An analytical investigation of

turbocharger rotor-bearing dynamics

with rolling element bearings and
squeeze film dampers
A Ashtekar
Cummins Turbo Technologies, USA
L Tian, C Lancaster
Cummins Turbo Technologies, UK
ABSTRACT
The objective of this investigation is to examine the dynamics of a turbocharger supported by a
deep groove or angular contact ball bearing and a squeeze film damper. In this novel approach
a six degree of freedom 3D discrete element bearing model was interlaced with a first principle
squeeze film damper model to determine the combined stiffness and damping of the
turbocharger support. The combined model accounts for the current and the past dynamic
states of the system to provide a more accurate support behavior than the current simplified 2-D
bearing models used for rotor dynamic analysis. In addition, the Reynolds equation is iteratively
solved for the squeeze film damper model to determine the damper behavior while accounting
for side leakages. This allows for examining any shape or size of dampers. The combined
model was then used to determine the dynamics response of the turbocharger by coupling it
with a traditional quasi-static model as well as a time dependent rotor dynamic models. The
effect of bearing component (inner race, outer race, cage and roller) defects on support stiffness
and excitation will be examined. The damper will affect not only the turbocharger dynamics but
also the bearing dynamics, affecting the bearing life.

INTRODUCTION

Turbochargers have commonly been equipped with journal bearings to support the turbines and
rotor assembly. However, ball bearings have become popular as a replacement for journal
bearings in turbochargers. Wang (1), in his review of ceramic bearing technology, points out
that the hybrid ceramic bearing can provide better acceleration response, lower torque
requirement, lower vibrations and lower temperature rise than journal bearings. Hybrid ceramic
ball bearings contain steel inner and outer races, ceramic balls and usually a machined cage.
Ceramic balls, as compared to their steel counter parts, are lighter, smoother, stiffer, harder,
corrosion resistant, and electrically resistant. These fundamental characteristics allow for a wide
range of performance enhancements in bearing rotor system. Ceramic balls are particularly well
suited for use in harsh, high temperatures and/or corrosive environment. Therefore, hybrid
ceramic bearings are ideal for turbocharger applications. Miyashita et al. (2), Keller et al. (3) and
Tanimoto et al. (4) have employed ball bearings in small, automotive turbochargers. However,
challenges still remain for high speed, high output turbochargers which demand large bore
bearings operating at DN numbers over 2 million. As the bearing size increases, the dynamics
of the bearing rotor system becomes critical for comprehensive design and satisfactory
operation of the turbocharger.
Investigators have attempted to analytically analyze the dynamics of turbocharger rotor system.
San Andrs et al. (5,6,7) has presented comprehensive models to predict turbocharger
dynamics. Inclusion of a complete fluid-film bearing model provided an insight into the effects of
bearing dynamics on the dynamics of a turbocharger. Bou-Said et al. (8) also investigated the
rotor dynamics of a turbocharger with linear and non-linear aerodynamic bearing models.
Pettinato et al. (9) demonstrated the advantages of such turbocharger rotor dynamic models by
employing them to improve the design of bearings used in a turbocharger. Bonello (10)
implemented non-linear model to study the dynamics of turbocharger on full floating and semifloating ring bearings. However, most of the work in turbocharger rotor dynamic models has
been concentrated on turbochargers with journal bearings. Therefore these models are unable
to predict the rotor dynamics of turbochargers which use rolling element bearings. Nevertheless,
investigators have attempted to develop analytical models to study the dynamics of simple rotor
systems with rolling element bearings. Gupta (11-13) was among the first to present a three
dimensional bearing dynamic model. The model developed was capable of analyzing motion of
all bearing components. Meyer et al. (14) introduced the effects of defects on bearing and
demonstrated the vibrations patterns associated with the defects. Saheta et al. (15) and
Ghaisas et al. (16) presented a six degree of freedom, fully dynamic discrete element model.
Their models consider bearing components as sections of spheres and cylinders, which
significantly reduced the computational effort associated with bearing dynamic modeling.
Sopanen et al. (17, 18) developed a bearing model which included the effects of inclusions.
However in their analysis, cage dynamics and centrifugal loads were ignored. Ashtekar et al.
(19, 20) developed a six degree of freedom bearing model which included the effects of bearing
surface defects. In general, the previous investigators concentrated on the bearing dynamics
and ignored the complicated interaction of the roller bearing with the shaft/rotor system.
However, for a complete understanding and examination of high speed, high output
turbochargers it is critical to combine the effects of the bearing and shaft/rotor dynamics. In high
speed applications, the rotor undergoes various mode shapes resulting in complex motion of
bearing rotor system. Lim et al. (21) and Hendrikx et al. (22) developed a bearing model
including the effects of rotor flexibility; however they neglected the effect of bearing cage on the
dynamics of the system. Tiwari (23, 24) considered the effects of imbalance and bearing
preloading on the rotor dynamics, however, a simplified ideal bearing model was considered
and rotor was assumed to be rigid. Prenger (25) presented a bearing model capable of
modeling tapered roller bearings and angular contact bearings. Prengers model included the
effect of flexible shafts; however, only simple shaft models were considered and the model was

unable to handle high speed applications. BEAST software developed by Stacke et al (26) is
known to consider rotor flexibility; however, neither the model nor the results are available in
public domain.
In this investigation a model was developed to represent the turbocharger bearing rotor system.
The model combines a discrete element bearing model and a flexible rotor model to simulate
the dynamics of the bearing rotor system. The model was then used to investigate the motion of
each bearing components and determine the forces and deflection of the rotor as a function of
various operating conditions. The results from the model were used to investigate the bearing
performance at various preloads, rotor imbalances and operating speeds.
2

MODEL DESCRIPTION

A ball bearing consists of an inner race, outer race, rolling elements (balls) and a cage which
separates the balls. These bearing components interact with each other directly or indirectly,
affecting the motion and forces occurring between them. The turbocharger rotor is supported
by the inner race and thus its motion and forces are also affected by the dynamics of the
turbocharger rotor. As these motions and forces are eventually transmitted from the inner race
to all other bearing components, the turbocharger rotor affects the dynamics of all bearing
components. Similarly, any dynamic instability within the bearing is transmitted to the
turbocharger rotor. In this study, the analytical investigation includes a bearing dynamic model
which interacts with a flexible turbocharger rotor model to predict the dynamics of rotor system.
2.1
Dynamic bearing Model
A key aspect of modeling the bearing dynamics with Discrete Element Method is obtaining the
forces and moments acting on the bearing components. In the current model, the gravitational
forces, contact forces and rotor interaction forces are considered as a part of the analysis.
Rolling element contact forces are considered when balls are in contact with other bearing
components. Although bearing component surfaces deform to some degree when in contact,
these deformations are typically very small in comparison to the balls characteristic length.
Hence, in the contact model the detailed deformations of the contacting surfaces are ignored
and instead the two contacting surfaces are allowed to overlap slightly. The degree of overlap
is then used to determine the contact forces acting on the bearing components. To simplify the
overlap calculations, bearing components are assumed to be made of simplified geometry
consisting of sections of sphere and cylinders. The overlap, , between the elements is given
by;
= (1 + 2 ) |2 1 |

Where, 1 and 2 are the radius of the bodies and 1 and 2 are the position vectors of the
respective bodies. It is possible to consider other shapes in the simulations; however, the
contact detection schemes become more computationally intensive (Ting (27), Ting et al. (28),
Matuttis et al. (29)). The normal contact force can be determined using the overlap and
Hertzian force-deflection relationship
= 32

Where, K is the Hertzian stiffness coefficient. This approach of calculating normal contact force
is much simpler and less computationally intensive than the method described by Gupta (30).
The Hertzian stiffness, K for two general, non-conformal contacting solids is given by Hamrock
(31)

Where R is the curvature sum given by,

1

2 12

9
32
1

The values of and are curvatures of the body in X and Y planes respectively. is the
effective elastic modulus obtained from the elastic properties of bodies in contact and is given
by,
=

1 2
1 2
+

Where , , , are the modulus of elasticity and Poissons ratio for the two bodies.
Parameters , , and require iterative calculations, however, current study uses the
approximate solution provided by Hamrock (31)
= 2 ; =

; = + ln ; = 1 +
2

; = 1
2

In addition to a normal force, a tangential force exists at the point of contact between the ball
and race. This tangential force is determined using a traction model, the relative tangential
velocity at the point of contact, and the normal force at the contact. In this investigation, the
Kragelskiis (32) model is used
|) (||) +
= ( + |

, is related to slip velocity, , which is the difference in instantaneous velocities of bodies in

contact.
Here, values of A, B, C, and D were calculated using the method used by Gupta (33). The
tangential friction force is then given by
=

|
|

Evaluation of the tangential friction forces at the contact can be quite involved because of the
variations in local slip velocities from point to point in the contact ellipse. However, as pointed
out by Gupta (30, 34), for most bearing applications the contact ellipse is sufficiently narrow
along the direction of rolling so that the variations in the slip velocity and hence friction force
along the semi minor axis can be neglected. Thus the total friction force can be evaluated by
integrating the friction forces along the major axis of contact ellipse (30, 34). The resulting
tangential force also creates a moment about the ball center and a moment about the center of
contact ellipse. The moment about the ball center results in rolling motion while the moment
about contact ellipse center causes the ball to spin.
The resulting contact forces and moments act equally but in the opposite directions on both of
the bodies in contact. After calculating the total force and moments acting on the bodies,
Newtons second law is used to calculate the linear and angular acceleration of the bodies. The
accelerations are integrated with respect to time to obtain velocities and displacements in linear
and angular directions. Each body has 6 DOF and thus each body is associated with 6

equations that are integrated. System presented in this paper has two bearing and each
bearing has 15 such bodies. The above procedure is repeated at each time step using the new
component states until some end condition, typically maximum time is reached.
2.2
Squeeze Film Damper
Hamrocks (31) solution of Reynolds equation is used to calculate the reaction forces due to
squeeze film damper on the outer race. For a long damper assumption, (l/d > 4), the side
leakages can be neglected and the Reynolds equation reduces to

3 = 12 2 0

This can be solved to get the relationship

120 ( + )3
2
3 (1 )3/2

The damping coefficient can be expressed as,

=

120 ( + )3
2
3 (1 )3/2

Where, is the absolute viscosity of the oil, is the radius of the bearing outer race, is the
outer race velocity along Z axis, c is the clearance in the squeeze film damper and z is the
position of the outer race CG.
The above relationship is suitable for any bearing with l/d ratio greater than four. For these
bearings, the side leakages can be ignored so that the infinitely long bearing assumption holds
true. However, for shorter bearings, consider the Reynolds equation with side leakages.

For a bearing,

3 +
3 = 120

Therefore, equation reduces to

= / Thus,

= r and = (1 )

3 + 2 3
= 6 2 0

3 +
3
= 12

This equation does not have an exact solution and thus needs to be solved iteratively. For a
given and c, a solution is evaluated for a bearing position defined by h (or z, y in this case).
Iterative solutions were obtained for a range of l and c values to generate a database of SFD.
Table 1 shows the range of l and c values considered for the study.

Table 1: Range of l and c values

L (mm)

10

100

C (m)

20

30

50

100

200

Figure 1 shows the database plots.

Intermediate values were obtained using linear
interpolation. Figure 2 shows the implementation of database into DBM. Please note that the
reaction force is opposite to the direction of OR velocity. Similarly, the reaction force along Y
axis is also calculated. Both these reaction forces are added to the total forces acting on the
OR discrete element. In addition, to include the effects of the anti-rotation pin, all outer race
rotational degrees of freedom were constrained to be fixed. For each case, DBM was run and
the motion of Inner Race, Outer Race, and Reaction Force at SFD and Damping Coefficient
was recorded. Lower IR motion and reaction forces are primary benefits of well-tuned SFD.
From Figure 3 to Figure 5 it can be seen that the damping coefficient is sensitive to length of the
bearing and the clearance. Higher damping reactions were observed at very small lengths and
damping reactions reduced as length increased. However, after an optimum point the damping
reactions shot up as length was increased to approach long SFD assumption. IR motion
continued to reduce as the length of bearing increased. This is primarily due to the geometrical
constraints due to larger contact surface between bearing and housing. Increased clearance
had negative effect on reaction forces as well as IR motion.

Figure 1: Database for SFD

Figure 2: Short SFD model in DBM

Figure 3: Effect of length on reaction forces

Figure 4: Effect of length on damping

Figure 5: Effect of clearance on reaction forces

2.3
Dynamic Bearing Rotor Model (DBRM)
Figure 6 depicts a schematic representation of the bearing rotor system as represented by the
DBRM.

Figure 6: Dynamic Bearing Rotor Model

In this investigation, the DBM and damper model were used to determine the bearing response
which was passed on to the flexible rotor dynamic model (FRM). The rotor model is an implicit
solution and the ODE is solved for each steady state step.

Figure 7: 26 Node Dynamic Bearing Rotor Model

The shaft and the two wheels are modeled by the FRM and each angular contact bearing is
modeled by a DBM. Interface nodes are established at points where the bearing supports on
the rotor. These nodes are made coincident with the bearing inner race center of gravity. Thus
the dynamic response is passed from one model to other. Figure 6 depicts these interface point
interactions as two headed arrows indicating that the exchange of dynamic response occurs
from both the sides, namely, DBM and the rotor model. The two bearings have a single piece
outer race. Therefore, the outer races of the two DBMs, each representing one of the bearing,
are rigidly linked to each other. Figure 6 illustrates these linkages shown as lines. Finally the
single piece outer race of the DBMs is attached to the ground through a spring-damper
arrangement representing the squeeze film damper.
Also, to include the effects of the anti-rotation pin, all outer race rotational degrees of freedom
were constrained to be fixed. The two models, DBM and FRM, run parallel, communicating with
each other at each time step. Any motion and/or forces due to turbocharger rotor flexibility
affects the dynamics of all the bearing components and similarly dynamic response of bearing
components affect the dynamics of the entire turbocharger bearing rotor system.
3

ADDITIONAL RESULTS AND OBSERVATIONS

3.1
Model Interaction Study
To allow for the union of an explicit Bearing model with an implicit rotor model, three different
methods were used.
In the first method the REB stiffness was evaluated using the DBM. The model was subjected
to a varying IR motion and the reaction forces from the model were compiled to determine the
stiffness matric of the bearing. This matrix can be used as support stiffness for any
rotordynamic model of choice to investigate the turbocharger rotordynamics in presence of the
REB. The table shows the matrix for a turbocharger bearing.
Table 2: Bearing Stiffness matrix
Bearing

Compressor

Turbine

Direction

Bearing Stiffness

Fx

1.66E+06

-5.64E-07

2.86E-06

-9.62E-09

-1.23E+04

Fy

-5.60E-07

1.66E+06

2.47E-06

1.23E+04

9.60E-09

Fz

2.86E-06

2.46E-06

1.43E+06

1.79E-08

-2.88E-08

Myz

-9.43E-09

1.23E+04

1.79E-08

1.13E+02

1.03E-10

Mzx

-1.23E+04

9.52E-09

-2.88E-08

1.03E-10

1.13E+02

Fx

1.67E+06

2.38E-06

3.71E-06

1.82E-08

-1.24E+04

Fy

2.37E-06

1.67E+06

-1.05E-05

1.24E+04

-1.82E-08

Fz

3.70E-06

-1.05E-05

1.43E+06

-7.48E-08

-3.58E-08

Myz

1.82E-08

1.24E+04

-7.48E-08

1.13E+02

-1.69E-10

Mzx

-1.24E+04

-1.82E-08

-3.59E-08

-1.70E-10

1.13E+02

This is a simple and efficient approach to be incorporated in any rotordynamic model. However,
this method oversimplifies the REB and ignores the internal dynamics and instabilities of the
REBs. The results from this method are nonetheless useful to analyze basic steady state
dynamics. Comparison with other methods shows that the basic dynamics can be evaluated to
acceptable accuracy.
In the second method, the model was used with a quasi-static approach model. The
rotordynamic model is implicit and passes on the node state to the bearing model. The explicit
DBM model is ramped up to the state and allowed to reach a steady state. The forces and
displacements are passed back to the rotor model and the simulation continues. This method
does not completely account for the past dynamics of the system but offers an REB solution
that is analogues to journal bearing models. This method produces stable solutions and
accounts for bearing internal dynamic response. However, the simulation resources and time
required are significant.
In the third method the DBM was run in parallel to the rotordynamic model. Each time the rotor
model passes on the states of the node, the past REB state is used as the starting point and the
DBM explicit model is ramped on from the old node state to the new one. This allows for
including the transient effects in the model. Rotor transients have a significant effect on
bearings dynamics. However, these models do have the possibility of diverging solutions in
rotordynamic models.
The results for each of these methods will be compared against each other and evaluated for a
range of imbalances. The imbalance affects the rotordynamics as well as has a significant
effect on the bearing dynamics.
3.2
Preloading
Angular contact bearing are commonly preloaded, however, Hagiu (35) has demonstrated that
wrong preloading will cause considerable reduction in bearing life. Figure 8 shows ball loads for
two DBRM conditions, one which has preloading and one without preloading. Both of these
cases are operating at the speed of 50000 rpm with 10 gm-mm imbalance. Please note the
increased force fluctuation for the case of unloaded bearing. The results also demonstrate that
occasionally the ball-race load becomes zero indicting loss of ball-race contact. The loss of load
between the ball and inner race can cause ball sliding and skidding. The results demonstrate
the significant effect of wrong bearing preloading in turbocharger. It is also to be noted that
excessive preloading can lead to premature fatigue failure of the bearing. The effects of these
bearing instability is examined on the turbocharger

Figure 8: Unloaded vs Preloaded Bearing Forces

3.3
Bearing Defects
REB component configuration is of the planetary type with IR being the sun and the rolling
elements being the planets. The rolling elements roll over the IR as well as the OR and drive
the cage at the same time. Due to continuous but periodic nature of this interaction, a defect on
any of the bearing components results in periodic excitation in the system.
Ball Defect Frequency = (Pd/(2*Bd)) * (N/60) * (1 (Bd/Pd*cos)^2)
Cage defect frequency = N/120 * (1 Bd/Pd*cos)
OR defect frequency = Nb/2 * (N/60) * (1 (Bd/Pd*cos))
IR defect frequency = Nb/2 * (N/60) * (1 + (Bd/Pd*cos))
Where, Pd = Pitch Diameter, Bd = Ball Diameter, Nb = Number of Balls, N = Speed, = contact
angle of the angular contact bearing.
These equations provide a good guidance; however, they ignore the 3D nature of the bearings.
i.e. there is no guarantee that the ball will pass over the defect each time. The ball track may be
wide and might miss the defect in a periodic manner. Thus, a defect was introduced in the DBM
using the defect models by Ashtekar et al. (19,20) and their effects on the rotordynamics were
observed. This allows for a realistic simulation of the defects and their effects on turbocharger.
4

SUMMARY AND CONCLUSIONS

Investigation into replacing journal bearings of a high speed turbocharger with hybrid ceramic
ball bearings requires a detailed analytical model of bearing rotor dynamics. For the analytical
investigation rolling element bearing demands significant speed and accuracy of contact force
calculations. An analytical model that meets these demands has been developed. A coupled
dynamic model was developed for the ball bearing rotor systems. The model combines a
discrete element bearing model and a flexible rotor model. A squeeze film iterative model was
also developed to model the squeeze film dampers required to counter the high stiffness of the
REB. The analytical model was used to investigate the different approaches to model the REB
into the system. The model differences were highlighted under imbalance conditions to

demonstrate the dynamics ignored by simplified REB models. The model was also used to
demonstrate the effects of preloading on the turbocharger dynamics. The analytical model was
also used to gain knowledge of effects of the REB defects on turbocharger dynamics.
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