The Vibrational Behavior of a Turbine Rotor

B. GRABOWSKI Containing a Transverse Crack

Universitat Hannover,
Institutfiir Mechanik,
Hannover,
Federal Republic of Germany
A modal formulation is used to investigate the vibrational behavior of flexible single or
coupled rotors containing a transverse crack. A theoretical model has been developed to
simulate the crack mechanism. The transformed time variable system is numerically
integrated. The modal analysis shows particularly the strong dependence of the vibra-
tional behavior on the crack position. The vibrations, excited by the crack, are in-
dependent of the unbalance.

Introduction
The purpose of these investigations concerning the vibrational
behavior of a transverse cracked turbine rotor is to determine
whether and in what manner a crack can be recognized by meas-
uring the shaft vibration so that large consecutive damage can
be prevented.
In recent years an abnormal increase in shaft vibration ampli-
tudes was frequently noticed, where later on cracks were dis-
tp = 0 10 = 15 ip = 45
covered. However, Henry and Okah-Avae [1] do also present
cases, in which deep cracks have been found without any change
in vibration amplitudes. Therefore, the problem is to determine
the influence of a crack on changes in the vibrational behavior of
shafts. Apart from field experience, this is only possible by
analytical investigation or by extensive model tests. For this, a
mathematical model and a few principal results will be presented.
For calculating the vibrational behavior of a turbine rotor
with a cracked cross-section, the rotor as well as the crack mecha-
nism have to be simulated by a suitable model. The crack area
opens and closes due to self-weight bending as the shaft rotates. ip=60 if) = 90 lp =135
This is called a "breathing" crack. Theoretically, a permanently
"gaping" crack can be taken into account by assuming an oval Fig. 1 Crack model cross-sections showing rotation angle-dependent
stressed regions (shaded areas)
shaft cross-section [2].
For modelling a breathing crack a spring-mounted hinge has
been assumed by some authors [3, 4, 5]. The opening and closing model, one is confronted with a large number of unknowns involv-
characteristic depends on the self-weight deflection as well as on ing considerable numerical work. Therefore the concept of modal
the bending vibration itself. In these papers the rotor is simulated analysis was chosen [6, 7, 8] to reduce the number of degrees
by a Laval model. of freedom. In a similar way Mayes [9] investigates the crack
The applicability of this simple model is restricted to the range propagation in rotating shafts.
of the running speed, which, as a rule, lies below the first critical
speed. The simulation is very crude for a real turbine rotor. How- Crack Model
ever, in order to recognize a crack, first of all the changes of the
vibrational behavior during normal speed have to be taken into For a location above the horizontal diameter, the crack is
account. The drive-up and drive-down offer an additional cri- subjected to only compression and the entire cross-section is
terion. ' supporting. When further rotated, a part of the crack area opens.
In the equations of motion for a rotor with a crack, the change A model according to Fig. 1 was selected to present this gradual
in stiffness depending on the angle of rotation leads to time de- change. At the angle of <p = 90 the complete opening of the
pendent coefficients. The equations can only be solved by numer- crack is assumed. Thus in the range between <p = 90 and
ical integration. For a rotor model more realistic than the Laval (p = 270 the simple model for the complete gaping crack is
taken as valid.
The main axes of the second moments of area on the crack
position are not fixed to the body anymore. However, this fact
Contributed by the Vibrations Committee and presented at the Design will have no influence on the following numerical calculation,
Engineering Technical Conference, St. Louis, Mo., Sept. 10-12, 1979 of the
AMERICAN SOCIETY OP MECHANICAL ENGINEERS. Manuscript received at ASME since space-fixed coordinates will be used anyway because of the
Headquarters June 7, 1979. Paper No. 79-DET-67. non-conservative sleeve bearings. The second moments of area

140/ Vol. 102, JANUARY 1980 Transactions of the ASME

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 -.8-

-.9-
- a = 90'
-1.0-
Fig. 2 Simulation of the decreased cross-section at the open crack
location
-1.1- \
along the vertical and horizontal axes and the deviation moment /7/S\ I
are needed. 1\ T

With the opened crack the change in stiffness along the axis
of the rotor does not jump, but the change is continuous. Buerhop
[10] examined the effects of such cross-sections in more detail
and has come to the conclusion that the 45 approximation
(wedge angle a = 90) which has been applied up to now, is
sufficient. In order to simplify the mathematical model, the
wedge-shaped cut-out in Fig. 2 will be approximately replaced
by a square cut with L T.
A clear picture of the stiffness depending on the angle of rota-
tion can be obtained when observing the static deflection of the
cracked shaft due to its self-weight during a rotation. The shaft
in Fig. 3 can be assumed as a simple model for a large turbine
rotor because of its dimension size.
Where a constant gaping crack is concerned, the shaft would
move on a circular orbit twice per revolution. Where a breathing
crack is concerned, the shaft moves only once on an onion-shaped
orbit. The curves of deflection in Fig. 3 are in good agreement
with the measuring results of Ziebarth et. al. [11]. The points
of discontinuity caused by the assumed sudden opening of the
crack at <p = 90 or <p = 270 have practically no influence on
the vibrational behavior.
As already mentioned, some authors assume that the opening
and closing of the crack in addition to the deflection due to the
self-weight of the rotor also depends on the vibration amplitudes.
The mean static shaft deflection in Fig. 3 amounts to about 1 mm
in the shaft center. This is nearly the same for a large turbine
rotor. At the running speed vibration amplitudes of approx. 50
jum can be assumed. In other words, a factor of approx. 20 is
achieved. In this case, surely no influence of the vibration on the
opening and closing of the crack will occur. Even at the critical
speed, when amplitudes of up to approx. 250 fim are assumed,
such an influence will remain small. That means, however, that
practically no relation exists between size and position of the
out-of-balance and the vibration caused by a crack.
Analysis
The mathematical model for a real rotor with cracked cross-
ifpT
-1.2- j Crack depth =
D
\ \
-1.3-
180.0 270.0 360.0
Angle of rotation ip [degree]
270!0 360,0
Angle ot rotation ip [ degreel
Fig. 3 Self-weight deflection at shaft center for a "breathing" crack
of 50 percent depth
section is a system of differential equations with time dependent
coefficients. An exact solution is not possible. The vibrational
behavior can, however, be calculated by means of numerical
integration. For a large system, this kind of procedure for digital
calculation takes a lot of time. Therefore, the rotor will be trans-
formed on its first few eigenfunctions. There are applied approxi-
mately the eigenfunctions V{x) and W{x) of the conservative
system for the vertical and the horizontal plane.
The range of the local change of stiffness due to a crack covers
the length L. A medium stiffness between open and closed crack
will be taken approximately for the calculation of the eigenfunc-
tions in this region. This is necessary for the consideration of
the major curvature at the crack position, compared with the
uncracked shaft.
The deflections in the vertical direction y{x, t) and in the hori-
zontal direction z(x, t) will be composed by the first few eigen-
functions weighted with the generalized time dependent coordi-
nates q(t), as follows

' I'JUMICIIl.lCllMIC

rotating coordinate sys- moment of inertia of shaft

A = cross-sectional area of shaft tem I + A/, second moments of area at
b = support damping coefficient E = Young's modulus In + &I, crack position, depending
B = support damping matrix ft/! J' = external force due to un- h . = / on angle of rotation ip
cm = constant part of modal stiff- balance k support stiffness coefficient
ness matrix F = modal matrix of unbalance K support stiffness matrix
AC() = time dependent part of force I length of shaft
modal stiffness matrix Q = gravitational constant L range of crack extension
d. = external damping coeffi- g = modal vector of self-weight along the axis of the shaft
cient load Mv, At, bending moment
dt = internal damping coeffi- G = shear modulus M modal mass matrix,
cient i = radius of mass moment of onal
D = modal damping matrix inertia Qv, ? modal coordinate
e
*< et = radius of unbalance in I = cross-sectional transverse Ry, RZ bearing reaction force

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 massless
YIMM] d = 200 mm 11000 kg unbalance
position

-0.495 \ f1 lr eccentricity : 10 (im

-2000mm-
s"\ "~\
1 \
r\
\ \
\ \ 30
-0.500 \
J 1 \ ^
y - vertical
z - horizontal

-0,505
N
\3" 1

V&/
/ \
y
/
5 20 -

J 10
-

V.A/
yz
-0,100 -0,075 -0,050 -0,025
Z[MM) '0 10 20 30 40 50 10 20 30 40 50
Fig. 4 Shaft vibration orbit and the first harmonic components near Crack depth [%] Crack depth [ %]
an end bearing, LP turbine rotor, crack depth 40 percent, rotational
speed n = 2na Fig. 6 Vibration amplitudes of a LAVAL-rotor with a crack at the shaft
center, n = 1.5 nc

be separated and we obtain

Mq + Dq+ [Cm + &C(t)] q = F(t) + g (4)

A Runge-Kutta-Fehlberg procedure of 5th order with constant

step-size [12] which proved to be very exact for the necessary
computing time, will be used by the numerical integration for the
calculation of the instationary vibrational behavior. The neces-
2 n c . Shaft speed sary initial values will be taken from the stationary solution of
the equation (4) without the term AC(t). The time variable
Fig. 5 Amplitude of vibration for a turbine rotor (uncracked and
cracked conditons)
system has a stationary periodic solution.
After the retransformation according to equations (1) and (2)
the deflection of the entire rotor which depends on the angle of
(1) rotation is obtained. The first harmonics (Fig. 4) for certain posi-
y(x,t) = y-fcOetavibCO tions on the rotor can be determined by means of Fourier analysis.
t-i
L
z(x, t) = Zot(x)q,,(t) Numerical Results
(2)
The parameter excitation as a result of the breathing crack
causes mainly once/revolution (fi) and twice/revolution (2Q)
The transformation yields a system of if + L coupled equations vibrations. Both are independent of an existing out-of-balance.
of motion for the generalized coordinates q(t) which is The amplitudes of the higher frequency vibrations are very small.
Mq + Dq + C{t) q = F(t) + g (3)
A gaping crack causes exclusively twice/revolution vibrations.
According to calculations of the author Fig. 5 illustrates the
M, D and C can be considered as mass matrix, damping matrix principle form of the curve of the vibration amplitude close to a
and stiffness matrix. On the right-hand side the function F(t) bearing of a large LP turbine. As a result of the crack, the critical
includes the out-of-balance distribution, while g contains the speed of the once/revolution vibrations is reduced to smaller
self-weight load. values and as a rule the amplitudes increase. The original ampli-
The time dependent elements in the stiffness matrix C(t) can tudes can, however, also become smaller in the case of an opposite

-Nomenclature (cont.)-
Indexes and Subscripts
S =
rectangular rotation matrix shear deformation e = external
T =
crack depth r, r , = eigenfunction for shear de- i = internal
T =
transformation matrix formation k,K, I, L = number of eigenfunctions in
u =
vector of displacements & = unit delta function calculation
n,N = bearing number
v, VToz =
eigenfunction matrix
=
shear force
K = cross-sectional shape factor
for shear deformation of 0 = eigenfunction
x =
coordinate along rotor axis shaft r, R = eigenfunction number
xcl, Xer =
left and right boundary of H = shaft mass per unit length V = y direction
the crack length L <p angle of rotation z = z direction
y, z = radial displacement <Pv, <f>i = angular displacement d
F0, Z<s = eigenfunction for radial dis- 4>vo, 0io = eigenfunction for angular C) = dt
placement displacement d
Y> 7* = angular displacement of U = angular speed of rotation (') dx

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 creek

= ^ TJ
eccentricity : 10 pirn

10 20 30 40 50 0 10 20 30 40 50 0 10 20 30 40 50

10 20 30 40 50 10 20 30 40 50 10 20 30 40 50
Crack depth [%] Crack depth [%>] Crack depth [%>]
Fig. 7 Vibration amplitudes at normal speed for a cracked LP turbine
rotor supported on oil film bearings

l7/I Iy/l0

10.0 20.0 30.0 0.0 50.0 20.0 30.0 0.0 50.0

Crack depth [%] Crack depth [%]

Fig. 8 First harmonic components of the normalized second mo-

ments of area, 1,110 and ///, for the crack model (l: uncracked shaft)

phase position between the out-of-balance vibration and the a lot on the crack position, but most of all, it depends on the
vibration caused by the crack. crack position which is relative to the excited eigenfunction.
In each of the half speeds of the resonance points of the once/ Where a symmetrical rotor is concerned with a crack in its center,
revolution vibrations, new resonance points with twice/revolution the second twice/revolution resonance point would completely
vibrations arises. This effect is known from generators in which disappear because the second eigenfunction in the shaft center
their running speed is near the half of the second critical speed. would show no curvature.
As a result of the rotor which is not round, the twice/revolution The vibration amplitudes are at the largest when the shaft is
vibrations can cause a nonsmooth run. cracked on a position which shows the largest curvature of an
Generally, the size of the vibration caused by the crack depends eigenfunction. This is the same for the once/revolution as well

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 1,2,3,4 : Eigenmodes
( vertical - y and horizontal-z )
'normalized to first
eigenmode value at
rotor midspan
o
>
20 30 40
Crack depth [7.
Fig. 9 Curvature change at the crack location for the LP turbine rotor
-Ref. Fig. 8
as for the twice/revolution vibrations. The Laval model is suit-
able approximately for the range up to almost the nci in Fig. 5,
however, only for a crack located about in the center of the shaft.
For the range around n = 2nci in which the running speed of
turbine rotors as a rule is represented, own calculations for a
Laval model supply very small twice/revolution vibration am-
plitudes (Fig. 6) which would be practically immeasurable even
in the rotor center. On the other hand, the once/revolution
vibration amplitudes show an evident rise with the increasing
depth of the crack.
The influence of the crack on vibrational behavior of a real
turbine rotor can vary extensively. The size of the excited
vibration amplitudes depends mainly on the following four
factors:
a size of the weight influence gk in equation (4); for a single
eigenfunction we obtain
9k = gn(x)Yk(x)dx (5)
/.
with the shaft weight/unit length n{x). The value gk is
practically identical to the corresponding out-of-balance
value of a constant eccentricity along the length of the
rotor.
b size of the term AC(J) which depends on the angle of rota-
tion in equation (4). For a single eigenfunction the corre-
sponding component is determined not only by the depth
of a crack, but also by the curvature of an eigenfunction.
The position of the crack plays the most important part
here.
c for the once/revolution vibration, the distance between the
critical speeds and the running speed.
<7 twice/revolution vibrations are important at the running
speeds that are approximately one half the critical speeds.
An example for the vibration amplitudes of a LP turbine rotor
at running speed is shown in Fig. 7. The crack was assumed to
be located near the rotor center. If the once/revolution vibration
should have almost the same phase relationship due to out-of-
balance and crack, then the amplitudes add up as is the case for
example on the right bearing. If the vibrations are oppositely
phased, then the original amplitude as a result of the out-of-
balance will be smaller at first. At larger crack depths, finally
144/Vol. 102, JANUARY 1980
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2900 3000
Shaft speed [rev/min]
Fig. 10 Vibration amplitudes of a coupled two-rotor system with a
30 percent depth crack
the vibrations caused by the crack will be dominant. Thus, the
vibration amplitude can also be smaller at first, along with in-
creasing depth of the crack.
The twice/revolution excitation concerns above all the second
eigenfunction. Therefore only relatively small amplitudes occur
in the rotor center. On the other hand, near the bearings the
amplitudes are up to crack depths of 40 percent larger than those
of the once/revolution vibration.
The cause for the maximum at a crack depth of 40 percent
becomes apparent when the second moments of area which
depend on the crack depth undergo a Fourier analysis. The
first harmonic parts of the second moments of area I, and /
along the horizontal and vertical axes are shown in Fig. 8. The
once/revolution parts show a progressive increase as a function
of the crack depth. On the other hand, the twice/revolution parts
have a definite maximum at approximately 35 percent or 45
percent crack depth. However, this effect is overlapped by the
curvature change of the eigenfunctions on the crack position
(Fig. 9).
Since the number of the degrees of freedom can be severely
reduced by means of the modal analysis, it is possible to even
calculate the vibrational behavior of trains of rotors. Fig. 10
shows an example for a LP rotor which is coupled with a genera-
tor. In this case eight eigenfunctions were needed, four in each
plane. The plotted once/revolution vibration amplitudes are
positioned near the left bearing of the turbine, while the crack is
located near the right end of the generator shaft. Such a be-
havior - large amplitudes on positions which are far from the
crack - has even been observed by cracks on existing turbine
plants. Although at the calculation only a crack depth of 30
percent was assumed, the excited amplitudes are very large. The
calculation occurs without out-of-balance.
Even the twice/revolution vibrations have a resonance point
at the running speed of approximately 2750 rev/min. However,
only amplitudes of maximal 3 /mi occur.
Deviating from the examples here in which a crack could be
detected through the increase of the shaft vibration amplitudes,
there are also a few calculated results whereby up to a crack
depth of 50 percent as well as the once/revolution as well as the
twice/revolution amplitudes remain very small.
Transactions of the ASME
 Fig. 11 Rotor model and coordinate system

Conclusion
To detect a crack in a turbine rotor by means of the shaft Fig. 12 Sign convention for space fixed coordinate system
vibration monitoring, the influence of the crack on the vibrational
behavior has to be investigated first. For this purpose, a pro-
cedure is introduced which uses the modal analysis. The stiffness Calculating the eigenf unctions of equation (8), the damping
at the crack position depending on the angle of rotation will be matrix B and the couphng elements of the stiffness matrix
determined according to model. Due to the structure of the com- K, kyz and kzy, are neglected. In this calculation a lumped-para-
puter program, the stiffness can also be obtained from test data. meter approach is employed. Near the crack a symmetric average
The numerical results show t h a t in the speed range in which stiffness is assumed (Fig. 2). Therefore each crack depth and
many turbine plants have their normal speed, a crack can cause each crack position requires a new calculation of eigenfunctions.
an important change of the shaft vibrations. The crack excites The solution provides two sets of R real eigenfunctions for the
mainly once/revolution and twice/revolution vibrations, which rotor displacements
are independent of the size and position of the out-of-balance.
Both can be used for crack detection. The size of vibration am- Y0 ~ [Y o\, Y ol i OT . YoR]
plitudes depends, however, mainly on the construction of the (11)
Zo " [Z0l, ZQ2 A or ZR }
rotor and on the crack position.
and the angular displacements
APPENDIX <l>Vo = [01/01, < / W <t>vr <t>VR

The rotor displacements are described in two mutually per- (12)

<t>* = [4>'oi, <!>'<,* <*or 4>*oR
pendicular directions y and z with corresponding angular dis-
placements <pv and (pz. They are functions of the coordinate x The modal solution of the transient response of equation (8) is
along the rotor axis. The rotor is supported at N stations b y of the form
journal bearings. Each bearing is represented by a set of stiffness
and damping coefficients such that the bearing reaction can be y(x, t) = Yo(x) qy(t)
written as
(13)
z(x, t) = Z0(x) q,(t)

[ R "I = _ 'kyV Kzl

fc
VV 1 [byy byll V f
(6)
The components are rearranged in matrix form

u(x, t) =
y{x, t) 1
(14)
Rz J n L* J \-z J " \j>'V b
J L2_ z(x, t) J
Rn = KUn BUn (7)
5,(0 "1
9(0 = (15)
The equations of motion for a differential element of the rotor are
. 9.(0 J
m- v + i -*>(*+4)1:] I (8) " Y(x) O '
H& - TV"-1 and U 0(x) = (16)
_ O Z0(x) _
H&$y + 2$2/V. + V' - My' = 0
Then equation (13) becomes
2 2
/xi ipz 2Qjj,i ^>y Vv - M,' = 0
u{x, t) = U,(x) q(t) (17)
where/() a n d / 2 ( i ) are external forces due to the unbalance and
and it follows similarly for the angular displacements
fxg the shaft weight per unit length.
The deformation equations for the shaft are the conventional <p(x, t) = $ 0 ( x ) q(l) (18)
beam equations
Additionally, the shear deformation y (x, t) is required
Vy
<P* My = EIipJ (9) y(x, t) = r(aO q(t) = [SUQ'(x) - *(x)]<?() (19)
KOA'

VJ_
r o (20)
(10) with r0 =
<Pv + M. = EI<p.'
KOA' o

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 at the crack has to be considered. In the range L (Fig. 2) the
and S (21) second moments of area are
.1 o J
For the modal transformation of equation (8) the complete bear- Im + AIV(<P), Im + AI,(<P), Iy.(<f>) = Ity{ip) (26)
ing matrices K and B are used. External and internal damping These functions are directly stored and during the numerical
is included as well. The results are 2R completely coupled ordi- integration the time dependent part AC(t) of the stiffness matrix
nary differential equations in terms of the modal coefficients qv(t) is recalculated for every time step as follows
and qz(t)
Mq + Dq + Cmq = F(t) + g (22) AC(t) E$0ITAl(.<p)$0x dx (27)
In calculations only the first K eigenfunctions in the y, z-plane
and L eigenfunctions in the z, *-plane are used. So, the mass with
matrix, the damping matrix and the stiffness matrix have the _ r AIU i
size (K + L)(K + L). AIM (28)
The matrices are defined by
The final results are K + L linear differential equations given by
M = ,TU, + ;uW<i>0] dx equation (4)
D
- / >
Mq + Dq+ [C, + AC(t)]q = F(t) + g.

References
T T 1 Henry, T. A., and Okah-Avae, B. E., "Vibrations in
+ GnAd<To Tt, + EImd&' $'] dx +
Cracked Shafts," Conference on Vibrations in Rotating Machinery,
+ L U0T(x)BUo(xn) (23) University of Cambridge, Sept. 1976, pp. 15-19.
2 Tondl, A., "The Effect of Unequal Moments of Inertia of
the Shaft Section on the Motion and Stability of a Rotor," Some
Problems of Rotor Dynamics, 1st ed., Chapman & Hall, London,
1965, pp. 70-113.
-/} 3 Mayes, I. W., and Davies, W. G. R., "The Vibrational
Behaviour of a Rotating Shaft System Containing a Transverse
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+ GKA (ivr, - di o r.^sr.)] dx + versity of Cambridge, Sept. 1976, pp. 53-64.
4 Gasch, A., "Dynamisches Verhalten des Lavallaufers mit
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N 5 Meyer, J., "UntersuchungdesSchwingungsverhaltens einer
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berichte, Reihe 11, No. 25, 1976.
8 Black, H. F., "Calculation of Forced Whirling and Stabil-
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(24) 9 Mayes, I. W., "Crack Propagation in Rotating Shafts,"
ASME Paper 77-DET-164, presented at the Design Engineering
Technical Conference, Chicago, Illinois, Sept. 26-30, 1977.
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abgesetzter Stabe und Wellen unter Anwendung von finiten
<p = Sit Elementen," VDI-Fortschrittsberickte, Reihe 1, No. 36, 1975.
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L sin Oi cos fli J Rotoren," VDI-Berichte 320, 1978, pp. 37-43.
12 Fehlberg, E., "Neue genauere Runge-Kutta-Formeln fur
Differentialgleichungen zweiter Ordnung bzw. n-ter Ordnung,"
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