Journal of Sound and Vibrurion (1987) 117(l), 81-93

COUPLED LONGITUDINAL AND BENDING VIBRATIONS OF

A ROTATING SHAFT WITH AN OPEN CRACK

C. A. PAPADOPOULOS AND A. D. DIMAROG0NAS.t

Machine Design Laboratory, University f Patras, Patras, Greece

(Received 19 June 1986, and in revised form 24 October 1986)

The coupling of longitudinal and bending vibrations of a rotating shaft, due to an open
transverse surface crack is investigated. The assumption of the open crack leads to a
system with behaviour similar to that of a rotor with dissimilar moments of inertia along
two perpendicular directions. The local flexibility due to the presence of the crack can be
represented by way of a 6 x 6 matrix for six degrees of freedom in a short shaft element
which includes the crack. This matrix has off-diagonal terms which cause coupling along
the directions which are indicated by these terms. Here shear is not considered and three
degrees of freedom are used: bending in the two main directions and extension. This leads
to a 3 x 3 stiffness matrix with coupling terms. The undamped free and forced coupled
vibration are first considered. The coupling is investigated and the effects of unbalance
and gravity are examined. Then damped coupled vibration is considered for free and
forced vibration. The existence of coupling between longitudinal and bending vibration
due to the crack is a very useful property which, together with the sub-critical resonance
due to crack, can form a basis for crack identification in rotating shafts. New and interesting
phenomena of coupled transverse and longitudinal motion are presented and discussed.

1. INTRODUCTION

It is well known that the presence of a transverse crack in a structural member introduces
local flexibility, which for a beam can be described by a local flexibility matrix, the
dimension of which depends on the number of the degrees of freedom considered, the
maximum being 6 x 6.
Such a matrix was first introduced for beams of rectangular cross-section with transverse
surface cracks by Dimarogonas and Paipetis [l] for 5 degrees of freedom, with torsion
neglected. Some of the elements of this matrix, identified as direct compliances, were
computed previously by several authors. Thus Okamura [2] and Liebowitz et al. [3,4]
have computed the diagonal element corresponding to tension, Rice and Levy [5] have
computed the four elements corresponding to tension, bending and their coupling terms,
Dimarogonas and Massouros [6] have computed the diagonal element related to shear
parallel to the crack edge and Dimarogonas and Paipetis [l] have given a complete 5 x 5
matrix.
Petroski [7] investigated the forced response of cracked beams, evaluating the crack
rotational stiffness by correlation with the three point test result available for cracked
beams.
A full 6 x 6 flexibility matrix for a transverse surface crack on a shaft was introduced
by Papadopoulos and Dimarogonas [8]. The elements of this matrix were computed by

t Now at the Department of Mechanical Engineering, Washington University, St. Louis, Missouri 63130,
U.S.A.
81
0022460X/87/160081 + 13 $03.00/O @ 1987 Academic Press Limited
82 C. A. PAPADOPOULOS AND A. D. DIMAROGONAS

way of the analysis presented in reference [l]. This analysis is based on available
expressions of the Stress Intensity Factor (SIF) and the associated expressions of the
Strain Energy Density Function (SEDF).
The diagonal element of the flexibility matrix corresponding to pure bending has been
the subject of several previous investigations, [9-201.
In general, of the full 6 x 6 stiffness matrix available to model a crack, only the diagonal
terms have been utilized for dynamic analysis of cracked rotors.
Use of the off-diagonal terms will couple the equations of motion with interesting
consequences on coupled vibrations. This is the subject of the present investigation.

2. CRACK MODEL

Consider a shaft with given stiffness properties, radius R = D/2, and a transverse crack
of depth (Y(see Figure l(a) and (b)). The shaft is loaded with axial force P,, shear forces
P2 and P3, bending moments P4 and Ps and torsional moment P6. The dimension of the
local flexibility matrix depends on the number of degrees of freedom, here 6 x 6.

. . . .

(a)

(b)
Figure 1. (a) A cracked shaft element in general loading; (b) the crack section of the shaft.
 ROTATING SHAFT WITH AN OPEN CRACK 83

Paris equation [21] gives the additional displacement ui due to a crack of depth (Y,in
the i direction, as

(2.11

where J(a) is the Strain Energy Density Function (SEDF) and Pi the corresponding
load. The SEDF is [l]

(2.2)

where E = E or E / ( 1 - Y) for plane stress and plane strain respectively, E is the modulus
of elasticity, m = 1+ V, v is the Poisson ratio (Y = 0.3 for steel) and K, are the crack
Stress Intensity Factors (SIF) for the i = Z, ZZ, ZZZ modes and for j = 1, 2, . . . ,6, the load
index.
The local flexibility due to the crack per unit width is, by definition [l],

au+ j-;
Cc=z-apia4 J(a) da], (2.3)

or, after integration along the width 2b of the crack,

=aP; 1.
a*
J(a) da dx (2.4)

The values of SIF in equation (2.2) are well known from the literature [21] for a strip
of unit thickness with a transverse crack. Since the energy density is a scalar, it is
permissible to integrate along the tip of the crack it being assumed that the crack depth
is variable and that the stress intensity factor is given for the elementary strip. It is known
that this approximation yields acceptable results to engineering accuracy [l]. From
reference [213,
K,, = a,&F,(a/h), WI= P,/(nR*),
K,d= a,&F,(a/h), a, = (4P4/vR4)x,
K,, = q&F&/h), u5= (4P,/rR4)(R2-x2)*,
K,* = K,, = K,, = 0,

K,,3 = ud=F,,(ffIh), u3 = kP,/( rR*),

K,M= ~d=F,,(~lh), weI1 = 2P,x/rR4,

K,, , = K,,2 = &,4 = &,s = 0,

J&,12 = ~,J?rcuF,,,(~lh), w2 = kP,/( rR*),

K ,116= u,,,,J?rcYF,,,(alh), u6,,, = 2P,( R* - x2)*/ rR4,
K ,111- K,,,, = K,,,4 = &,,s = 0, (2.5)
where
F,(~/h)=(tanh/h)2[0~752+2~02(a/h)+0~37(1-sinA)3]/cosh,
F,(a/h) = (tan A/A)*[0*923+0*199(1 -sin A)4]/cos A,
F,,(a/h)=[1~122-0~561(c~/h)+0~085((u/h)~+0~18(a/h)~]/(l-~u/h)~,
F,,,(a/h) = (tan A/A). A = m/(2h).

Here k = 6( 1 + v)/ (7 + 6 v) is a shape coefficient for circular cross section.

84 C. A. PAPADOPOIJLOS AND A. D. DIMAROGONAS

Combining relations (2.2), (2.4) and (2.5) yields the dimensionless terms of the compli-
ance matrix:

c,, = ?rERc,,/(l-v2)=4 XF;( K) dx dj,

lilb
0 0

&= aER*~,~l(l- v*) = 16 J(1 -n)*F,(@F,(@ dff dy,

Ub
0 0

& = PERc,, / ( 1 - v*) = 64 y(l -Z)F;(@ df dy,

0 0
IYIb
d 6
& = 7~ER~c~/(l- v*) = 32 f*JF:( 6) dff djj,
II0 0

?I$= ?rER*c,,J( 1- v) = 8 zjF:( i) dff dy,

IYb
0 0

E45=~ER3~45/(1-v2)=64 &l -Z*F,(@F,(@ dff dJ,

Ub
0 0 -

I?33 = ~ERc~~l(l- v2) = 4 pF;,( 6) dff dj,

Ub
0 0

jF:,,( Ii) d2 dy,

Fe2= rER2ce2/ (1 - v) = 8

Eh3= rrER*c,,/(l- v) = 8 zj#,( Q) df dj,

1*1*
0 0

Eh6= PER~cJ(I - v) = 16 [A, + mA,] dZ dJ, (2.6)

/lb
0 0
where A, = fjjFf,( E), A2 = (1 - f*)yFf,,( 6) and P = x/R, 7 = y/R, 6 = y/h, 6= b/R.
The dimensionless compliance matrix is then

Cl1 0 0 E,4 E,5 0

0 CT** 0 0 0 C26

0 0 c33 0 0 3336
E=

c41 0 0 r44 c45 0 .

C51 0 0 F54 F,, 0

0 i;6* 4, 0 0 &j

The elements of this matrix were computed and are plotted in Figure 2(a)-(d).
Acceptable values of the compliance matrix elements are obtained up to a crack depth
a/D = 0.8. This results from the accuracy of functions F, , F2, F,, and F,,, of equation
(2.5). This is not a serious limitation since the area of practical interest is confined to
crack depths o/D < 0.5.
To calculate the global stiffness matrix of the cracked shaft one must add the local
flexibility due to the crack to the total flexibility of the untracked shaft and then invert
the global flexibility matrix: i.e., KG = [C,,, + Clot]-, where C,,, = diag [L/AE, L/4kAG,
L/4kAG, L/4EI, L/4EI, L/G&], because the off-diagonal terms of C,,, are zero.
ROTATING SHAFT WITH AN OPEN CRACK
86 C. A. PAPADOPOULOS AND A. D. DIMAROGONAS

For the local flexibility matrix due to the crack equations (2.6) and (2.7) yield
GlR 0 0 EL4 G5 0 -
0 c22R 0 0 0 c26

Got=+-0 0 0 G3R
0 0 0 c36

E41 c44IR ?45/R 0

Gl 0 0 G4IR G/R 0
- 0 z.52 43 0 0 EMI R-
where cU (i,j=1,2 ,..., 6) are the dimensionless compliance coefficients and Fo=
vER'/(l- v*).
It must be pointed out that the above analysis applies to a crack which remains open
during the shaft rotation. This assumption is not always valid. This is the case, for example,
if the static deflection of the shaft is large, compared with the vibration amplitude. In
this case, the crack opens and closes periodically with the shaft rotation. If the static
deflection of the shaft is small, as in most light shafts, the crack remains open if the
unbalance is in the direction of the crack, as usually happens. If the unbalance is in the
opposite direction, the crack remains closed and does not affect the shaft behavior, except
in the case of violent transients.
The utility of the present analysis is maintained, however, even in the case of a closing
crack because most of the features of rotor behavior under an open crack are qualitatively
maintained in the case of a rotor with a closing crack.

3. UNDAMPED VIBRATIONS

Consider a de Lava1 rotor (see Figure 3) of length L and radius R,with a transverse
surface crack of relative depth cw/D (D = 2R). The mass of the disc is m and the stiffness
of the untracked shaft EZ.

Figure 3. The model of a cracked de Lava1 rotor.

The rotor revolves at constant angular velocity w. With the mass assumed to be lumped
at the center of the disc, three degrees of freedom can be used (Figure 3). If (x, y, z) is
the stationary co-ordinate system and (5, 7, u) is the rotating one then [22]

(3.1)
 ROTATING SHAFT WITH AN OPEN CRACK 87

If L, = L/2 is the crack location, the equations of motion are [23]

&2wrj+(& -w2)~+w:4q+&4 = &,W2+g cos ot,

~+2w~+w:55+(0:4-~2)r]+~:,~=~2~2-gsinwt,

ii+&+:$7)+&4 =o, (3.2)

where 0; = kg/m (i, j = 1, 4, 5), E, and are the e2 unbalance amplitudes and g is the
acceleration of gravity.
For example for R = 0.01 m, L = 1 m, E = 2.1 x IO N/m2, the stiffness matrices for the
shaft without a crack and for the shaft with a crack depth cr/D = 0.5 are, respectively,
in N/m,

1 [
77 660 0 0 61 313 -9 171 -1.64x lo5
9 .

K= [ 0O-O 77 0660 6.47 x 10 KC=

-1.64 x 1O-5
-9 171
-38 802
73 408 6.24 x 10
-38 802 1
The system of equations (3.2) is linear. Three solutions can be distinguished.

3.1. FREE VIBRATION

Consider the homogeneous system of equations (3.2). A solution is sought in the form
ih,r
7 = 7. eiAo', u = u. e%',
5=&e , (3.3)
where &,, T,, and u0 are constants and A0 is the angular velocity of the free vibrations in
the moving co-ordinate system. If A is the angular velocity of these vibrations in the
stationary co-ordinate system, then

A =/A,+w. (3.4)
Substitution of equations (3.3) in the homogeneous system yields

(45 - W*-A;)&+(&&- 2iwA,)~,+(w:,)u0=0,

(w&+2iwA&+((w&- w2-A&,+(~:,)u,,=0,

(~:5)~~+(~:4)~70+(~:1-~2)u~=0. (3.5)
The condition for the existence of non-trivial solution of equations (3.5) is that the
determinant of the coefficients be equal to zero.
The evaluation of this determinant leads to the characteristic equation

A:+g,A:+g,A;+g,=O, (3.6)
where

g,= -(w:,+w:,+w:j+2aJ2),

g2=l-a- w2)(w~-~2)+(w:~+w:5+2w2):,-((w:5+w~~+w~~)],

g3 = [ 0;,(w~-w2)+w~&J:, -w2)+w&f1 -(w~5-w2)(o~4-~2)o~1 -~oJ~~w~~w~~].

A Newton-Raphson procedure has been used to compute the roots of equation (3.6)
for a cracked shaft of a/D = O-5 as functions of o. In Figure 4 these results are plotted
in a form used extensively by Tondl and Dimentberg [23,24]. On this graph, o is plotted
along the horizontal axis and A along the vertical axis. To each w correspond six values
of A (A = A,,+ w) which are the roots of equation (3.7). The points of intersection of the
associated curves with the A axis correspond to the frequency of the natural vibrations
88 C. A. PAPADOPOULOS AND A. D. DIMAROGONAS

Figure 4. Eigenvalues versus the rotational speed.

of a non-rotating shaft. The points of intersection of the curves with the line A = o
correspond to the values of critical speeds of forward precession, and the points of
intersection with the line A = -o correspond to values of the critical speeds of reverse
precession.
It has already been shown [25] that between o1 and w2 there is instability. In this case
there exists one more critical speed corresponding to the longitudinal eigenvalue of the
shaft near which instability also appears.
The first instability, which exists in the interval w55< w < 44, is called by Tondl [23]
the instability of the second kind; the second instability, which lies in the vicinity of w,, ,
is called the instability of the first kind.

3.2. THE EFFECT OF ECCENTRICITY OF THE CENTRE OF GRAVITY

The system of equations (3.2) for g = 0 gives

&2w*+(&- w2)5+ &VI + w:,u = E,W2,

~+2w~+L5+(0~4-W2)~++0:,U = &*02, ii+w:,~+o:4~+w:,u=o. (3.7)

This system is non-homogeneous and the solution is

[I[
50 =
70
uo b&w*)
WI5
w45
2 44
(d4- 142 07 4,
011
w:,2
I[

In Figure 5 to, no and u. are plotted against w. Maximum values are observed near
&*W2
1
w*
0
(3.8)

wU and wS5 which are the two main eigenvalues for the main directions of the crack
section. The existence of u. is caused by the coupling terms of the stiffness matrix. If the
crack depth is zero then for i # j+wz = 0 and u. = 0. Figures 5(a)-(c) are plotted for a
typical rotor of m = 3 kg, L = 1000mm crack depth CY/D = O-5at L,= L/2 and eccentricity
E, = O-001 m and ~~0-004 m, and yield w=,~= 136 s- and w4.,= 161 s-l. If no influence of
the coupling is taken into account then w55= 143 s- and w+, = 156 SC.
 ROTATING SHAFT WITH AN OPEN CRACK 89

1
-O- Ib)
0.9 -
0.6 - 0.6 -
FO?- 7 0.7 -
0 s
E06- x 0.6 -
g 0.5 - IO.5 -
j 0,4- 3 0.4 -

4p o-2
0.3 -- 5:::-
01 - o-1 -
0 I 1 I I I 0
0 ~0 60 90 120 150 160 210 240 210 300 0 30 60 90 120 150 160 210 240 270 300
l3otatbnd
speed, w (rod/s)

5
(c)

Figure 5. The effect of eccentricity: amplitude of vibration in the three main directions versus the rotational
speed. Crack depth (I/O = 0.5; eccentricity E, = 0.001, e2 = 0.004. (a) Vertical vibration; (b) horizontal vibration;
(c) axial vibration.

3.3. THE EFFECT OF THE DISC WEIGHT

Let the shaft be perfectly balanced, so that e1 = e2 = 0. The system of equations (3.2)
for the rotating co-ordinatate system gives

&-2w7j + (w:, -w2)~+w:~~+o:,u=gcoswc,

ij+2w&+&+(w~- w*)q + W&U = -g sin wt,

ii+w:,~+w:4~+o:1u=o. (3.9)

Let
-ior 77 = v. em, u = ~0 e-. (3.10)
5=50e ,

With the above representation of the harmonic functions, equations (3.9) become

(45 -2w2)50+ (44 +2i02)~o+w:1uo=g,

(&5 -2iw2)to+(w&- 20*)r],+0:,U0= -g,

o:5~o+w:,~o+(w:,-02)uo=o. (3.11)

Solution of this system yields the response. If the complex solution for k. is of the form
to = 5, + i&, then

I~ol=&:+G and q5=tan- (t2/5,). (3.12)

In Figure 6 the influence on the amplitude of vibration and of the disc weight is illustrated.
The first peak corresponds to the well known [25] sub-critical resonance at about half
the first critical speed:
w, = w55w44/[2(w~+ 0J:5)]2. (3.13)
90 C. A. PAPADOPOULOS AND A. D. DIMAROGONAS

0.1 10

0.00 - -O.&
P x
E
E
s
$ 0,06- -0.6 i
Q L
$
B
3 oo+ -0.4 ;
I
.z
.g
0.02 - ) 70.2 ai-

00 201 40I 60 60 I
100 I
120 1
3000 I
4OQO I
5000 6O:O
Rotational speed. w (red/s)

Figure 6. The effect of the disc weight: amplitude of vibration versus the rotational speed, for two scales.

This value is not affected by coupling. For w55= 135 s-l and wM = 161 s-l from the above
relation w, = 78 SC. This is verified by the results in Figure 6. On the right of the diagram
one can see a second resonance which is caused by the coupling effect and corresponds
to the first longitudinal eigenvalue of the shaft (wl, = 4562 SC*).

4. DAMPED VIBRATIONS

If damping is present, the equations of motion for the rotating co-ordinate system are
[231
4+2s,(&o77)-2w7j+(w:, -0*)~+&+&4 = qw2+g cos wt,

~+2Sz(7j+o~)+2w~+w~S~+(~~4-~2)~+0241u=~202-gsinwt,
ii+2s$i+:&+w:,~ +o:,u =o, (4.1)
where of = k,/m (i, j = 1,4,5), 2Si = c/m (i = 1, 2, 3), cl = C&i&$, c2 = JG, and
c, = 4Jm, in which 5 is the percentage of critical damping. In particular 26, = 25uS5,
2S2 = 2&&,, and 2& = 25~~~.
Upon introducing the dimensionless parameters <= t/L, fj = q/L, ti = u/L, E, = Ei/ L
(i = 1,2), g = g/(Lx.o) and r = wt, and defining 0; = CM~/W the dimensionless differential
equations become
~+25.n,,(~-ii)-2rSr+(n:,-1)~+~:,ii+~:,a=E,+gcoswt,
jin+2~~44(jj+F)+2~+~n:5~+(~~-l)ij+n:,a=E2-gsinwt,
~+25.n,,a+~n:sT+n:,ii+n:,a=o, (4.2)
where the primes denote differentiation with respect to T.
When time domain analysis of the equations of motion is desired, it is preferable to
express the equations as a set of first-order differential equations. Let
c=x,, 7j=x2, ii=x3, .T$=x_$,jj=x5,ii=x,. (4.3)
The equations of motion in normal form then become
ir=[A]x+B(t), (4.4)
 ROTATING SHAFT WITH AN OPEN CRACK 91
where

0 0 0 1 0 0
0 0 0 0 1 0
0 0 0 0 0 1
[Al = -(G--25&) 4, (-2&S,) 2 0
3
-(G-l)
-(&+2&U -(Of,-1) -n:, -2 (-2!%4) 0
-fi,S -.n:, -n:, 0 0 1 (-25G,)
B=[O 0 0 (Ei+g cos ot) (&--g sin wt) OIT.
As computed by using the Runge-Kutta numerical integration method for a de Lava1
rotor of length L = 1 m, radius R = 1 cm, mass of disc m = 3 kg and with a crack at the
center of depth (Y/D = 0.5, the rotor orbits in the x, y plane are shown in Figure 7(a)
for the disc weight effect only. In Figure 7(b) one can observe the x, y, z space orbit of
the center of gravity of the disc, where z is the direction of the axis of shaft. It is evident
that motion exists in this direction because of the coupling.
Similar results are obtained for the eccentricity effect.

-06mm

-O$,,,,,,
r-i-7
: ! ! : ::
.?
: I : : : +0.6mn

t0.6mm

:b)

Figure 7. The disc weight effect of the damped system in (a) the x-y plane and (b) in x-y-z space. a/D = 0.5.

5. DISCUSSION
From the foregoing discussion, it is apparent that substantial coupling of longitudinal
and bending vibration of a rotating shaft exists due to an open transverse surface crack,
evidenced by the coupling terms in the stiffness matrix associated with the existence of
a surface crack on a linear elastic structural element. The assumption of an open crack
leads to a system with behaviour similar to that of a rotor with dissimilar moments of
inertia along two perpendicular directions.
92 C. A. PAPADOPOULOSAND A. D. DIMAROGONAS

The local flexibility due to the presence of the crack was represented by way of a 6 x 6
matrix for six degrees of freedom in a short shaft element which includes the crack. This
matrix has off-diagonal terms which cause coupling along the directions which are
indicated by these terms. Shear was not considered and three degrees of freedom were
used, bending in the two main directions and extension, leading to a 3 x 3 stiffness matrix
with coupling terms. For short shafts the shear terms could be included with a Timoshenko
beam formulation.
It is clearly demonstrated that an instability region exists, as is usual for rotors with
dissimilar moments of inertia undergoing natural vibration. In addition the variation of
the eigenfrequencies due to the crack is noticeable, but small for small crack depths. A
much more pronounced manifestation of the existence of the crack appears in the vibration
spectrum (see Figure 6), where both the longitudinal and lateral vibration frequencies
coexist on the same spectrum. This is due only to the surface crack and can be used for
an unambiguous identification of the existence of the crack.
The coupling of the longitudinal and lateral motion was also demonstrated by way of
a dynamic response analysis of the damped system. In fact, for moderate crack depths,
the coupling of the motion can be clearly observed.
For machinery vibration monitoring, the on-line analysis of the longitudinal vibration
signal can yield valuable information for the development of surface cracks on rotors
and shafts because the longitudinal vibration of such members is usually associated with
a low level of noise; therefore the resolution of the crack detection is relatively high.
Cracks with depth ratios of the order of a/d = 0.1 can be easily detected.

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 ROTATING SHAFT WITH AN OPEN CRACK 93
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