Chin. J. Mech. Eng.

(2017) 30:1177–1183
DOI 10.1007/s10033-017-0180-7

ORIGINAL ARTICLE

Experimental Dynamic Analysis of a Breathing Cracked Rotor

Chao-Zhong Guo1 • Ji-Hong Yan1 • Lawrence A. Bergman2

Received: 5 December 2016 / Revised: 10 May 2017 / Accepted: 23 July 2017 / Published online: 2 August 2017
Ó The Author(s) 2017. This article is an open access publication

Abstract Crack fault diagnostics plays a critical role for Keywords Industry 4.0  Fault diagnosis  Cracked rotor 
rotating machinery in the traditional and Industry 4.0 fac- FFT spectra
tory. In this paper, an experiment is set up to study the
dynamic response of a rotor with a breathing crack as it
passes through its 1/2, 1/3, 1/4 and 1/5 subcritical speeds. A 1 Introduction
cracked shaft is made by applying fatigue loads through a
three-point bending apparatus and then placed in a rotor The recently emerged conception ‘‘Industry 4.0’’ is one of
testbed. The vibration signals of the testbed during the the most popular manufacturing topics among the industry
coasting-up process are collected. Whirl orbit evolution at and academia in the world which was first announced at the
these subcritical speed zones is analyzed. The Fourier 2013 Hannover Fair [1]. Similar strategies have also been
spectra obtained by FFT are used to investigate the internal proposed by other main industrial countries, such as ‘‘In-
frequencies corresponding to the typical orbit characteris- dustrial Internet’’ by US and ‘‘Made in China 2025’’ by
tics. The results show that the appearance of the inner loops China [2]. Focusing on cyber-physical systems (CPS),
and orientation change of whirl orbits in the experiment are Industry 4.0 is regarded as the next-generation production
agreed well with the theoretical results obtained previously. framework for the fourth industrial revolution [3] and
The presence of higher frequencies 2X, 3X, 4X and 5X in promises to create the smart factory [4]. As one of the main
Fourier spectra reveals the causes of subharmonic reso- components of Industry 4.0, the smart factory will involve
nances at these subcritical speed zones. The experimental a new integrative system, where not only all manufacturing
investigation is more systematic and thorough than previ- resources (sensors, actuators, machines, robots, etc.) are
ously reported in the literature. The unique dynamic connected and exchange information automatically, but
behavior of the orbits and frequency spectra are feasible also the factory will become conscious and intelligent
features for practical crack diagnosis. This paper provides a enough to predict and maintain the machines; and intelli-
critical technology support for the self-aware health man- gent enough to predict and maintain the machines [5, 6].
agement of rotating machinery in the Industry 4.0 factory. Many new technologies and methodologies have been
developed in the related fields to promote the revolution,
such as the crowsdsourcing based new production devel-
Supported by National Natural Science Foundation of China (Grant opment in manufacturing SMEs [7], Quality assurance
No. 51505099). system [8], standardization towards Industry 4.0 [9],
wireless device connection [10]. Because of high connec-
& Ji-Hong Yan tion, the health condition of a single machine has greater
[email protected]
influence on the factory operation than ever before. Online
1
School of Mechatronics Engineering, Harbin Institute of fault diagnostics and prognostics provide critical health
Technology, Harbin 150001, China information for the self-aware building and decision mak-
2
Department of Aerospace Engineering, University of Illinois ing which will play an important role in the Industry 4.0
at Urbana-Champaign, Urbana 61801, USA factory [11].

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1178 C.-Z. Guo et al.

Rotating machines are extensively used in industry, such experiments [24]. Darpe, et al. [25] verified theoretical
as the compressors, rotors in manufacturing machines, findings through experiments with a fatigue crack rotor.
steam and gas turbines, generators, and pumps [12–14]. The orbits and FFT spectra during the rotor passage
Fatigue cracking of rotor shafts is an important phe- through the 1/3 and 1/2 critical speeds consistently mat-
nomenon that can lead to severe damage and great eco- ched the theoretical findings. Later, Zhou, et al. [26] and
nomic loss if not detected in time, especially for the highly Ren, et al. [27] adopted a similar method to further
connected and automatic production system in the Industry examine fatigue in cracked rotors. Compared with real
4.0 factory. The CPS provides great opportunity to perform fatigue cracks, the open crack is easier to implement in the
online crack detection based on the broad implement of experiment. Dong, et al. [28], Lin, et al. [29], and
sensors, data acquisition systems, computer networks and Mohammed, et al. [30] used a wire cutter machine to
cloud computing systems together with the rotor dynamic generate slits with different depths in the rotor which were
theory so that the sudden breakdown of production lines generally viewed as open cracks.
due to the cracked shafts can be avoided. In this research, the dynamic response of a breathing
It has been shown in the literature that the presence of a cracked rotor was studied experimentally. A real fatigue
crack introduces additional flexibility to the shaft, which crack was induced using a three-point bending machine.
reduces its overall stiffness and generates complex orbits The unique orbit evolution was compared with the theo-
and super-harmonic frequency components [15, 16]. The retical findings given in Ref. [19], and the frequency
dynamic analysis of cracked rotor systems has been spectra obtained by FFT method were analyzed as well.
intensively studied by many researchers [17–23]. Sinou, This work presents an effective crack detection method
et al. [17] evaluated the dynamic response of the rotor with based on the dynamic response for the online diagnosis of
a breathing crack by expanding the changing stiffness of rotor systems in the future smart factory.
the crack in a truncated Fourier series and using the Har-
monic Balance Method. The orbits during transient oper-
ation at the critical speed and at half of the critical speed 2 Theoretical Analysis of the Cracked Rotor
were considered to be the unique characteristics of the System
cracked rotor system. Babu, et al. [18] used the Hilbert-
Huang transform to study the transient response of a In Ref. [23], a Jeffcott rotor model was established, and
cracked rotor passing through its critical speed. A fre- a breathing function was synthesized using Fourier series
quency fluctuation was observed at the sub-critical speed. to approximate the actual breathing process. The
Al-Shudeifat [19] and Silani, et al. [20] used finite element breathing of the crack during the shaft rotation can be
models to establish the dynamic equations of the cracked described as shown Figure 1. When open, the crack
rotor system. The whirl orbit and the shifts in the critical causes a reduction in bending stiffness of the shaft,
and subcritical speeds were studied. Shravankumar, et al. while when fully closed (see Figure 1(f), the bending
[21] utilized a full-spectrum method obtained by complex stiffness is equal to that of the uncracked rotor. There-
Fast Fourier transform to estimate the force and displace- fore, the breathing phenomenon leads to a time-varying
ment coefficients for crack identification. The typical orbits stiffness matrix in the governing equations of the
and the frequency spectrum at the sub-critical speed were cracked rotor system. The governing equations of the
investigated. Lu, et al. [22] studied the nonlinear response cracked rotor system are given by
characteristics of a breathing transverse crack rotor. The (
results indicate that the transverse crack causes super-har- m€u þ cu_ þ k1 ðtÞu þ k12 ðtÞv ¼ med X2 sinðXt þ bÞ;
monic resonance peaks at the second, third and fourth v þ cv_ þ k21 ðtÞu þ k2 ðtÞv ¼ med X2 cosðXt þ bÞ  mg;
m€
subcritical speeds. In an earlier paper by a subset of the
ð1Þ
authors [23], a new breathing function was proposed and
the empirical mode decomposition was used to study the where k1(t), k2(t) are the instantaneous stiffnesses respec-
high-order frequency variation of a Jeffcott rotor with a tively in the horizontal and vertical directions, and k12(t),
transvers breathing crack. The typical whirl orbits during k21(t) are the cross-coupling stiffnesses. The definitions of
passage through the 1/3 and 1/2 subcritical speeds were other parameters can be found in Ref. [23].
observed. Based on aforementioned literature and other The governing equations are solved for relative crack
references therein, it can be concluded that analyzing depth of l = 0.2, and the whirl orbits during passage
unique characteristics of the dynamic response is a feasible through the 1/3 and 1/2 subcritical speeds are shown in
and widely used method for crack detection. Figure 2. It can be seen that near the 1/3 subcritical speed
However, although many papers have been published in two inner loops appear (see Figure 2(a)) and get larger as
this area, only a few employ actual results from laboratory the rotating speed approaches the 1/3 subcritical speed in

123
Experimental Dynamic Analysis of a Breathing Cracked Rotor 1179

Y,Y Y Y
Y Y

Neutral axis
N.A Ce X N.A Ce X N.A Ce X
X X X

Centroid
θ1
Crack segment
(a) (b) (c)
Y Y,Y
Y Y
Y

N.A Ce X N.A Ce X N.A Ce X

X X X

θ2

(d) (e) (f)

Figure 1 States of the breathing crack during shaft rotation [23]

0.4 0.5 0.4 0.1

0.2 0.2 0
0
0 0 -0.1
-0.5
Vertical amplitude v/mm

-0.2 -0.2 -0.2

-0.4 -1 -0.4 -0.3

-0.2 0 0.2 -0.5 0 0.5 -0.2 0 0.2 -0.2 0 0.2
(a) (b) (c) (d)
1 1 0.5 0.5

0.5 0.5
0 0
0 0
-0.5 -0.5
-0.5 -0.5

-1 -1 -1 -1
-0.5 0 0.5 1 -0.5 0 0.5 1 -0.5 0 0.5 -0.5 0 0.5
(e) (f) (g) (h)
Horizental amplitude u/mm

Figure 2 Whirl orbits of the cracked rotor during passage through the 1/3 and 1/2 subcritical speeds for l = 0.2 [23]

Figure 2(b). Then, as the speed further increases, the inner In addition, in the 1/3 subcritical speed zone, the loops
loops become smaller and finally disappear, Figure 2(d). appear and disappear at about p/p2.2 rad, while in the 1/2
Similarly, near the 1/2 subcritical speed, one inner loop subcritical speed zone, the loops appear at about p rad.
appears and evolves similarly, shown in Figures 2(e)–2(h). These results are quite consistent with the results of Refs.

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1180 C.-Z. Guo et al.

[19, 25], which leads us to consider the orbits as a rea- orbits around 1660 r/min, which is the 1/2 sub-critical
sonable feature for crack identification. speed zone, are plotted in Figure 4. It can be seen that the
experimental results agree well with the theoretical anal-
ysis. The evolution process of the typical loop shown here
3 Experimental Validation is clearer and more complete than similar results shown in
the prior Refs. [25–27]. In Ref. [25], only two whirl orbits
An experiment is set up on a rotor test rig which consisted were shown which was incomplete to display the evalua-
of a real fatigue shaft supported by a pair of identical ball tion process. In Ref. [27] only the frequency spectra were
bearings, a disk, two eddy current sensors and a DC motor studied while orbits were not examined. In Ref. [26], the
as shown in Figure 3. The mass of the disk is 500 g. The whirl orbits at the subcritical speeds were not quite con-
diameter of the shaft is 10 mm, and the span between the sistent with the theoretical results. The reason may lie in
two bearings is 400 mm. that in Ref. [26] the oil film force generated by the journal
A fatigue crack is generated on the shaft transversely by bearings affected the rotor orbits, but in this research the
using a three-point-bending machine. Firstly, a slot is made high precision ball bearings are used which can help to
by a wire-electrode cutting machine near the middle of the reduce the additional force.
effective supported span as the initial fault. Then the shaft The orientation change of the loop during passage
is placed in the three-point-bending machine and subjected through the 1/2 subcritical speed zone is about p rad which
to cyclic loading in a sinusoidal form at the nearby of the verifies the modelling and simulation findings in our pre-
precut slot. After about 5000 cycles, the crack propagates vious research [23]. The corresponding frequency spectra
to a depth of about 3.2 mm. The displacement of the center are shown in Figure 5. They indicate that when the rotation
of the cracked section is measured by the eddy current speed approaches the 1/2 sub-critical speed zone, the 2X
sensors implemented in both the horizontal and vertical component dominates, as shown in Figures 5(b) and (c). As
directions. A speed controller is used to adjust the rotation the speed increases past the center of the subcritical zone,
speed. The vibration signal is collected by a PXI data the 2X component weakens, as expected.
acquisition box produced by the National Instruments Similarly, the whirl orbits during passage through the
Company. 1/3 subcritical speed zone are shown in Figure 6. The
In order to verify the typical whirl orbits during passage evolution of the inner loops and their orientation agrees
through the subcritical speeds, a coast up and rundown well with simulation results. The frequency spectra in
process was performed. The first critical speed of the Figure 7 show that in this region, in addition to the basic
cracked rotor system was found at about 3300 r/min. The frequency a high order (3X) component exists, indicated by
the two inner loops in Figure 6, and we observe that the 2X
component is relatively smaller in the 1/3 subcritical speed
Eddy current sensors Disk Cracked shaft DC motor
zone.
Bearing 1 Bearing 2 During the experiment, the unique orbits near the 1/4
and 1/5 subcritical speeds were also observed as shown in
Figure 8 and Figure 10. To our knowledge, these subcrit-
ical speed zones have not been observed experimentally
and reported in the literature. The whirl orbits including the
three inner loops shown in Figure 8 agreed well with
simulation results given in Ref. [19]. The frequency spectra
of the horizontal response in the 1/4 subcritical speed zone
Figure 3 Rotor test rig
Vertical amplitude v/mm

0.2 0.2 0.5 0.2 0.2

0 0 0 0 0

-0.2 -0.2 -0.5 -0.2 -0.2

-0.2 0 0.2 -0.5 0 0.5 -0.5 0 0.5 -0.5 0 0.5 -0.2 0 0.2
(a) =1600 r/min (b) =1660 r/min (c) =1680 r/min (d) =1740 r/min (e) =1770 r/min
Horizontal amplitude u/mm

Figure 4 Experimental whirl orbits of the cracked rotor during passage through the 1/2 subcritical speed

123
Experimental Dynamic Analysis of a Breathing Cracked Rotor 1181

0.1 0.3 0.15 0.1

Amplitude A/mm
x 0.1 2x 2x x x
x
0.2 0.1 2x 2x
0.05 0.05
0.05
2x 0.1 x 0.05

0 0 0 0 0
0 50 100 0 50 100 0 50 100 0 50 100 0 50 100
(a) =1600 r/min (b) =1660 r/min (c) =1680 r/min (d) =1740 r/min (e) =1770 r/min
Frequency f/Hz

Figure 5 Frequency spectra of response in the horizontal direction during passage through the 1/2 subcritical speed
Vertical amplitude v/mm

0.1 0.1
0.1 0.1 0.1

0 0 0 0 0

-0.1 -0.1 -0.1

-0.1 -0.1
-0.1 0 0.1 -0.1 0 0.1 -0.2 0 0.2 -0.2 0 0.2 -0.2 0 0.2
(a) =1120 r/min (b) =1125 r/min (c) =1140 r/min (d) =1150 r/min (e) =1160 r/min
Horizontal amplitude u/mm

Figure 6 Experimental whirl orbits of the cracked rotor during passage through the 1/3 subcritical speed

0.1 0.1 0.1 0.1 0.1

x x x
Amplitude A/mm

x x
3x
3x 0.05
0.05 0.05 0.05 0.05
3x
3x 3x
0 0 0 0 0
0 50 100 0 50 100 0 50 100 0 50 100 0 50 100

(a) =1120 r/min (b) =1125 r/min (c) =1140 r/min (d) =1150 r/min (e) =1160 r/min
Frequency f/Hz

Figure 7 Frequency spectra of the response in the horizontal direction during passage through the 1/3 subcritical speed
Vertical amplitude v/mm

0.1 0.1 0.1 0.1

0.1

0 0 0
0 0

-0.1 -0.1 -0.1

-0.1 -0.1 -0.1 0 0.1
-0.1 0 0.1 -0.1 0 0.1 -0.1 0 0.1 -0.1 0 0.1
(a) =795 r/min (b) =825 r/min (c) =850 r/min (d) =858 r/min (e) =885 r/min
Horizontal amplitude u/mm

Figure 8 Experimental whirl orbits of the cracked rotor during passage through the 1/4 subcritical speed

are shown in Figure 9. It indicates that in this zone the 4X Figure 8, the size of the inner loop is smaller and the
component exists and shows a similar variation pattern as evolution process is not as obvious as in previous cases.
the high-order frequency components in the 1/2 and 1/3 The Fourier spectra shown in Figure 11 indicate that the
subcritical speed zones. high frequency 5X component does exists but is relatively
In Figure 10, four inner loops appear in the orbit when weak which leads to the small inner loop.
the rotating speed passes through the 1/5 subcritical speed From Figure 5, Figure 7, Figure 9 and Figure 11, it
zone. However, compared to Figure 4, Figure 6 and can be seen that near the subcritical speed, besides the

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1182 C.-Z. Guo et al.

0.1 0.1 0.1 0.1 0.1

x x x
x x
Apmlitude A/mm
0.05 0.05 0.05 4x 0.05 4x 0.05

4x
4x 4x
0 0 0 0 0
0 50 100 0 50 100 0 50 100 0 50 100 0 50 100
(a) =795 r/min (b) =825 r/min (c) =850 r/min (d) =859 r/min (e) =885 r/min
Frequency f/Hz

Figure 9 Frequency spectra of the response in the horizontal direction during passage through the 1/4 subcritical speed
Vertical amplitude v/mm

Figure 10 Experimental whirl

orbits of the cracked rotor 0.1 0.1 0.1 0.1
during passage through the 1/5
subcritical speed 0 0 0 0

-0.1 -0.1 -0.1 -0.1

-0.1 0 0.1 -0.1 0 0.1 -0.1 0 0.1 -0.1 0 0.1

(a) =665 r/min (b) =675 r/min (c) =680 r/min (d) =685 r/min
Horizontal amplitude u/mm

Figure 11 Frequency spectra 0.1 0.1 0.1 0.08

of the response in the horizontal x x
x
Amplitude A/mm

direction during passage x 0.06

through the 1/5 subcritical speed
0.05 0.05 0.05 0.04

0.02
5x 5x 5x 5x
0 0 0 0
0 50 100 0 50 100 0 50 100 0 50 100
(a) =665 r/min (b) =675 r/min (c) =680 r/min (d) =685 r/min
Frequency f/Hz

basic frequency, the high frequency harmonic of the first frequency to the center of the subcritical speed zone,
critical speed is obvious which leads to the appearance the stronger the dominant component.
of the typical orbits. When the rotating speed is in the (3) Compared with previous experimental results, the
lower subcritical speed zone, the corresponding high investigation of the orbits and frequency spectra
resonance frequency component is weaker. From herein is more systematic and complete, which
Figures 4–11, we believe that the unique dynamic provides a crack diagnostics method for the health
responses in the sub-critical speed zones have been management in Industry 4.0 factories.
systematically investigated and documented by the cur-
In future work, the experiment can be designed with
rent set of experiments.
multiple faults, such as the crack with bearing fatigue, oil-
film force, or rub-impact fault to study the influence of
other faults on the dynamics of cracked rotor systems and
4 Conclusions
the crack detection method in multi-fault cases.
(1) In the experiment, typical inner loops appear when Open Access This article is distributed under the terms of the
the cracked rotor passes the 1/5, 1/4, 1/3 and 1/2 sub- Creative Commons Attribution 4.0 International License (http://crea
critical speed zones, which well proves the theoret- tivecommons.org/licenses/by/4.0/), which permits unrestricted use,
ical findings in previous research. distribution, and reproduction in any medium, provided you give
appropriate credit to the original author(s) and the source, provide a
(2) The FFT spectra indicates that in each subcritical link to the Creative Commons license, and indicate if changes were
speed region, higher frequency components always made.
exist. In addition, during the passage, the closer the

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Experimental Dynamic Analysis of a Breathing Cracked Rotor 1183

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Chao-Zhong Guo, born in 1982, is currently an assistant professor at
critical speed of a cracked rotor. Journal of Sound and Vibration,
Harbin Institute of Technology, China. He received his PhD degree
2011, 330: 2031–2048.
from Harbin Institute of Technology, China, in 2014. During 2010 to
13. H Z Gao, L Liang, X G Chen, et al. Feature extraction and
2012, he studied in University of Illinois at Urbana-Champaign as a
recognition for rolling element bearing fault utilizing short-time
joint PhD candidate. His research interests include prognostics, rotor
Fourier transform and non-negative matrix factorization. Chinese
dynamics. Tel: ?86-451-86414374; E-mail: [email protected]
Journal of Mechanical Engineering, 2015, 28(1): 96–105.
14. S Singh, N Kumar. Combined rotor fault diagnosis in rotating
machinery using empirical mode decomposition. Journal of Ji-Hong Yan, born in 1972, is currently a professor at Harbin
Mechanical Science and Technology, 2014, 28 (12): 4869–4876. Institute of Technology, China. She received her PhD degree from
15. C Kumar, V Rastogi. A brief review on dynamics of a cracked Harbin Institute of Technology, China, in 1999. Her research interests
rotor. International Journal of Rotating Machinery, 2009, include prognostics, sustainable manufacturing, and intelligent man-
2009(2): 1–6. ufacturing. Tel: ?86-451-86402972; E-mail: [email protected]
16. R T Liong, C Proppe. Application of the cohesive zone model for
the evaluation of stiffness losses in a rotor with a transverse Lawrence A. Bergman, is currently a professor at University of
breathing crack. Journal of Sound and Vibration, 2013, 332: Illinois at Urbana-Champaign, USA. He received his PhD degree
2098–2110. from Case Western Reserve University, USA, in 1980. His research
17. J J Sinou, A W Lees. A non-linear study of a cracked rotor. interests include stochastic dynamics, linear and nonlinear structural
European Journal of Mechanics A/Solids, 2007, 26: 152–170. dynamics and control, nonlinear system identification. Tel: ?1-217-
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detection and monitoring of crack in a transient rotor. Mechanical
Systems and Signal Processing, 2008, 22: 905–914.

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