The following article was published in ASHRAE Journal, February 2008.

Copyright 2008 American Society of Heating, Refrigerating and AirConditioning Engineers, Inc. It is presented for educational purposes only. This article may not be copied and/or distributed electronically or in
paper form without permission of ASHRAE.

Fan Vibration
Specifications
By Michael DiGiovanni, and Thomas R. Spearman, P.E., Member ASHRAE

ngineers specifying allowable fan vibration levels are challenged

to balance the need for lower initial equipment cost with the

need for higher equipment reliability. This is especially important

in critical applications. This article is a case study of a multiyear
process that addressed the balancing of these competing needs as
they related to critical pharmaceutical cleanroom applications. The
knowledge obtained is transferable to other critical applications.
This case study shares the problems encountered with air-handling units (AHUs)
in an existing parenteral (injectable) pharmaceutical facility. The ensuing repairs required the efforts of cross-functional teams
comprised of skilled vibration specialists,
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ASHRAE Journal

craftspeople, technicians, and engineers

both internal and external to the firm. The
result was more reliable equipment and
increased understanding of fan, AHU, and
vibration specification requirements. The
specification requirements were incorpo-

rated into master specifications, improving

the overall performance and reliability
of air-handling equipment critical to the
operation of the facility.
HVAC and Cleanrooms

Cleanrooms are used in pharmaceutical

parenteral product facilities to provide
a controlled environment suitable for
manufacturing parenteral medicines. The
control of viable and non-viable particles
is critical to preventing contamination.
The HVAC system is a key item in obtaining the controlled environment by diluting and purging particles from the cleanroom. The HVAC system also provides a
pressure cascade between the cleanroom
About the Authors
Michael DiGiovanni is a team leader and Thomas
R. Spearman, P.E., is an associate engineering consultant at Eli Lilly and Company in Indianapolis.

a s h r a e . o r g

February 2008

and adjacent spaces, preventing contaminants from entering the

cleanroom. Fans in the HVAC system provide the motive force
for dilution, purging and pressurization. Failure of the fan will
cause an immediate interruption in manufacturing, as well as
costly product loss. Prior to the resumption of manufacturing,
multiple time-consuming cleanroom sanitizations are required.
Fan failure usually will disrupt manufacturing operations for
24 to 48 hours, depending on the duration of the downtime and
whether the event is controlled or catastrophic.
History

During factory acceptance testing (FAT) in December 2003,

some testing indicated problems with equipment resonance.
One fan on each AHU was unable to meet the vibration criteria, and the root cause was undetermined. Due to scheduling
constraints, the units were allowed to ship with the intent to test
and repair them on site.
Over the next few months in collaboration with the air handler manufacturer and the fan manufacturer, the source of the
vibration problems with these fans was intensely investigated.
After installation, each AHU will support between 20% and
25% of the parenteral facilities total production area. Their
performance will be critical to the operation of the manufacturing facility.
The investigation revealed that at various speeds, the fans
were exciting resonance frequencies in the fan shafts, thus
causing higher vibration loads at the fan bearings. To shift the
resonance frequency away from potential operating speeds, the
fan shafts and wheels were replaced with stronger shafts and
lighter wheels.
With this issue resolved and construction complete, the project moved into a start-up and return-to-service phase. Early in
the start-up phase, the fans began to fail due to problems with

The parenteral facility experienced several catastrophic

bearing failures on two existing air-handling systems in 2003.
These events resulted in the destruction of the fan shaft and
required an evacuation of the facility in response to smoke
and fire alarms.
Follow-up investigations revealed critical design factors that
directly affected the performance of the units, including the
use of roller bearings, as opposed to spherical ball bearings,
the installation of locking collars at both ends of the shafts or
at one end, and lubrication selection based on the temperature
of the unit.
The facility uses belt-driven fans with motors
mounted on an integral base. Prior to the 2003
events, each fan bearing and motor bearing had
Frame resonance caused the fan and motor
one vibration monitoring sensor in the radial direction. Our follow-up investigation recommended a
number of additional monitoring points be added
shafts to deflect in opposite directions during
including:
A second radial vibration monitoring point,
operation, causing the belts to repeatedly go
perpendicular to existing radial vibration
monitoring point;
Axial vibration monitoring; and
into tension and then relax.
Temperature monitoring.
These additional monitoring points provided
insight into the performance of the existing units
and a basis for developing a technical understanding of the belt slippage. Over a number of weeks, this problem occurred
data being generated. As a result, potential failures could be repeatedly on both units.
detected more easily and better root causes could be identified
Another investigation was performed to resolve the belt probmore effectively.
lems. The investigation identified a number of critical points
Two new adjustable speed drive (ASD) air-handling units related to belt-driven systems. They included strict adherence to
were purchased in the fall of 2003 for installation in early tensioning specifications identified by the manufacturer using
2004 as part of a major facility renovation. Each AHU included proper tensioning tools, allowing for runtime and re-tensioning
supply and return fans. The existing AHUs were more than 25 after installation, proper belt quantities based on load, sheave
years old and were nearing the end of the equipments useful wear specifications and acceptance criteria, and the implemenlife. With knowledge gained from previous experiences, plant tation of an appropriate monitoring program to determine if
engineering worked with corporate engineering to modify slippage was occurring.
the corporate master specifications for this equipment type.
A major learning point was the criticality of the fan base deThe primary changes included adding vibration monitoring sign to the fan operation. Using a modal analysis of the fan base,
along two axes for each bearing, and the ability to record these it was determined that the fans were again exciting resonance
values at multiple speeds, since operating speeds for the ASD frequencies, this time in the fan base. Frame resonance caused
fans could not be finalized until testing and balancing were the fan and motor shafts to deflect in opposite directions during
completed. The tolerances and acceptance criteria for vibration operation, causing the belts to repeatedly go into tension and
levels were also tightened. This information was included in then relax. This caused tremendous belt wear in a short period
the specification sent for bid.
of time, ultimately resulting in premature belt failure.
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15

Clean Pressure Drop

in. w.c. (Pa)

Filter Type3

Dirty Pressure Drop

in. w.c. (Pa)

MERV 7

0.3 (75)

1.0 (250)

MERV 13

0.5 (125)

1.2 (300)

MERV 17

1.4 (350)

2.8 (700)

Total

2.2 (550)

5.0 (1250)

Table 1: Typical filter pressure drops.

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Due to critical production needs,

the systems were put into service even
with this known issue. Belts were overtensioned to compensate for the problem,
critical speeds were locked out of the
ASD to reduce the level of excitation, and
monitoring programs were increased to
predict failures early and plan for replacements. While the belt over-tensioning
helped the equipment limp through this
time period, it also overloaded the bearings and resulted in premature bearing
failure 18 months later.
Over the next few months, additional
failures were experienced. Many other
problems were detected before they occurred, and were effectively addressed
without seriously impacting production.
The process of designing and fabricating
new bases for these fans was also started.
The new integral fan/motor bases were
designed to ensure resonance frequencies were outside the operating range of
the fans. The new bases were installed
in spring 2005 and have resulted in a
significant improvement in overall performance.
Over the last five years, nine new
AHUs have been installed in this parenteral facility. Most units serve production
areas. Others serve warehouse and office
space. The new units and the existing systems they replaced have been tremendous
resources for information and learning.
Much of this learning has been incorporated into corporate master specifications
and maintenance practices, resulting
in major improvements in the start-up
performance of new units and improved
reliability of existing ones.
Specifications

Many ways exist to organize specification requirements. This case study

16

chose to organize the corporate master

specifications into the following groups
AHU specifications; fan specifications;
and vibration specifications.
Requirements in fan and vibration
master specifications were divided into
two categories: business critical and
business non-critical. These terms were
selected to reduce confusion with other
definitions of critical. In pharmaceutical manufacturing, the term critical
identifies system components that have a
direct impact on product safety, identity,
strength, purity, or quality. Cleanrooms,
data centers, and vivariums are examples
of business critical applications within
the pharmaceutical industry.
AHU Specifications

The three AHU master specifications

used by the firm in this case study are
packaged, semi-custom, and custom
AHUs.
The three AHU specifications require
that the fans are furnished in accordance
with the fan specifications. The packaged
AHU specification includes an editing
comment that it is not recommended for
applications with ASDs. The semi-custom
AHU and custom AHU specifications
require that the fan manufacturer furnish
the fan to the air handler manufacturer as
a complete assembly, including the fan,
motor, base, drive, and bearings.
Fan Specifications

The two fan master specifications are

centrifugal HVAC fans and axial HVAC
fans.
For business critical and adjustablespeed applications, the principal flexural
natural frequency of the fan rotors must
be a minimum of 2.15 times the maximum rotational speed of the rotors. For

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February 2008

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business non-critical and constantCriticality

Equipment Size
Rigid Foundation
Flexible Foundation
speed applications, the principal
flexural natural frequency must be
Business
0.12 in./second-peak
0.20 in./second-peak
5 hp to < 20 hp
a minimum of 1.3 times the maxiCritical
(3.1 mm/second-peak)
(5.1 mm/second-peak)
mum rotational speed of the rotors.
Business
0.16 in./second-peak
0.25 in./second-peak
The higher limit for business criti20 hp and above
Critical
(4.1 mm/second-peak)
(6.4 mm/second-peak)
cal applications is used to ensure
Business
0.16 in./second-peak
0.25 in./second-peak
that the second harmonic of the
5 hp to < 20 hp
Non-Critical
(4.1 mm/second-peak)
(6.4 mm/second-peak)
natural frequency is avoided.
To avoid base resonance, the
Business
0.20 in./second-peak
0.30 in./second-peak
20 hp and above
Non-Critical
(5.1 mm/second-peak)
(7.6 mm/second-peak)
natural flexural frequency of the
isolator base must be a minimum Business Non-Critical
0.25 in./second-peak
0.35 in./second-peak
All
of 10% greater than the maximum
Packaged AHUs
(6.4 mm/second-peak)
(8.9 mm/second-peak)
rotational speed of the motor or Table 2: Allowable vibration levels.
fan, whichever is greater. This
does not include the natural frequency associated with the with 60 Hz coinciding with the fan maximum speed. Reducing the
rigid body motion of the isolator base due to deformation of speed range may reduce fan cost since it reduces the probability
the isolator springs. The natural frequency specified is at-rest of a resonant condition existing within the operating range.
ASDs are usually used to compensate for filter loading. The
values, which can be determined by an in-situ impact test.
Fan and motor combinations must meet the vibration limits in specifying engineer should determine the minimum and maxiaccordance with the vibration specification prior to shipment from mum design filter pressure drops and use the fan laws to estabthe AHU manufacturer. Fans with ASDs shall be vibration tested lish the tested rotational speed range. A typical pharmaceutical
throughout the rotational speed ranges indicated on the Fan Data AHU contains a MERV 7 prefilter, MERV 13 intermediate filter,
Sheets. The default range is 40 Hz to 60 Hz of the ASD output, and MERV 17 final HEPA filter.1 If all the filters are rated for
500 fpm (2.54 m/s), Table 1 lists typical
clean and dirty pressure drops for each
filter type. Using the fan law2 shown by
Equation 1 with RPM2 equal to 60 Hz,
the minimum rotational speed RPM1 is
calculated as 40 Hz.

SP1
(1)
RPM 1 = ( RPM 2 )

SP 2
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where
RPM1 = fan minimum rotational
speed in revolutions
per minute or Hz
RPM2 = fan maximum rotational
speed in revolutions per
minute or Hz
SP1 = initial (clean) static pressure in in. w.c.
or (Pa)
SP2 = is the final (dirty) static
pressure in in. w.c.
or (Pa)
For business critical applications, machine surfaces of components that mate
with machined components such as bearing supports or motor slide base must be
machined flat to 0.002 in./ft (0.17 mm/m)
after fabrication.
For business critical applications with
brake horsepower greater than 20 hp, ball

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February 2008

or roller bearings shall have uniform or concentric inner race

attachment to the shaft. Ball or roller bearings with inner race
locking setscrews are unacceptable.
For FATs, mechanical run tests shall consist of operating
the fans at the design rotational speed for a minimum of
15 minutes. Vibration readings shall be obtained and documented during the mechanical run test in accordance with
the vibration specification. The principal flexural natural
frequency of the fan rotor and natural frequency of the
isolator base shall be obtained and verified to be within the
design and performance requirements given here. Fans with
ASDs shall be tested throughout the rotational speed ranges.
Vibration readings shall be obtained and documented in accordance with the vibration specification.
Vibration Specification

The vibration master specification is vibration limits for

rotating equipment.
Vibration data for equipment operation shall be obtained
during FAT at the AHU manufacturers facility prior to shipment. FAT results shall be approved by the owner or owners
representative prior to release for shipment. If it is impossible
to test the equipment at the manufacturers facility, the owner or
owners representative will arrange for site acceptance testing
after installation.
Equipment testing will be performed
by a technically qualified person trained
and experienced in vibration data collection and analysis. Technically qualified
means the person has attended at least
two vibration data collection and analysis courses, and experienced means
the person has more than three years of
vibration analysis experience.
Vibration measurements are obtained
with the equipment at stable operating
speed, load, and temperature. Data is
taken with a spectral resolution of 1.25
Hz or greater to separate the rotating excitation frequencies. The bandwidth covers
at least 65 times the maximum turning
speed of measured component shaft.
Axial readings are taken parallel to
the shaft axis of the equipment as close
to the shaft as possible. Horizontal or
radial readings are taken at a right angle
relative to the shaft at the 3 oclock or 9
oclock position when facing the shaft.
Vertical or radial readings are taken at a
right angle from the horizontal or radial
readings.
For belt-driven fans, the measurement
locations include:
Motor outboard bearing horizontal;
Motor outboard bearing vertical;
February 2008

Motor outboard bearing axial;

Motor inboard bearing horizontal;
Motor inboard bearing vertical;
Fan inboard bearing horizontal;
Fan inboard bearing vertical;
Fan outboard bearing horizontal;
Fan outboard bearing vertical; and
Fan outboard bearing axial.
For fan assemblies, the allowable maximum overall filter-out
vibration levels are given in Table 2. Most fans use an isolator
base with springs which is categorized as a flexible foundation.
For all applications, the frequencies related to bearing faults
and harmonics, generally in the range of 50 Hz to 500 Hz, the
allowable vibration limit is 0.01 in./second-peak (0.254 mm/
second-peak). The bearing fault frequencies or harmonics of
interest are the fundamental train frequency (FTF), ball spin
frequency (BSF), bearing pass frequency outer race (BPFO),
and bearing pass frequency inner race (BPFI).
For equipment using ASDs, start at the minimum operating
speed of the equipment. Begin taking vibration measurements.
Slowly increase the ASD in one Hz increments up to the maximum speed. If the equipment exceeds the acceptable filter-out
vibration limits as listed in Table 2, then complete a full spectrum
analysis at that speed for each required measurement location.

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19

Complete a full spectrum analysis at the maximum speed for the

design operating range at each required measurement location.
Conclusion

Acceptable vibration levels are difficult to balance due to the

competing needs of low cost and high reliability. The engineer
should consider the business criticality of the equipment to
determine this balance. Fans with ASDs are often challenging
due to the changing speeds operating near a component resonant
frequency. Resolution of these issues often requires the efforts
of cross-functional teams; maintenance groups are often an
overlooked valuable resource.
References
1. ISPE. 1999. ISPE Baseline Pharmaceutical Engineering Guide,
Volume 3: Sterile Manufacturing Facilities, p.152. Tampa, Fla.:
International Society of Pharmaceutical Engineers.
2. 2004 ASHRAE HandbookHVAC Systems and Equipment, Chap. 18.
3. ANSI/ASHRAE Standard 52.2-1999, Method of Testing General
Ventilation Air-Cleaning Devices for Removal Efficiency by Particle Size.

Acknowledgments

This article is a summary of a multiyear process to improve

the overall performance and reliability of the air-handling

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equipment critical to the operation of this parenteral facility.

This effort required leadership, support, and commitment from
multiple groups and people during various times in the process.
The problems addressed were complicated, and the investigation
and resolution process was long and intense. We were fortunate
to have support from skilled technical vibration specialists
both internal and external to the company, as well as skilled,
conscientious, dedicated craftsmen, technicians, and engineers
from various parts of the company whose joint efforts enabled
us to overcome these obstacles. Their abilities and desire to
share this learning have contributed to the improvement of the
overall capital delivery process for this company.
The contributions of the following people to the resolution
of these issues and the development of this article are greatly
appreciated:
Jeffrey L. Bradley, Donald R. Bush, Daniel C. Carroll, Beau
P. DArcy, L. Douglas Elam, P.E., Douglas E. Ebert, P.E., Donald R. Moore, P.E., Duane A. Mowrey, P.E., Associate Member
ASHRAE, R. Scott Ronczka, P.E., Phillip M. Sergi, Justin L.
Stahl, David Stoner, Jerry L. Van Blaricum, Sr. at Eli Lilly and
Company; Beverly K. Flick, CREW Technical Services; Dave
Franks, Air Applications; Tim Kuski, Member ASHRAE, Greenheck Fan Corporation; Robert J. Sayer, P.E., Sayer and Associates;
Dick Williamson, Twin City Fan Companies (retired).

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February 2008

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