Yuzhong Cao

e-mail: yzcao@mech.ubc.ca

A General Method for the Modeling of Spindle-Bearing Systems

In this paper we outline a general method that can be used to model spindle assembly, which consists of spindle shaft, angular contact ball bearings and housing. The spindle shaft and housing are modeled as Timoshenkos beam by including the centrifugal force and gyroscopic effects. The bearing is modeled as a standard nonlinear nite element based on Jones bearing model that includes the centrifugal force and gyroscopic effects from the rolling elements of bearings. By applying cutting forces to the spindle for a given preload, the stiffness of the bearings, contact forces on bearing balls, natural frequencies, time history response, and frequency response functions of the spindle assembly can be evaluated. In the paper we provide details of the mathematical model supported by experimental results obtained from an instrumented test spindle. DOI: 10.1115/1.1802311 Keywords: Spindle, Angular Contact Ball Bearing, Rotating Effects, Dynamics, Finite Element Method

Yusuf Altintas
Professor e-mail: altintas@mech.ubc.ca Fellow ASME Department of Mechanical Engineering, University of British Columbia, Vancouver, BC V6T 1Z4, Canada

Introduction

The spindle system is one of the most important parts of a machine tool since its dynamic properties directly affect the cutting ability of the machine tool. The dimensions of the spindle shaft, as well as the location and stiffness of the bearings and bearing preloads affect the vibration-free operation of the spindle. The bearing stiffness is dependent on the preload, which is also affected by the deformation of the spindle shaft and housing during machining. Considerable research related to bearings and spindles has been published. The purpose of modeling the bearings is to nd the bearing stiffness which has the greatest affect on the static and dynamic properties of the spindle systems. Angular contact ball bearings are most commonly used in high-speed spindles due to their low-friction properties and ability to withstand external loads in both axial and radial directions. The simplest model for the angular contact ball bearing was proposed by Palmgren 1 . He considered the axial and radial translations of the inner raceway relative to the outer raceway, which do not include the effect of shaft bending on the bearings. The pioneering work on the mathematical model for the angular-contact ball bearing was proposed by Jones 2 . Jones developed a general theory for the loaddeection analysis of bearings, including centrifugal and gyroscopic loading of the rolling elements under high-speed operation. In Jones model, the inner ring has ve degrees of freedom describing three translational deections, two rotations, and the corresponding forces and moments. The load-deection relationship is established by examining the relative loading and motion occurring at each ball in the contact, which includes centrifugal forces acting on the rolling elements, and gyroscopic moments acting on the balls. DeMul et al. 3 established the loaddeection equations in a matrix form, which is easier to implement than Jones model. However, DeMuls model neglects the gyroscopic moments in the bearings. Houpert 4 and Hernot 5 presented stiffness matrix forms for the angular contact ball bearings with ve degrees of freedom that make it possible to use the nite element method to solve the coupled problems of the spindle-bearing systems. However, the centrifugal forces and gyroscopic moments are not included.
Contributed by the Reliability, Stress Analysis and Failure Committee for publication in the JOURNAL OF MECHANICAL DESIGN. Manuscript received June 24, 2003; revised March 1, 2004. Associate Editor: E. Sancaktar.

Bollinger 6 used the nite difference technique to predict the static stiffness, natural frequencies, and mode shapes of a lathe spindle in which the bearing was simulated as a linear radial spring and dashpot. By using a ve degrees of freedom model, Aini 7 analyzed the dynamic behavior of a precision grinding machine tool spindle that was supported by a pair of angular contact ball bearings. In the model, the spindle is assumed to be a rigid shaft and the balls are assumed to be without mass, which is not true for most cases. Aini also conducted an experiment to investigate the frequency response of a grinding machine tool spindle supported by preloaded angular-contact ball bearings 8 . Ruhl 9 was one of the earliest researchers to use the nite element method to model rotor systems for predicting the stability and unbalanced response. His model includes translational inertia and bending stiffness, but neglects rotational inertia, gyroscopic moments, shear deformation, axial load, axial torque, and internal damping. Nelson 10,11 employed the Timoshenko beam theory to establish the system matrices for analyzing the dynamics of rotor systems with the effects of rotary inertia, gyroscopic moments, shear deformation, and axial load. The bearings are modeled as linear springs. There are other papers 1215 on the analysis of spindles using the nite element method, but they are all based on linear bearing models, and time history responses are not investigated. However, little research has been conducted to model the coupling of bearings and spindles, and the effect of the preload and rotation of the spindle shaft on bearing stiffness and the dynamics of the spindle system. Jorgensen and Shin 16,17 presented a coupled spindle-bearing model to predict the bearing stiffness and natural frequencies of the spindle system in which DeMuls bearing model is used, and the spindle shaft is modeled using the inuence coefcient method of a discrete lumped mass. The analysis of contact forces on bearing balls and the time history response of the spindle-bearing system under the dynamic cutting forces have not been studied. In this paper we give a general method that can be used to model the spindle systems. The stiffness of the bearings, contact forces on bearing balls, natural frequencies, time history response, and frequency response functions can be obtained by applying the cutting forces to the spindle for a given preload, including the rotating effects of the spindle on both bearing stiffness and the dynamics of the spindle system. The model is experimentally veried with Frequency Response Test measurements conducted on an instrumented research spindle. NOVEMBER 2004, Vol. 126 1089

Journal of Mechanical Design

Copyright 2004 by ASME

Fig. 1 Spindle-bearing system

Finite Element Model of Spindle-Bearing Systems

Fig. 3 Spindle dynamics model

Figure 1 shows the spindle designed and built by a spindle manufacturer. The spindle has a standard CAT 40 toolholder interface, and is designed to operate at up to 15,000 rev/min with a 15 kW motor connected to the shaft with a pulley-belt system. The nite element model of the spindle-bearing system is shown in Fig. 2. The Timoshenko beam is used to model the spindle shaft and housing. The black dots represent nodes, where each node has three translational and two rotational degrees of freedom. The pulley is modeled as a rigid disk. The spindle has two bearings No. 1 and No. 2 in tandem at the front, and three bearings No. 3 to No. 5 in tandem at the rear. The preload is applied on outer ring node A3, which can move along the spindle housing with nodes A4 and A5. The forces are transferred to inner rings B3 to B5 through bearing balls, then to the spindle shaft through inner ring B5, which is xed to the spindle shaft. Finally, the forces are transmitted to the front bearings by inner ring B1 which is also xed to the spindle shaft, then to the housing by outer ring A2, which is xed to the housing. The whole spindle is self-balanced in the axial direction under the preload. Equations of Motion for the Rigid Disk. A diagram of the spindle shaft with the pulley is shown in Fig. 3. O xyz is a xed coordinate system, where the x-axis is coincident with the centerline of the shaft before the shaft is deformed. The coordinates of point P on the disk are affected by the displacements u, v , w, y , and z . Assume that the disk is xed, the sequence of rotation is not important considering the small deformations. By rotating the coordinate system O xyz at an angle y about axis y, then z about axis z, the coordinates of point P in the O xyz system are changed due to the rotations y and z , and can be expressed as: x y z x0 0 0 T 0 r cos r sin (1) t, and trans0
y y

x y z

x 0 r cos sin z r sin sin y cos r cos cos z r sin sin y sin z r sin cos y

(3)

By considering that the angular displacements y and z are very small, and using cos z 1 for x and sin y sin z 0 for y to simplify the higher order rotational terms, Eq. 3 can be expressed as x y z
y

x 0 r cos

sin z r sin r cos cos z r sin cos y

sin

(4)

The nal position of point P due to the displacements u, v , w, and z is: x y z x u x 0 u r cos sin z r sin v r cos cos z w r sin cos y r sin y v r cos r r z cos
z z

sin

(5)

The velocities of point P are:

z y

r y sin (6)

r sin r cos

cos

z w

r y y sin

Here, cos y 1, cos z 1, sin y y , sin z z are assumed for small displacements. If point P has a differential mass of dm, its kinetic energy is: dT 1 dm x 2 y 2 z 2 2 (7)

where dm t rdr d . The energy of the whole disk is:

a 2 0

where x 0 is the coordinate of the disk center, formation matrix T is: cos T 0 sin
z z

T
b

1 t r x 2 y 2 z 2 dr d 2

(8)

0 1 0

sin 0 cos

1 0 0

0 cos sin

sin cos
y

(2)

By substituting Eq. 6 into Eq. 8 , and neglecting the second 2 order terms like 2 , z and y z , the kinetic energy of the disk y becomes: T 1 J 2 D
2

The coordinates of point P become:

1 m u2 v2 w2 2 D

1 I 2 2 D y

2
z

1 2

JD y

y z 2 2

(9)

where I D (1/4)m D (b a ) is the diametral moment of inertia about axis y or z, J D (1/2)m D (b 2 a 2 ) is the polar moment of inertia about axis x. If the mass of the center is not on the geometrical center of the disk, and the distance between these two centers is e, the virtual work done by the unbalanced force is
Fig. 2 Finite element model for the spindle-bearing system

v m De

cos

wm D e

sin

t.

(10)

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Transactions of the ASME

T
0

1 J 2

L 2

dz
0 L 0

1 A u 2 v 2 w 2 dz 2
y z y z

L 0

1 I 2

2
y

2 dx z

1 2

dx

(13)

where I (1/4) R 4 and J (1/2) R 4 . The deformed and undeformed beam in the x y plane are shown in Fig. 4. Due to the shear deformation y and z of the beam cross-section, the tangent to the beam center curve differs from that of the normal to the beam cross-section. The rotations of the beam cross-section can be expressed in the x y plane as:
z z

v x

(14)

Fig. 4 Deformed and undeformed beam in the x y plane

and in the x z plane as:

y y

w x

(15)

The generalized forces in the directions y and z are: F v m De F w m De

2 2

cos sin

t t

(11)

By assuming that the beam cross-section remains plane after deformation, the displacement of point P on the cross-section can be written as: u x,y,z,t u x,t
yz zy

By ignoring the damping and using the Lagrangian equation, the equation of motion for the rigid disk can be expressed as follows: Md q Gd q Fd (12)

w x,y,z,t
v x,y,z,t

w x,t
v x,t

(16)

If the second order strains are considered, the strains at point P can be expressed as:
yx

where mass matrix M d , gyroscopic matrix G d , external force vector F d and displacement vector q are as follows: mD 0 Md 0 0 0 0 0 G
d

v x

u y u z y 1 2
y

0 mD 0 0 0 0 0 0 0 0
2 2

0 0 mD 0 0 0 0 0 0 0 0 0 0 0 JD

0 0 0 ID 0 0 0 0

0
zx

0 0 0 ID
xx

w x
z

(17)
2

u x

v x

1 2

w x

The potential energy for the beam is: V 1 E 2

2 xx dV

1 k AG 2 s

2 yx dV

1 k AG 2 s

2 zx dV

(18) By substituting Eq. 17 into Eq. 18 and canceling the third order terms, the following potential energy of the beam can be obtained:
L

0 0 0 m De m De

JD 0 u v w
y z

cos t sin t , q

V
0

1 EA 2
L 0 L 0

u x

dx
0

1 EI 2
2 z

x
v x
2

x dx

dx

Fd

0 0 0

1 k AG 2 s 1 EA 2 1 2

w x
v x
2 2

Note that there is no stiffness matrix in Eq. 12 which will be derived from the exible shaft later. Equations of Motion for the Spindle Shaft With Gyroscopic Effects. A section of the beam, which is treated as a Timoshenko beam, is shown in Fig. 4. A Cartesian coordinate system, O xyz, is dened for the beam where the x-axis is coincident with the centroidal axis before the beam is deformed. Similar to the rigid disk, the kinetic energy for a section of beam with a length L is: Journal of Mechanical Design

1 2

w x

2 2

dx

(19)

The work done by an external force is:

L L

W
0

q xu q yv q zw m y
L 0

mz

dx
0

1 2

2 2

A dx

1 2

w 2 A dx

(20)

By using Hamiltons Principle: NOVEMBER 2004, Vol. 126 1091

t2

I
t1

T V W dt 0

(21)

the following equations of motion for the beam are obtained: A d 2v dt

2

d 2u dt
2

EA

x2 P

qx 0
v x

k s AG

v x

qy

Av 0

d 2w dt d
2 2

k s AG

w x
2

w x

qz

Aw 0 (22)

y 2

dt I

J
z

d z EI dt

y 2

k s AG

w x
v x

my 0

d2 dt
2

2 d y z EI k s AG dt x2

mz 0

The following equations in matrix forms for the beam can be obtained using the nite element method: Mb q Gb q Kb Kb
P 2

Mb

Fb (23)

where M b is the mass matrix, M b C is the mass matrix used for computing the centrifugal forces, G b is the gyroscopic matrix which is skew-symmetric, K b is the stiffness matrix, K b P is the stiffness matrix due to the axial force, and F b is the force vector that includes distributed and concentrated forces. The superscript b represents the beam. The details of the matrices can be found in Appendix A. The damping matrix is not included here and is estimated from experimentally identied modal damping. Contact Force and Deformation for Angular Contact Ball Bearings. The geometry of an angular contact ball bearing and coordinate system are shown in Fig. 5. The Hertzian contact forces between the inner ring and the balls, and the outer ring and the balls are expressed by 18 : Q ik K i Q ok K o
3/2 ik 3/2 ok

Fig. 5 Geometry of an angular contact ball bearing

Rx D where
o

fo 2fo 1

Ry

D 1 2

(27)

D cos

ok /Dm .

(24)

where K i and K o can be obtained from the following formula 19,20 : Q K K E 3F 1.0339 Ry Rx
3/2

Geometry Relations of the Bearings. When the forces are applied to the bearings, the distance between the curvature centers of the bearing rings changes in the x-y plane, as shown in Fig. 6. i i Assume that ix , iy , z , iy , z are displacements of the inner o o o o o rings, x , y , z , y , z are displacements of the outer rings, and the relative displacements between the inner rings and the outer rings are:

2ER F
0.6360

(25) Ry Rx

F 1.5277 0.6023 ln E 1.0003 0.5968 and E 2/(1 R x and R y are:

2 a )/E a

Rx Ry

(1

2 b )/E b

. For the inner ring contact, fi 2fi 1

Rx

D 1 2

Ry D

(26)

where i D cos ik /Dm . For the outer ring contact, R x and R y , are: 1092 Vol. 126, NOVEMBER 2004

Fig. 6 Displacement relations between curvature centers

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Table 1 The ratio of orbital speed and spindle speed Control type
E

Outer-ring control 1 cos 1 cos ik sin ok cos ok

ik ok

Inner-ring control cos

ik ok

cos
ok

ok

tan

1 cos ik sin ik cos ik

Equilibrium equations for the bearing ball: Q ok cos

Fig. 7 The forces acting on the bearing ball
ok

M gk sin D
ok

ok

Q ik cos

ik

M gk sin D
ik

ik

F ck 0 (35)
ik

Q ok sin
x i x o x y

M gk cos D

ok

Q ik sin

M gk cos D

,
i y

y o y

i y

o y z

,
i z

z o z

i z

o z

(28)

Due to the use of relative motion of the inner ring with respect to the outer ring, the curvature center of the outer ring groove can be regarded as being xed. The distance between the curvature centers of the inner and outer rings before deformation of the bearing is: B d BD fo fi 1 D (29)

The four parameters U k , V k , ok , ik can be found by solving Eqs. 34 and 35 through iteration. For the given initial estimates 0 0 U k ,V k , ok , ik T , the errors of variables k k T can be represented by the following equations: 1, 2, 3, 4 U ik U k
2

V ik V k V2 k
2 ok

2 ik 2

U2 k Q ok cos
ok

(36) M gk sin D
ik

M gk sin D
ok

ok

Q ik cos

ik

F ck

When the bearing is deformed under the load, the distances between the curvature center of the inner ring groove and the nal position of the ball center, the center of the outer ring groove and the nal position of the ball center are, respectively;
ik ok

Q ok sin

M gk cos D

ok

Q ik sin

ik

M gk cos D

ik

r i D/2 r o D/2

ik ok

f i 0.5 D f o 0.5 D
y r ic z

ik ok

The equations 34 and 35 can be solved by applying the following iteration,

n 1 k n k

(30)

aij

n k

n 0,1,2, . . . ;i, j

1,2,3,4 (37)

The changes to the curvature center for the inner ring are:
icu x ic v z r ic y

where a i j is given in Appendix B. (31) Centrifugal Force and Gyroscopic Moment. The centrifugal force and gyroscopic moment on bearing ball can be expressed as 2 : F ck 1 mD m 2
2 B k 2 E 2

cos
k

sin

cos

sin

The following relations can be derived from Fig. 7: sin cos sin cos where U ik BD sin V ik BD cos
x z r ic y ok

fo fo

Uk 0.5 D Vk 0.5 D

(38)
k

ok

ok

Mgk J b
ok

E k k

sin

(39)

(32)

ik

U ik U k f i 0.5 D V ik V k f i 0.5 D cos

k

The values of (
B k

/ ) k and tan

are given in Table 1 2 .

ik

ik

ik

cos
k z y r ic

ok

sin

1 (33)

tan k sin cos ok

ok

1 cos

ik

tan k sin cos ik

ik

cos

cos

sin

Whether outer-ring control or inner-ring control exists depends on the following conditions in Table 2 2 .

r ic (1/2)D m ( f i 0.5)D cos . If r ic (1/2)D m , the tangential stiffness matrix of the bearing is symmetric. From Figs. 6 and 7, the following equations can be obtained. Displacement equations: U ik U k
2

Table 2 Criterion of outer-ring control or inner-ring control Outer-ring control Inner-ring control Q ok a ok Eok cos( ik Q ik a ik Eik cos( ik
ok) ok)

V ik V k
2 ok

2 ik

(34)

U2 V2 k k Journal of Mechanical Design

QikaikEik QokaokEok

NOVEMBER 2004, Vol. 126 1093

Fig. 8 Experimental set-up

Forces Acting on the Bearing Rings. The forces applied on the inner ring of the bearing are given as:
N

F xi
N

k 1

Q ik sin

ik

M gk cos D M gk sin D M gk sin D

ik

F yi

k 1 N

Q ik cos

ik

ik

cos

F zi
N

k 1

Q ik cos

ik

ik

sin

(40)

M yi

k 1 N

r ic Q ik sin

ik

M gk cos D M gk cos D

ik

f i M gk sin

Fig. 9 The inuence of bearing preload on the axial displacement and bearing stiffness
ik

M zi

k 1

r ic Q ik sin

ik

f i M gk cos

The forces acting on the outer ring of the bearing are given as:
N

F xo
N

k 1

Q ok sin

ok

M gk cos D M gk sin D M gk sin D

ok

By assembling equations of the disk, spindle shaft/housing and bearings, the following general nonlinear dynamic equations for the spindle-bearing system can be obtained: M x
k

F yo

k 1 N

Q ok cos

ok

ok

cos

C x

R x

F t

(43)

F zo
N

k 1

Q ok cos

ok

ok

sin

(41)

M yo

k 1 N

r oc Q ok sin

ok

M gk cos D M gk cos D

ok

f o M gk sin

where M Mb Md , C Gb Gd C s , F(t) b d s F F , C is the structural damping which can be obtained from experimental modal analysis, and R(x) is the internal force of the system which depends on the displacement x . The Newton-Raphson method is used to solve Eq. 43 . The incremental nite element equilibrium equations are obtained as follows: M
t t t

M zo

k 1

r oc Q ok sin

ok

ok

f o M gk cos

x
t

t t

t t

x R

i i 1

where r oc (1/2)D m ( f o 0.5)D cos . Tangential Stiffness Matrix of Bearings. The following tangential stiffness matrix of the bearing can be obtained by nding the derivatives of forces with respect to displacements. The details of the derivations can be found in Appendix C.
T KB T K II T K IO T K IO T K OO T KI T KO T KI T KO t

F t

(44)

(42)

T 2 t t (i) where K Kb Kb P KB Mb C , x , t (i) t t (i 1) (i) x , and x x are the approximations to the accelerations, velocities, and displacements obtained in the ith iteration, respectively. x ( i ) is the displacement increment at the ith iteration. t t F(t) is the force at the time t t. t t R ( i 1 ) is the internal force corresponding to the displacement t t x ( i 1 ) .

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Fig. 12 Impact response measured and simulated in the radial direction at the spindle node

Fig. 10 The inuence of bearing preload on contact angles and contact forces of bearings

Fig. 11 Impact force in the radial direction at the spindle node

Fig. 13 Measured and simulated frequency response function in the radial direction at the spindle node

Journal of Mechanical Design

NOVEMBER 2004, Vol. 126 1095

Fig. 14 The inuence of bearing preload on the natural frequencies

Verication of the Model

The instrumented spindle is hung using elastic strings as a freefree system as shown in Fig. 8. The natural frequencies and frequency response functions under different preloads are measured by performing the impact hammer test. The axial displacements relative to the spindle housing at the spindle nose are measured by the axial displacement sensor integrated to the spindle and laser displacement sensor. Deformations of the Spindle Nose. As mentioned in Sec. 2, the whole spindle is self-balanced in the axial direction under the preload. The displacement in the axial direction is tested by simply xing the spindle housing on a table so that it cannot move under a preload. The preload force is applied by hydraulic unit as shown in Fig. 1. The spindle already has an initial preload applied during assembly, and it is estimated as follows. First, the axial deformations of the spindle nose are measured under different preloads. Then, the different hydraulic preloads plus the same estimated initial preload are applied to the FE model to obtain the simulated displacements. By trying to match the two curves from both measurement and simulation, the initial preload is predicted as 300 N. Figure 9 shows the axial deformations of the spindle nose under different preloads. The measurements agree well with the simulations based on the proposed model. The deformations are mainly caused by the front bearings as shown in Fig. 2. 1096 Vol. 126, NOVEMBER 2004

Fig. 15 The inuence of preload and spindle speed on stiffness, contact angles, and contact forces of the bearing

Bearing Stiffness. Two types of FAG bearings are used in this spindle, XCS71914E in the front of the spindle, and XCS71911E in the rear of the spindle. The changes of the stiffness of bearings as a function of the preload are shown in Fig. 9. The bearing stiffness cannot be measured directly, but if the natural frequencies from the simulation match those from experiments, the bearing stiffness should be correct because both the spindle Transactions of the ASME

Fig. 16 The inuence of centrifugal force and gyroscopic moment of spindle shaft on natural frequencies

model and the boundary conditions are reasonably modeled. Figure 10 shows the simulated contact angles and contact forces under different preloads when the spindle is not running. When only a preload is applied, the contact angles and forces are the same for all balls in the same bearing. The simulation results show that the contact forces on bearing balls change linearly with the preload. At a low preload, the stiffness and contact angles are nonlinear, but as the preload increases they become more linear. Time and Frequency Response Tests. Figure 11 shows an impact force which is applied at the spindle nose in the radial direction while the bearings are preloaded with 900 N. The radial acceleration time response histories from both the simulation and experiment are shown in Fig. 12, which are in good agreement. Experimentally identied modal damping ratios 6% and 1.5% are used for the rst and fourth modes, respectively, and 3% is used for the rest modes. The frequency response function at the spindle nose is measured and is also predicted by applying the same measured impact force shown in Fig. 11. The measured and predicted Frequency Response Functions are shown in Fig. 13, which are in good agreement. The inuence of preload on the natural frequencies of the spindle system is illustrated in Fig. 14. It can be seen that the preload hardly affects the rst mode, while shifting the higher mode upward. These two modes are most dominant at the spindle nose, which inuence the machining stability most. The proposed model is able to predict the inuence of preload accuJournal of Mechanical Design

Fig. 17 The inuence of spindle speed on natural frequencies

rately, which is quite important in designing and operating the spindle shafts at chatter vibration free machining speeds.

Effects of Spindle Speed on the Stiffness, Contact Angles and Contact Forces of the Bearings. Figure 15 shows bearing stiffness, contact angles, and contact forces for the front bearing #1 under different preloads and spindle speeds. It is shown that the gyroscopic moments have little effect on the bearing stiffness compared to centrifugal forces. The inner-ring contact angles are bigger than the outer-ring contact angles, and both bearing stiffness and contact angles change much more at lower preloads than at higher preloads due to the spindle speed. The outer ring contact forces are greater than the inner-ring contact forces, but all contact forces are approximately linear with the preload. NOVEMBER 2004, Vol. 126 1097

Effects of Spindle Speed on Natural Frequencies. In order to check the inuence of centrifugal force and the gyroscopic moment of spindle shaft on natural frequencies, constant bearing stiffness at preload 900 N is used. Figure 16 shows the rotating effects from only the spindle shaft on natural frequencies. Both centrifugal forces and gyroscopic moments have a bigger inuence on lower modes than on higher ones, and centrifugal forces affect the lowest frequency more than the gyroscopic moments, for example, at the spindle speed 15,000 rpm, the rst natural frequency drops 6% and 3.6% due to the centrifugal forces and gyroscopic moments, respectively. Inversely, the gyroscopic moments have a bigger inuence on higher modes than centrifugal forces. For example, at the spindle speed 15,000 rpm, the fourth natural frequency drops 0.2% and 1% due to the centrifugal forces and gyroscopic moments, respectively. Speed Effects From Both Spindle Shaft and Bearings on Natural Frequencies. The inuence of the centrifugal force and gyroscopic moment from both the spindle shaft and bearings on natural frequencies is illustrated in Fig. 17. It is shown that the rotational speed effects from the spindle shaft play a bigger role on lower modes than on higher modes. However, for higher modes, for example, the fourth mode, the speed effects from the spindle shaft are negligible compared to the rotating effects of bearings.

I J N P R a b e k m r t u, v , w

Dm Ea Eb Jb Ki , Ko

Conclusion

A general method, which can predict the static and dynamic behavior of any spindle assembly, is presented. The spindle and housing are modeled by Timeshenko Beam elements. Lateral displacements in three Cartesian and angular displacements in the radial directions are considered in the model. The gyroscopic and centrifugal effects are included in constructing the dynamic model of the spindle system. The nonlinear stiffness matrix for the angular contact bearings are established through the analysis of the load-deection of bearings. Herzian contact theory is used to determine the relation between bearing balls and bearing rings which are considered as elastic elements. The stiffness matrix of the bearing, the contact angle, preload and deection of spindle shaft and housing are all coupled in the Finite Element model of the spindle assembly. The simulated results are compared favorably well against experimental measurements conducted on an instrumented, industrial size spindle. The simulation shows that the rotational speed effects of the spindle shaft have a bigger inuence on the lower frequencies. For higher modes, the rotational speed effects of spindle shaft are negligible compared to speed effects of bearings. The bearing stiffness drops much more at lower preload than at higher preload due to the rotation of the spindle. The prediction of Frequency Response Function of the spindle is important in selecting chatter vibration free spindle speeds and estimating the dynamic loads applied on the spindle shaft and bearings during machining. The proposed model can be used in designing spindles and planning the machining operations. Further study is planned to include the inuence of thermal expansion of the spindle shaft on bearing stiffness and overall dynamics of the spindle assembly.

fi fo ks mD my , mz ri , ro qx , qy , qz
E B

ik

ok

Acknowledgments
This research was jointly sponsored by NSERC, Pratt & Whitney Canada, Boeing Commercial Plane, and Weiss Spindle Technology.

i x o x

i y, o y,

i z, o z ,

i y, o y, y

i z o z z

k a b

Nomenclature
A B D E G cross sectional area of the beam fo fi 1 diameter of the bearing ball Youngs modulus of material shear modulus of material
ik

,
y

ok

diametral moment of inertia for the beam polar moments of inertia for the beam number of bearing balls for each bearing axial force on the beam radius of the cross-section of the beam inner radius of the disk outer radius of the disk distance between mass center and the geometrical center of the disk index of bearing balls mass of the bearing ball radius of the point P on disk thickness of the disk or time translational displacements in directions x, y and z, respectively rotational speed of the shaft D/D m density of material pitch diameter of the bearing measured from the ball center Youngs modulus of the bearing ball Youngs modulus of inner or outer ring of the bearing mass moment of inertia for the bearing ball contact constants between bearing balls and inner rings, outer rings, respectively, depending on the geometry and the material of the bearing balls and bearing rings r i /D r o /D transverse shear form factor, k s is 0.9 for the circular cross-section beam mass of the disk distributed moments per unit length about axes y and z, respectively radii of the inner and outer ring grooves, respectively distributed loads per unit length in the directions x, y, and z, respectively orbital speed of the bearing ball angular speed of the bearing ball about its own center angle between the vector of the bearing balls angular velocity about its own center and shaft axis normal contact deformations between the centers of the ball and inner ring, and the ball and outer ring, respectively displacements of the inner ring displacements of the outer ring shear deformations due to the shear force in the beam cross-section 2 k/N Poissions ratio of the bearing ball Poissions ratio of inner or outer ring of the bearing inner and outer ring contact angles of the bearing rotations about axes y and z, respectively Transactions of the ASME

1098 Vol. 126, NOVEMBER 2004

Appendix A: Finite Element Matrices

Mb M
T

, where M

is the translational mass matrix and M

is the rotational mass matrix.

m a1 0 0 0 M AL
T

m1 0 0 m2 0 m3 0 0 m4 m1 m2 0 0 0 m3 m4 0 m5 0 0 0 m4 m6 0 m5 0 m4 0 0 m6

S Y M m a1 0 0 0 0 m1 0 0 m2 m1 m2 0 m5 0 m5

0
2

420 1

m a2 0 0 0 0 0 0 0 0

36 0 0 m7 0 36 0 0 m7 36 m7 0 0 0 36 m7 0 m8 0 0 0 m7 m9 0 m8 0 m7 0 0 m9

S Y M 0 0 0 0 0 36 0 0 m7
2

I
R

0
2

30 1

0 0 0 0 0

36 m7 0 m8 0 m8
2

m 1 156 294

140

m2

22 38.5

17.5

L;

m 3 54 126

70

m4

13 31.5

17.5

m5

4 7

3.5

L 2;

m6

3 7

3.5

L 2;

m a1 140 1

m a2 70 1

12EI k s AGL 2

m7 The mass matrix M b

3 15

L;

m8

4 5

10

L 2;

m9

1 5

L2

used for computing the centrifugal force is:

0 0 0 0 M AL
C

m1 0 0 m2 0 m3 0 0 m4 m1 m2 0 0 0 m3 m4 0 m5 0 0 0 m4 m6 0 m5 0 m4 0 0 m6

S Y M 0 0 0 0 0 m1 0 0 m2 m1 m2 0 m5 0 m5

0
2

420 1

0 0 0 0 0

The gyroscopic matrix G b is: Journal of Mechanical Design NOVEMBER 2004, Vol. 126 1099

0 0 0 0 Gb J 30 1
2

0 36 m7 0 0 0 36 m7 0 0 0 m7 0 36 0 0 m7 0 m8 0 m7 0 0 m9 0 0 0 m7 m9 0

SKEW S Y M 0 0 0 0 0 0 36 m7 0 0 0 m7 0 m8 0

0 L 0 0 0 0 0

The stiffness matrix K b is:

k1 0 0 0 Kb EI 1 L
3

12 0 0 6L 0 12 0 0 6L 12 6L 0 0 0 12 6L 0 k2 0 0 0 6L k3 0 k2 0 6L 0 0 k3

S Y M k1 0 0 0 0 12 0 0 6L 12 6L 0 k2 0 k2

0 k1 0 0 0 0

k1 A 1

L 2 /I

k2

L2

k3

L2

The stiffness matrix K b

due to axial load is:

0 0 0 0 Kb P
P

k4 0 0 3L 0 k4 0 0 3L k4 3L 0 0 0 k4 3L 0 k5 0 0 0 3L k6 0 k5 0 3L 0 0 k6

S Y M 0 0 0 0 0 k4 0 0 3L k4 3L 0 k5 0 k5

0 L 0 0 0 0 0

30 1

k 4 36 60

30

k5

4 5

2.5

L2

k6

1 5

2.5

L2

The total load F b on the beam consists of the distributed forces on each element F b 1100 Vol. 126, NOVEMBER 2004

Transactions of the ASME

1 q L 2 x

Fb

and the concentrated load at each end of the element F b F

b C

F xi F yi F zi M xi M yi F x j F y j F z j M x j M y j

C ok ,

1 mz q L 2 y 1 1 my q L 2 z 1 1 m yL q zL 2 12 2 1 1 m zL 2 q L 12 y 2 1 1 q L 2 x mz 1 q L 2 y 1 my 1 q L 2 z 1 m yL 1 q zL 2 12 2 1 1 m zL q L2 12 y 2 1

Appendix B: Coefcients for Eq. 37

The derivatives of errors with respect to variables U k , V k , ik are obtained from Eq. 37 : a 11
1

Appendix C: Stiffness Matrices of Bearings

The derivatives of forces about the displacements are obtained i i from the Eq. 39 : For brevity, let i ( ix , iy , z , iy , z ). F xi
i N k 1

Uk a 13

2 U ik U k ,
1 ok 2

a 12
1 ik

Vk 2
2

2 V ik V k ,

Q ik
i

sin

ik

Q ik

sin
i

ik

cos D

ik

M gk
i

0,

a 14

ik

M gk D F yi
i N k 1

cos
i

ik

a 21

Uk
2 ok 3

2U k ,

a 22

Vk a 24 1
ok

2V k ,
2 ik

Q ik
i

cos
ik i

ik

Q ik

cos
i

ik

sin D

ik

M gk
i

a 23

ok

a 31

Uk a 32
3

M gk D Q ok
ok

1
ik

M gk D F zi
i N k 1

sin

cos

Q ik
i

Q ik
ik

cos
ik i

ik

Q ik

cos
i

ik

sin D

ik

M gk
i

Vk
1/2 ok cos

, M gk U k 2 D ok M gk U ik U k 2 D ik 1
ok

a 33

3 ok

3 K 2 o

ok

Q ok

Vk
2 ok

M gk D M yi
i N k 1

sin

sin

a 34

3 ik

3 K 2 i
4

1/2 ik cos

ik

Q ik

V ik V k
2 ik 4

r ic

Q ik
i

sin
ik

ik

Q ik M gk
i

sin
i

ik

cos D

ik

M gk
i

a 41

Q ok
ok 4 ok

Q ik
ik

Uk a 43

a 42

Vk Q ok

M gk D Uk
2 ok

1
ik

M gk D M zi
i N k 1

cos
i

fi

sin sin
i

, r ic Q ik
i

3 K 2 o

1/2 ok sin

ok

M gk V k 2 D ok M gk V ik V k 2 D ik

sin

ik

Q ik M gk
i

ik

cos D

ik

M gk
i

a 44

4 ik

3 K 2 i

1/2 ik sin

ik

Q ik

U ik U k
2 ik

M gk D where,

cos
i

ik

fi

cos

Journal of Mechanical Design

NOVEMBER 2004, Vol. 126 1101

Q ik
i

3 K 2 i Uk
i

1/2 ik

ik i

,
ik i

U ik
i z

r ic cos

U ik sin
i ik i

ik 2 ik

U ik U k

V ik
i x

0,

V ik
i y

cos

V ik
i z

sin

V ik cos
i ik i

Vk
i ik 2 ik

V ik V k

ik i

V ik
i y

0,

V ik
i z

0,

U ik
i x

1,

U ik
i y

0,

U ik
i z

0,

U ik
i y

r ic sin

, By differentiating Eqs. 35 and 36 with respect to

i

, we obtain:

Uk

where, b 11 U ik U k , b 12 V ik V k , b 13 0, b 14 from Appendix B

B

U ik U k

U ik
i

V ik V k 0

V ik
i

Vk
i

bij

Q ik V ik
ik i

ok i

M gk 1 U ik i D ik M gk 1 V ik i D ik
ok

Q ik U ik
ik i

ik i

ik

, b 21 U k , b 22 V k , b 23
E

, b 24 0, b ij a i j (i 3,4; j

1,2,3,4) (a i j are

M gk

E k

tan

B k k

tan

B k k

E k

tan

B k

1 cos cos
ok

1 cos
ik

1 A B

1 A
ok

tan k sin cos ok tan k sin cos ok

B

ok

1
ok

tan k sin cos ik

ik

ik

B A

cos

1 B
2

tan k sin cos ik

ik

1 A B

tan A

sin

ok

tan

sin
k

ok

1 1

cos cos
ok

ok 2

tan

sin

cos
ok

ok

tan B for inner-ring control:

sin

ik

tan

sin
k

ik

1 1

cos cos
ik

ik 2

tan

sin

cos
ik

ik

sin tan
k

ik

cos

ik

sin
ik 2

cos
ik

ik

cos
E

1
k

cos

cos
ok

ik

ok

cos
2

ok

1 cos

ik

ok

1 cos 1102 Vol. 126, NOVEMBER 2004

ik

ok

Transactions of the ASME

for outer-ring control: sin tan

k ok

cos

ok

sin
ok 2

cos
ok

ok

cos
E

1
k

cos

cos
ik

ik

ok

cos
2

ik

1 cos

ik

ok

1 cos cos In matrix form, F xi

i x ik ok

ik ok

ok

cos

ik

cos

ok

cos

cos
ik

sin

ik

sin

ok

sin

sin
ik

ok

F xi
i y

F xi
i z

F xi
i y

F xi
i z

F yi
i x T K II T KI

F yi
i y

F yi
i z

F yi
i y

F yi
i z

k 11 k 21 k 31 k 41 k 51 k 22 k 32 k 42 k 52

S Y k 33 k 43 k 53 k 44 k 54 k 55 M

F zi
i x

F zi
i y

F zi
i z

F zi
i y

F zi
i z

M yi
i x

M yi
i y

M yi
i z

M yi
i y

M yi
i z

M zi
i x

M zi
i y

M zi
i z

M zi
i y

M zi
i z

Similarly, the following matrixes can be obtained from Eqs. 39 and 40 : F xo

o x

F xo
o y

F xo
o z

F xo
o y

F xo
o z

F xi
o x

F xi
o y

F xi
o z

F xi
o y

F xi
o z

F yo
o x T K OO

F yo
o y

F yo
o z

F yo
o y

F yo
o z

F yi
o x T KO ; T K IO

F yi
o y

F yi
o z

F yi
o y

F yi
o z

F zo
o x

F zo
o y

F zo
o z

F zo
o y

F zo
o z

F zi
o x

F zi
o y

F zi
o z

F zi
o y

F zi
o z

T KI

M yo
o x

M yo
o y

M yo
o z

M yo
o y

M yo
o z

M yi
o x

M yi
o y

M yi
o z

M yi
o y

M yi
o z

M zo
o x

M zo
o y

M zo
o z

M zo
o y

M zo
o z

M zi
o x

M zi
o y

M zi
o z

M zi
o y

M zi
o z

F xo
i x

F xo
i y

F xo
i z

F xo
i y

F xo
i z

F yo
i x T K OI

F yo
i y

F yo
i z

F yo
i y

F yo
i z

F zo
i x

F zo
i y

F zo
i z

F zo
i y

F zo
i z

T KO .

M yo
i x

M yo
i y

M yo
i z

M yo
i y

M yo
i z

M zo
i x

M zo
i y

M zo
i z

M zo
i y

M zo
i z

Finally, the tangential stiffness matrix of the bearing can be obtained as follows:
T KB T K II T K IO T K IO T K OO T KI T KO T KI T KO

Journal of Mechanical Design

NOVEMBER 2004, Vol. 126 1103

References
1 Palmgren, A., 1959, Ball and Roller Bearing Engineering, Burkbank. 2 Jones, A. B., 1960, A General Theory for Elastically Constrained Ball and Radial Roller Bearings Under Arbitrary Load and Speed Conditions, ASME J. Basic Eng., pp. 309320. 3 DeMul, J. M., Vree, J. M., and Mass, D. A., 1989, Equilibrium and Association Load Distribution in Ball and Roller Bearings Loaded in Five Degrees of Freedom While Neglecting Friction, Part 1: General Theory and Application to Ball Bearings, ASME J. Tribol., 111, pp. 142148. 4 Houpert, L., 1997, A Uniform Analytical Approach for Ball and Roller Bearings Calculations, ASME J. Tribol., 119, pp. 851 858. 5 Hernot, X., Sartor, M., and Guillot, J., 2000, Calculation of the Stiffness Matrix of Angular Contact Ball Bearings by Using the Analytical Approach, Trans. ASME, 122, pp. 8390. 6 Bollinger, J. G., and Geiger, G., 1964, Analysis of the Static and Dynamic Behavior of Lathe Spindles, Int. J. Mach. Tool Des. Res., 3, pp. 193209. 7 Aini, R., Rahnejat, H., and Gohar, R., 1990, A Five Degrees of Freedom Analysis of Vibrations in Precision Spindles, Int. J. Mach. Tools Manuf., 30, pp. 118. 8 Aini, R., Rahnejat, H., and Gohar, R., 1995, Experimental Investigation Into Bearing-Induced Spindle Vibration, Proceedings of the Institution of Mechanical Engineers, Part C, J. Mech. Eng. Sci., 209, pp. 107114. 9 Ruhl, R. L., and Booker, J. F., 1972, A Finite Element Model for Distributed Parameter Turborotor Systems, ASME J. Eng. Ind., 94, pp. 128 132. 10 Nelson, H. D., and McVaugh, J. M., 1976, The Dynamics of Rotor-Bearing Systems Using Finite Elements, ASME J. Mech. Des., 93, pp. 593 600. 11 Nelson, H. D., 1980, A Finite Rotating Shaft Element Using Timoshenko Beam Theory, ASME J. Mech. Des., 102, pp. 793 803.

12 Genta, G., 1996, A Harmonic Finite Element for the Analysis of Flexural, Torsional and Axial Rotor-Dynamic Behavior of Discs, J. Sound Vib., 196, pp. 19 43. 13 Choi, J. K., and Lee, D. G., 1997, Characteristics of a Spindle Bearing System With a Gear Located on the Bearing Span, Int. J. Mach. Tools Manuf., 37, pp. 171181. 14 Bordatchev, E. V., Orbana, P. E., and Rehorn, A., 2001, Experimental Analysis and Modeling of the Dynamic Performance of Machine Tool SpindleBearing Systems, Proceedings of SPIE, The International Society for OpticalEngineering, Vol. 4191, pp. 92103. 15 Kang, Y., Chang, Y. P., Tsai, J. W. et al., 2001, Integrated CAE Strategies for the Design of Machine Tool Spindle-Bearing Systems, Finite Elem. Anal. Design, 37, pp. 485511. 16 Jorgensen, B. R., and Shin, Y. C., 1998, Dynamics of Spindle-Bearing Systems at High Speeds Including Cutting Load Effects, Journal of Manufacturing Science and Engineering, Trans. ASME, 120, pp. 387394. 17 Jorgensen, B. R., 1996, Robust Modeling of High Speed Spindle-Bearing Dynamics Under Operating Conditions, Ph.D. thesis, Purdue University. 18 Harris, T. A., 2001, Rolling Bearing Analysis, 4th ed., John Wiley and Sons, New York. 19 Brewe, D. E., and Hamrock, B. J., 1977, Simplied Solution for EllipticalContact Deformation Between Two Elastic Solids, ASME J. Lubr. Technol., 99, pp. 485 487. 20 Greenwood, J. A., 1997, Analysis of Elliptical Hertzian Contacts, Tribol. Int., 30, pp. 235237. 21 Yamamoto, T., and Ishida, Y., 2001, Linear and Nonlinear Rotordynamics: A Modern Treatment With Applications, John Wiley and Sons, New York.

1104 Vol. 126, NOVEMBER 2004

Transactions of the ASME