside a fluid-film bearing, then the damping force produced will be relatively
large. These variations in damping force are related to the concept of modal
damping which will be discussed in Chapter {Modes of vibration}.
 Chapter 10 The Rotor System Model 177

−Dr

Figure 10-9. The damping force. The rotor has an r

Ω
instantaneous velocity vector, r
. The damping r
force is proportional to the both the viscous
damping constant, D, and the magnitude of the
velocity, and it acts in a direction opposite to the
velocity vector.

The Perturbation Force

A perturbation is a disturbance to a system. Perturbation forces are external
forces that disturb the rotor from its equilibrium position. These forces can be
static, or they can be dynamic. Static perturbation forces have constant magni-
tude and direction and include gravity loads in horizontal machines, fluid reac-
tion loads in pumps, unequal steam admission loads in steam turbines, other
process loads, or a combination of these. Misalignment can cause static radial
loads to appear because of load transfer among bearings. Casing deformation
and piping strain can shift bearing supports, leading to misalignment and the
appearance of static radial loads.
Dynamic perturbation forces periodically change in magnitude or direction,
or both. Unbalance is an example of a rotating, synchronous perturbation force.
Many sources of nonsynchronous perturbation exist in rotor systems.
Rotating stall in compressors can produce a subsynchronous, rotating pertur-
bation force. Rotor asymmetries (such as produced by a shaft crack), coupling
problems, and vane pass can cause supersynchronous perturbation. Impacting
and cavitation can also produce nonsynchronous perturbations of the rotor sys-
tem.
In order to produce a generalized dynamic response from the rotor model,
we must include some mechanism that will produce a controllable, nonsyn-
chronous perturbation. The perturbator shown in Figure 10-10 is a small unbal-
ance mass (the heavy spot) “attached” to the rotor so that it is free to rotate inde-
pendently (it could be attached to the outer ring of a rolling element bearing
installed on the rotor). The perturbator can be rotated at any nonsynchronous
178 The Static and Dynamic Response of Rotor Systems

mru ω 2 e j(ωt +δ )

Figure 10-10. The perturbation force. A small ω

unbalance mass, m (the heavy spot), is installed
on a perturbator at a distance ru from the center m
of the rotor. The perturbator rotates independ- Ω ru
δ
ently of the rotor at a nonsynchronous frequen-
cy, ω. (A Keyphasor mark on the perturbator
enables speed and phase measurement.) At the
Keyphasor event, the unbalance mass is located
at an angle, δ, with the positive X axis. The pertur-
bation force has a magnitude mruω 2.

frequency, ω. The unbalance mass, m, is located a distance, ru, from the center of
the rotor. A Keyphasor mark on this perturbator triggers once per revolution of
the perturbator, not the rotor. At the moment of the Keyphasor event, the unbal-
ance mass and the perturbation force are located at an angle δ with the positive
X axis. The Keyphasor event acts like a strobe, momentarily freezing the rotat-
ing perturbation force vector at the angle δ (Greek lower case delta). (For the
purposes of modeling, this phase angle is measured in the mathematical sense,
counterclockwise from the positive horizontal axis, not in the instrumentation
sense.) The resulting perturbation force vector, FP , is

FP = mru ω 2e j(ωt +δ ) (10-17)

FP is a nonsynchronous, rotating unbalance force vector. The magnitude of

FP is proportional to the square of the perturbation frequency, ω, and at any
time, t, it points radially outward in the direction given by ωt+δ.

The Free Body Diagram

Now that we have defined the forces acting on the rotor system, we can con-
struct the free body diagram. This is a simple diagram that shows, for the rotor
at an arbitrary displacement and velocity, the entire system of forces acting on
it.
Figure 10-11 shows the free body diagram. The rotor with concentrated
mass, M, rotates at a speed, Ω, in an X to Y direction, and it is displaced from the
equilibrium position to a position, r. At that position, the rotor is moving at an
arbitrary, instantaneous velocity, r
.
 Chapter 10 The Rotor System Model 179

Figure 10-11. The free body dia-

gram. The rotor with concentrated
mass, M, rotates at a speed, Ω, in an FD =−Dr
FP = mru ω 2 e j(ωt +δ )
X to Y direction. It is displaced from FS =−K r
the equilibrium position to a posi-
tion, r, where it moves at velocity,
r
. All forces acting on the rotor are
assumed to act through the center r

Ω
of mass of the rotor. The spring stiff- r
ness force, FS, points back toward
the original position. The tangential M
stiffness force, FT, points 90° from r
in the direction of rotation (lead-
ing). The damping force, FD, points
in a direction opposite to the FT = jDλΩr
instantaneous velocity vector, r
.
The rotating perturbation force, FP,
is shown at angular position δ, the
instant the Keyphasor event occurs.

All forces acting on the rotor are assumed to act through the center of mass
of the rotor. The spring stiffness force, FS , points back toward the equilibrium
position. The tangential stiffness force, FT , points 90° from r in the direction of
rotation. The damping force, FD , points in a direction opposite to the instanta-
neous velocity vector, r
. The rotating perturbation force, FP , is shown at angu-
lar position δ the instant the Keyphasor event occurs.

The Equation of Motion

The rotor must obey physical laws in response to the forces acting on it. We
apply Newton’s Second Law: The sum of the forces acting on a body is equal to the
mass of the body times the acceleration of the body:

FS + FT + FD + FP = M


r (10-18)

Substituting the expressions for the forces, and being careful to keep track of the
signs, we obtain

−K r + jDλΩ r − Dr
+ mru ω 2 e j(ωt +δ ) = M r

(10-19)

180 The Static and Dynamic Response of Rotor Systems

Rearranging, we obtain the equation of motion in the standard form of a

differential equation,

r + Dr
+ (K − jDλΩ )r = mru ω 2e j(ωt +δ )

M

(10-20)

This is a second order, linear, differential equation with constant

coefficients. The appearance of this equation differs from a standard mechani-
cal (or electronic) oscillator equation because of the presence of the tangential
stiffness term, jDλΩ. This term is what makes rotor system behavior so inter-
esting, and it this term that is ultimately responsible for fluid-induced instabili-
ty. If there is no fluid circulation, λ is zero, and the tangential term disappears,
making the form of this expression identical to the equation for a simple oscil-
lator. Note that the rotor system internal elements appear on the left side of the
equation, and the applied, external force appears on the right.
If there were no forcing term on the right, the resulting equation (called the
homogeneous equation) would be equal to zero and would describe the free
(unforced) behavior of the system. For example, if we moved the rotor system to
some position away from the equilibrium position and suddenly released it, the
resulting rotor motion would follow the rules defined by the homogeneous
equation. Free vibration will be discussed in Chapter {Rotor Stability Analysis}.
The equation of motion is a set of rules that governs the behavior of the
rotor system. The acceleration, the velocity, and the displacement of this rotor
system must be related to the applied force by this equation. However, the equa-
tion of motion tells us very little about the vibration behavior of the system. We
would like to know how this rotor system behaves over time, or what the ampli-
tude and phase relationships are between the force and response. We now need
to convert the set of rules into something more useful. This conversion process
is called the solution of the equation of motion.

Solution of the Equation of Motion

To solve Equation 10-20, we must find a displacement function that, when
differentiated (converted to velocity and acceleration) and substituted into the
equation, makes the equation true. Since this is a linear system, perturbation at
a frequency ω must produce a vibration at the same frequency ω. We assume
that the amplitude of vibration will have some nonzero value and that the phase
of the vibration response will be some value different from the phase of the per-
turbation force, δ.
Fortunately, the solution of this type of differential equation is well known.
We assume a solution of the form,
 Chapter 10 The Rotor System Model 181

r = Ae j(ωt +α) (10-21)

where A is the length of the rotating displacement, or response vector (the zero-
to-peak amplitude of vibration), and α is the phase, or angle, of the response vec-
tor when the Keyphasor event occurs at t = 0.
We differentiate Equation 10-21 to find the velocity and acceleration. This
has already been done in Equations 10-9 and 10-10. The displacement, velocity,
and acceleration terms are substituted into Equation 10-20, and, after some
algebra, we obtain

mru ω 2 e jωt e jδ
Ae jωt e jα = (10-22)
 K − M ω 2 + jD (ω −λΩ )
 

In this form, the expression on the left side of the equation represents the
rotating response vector. The term in the numerator of the expression on the
right represents the rotating force vector. Note that each exponential term has
been separated into a time term and a phase term. The time terms are responsi-
ble for the rotation of the vectors; the phase term conveys information about the
relative phase of the force and response vectors. Because the time terms are
identical on both sides of the equation, we can eliminate them:

mru ω 2 e jδ
Ae jα = (10-23)
 K − M ω 2 + jD (ω − λΩ )
 

This equation describes the amplitudes and relative phases of the vectors at the
moment that the Keyphasor event occurs (Figure 10-12). In the figure, the

δ−α
u ω2
mr

Figure 10-12. Force and vibration response vec-

tors. The two vectors, which rotate with angular δ
frequency ω, are shown frozen at the moment of A
the Keyphasor event. The force vector is shown α
leading the response vector (the response lags
the force), but the opposite can be true.
182 The Static and Dynamic Response of Rotor Systems

response vector is shown lagging the force vector, but we will see below that the
response vector can lead the force vector under some circumstances. The
denominator of Equation 10-23 is called the nonsynchronous Dynamic Stiffness.
In its simplest form, Equation 10-23 states the following:

Force
Vibration = (10-23a)
Dynamic Stiffness

Vibration is the ratio of the applied force to the Dynamic Stiffness. Whenever we
measure vibration (for example using a vibration monitor), we are actually
measuring the value of this ratio. Thus, a change in vibration can be caused by
either a change in force or a change in the Dynamic Stiffness or both. This is an
important machinery diagnostics concept. Because all of these elements are
vector quantities, change can appear as either a change in amplitude or phase.

Nonsynchronous Dynamic Stiffness

The nonsynchronous Dynamic Stiffness, KN, is

K N = K − M ω 2 + jD (ω −λΩ ) (10-24)

Dynamic Stiffness is a complex quantity that consists of two parts, the Direct
Dynamic Stiffness,

K D = K − M ω2 (10-25)

and the Quadrature Dynamic Stiffness,

K Q = D (ω −λΩ ) (10-26)

Direct Dynamic Stiffness acts in line with the applied force; Quadrature
Dynamic Stiffness, because of the j in Equation 10-24, acts at 90° to the applied
force.
Dynamic Stiffness is a very important result of the model. It is a function of
the perturbation frequency, ω, and contains all of the rotor parameters in our
model, including the rotor speed, Ω. Dynamic Stiffness is the black box that
transforms the dynamic input force to the output vibration of the rotor system. It
is key to understanding machine behavior, and it will be discussed in detail in
Chapter {Dynamic Stiffness}.
 Chapter 10 The Rotor System Model 183

Amplitude and Phase of the Response

Equation 10-23 can be manipulated into expressions for the amplitude and
phase. First, let

F = mru ω 2 (10-27)

Multiply and divide the right side of Equation 10-23 by the complex conjugate of
the denominator to eliminate the j terms in the denominator:

Fe jδ  K D − jK Q 
Ae jα =   (10-28)
K D + jK Q  K D − jK Q 

Now, multiply through and combine the exponential terms on the left,

A j(α−δ )  K D K Q 

e =  2 − j (10-29)
F  K D + KQ2 K D2 + KQ2 

We now have an expression that mixes exponential and rectangular notation.

The exponential form on the left already separates the amplitude and phase. The
amplitude of the rectangular part is found by taking the square root of the sum
of the squares of the direct and quadrature parts:

A K D2 K Q2
= 2
+ 2
(10-30)
F (K D2 + KQ2 ) (K D2 + K Q2 )

which reduces to

F
A= (10-31)
K D2 + KQ2

Dynamic Stiffness controls the change, or difference in phase between the

force and the response, δ − α. This change is found by taking the arctangent of
the ratio of the quadrature and the direct parts of Equation 10-29:
184 The Static and Dynamic Response of Rotor Systems

K 
δ − α = arctan  Q  (10-32)
 K D 

The equation for the phase angle of the vibration response,

K 
α = δ − arctan  Q  (10-33)
 K D 

shows that α is measured relative to the location of the heavy spot, δ (the phase
angle of the forcing function). The negative sign indicates that when KQ and KD
are positive, the high spot lags the heavy spot.

The Attitude Angle: Rotor Response To a Static Radial Load

A good test of the model is to see how the rotor responds to the application
of a static radial load. We will replace the rotating unbalance with a static load,
F. We assume that the load is applied vertically downward while the rotor is
rotating at some speed, Ω. F is not rotating, so this is a special case of a non-
synchronous perturbation force where the frequency, ω, is zero. Thus, the com-
ponents of the Dynamic Stiffness become

KD = K (10-34)
K Q =−DλΩ

Note that, for this static load case, the Direct Dynamic Stiffness is identical to
the spring stiffness, and the Quadrature Dynamic Stiffness is identical (except
for the sign) to the tangential stiffness. Substituting these elements into
Equation 10-33 gives us the predicted response phase angle,

 DλΩ 
α = δ + arctan  (10-35)
 K 

where we have passed the negative sign through the arctangent function.
This result is illustrated in Figure 10-13. The positive sign in Equation 10-35
indicates that the change in rotor position angle will also be positive, producing
a change in position in a phase lead direction. This is exactly what we expect for
a rotating, statically loaded journal in a fluid-film bearing. The pressure wedge
 Chapter 10 The Rotor System Model 185

Figure 10-13. Rotor response to a static radial

load. The downward acting force, F, produces a
response, r, that acts in a leading direction. α
Because r leads F, the phase angle, α, of r, is larg- r
Ω δ
er than the phase angle, δ, of F. The difference
between the phase angles, α − δ, is Ψ, the atti-
tude angle. F

forces the shaft to an equilibrium position, which is in the direction of rotation.

The amount of the phase lead will depend on the relative strength of the tan-
gential and spring stiffnesses.
Note that this situation is identical to the basic definition of the attitude
angle that was defined in Chapter {6}. Thus, the attitude angle, Ψ, is defined by
the model as

 DλΩ 
Ψ = arctan  (10-36)
 K 

Synchronous Rotor Response

A good definition of synchronous is at the frequency of rotor rotation. If we
lock our nonsynchronous perturbation force to the rotor, it will rotate at the
rotor speed and become a synchronous perturbation, where ω = Ω. If we sub-
stitute Ω for ω in Equation 10-23, we obtain an expression describing the syn-
chronous rotor response to unbalance,

mruΩ 2 e jδ
Ae jα = (10-37)
 K − MΩ 2 + jD (1 −λ)Ω 
 

Thus, synchronous rotor response is actually a special case of general, nonsyn-

chronous rotor response.
186 The Static and Dynamic Response of Rotor Systems

Synchronous Dynamic Stiffness

The denominator of Equation 10-37 is called the synchronous Dynamic
Stiffness:

K S = K − MΩ 2 + jD (1 −λ)Ω (10-38)

The synchronous Direct and Quadrature Dynamic Stiffnesses are given by

K D = K − MΩ 2 (10-39)
KQ = D (1 −λ)Ω

The Direct Dynamic Stiffness is identical in form to the nonsynchronous

case in Equation 10-25, but the Quadrature Dynamic Stiffness has a different
form than Equation 10-26. These differences will be discussed in Chapter
{Dynamic Stiffness}.

Predicted Rotor Behavior

We have already examined the predicted behavior of the model to a static
load, and we have found that it produces a reasonable result. We will now exam-
ine the predicted rotor response for both nonsynchronous and synchronous
perturbation over a wide range of perturbation frequencies.
First, we will look at rotor system behavior for a system with low (subcriti-
cal) damping. A system like this is also referred to as an underdamped system.
Low damping means that the Quadrature Dynamic Stiffness term, which
depends on damping, is also low; this is a typical condition for most rotating
machinery. The parameters used in the model are summarized in Table 10-1.

Table 10-1. Model parameters

Parameter Low KQ High KQ
D 52.7 x 103 N · s/m (301 lb · s/in) 1.58 x 106 N · s/m (9.02 x 103 lb · s/in)
Ω 900 rpm 1500 rpm
M 1000 kg (5.7 lb · s2/in) same
K 25.0 x 106 N/m (143 x 103 lb/in) same
λ 0.48 same
mru 0.01 kg · m (13.9 oz · in) same
δ 45° same
 Chapter 10 The Rotor System Model 187

The model output is equivalent to a set of startup or shutdown 1X vibration

vectors taken from a single transducer. In this simulation, since all angles are
measured relative to horizontal right, the vibration transducer is mounted at
horizontal right. The rotating heavy spot of the perturbation is located at 45°
from the transducer, in the direction of rotation, when the Keyphasor event
occurs.
Figure 10-14 shows the Bode and polar plots of the predicted behavior of the
model. For the nonsynchronous perturbation, the rotor is operated at a constant
speed, Ω, of 900 rpm. The perturbation frequency, ω, is swept from zero to 4000
cpm, and the model produces response vectors that are filtered to the perturba-
tion frequency.
For the synchronous case, the perturbation frequency is set equal to the
rotor speed (locked to the rotor), the rotor speed is varied from zero to 4000 rpm,
and the model produces response vectors that are filtered to rotor speed. Thus,
the horizontal axes represent cpm for nonsynchronous perturbation and rpm
for synchronous perturbation.

315 Heavy spot direction

Synchronous
0
Phase Lag (deg)

270˚
45 n
Nonsynchronous ot Heavy spot direction
R

90

135
0 500 1000 1500 2000 2500 3000 3500 4000 1005 1246 1347
Frequency (rpm or cpm) 503
180˚ 0˚
4000 1407
120 2492
Synchronous 1990
100
Amplitude (µm pp)

NS
80
1709 S 1508
60
1608
40 90˚
20 120 µm pp full scale
Nonsynchronous
0
0 500 1000 1500 2000 2500 3000 3500 4000
K Frequency (rpm or cpm)
M

Figure 10-14. Bode and polar plots of model response for low Quadrature Dynamic Stiffness.
Both nonsynchronous (blue) and synchronous (green) perturbation results are shown. The heavy
spot direction is shown in red. The phase of the plots is shown in the instrumentation form,
where phase lag is positive downward. Phase is measured relative to the positive X-axis of the
system. See the text for details.
188 The Static and Dynamic Response of Rotor Systems

The phase produced by the model is in mathematical form, where phase

lead is positive and phase lag is negative. However, the phase in the plots in the
figure is presented using the instrumentation convention, where phase lag is
positive, increasing downward. Phase is measured relative to the positive X-axis
of the system (the location of the transducer).
The amplitude produced by the model is zero-to-peak. On the plots, the
amplitude is shown as peak-to-peak, again conforming to the instrumentation
measurement convention.
Note that, at frequencies near zero, the nonsynchronous response phase
leads the heavy spot location slightly. However, at zero speed the synchronous
response phase is equal to the heavy spot location. This is an important finding
with application to balancing.
A resonance amplitude peak is clearly visible and is accompanied by a 180°
increase in phase lag. For this low damping case, it can be shown that the non-
synchronous resonance occurs near

K
ω= (10-40)
M

and that the synchronous resonance occurs near

K
Ω= (10-41)
M

This is sometimes referred to as the mechanical resonance. A commonly used

term in the industry for a synchronous balance resonance is a critical, but the
term balance resonance is preferred when speaking of a synchronous resonance
due to unbalance. At this frequency, the phase of the response lags the heavy
spot location by 90°.
When damping increases to a supercritical (overdamped) value, the behav-
ior of the model changes dramatically. Figure 10-15 shows plots for both non-
synchronous (blue) and synchronous (green) perturbation. For the nonsynchro-
nous case, the rotor speed, Ω, was set to 1500 rpm.
At low speed, the nonsynchronous response phase leads the heavy spot by
about 80°. This is the attitude angle of the system. Using the parameters in Table
10-1 and Equation 10-36, it is calculated as 78°.
Because the system is overdamped, there is no synchronous resonance.
However, there is a nonsynchronous resonance near
 Chapter 10 The Rotor System Model 189

ω = λΩ (10-42)

This resonance is sometimes referred to as the fluid-induced resonance. For this

case, the nonsynchronous phase is equal to the heavy spot location when ω =
λΩ.
Both the mechanical resonance and the fluid-induced resonance are
different manifestations of the same thing. Recall that our model is only capable
of one resonance. The frequency of this resonance depends on whether the sys-
tem is underdamped or overdamped, and on whether the perturbation is non-
synchronous or synchronous. The fluid-induced resonance is only visible when

1. The rotor system is overdamped, and

2. The rotor system is subjected to a nonsynchronous perturba-

tion.

225
Nonsynchronous
270
Phase Lag (deg)

315 Heavy spot direction 270˚

n Heavy spot direction
ot
0
R

45 704
643
Synchronous NS
90 603 764
0 500 1000 1500 2000 2500 3000 3500 4000 503
Frequency (rpm or cpm) 180˚ 0˚
503
1005 844
10
1508 1005
8 Nonsynchronous
Amplitude (µm pp)

2995
4000
2995
6
4000
S
4
90˚
2 10 µm pp full scale
Synchronous
0
0 500 1000 1500 2000 2500 3000 3500 4000
λΩ Ω
Frequency (rpm or cpm)

Figure 10-15. Bode and polar plots of model response for high Quadrature Dynamic Stiffness.
Both nonsynchronous (blue) and synchronous (green) perturbation results are shown. The heavy
spot location is shown in red. The phase of the plots is shown in the instrumentation form, where
phase lag is positive downward. Phase is measured relative to the positive X-axis of the system.
The low speed nonsynchronous phase lead relative to the heavy spot represents the attitude
angle of the system. See the text for details.
190 The Static and Dynamic Response of Rotor Systems

Both conditions must be true. Because operating machines are typically under-
damped and subjected primarily to synchronous perturbation due to unbal-
ance, the fluid-induced resonance will never be visible under normal operation.
For a typical machine, the resonance will occur at the balance resonance speed
given by Equation 10-41.

Nonlinearities
Two basic assumptions used in the derivation of the model are that the sys-
tem is linear and that the rotor system parameters are constant. Rotor shaft and
bearing support stiffnesses are, for the most part, independent of rotor position.
Fluid-film bearing and seal parameters are approximately constant at low
eccentricity ratios; however, they can change rapidly at high eccentricity ratios.
The typical behavior of spring stiffness, damping, and λ versus eccentricity
ratio is shown in Figure 10-16. Spring stiffness is approximately constant at low
eccentricity and increases dramatically near the bearing surface. Damping also
increases near the bearing surface, while λ decreases. The decrease in λ is rea-
sonable when you consider that fluid circulation is restricted as the rotor
approaches the limits of available clearance.
In spite of the fact that these parameters are not constant (and the resulting
differential equation is nonlinear), rotor behavior does not usually deviate far
from linear behavior, and our simple model remains useful. After all, most rotor
systems run in fluid-film bearings at moderately high eccentricity ratios, and the
behavior of most systems is predictable enough to allow balancing using tech-
niques derived from a linear model. Rotor behavior is approximately linear when
viewed in a small region around the equilibrium position (which can be at high
eccentricity under static radial load). Usually, vibration in rotor systems is small
enough to satisfy this approximation.
Nonlinearities can appear from other sources. Rub contact near the
midspan of a rotor is a constraint that significantly increases K, either momen-

Figure 10-16. Qualitative plots of fluid-film bear-

ing parameters versus journal eccentricity ratio. Bearing
Stiffness, K, and damping, D, are minimum when center
Bearing surface

Bearing surface

the journal is at the center of the bearing, and

they are approximately constant for low eccentric-
λ
ity ratios. As the journal nears the bearing surface, K
stiffness and damping increase dramatically. λ
behaves in the opposite way. When the journal is D
at the center of the bearing, λ is maximum. As the 1 .5 0 .5 1
journal nears the wall, the fluid flow is increasingly Eccentricity ratio, ε
restricted, until λ nears zero at the wall.
 Chapter 10 The Rotor System Model 191

tarily or continuously. Looseness in support systems can produce intermittent

or continuous decreases in K. Much of diagnostic methodology involves corre-
lating changes in system behavior with changes in K. The nonlinearities pro-
duced by some malfunctions feed through our linear model in a way that we can
usefully interpret.
Vibration signal waveform distortion is evidence of the presence of nonlin-
earities. Ideal, linear rotor system vibration response to unbalance will produce
a single, sinusoidal signal. Nonlinearities produce deviations from sinusoidal
waveforms that result in more complicated orbits and harmonic series in spec-
trums.

The Benefits and Limitations of the Simple Model

The model that we have presented has several major benefits; it is solvable
in an analytical form that is relatively easy to understand, and the equations that
come from the model provide good insight into the basics of rotor behavior. We
will use this insight to examine synchronous rotor behavior in more detail in the
next chapter.
As we have mentioned, vibration is a ratio, and changes in Dynamic Stiffness
produce changes in vibration. Dynamic Stiffness is a function of the rotor
parameters of mass, stiffness, damping, lambda, and rotor speed. By relating
vibration behavior to changes in rotor system parameters, the model provides a
conceptual link between observed vibration behavior and root cause malfunc-
tions. This is a major advantage of this modeling approach when compared to
matrix coefficient methods. The basic relationships between simple rotor
parameters and malfunctions will be exploited throughout this book to solve
practical machinery problems.
The model provides an excellent description of the lowest mode of a rotor
system and can provide some information about higher system modes. However,
accurate treatment of multiple modes requires a more complicated model with
additional degrees of freedom.

Extending the Simple Model

The simple, isotropic model provides an excellent description of the lowest
mode of a rotor system. However, it does not adequately describe the behavior of
rotor systems with anisotropic stiffness or with multiple modes. In this section,
we will present examples of a single mass, anisotropic rotor model with two real
degrees of freedom (2-RDOF), and a two mass, two-mode, isotropic model with
two complex degrees of freedom (2-CDOF). Readers can skip this section with
no loss of continuity.
192 The Static and Dynamic Response of Rotor Systems

The anisotropic rotor model is similar to the 1-CDOF model that we have
been discussing in this chapter; the rotor is modeled as a lumped mass with sig-
nificant fluid interaction. There are two primary differences:

1. The displacement is measured using two, independent, real

variables, x and y (two degrees of freedom). The complex plane
used for the simple model is not used (although complex nota-
tion will be used to simplify the mathematics of the solution
process).

2. The rotor parameters are different (anisotropic) in the X and Y

directions. In general, any parameter can be anisotropic, but in
this discussion, we will only treat the spring stiffness (Kx and
Ky ) as anisotropic; all other parameters will be assumed to be
isotropic.

The rotor free body diagram of the anisotropic system (Figure 10-17) is sim-
ilar to that for the isotropic system (Figure 10-11), with two exceptions: the force
components are now shown aligned with the measurement axes and the tan-
gential stiffness terms appear without the j that is used in the complex plane.
The tangential stiffness terms cause a response at right angles to the applied
force. Imagine that the rotor, which is rotating here in an X to Y direction, is
deflected a distance x in the positive X direction. Because of the fluid circulat-
ing around the rotor, a pressure wedge will form that will push the rotor up, in
the positive Y direction. Thus, the tangential force in the Y direction is +DλΩx.
Similarly, if the rotor deflects a distance y in the positive Y direction, the
pressure wedge will try to push the rotor to the left, in the negative X direction.
Thus, the tangential force in the X direction is −DλΩy.
The tangential force terms cross couple the X and Y responses. As long as the
tangential force term is nonzero, any deflection in one direction will create a
force that produces a response in the other direction.
The perturbation force is also expressed in terms of X and Y components:

Fx = mru ω 2 cos(ωt + δ )
Fy = mru ω 2 sin (ωt + δ ) (10-43)

However, even though we are modeling the system with real numbers, it is math-
ematically simpler to use complex notation and take the real part of the result.
Then, the perturbation force can be expressed as
 Chapter 10 The Rotor System Model 193

−Dy
−Ky
Y

M −DλΩy
Ω −Dx

y −Kx
x X
Figure 10-17. The free body dia-
gram for a 2-RDOF anisotropic
rotor model. The force compo-
nents are shown aligned with the
measurement axes. The tangential
stiffness terms appear without the
j that is used when modeling in +DλΩx
the complex plane. At bottom is
the nonsynchronous rotating Y mruω2
unbalance perturbation force. As δ− π
viewed from the X axis, the force 2
has phase angle δ, but, as viewed δ
from the Y axis, the force has
phase angle δ − π/ 2. δ

X
194 The Static and Dynamic Response of Rotor Systems

Fx = mru ω 2 e j(ωt +δ )
 π (10-44)
jωt +δ− 
Fy = mru ω 2 e  2

where the π/2 is the angular difference between the two coordinate system axes.
These two expressions identify the same rotating unbalance vector, which is ref-
erenced to each coordinate axis (see the figure).
The 2-RDOF system requires two differential equations in x and y:

Mx

+ Dx
+ K x x + DλΩ y = mru ω 2 e j(ωt +δ )

 π (10-45)
jωt +δ− 
My

+ Dy
+ K y y − DλΩ x = mru ω 2 e  2

We assume two solutions of the form:

x = Ae j(ωt +α)
(10-46)
y = Be j(ωt +β )

where A and B are the amplitudes of the rotating response vectors, and α and β
are the phases. The solutions will provide a set of rotating response vectors, each
of which is measured relative to its own axis. The instantaneous physical posi-
tion of the rotor is formed from the combination of the real part of these vec-
tors:

x (t )= Re  Ae j(ωt +α)

(10-47)
y (t )= Re  Be j(ωt +β )

Solution of the system of equations 10-45 leads to

 Chapter 10 The Rotor System Model 195

 K y − M ω 2 + jD (ω + λΩ ) 
 
Ae jα = mru ω 2 e jδ  
 (K x − M ω 2 + jDω )(K y − M ω 2 + jDω )+(DλΩ )2 
 

 π  
jδ−   K x − M ω 2 + jD (ω + λΩ ) 
Be jβ = mru ω e  2
2
 2
 (K x − M ω + jDω )(K y − M ω + jDω )+(DλΩ ) 
2 2
 

(10-48)

For each vector, the amplitude is found by taking the absolute value of the
expression; the phase of the response is the arctangent of the ratio of the imag-
inary part to the real part,

 Im (Ae jα )
α = δ + arctan   (10-49)
jα 
 Re(Ae )

The 2-RDOF, anisotropic model can be converted to the simple, isotropic

model quite easily, a procedure that validates the anisotropic modeling of the
tangential force. We make the system isotropic by setting Kx = Ky = K. Equations
10-45 are modified to use the perturbation forces of Equations 10-43, and the y
equation is multiplied by j:

Mx

+ Dx
+ Kx + DλΩ y = mru ω 2 cos(ωt + δ )

(10-50)
j (My

+ Dy
+ Ky − DλΩ x )= j (mru ω 2 siin (ωt + δ ))

When the equations are added, we obtain

M (x

+ jy

)+ D (x
+ jy
)+ K (x + jy )− jDλΩ (x + jy )

(10-51)
= mru ω 2 cos(ωt + δ )+ j siin (ωt + δ )

This reduces to
196 The Static and Dynamic Response of Rotor Systems

M r

+ Dr
+ (K − jDλΩ )r = mru ω 2 e j(ωt +δ ) (10-52)

which is identical to Equation 10-20, the equation of motion for the simple,
isotropic model.

In the two-mode, isotropic system, the rotor is modeled with a complex dis-
placement vector in each of two, axially separated, complex planes (two complex
degrees of freedom, or 2-CDOF). There are many ways a system like this can be
modeled; what follows here is only one possibility.
The rotor is separated into two, lumped masses, M1 and M2 (Figure 10-18,
top). A midspan mass, M1, is connected through a shaft spring element, K1, to a
stiff bearing at left. The mass experiences some damping, D1. The mass is also
connected through a shaft spring element, K2, to a journal mass, M2, at right.
The journal operates in a fluid-film bearing with damping, DB , bearing stiffness,
KB , and λ. The resulting free body diagrams are shown at the bottom.
As in the anisotropic model, a two degree of freedom system requires two
differential equations, this time in two, independent, complex displacement
vectors, r1, and r2:

M1r

1 + D1r
1 + (K1 + K 2 )r1 − K 2 r2 = m1ru1ω 2 e j(ωt +δ1 )

M2 r

2 + DB r
2 + (K 2 + K B − jDBλΩ )r2 − K 2 r1 = m2 ru 2 ω 2 e j(ωt +δ2 )

(10-53)

Note that there are two, independent unbalance masses, each with its own
mass, radius, and phase angle. We assume a solution of the form

r1 = A1e j(ωt +α1 )

(10-54)
r2 = A2 e j(ωt +α2 )

The solution is, again, two expressions:

 Chapter 10 The Rotor System Model 197

K1 K2
M1 M2 DB
D1 KB
λ

m1ru1ω 2 e j(ωt +δ1 )

−D1r
1 −DB r
2
−K1r1 m2ru2ω 2 e j(ωt +δ2 )

−K 2 (r1 − r2 ) −K B r2
r
1 r
2 Ω
Ω
r2
r1
M1 M2
−K 2 (r2 − r1 )

jDBλΩr2

Figure 10-18. 2-CDOF rotor model and free body diagrams. The rotor is separated into two,
lumped masses, M1 and M2. The midspan mass, M1, is connected through a shaft spring element,
K1, to a stiff bearing at left. The mass also experiences some damping, D1. The mass is also con-
nected through a shaft spring element, K2, to a journal mass, M2, at right. The journal operates in
a fluid-film bearing with damping, DB, bearing stiffness, KB, and λ. The free body diagrams show
the forces acting on the rotor masses, including two, independent unbalance forces.
198 The Static and Dynamic Response of Rotor Systems

m1ru1ω 2 e jδ1 (K 2 + K B − M 2 ω 2 + jDB (ω − λΩ ))+ m2 ru 2 ω 2 e jδ2 K 2

A1e jα1 =
(K1 + K 2 − M1ω 2 + jD1ω )(K 2 + K B − M2 ω 2 + jDB (ω − λΩ ))− K 22

m2 ru 2 ω 2 e jδ2 (K1 + K 2 − M1ω 2 + jD1ω )+ m1ru1ω 2 e jδ1 K 2

A2 e jα2 =
(K1 + K 2 − M1ω 2 + jD1ω )(K 2 + K B − M 2 ω 2 + jDB (ω − λΩ ))− K 22

(10-55)

As with the anisotropic example, the amplitude is found by taking the

absolute value of the expressions. The phase is found using these expressions:

 Im (A e jα1 )
α1 = δ1 + arctan  1 
jα1 )
 Re (A1 e 

 Im (A e jα2 ) (10-56)
α2 = δ2 + arctan  2 
jα2 )
 Re (A2 e 

Summary
Lambda (λ), the Fluid Circumferential Average Velocity Ratio, is a nondi-
mensional number that represents the average angular velocity of the circulat-
ing fluid as a fraction of the angular velocity of the rotor.
Using assumptions of a single, complex degree of freedom; isotropic param-
eters; no gyroscopic effects; significant fluid interaction; and linear behavior, a
set of forces were defined that act on the rotor system. These forces are the
spring force, the tangential force due to a pressure wedge in fluid-film bearings
and seals, the damping force, and an external perturbation force.
The forces were combined in a free body diagram, and used with Newton’s
Second Law to obtain the differential equation of motion.
The solution of the equation of motion provided the rotor system Dynamic
Stiffness, an important result. Dynamic Stiffness is the “black box” that relates
input force to output vibration.
The response of the rotor to a static radial load led to an expression for the
attitude angle of the rotor in terms of rotor parameters. The attitude angle was
 Chapter 10 The Rotor System Model 199

found to be equal to the arctangent of the tangential stiffness divided by the

spring stiffness.
By setting the nonsynchronous perturbation frequency, ω, equal to the rotor
speed, Ω, an expression for synchronous rotor response was obtained.
Synchronous rotor response, which is the most commonly observed mode of
operation of machinery, was found to be a special case of the general, nonsyn-
chronous model.
The model behavior over frequency or speed was explored. The model clear-
ly shows a resonance, coupled with a 180° phase change in the lagging direction.
The frequency of the resonance depends on the Quadrature Dynamic Stiffness
of the system and the type of perturbation used.

References
1. Jeffcott, H. H., “The Lateral Vibration of Loaded Shafts in the
Neighbourhood of a Whirling Speed.—The Effect of Want of Balance,”
Philosophical Magazine 6, 37 (1919): pp. 304-314.
2. Muszynska, A, “One Lateral Mode Isotropic Rotor Response to
Nonsynchronous Excitation,” Proceedings of the Course on Rotor Dynamics
and Vibration in Turbomachinery, von Karman Institute for Fluid
Dynamics, Belgium (September 1992): pp. 21-25.