Friction-induced vibration, chatter, squeal, and chaos

Part II: Dynamics and modeling

RA Ibrahim
Department of Mechanical Engineering, Wayne State University, Detroit MI 48202
This part provides a comprehensive account of the main theorems and mechanisms developed in the
literature concerning friction-induced noise and vibration. Some of these mechanisms are based on
experimental investigations for classical models. Bilinear and nonlinear dynamical models have been
considered to explain such friction phenomena as stick-slip, chatter, squeal, and chaos. Nonlinear
modeling includes two types of nonlinearities which differ from those encountered in structural
dynamics. These nonlinearities, in addition to the observed uncertainty of friction between sliding
surfaces, form a formidable difficulty in developing accurate and reliable modeling. They include the
inherent nonlinearity of contact forces (eg, Hertzian contact), and the nonlinear relationship between
friction and sliding relative velocity. Research activities in this area are a mixture of theoretical,
numerical, and experimental investigations. Theoretical investigations are prevailed by deterministic
analysis with few attempts of stochastic treatment. The models include classical and practical engineering
models such as the mass-spring model sliding on a running belt or on a surface with Hertzian contact, a
pin sliding on a rotating disk, beams with friction boundaries, turbine blades, water-lubricated bearings,
wheel-rail systems, disc brake systems and machine cutting tools. There is a strong need for further
research to promote our understanding of the various friction mechanisms and to provide designers of
sliding components with better guidelines to minimize the deteriorating effects of friction.

I. INTRODUCTION This part reviews the early and recent results of sys-
tem dynamics with friction and their modeling. The stick-
Several mechanisms can give rise to self-excited vibra- slip received extensive early studies as outlined in
tions in frictional systems. For example, in a single- Section II. This section also addresses the damping and
degree-of-freedom system a necessary condition of self- self-excitation aspects of friction, effects of constant and
excited vibrations is the negative slope of the friction velocity-dependent friction on forced vibration of linear
force-speed curve. This negative slope is responsible for and nonlinear single freedom systems, friction and chaos,
the energy that is supplied to the vibrations. When one and the effect of friction at support boundaries of elastic
of the sliding surfaces has a certain degree of elastic free- elements such as plates, beams, and turbomachinery
dom, the motion may not be continuous, but may be in- blades. Section III reviews chatter and squeal in engi-
termittent and proceed by a process of "stick-slip." During neering applications such as water lubricated bearings,
stick-slip motion two different deformation mechanisms wheel/rail systems, disc-brake system and machine cut-
take place. The first is elastic, during which the two con- ting tools. The main conclusions and research needs in
tact surfaces stick and the asperities deform elastically. the area of friction induced vibration are discussed in the
The second is plastic deformation, where sliding takes last section.
place and the asperities deform plastically. The occur-
rence of stick-slip is unpredictable, mainly because the II. THE STICK-SLIP PHENOMENON
slope of the friction-speed curve is not constant but varies
randomly with contamination, surface finish, misalign- II.l Early Research Results
ment of sliding surfaces, and other factors. In multi-
degree-of-freedom systems, the phase differences between Early research on friction-induced vibration has been a
the coupled modes can supply energy to induce vibrations. mixture of experimental observations and semi-analytical
The vibration characteristics are system dependent in ad- approaches. In 1929, Wells observed stick-slip during his
dition to the degree of coupling among frictional and other measurements of the coefficient of kinetic friction.
degrees of freedom. The importance of coupling between Thomas (1930) studied the damped vibrations due to solid
the system's degrees of freedom has been recognized by friction by using graphical and analytical techniques to
Earles and Lee (1976) and by Krauter (1981) in their lin- solve the differential equations of motion. For general
ear analysis of the generation of squeal by dry friction. damping proportional to the n-th power of the velocity
The experimental observations of Aronov, et al. (1983) (e.g., n=0 for Coulomb friction, n=l for viscous damping),
supported the importance of coupling in friction-induced Jacobsen (1930) replaced all damping terms by one linear
vibration in their model of a pin sliding on a rotating disk. viscous damper which dissipates an equivalent amount of

Transmitted by Associate Editor Eugene Rivin.

part of "Friction-induced vibration" edited by RA Ibrahim and E Rivin ASME Reprint No AMR147
Appl Mech Rev vol 47, no 7, July 1994 227 '© 1994 American Society of Mechanical Engineers

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 228 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

energy per cycle. Den Hartog (1931) obtained an exact tion. However, under the action of a disturbance of a cer-
solution for steady state stick-slip motion for a single- tain level, transition to steady self-excited vibrations
degree-of-freedom system with two intervals of lockup takes place. So the existence and nonexistence of self-ex-
(i.e., no relative motion) per cycle. His solution was cited vibration depends on the stability of equilibrium
pieced together analytically over each subinterval to con- points.
struct one entire cycle of the periodic motion. Blok The existence of the quasi-harmonic oscillation is
(1940) linearized the friction-velocity curve and showed critically dependent on the particular shape of the dy-
that a sufficient increase in damping could result in elim- namic friction curve. Figs. la,b show two possible friction
ination of the stick-slip phenomenon. He concluded that curves considered by Brockley and Ko (1970). The exis-
the essential condition for the occurrence of stick-slip tence and nonexistence of self-excited vibration of the
motion is a decrease of Motional force with increasing quasi-harmonic form has been examined for the various
sliding speeds, i.e. dynamic friction curves. Figs. 2a, 2b, and 2c show the
phase-plane graphs corresponding the linear and humped
£<° 0) friction graphs shown in figs la and lb. Fig. 2a illustrates
the case of a limit cycle of the stick-slip type produced by
where F is the friction force and v is the relative velocity. entrainment of the phase trajectory into the static friction
A graphical method was used by Dudley and Swift axis. Fig. 2b shows a situation whereby the mass
(1949) for solving the differential equations governing the achieves a position of stable dynamic equilibrium and
stick-slip process. Sinclair and Manville (1955) showed limit cycle motion does not occur. In general, it may be
that frictional vibration is due to the rise of the coefficient' observed that the linear friction curve will give rise to
of friction as slip speed decreases. Rabinowicz (1957) stick-slip vibration or stable displacement, depending on
conducted a series of experimental tests to study the the system parameters. Limit cycle motion is possible in
stick-slip process. His results included the dependence of, the case of the humped friction-velocity curve, and the
amplitude of vibration on the driven surface velocity. He phase-plane trajectory of Fig. 2c shows the occurrence of
showed that the amplitude appeared to die out once a suf- almost harmonic oscillations. Brockley and Ko concluded
ficient driven velocity is reached. Derjagin, et al. (1957) that the hump in the friction-velocity curve appears to be
derived an expression for the critical speed at which stick- one of the conditions necessary for the existence of this
slip can occur between sliding surfaces. Their theory was form of oscillation. While this could be the case for some
later modified by Singh (1960), who considered a time- metals, Ludema (1967) argued that in some plastics and
dependent static-friction coefficient. By using a Fourier rubbers, friction-induced vibration occurs in a sliding
series approach, Levitan (1960) analyzed the forced oscil-
lation of a mass-spring system with combined Coulomb
and viscous damping in which the support was excited.
His results were limited to the case of continuously slip-
ping motion. Yamakawa (1962) considered a different ar-
rangement where the combined Coulomb and viscous
damping are elastically coupled to the system support.
Mahalingam (1975), Rozhestvenskii (1979), Taukhan,
(1982), and Marui and Kato (1984) examined the re-
sponse of dynamic systems with Coulomb friction.
Hundal (1979) incorporated Coulomb friction between
mass and ground with harmonic excitation of the base. V V
His analytical model yields closed form solutions charac- (a) Linearized friction-velocity (b) Humped friction-velocity
terized by two lockups per cycle. The solution gives reli-
able results, provided the forced response does not differ FIG 1 Friction-velocity models
significantly from simple harmonic motion. The analysis analyzed by Brockley and Ko (1970)
of Brockley, et al. (1967) yields an expression for a criti-
cal velocity which limits the incidence of vibration. This stable
limit cycle
critical velocity depends on damping, normal load, stiff-
ness, and friction characteristics which vary with time and
velocity. In most studies of friction-induced vibration it is
assumed that stick-slip exists because static friction is
higher than sliding friction. Brockley, et al. found that a
quasi-harmonic oscillation exists when the motion is gov-
erned by velocity-dependent friction forces only. These
results lead Tondl (1978) to classify self excited vibra-
tions into soft and hard. Systems with soft self-excitation (a) stick-slip (b) stable equilibrium (c) stable limit cycle
experience self-excited vibration if and only if their equi-
librium position is unstable. On the other hand, systems FIG 2 Phase portraits associated with friction-velocity
with hard self-excitation possess a stable equilibrium posi- models of FIG 1 (Brockley and Ko, 1970)

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 229
speed range where friction decreases with an increase in placed by a linear viscous force given by the expression,
sliding speed. Accordingly, friction-induced vibration oc- (Tondl, 1970): Fc X/amplXI, where amplXI denotes the ve-
curs at an average speed to the right of the friction peaks locity amplitude, one can show that the corresponding
where the slope is less than zero. The relative velocity work done Ud is given by the formula
between the slider and the rubber oscillates between a
low sliding speed and a higher sliding speed. This is why
such behavior cannot be termed stick-slip. Dokos (1946), Ud = nFXo (3)
Bell and Burdekin (1966, 1969, 1970), and Kato and
Matsubayashi (1970) showed that the frequency of stick- It is seen that Uc is greater than Ud, and accordingly
slip motion increases with driving velocity and that the the damping effect of a damper with a Coulomb friction is
maximum value of this frequency approaches the un- larger than that of a linear viscous dashpot. In both cases
damped natural frequency of the system. damping acts as a retarding force. It is well known that
Stick-slip motion is undesirable in mechanical sys- the equivalent viscous damping coefficient for Coulomb
tems because of its detrimental effect on the operation friction is
and performance of mechanical systems. Its elimination
is one of the main concerns of engineers involved in the Ceq = 4Fc/7tcoX0 (4)
design and operation of sliding components. Voorhes
(1963) outlined the following three conditions for elimi- It is clear that the equivalent coefficient of viscous
nating or minimizing stick-slip motion damping is decreasing with the response amplitude which
1. Elastic-plastic transition. This transition is an inherent reduces the effectiveness of the Coulomb friction as a
material characteristic. Contrary to the classical theory of passive damper.
friction, it has been demonstrated that for a stiff drive sys- Tondl (1970) examined the effect of dry friction on
tem the coefficient of friction actually increases when the unstable equilibrium position stability of a linear
sliding begins. The initial kinetic coefficient is meta- single degree-of-freedom system with negative damping
stable, increasing during sliding until it becomes stable. described by the equation of motion
Both the metastable and stable coefficients vary inversely
with sliding velocity and two deformation mechanisms
can take place. The first is elastic where the slider re- mX + F c ^ - cX + kX = 0 (5)
mains stationary and the asperities deform elastically. °IXI
The second is plastic during which sliding takes place where c is the coefficient of negative viscous damping.
and the asperities deform plastically. Reducing the force The equilibrium positions are always stable as long as
level at which transition takes place would reduce the cA/km<l. Accordingly, it is concluded that dry friction
amount of elastic energy stored in a given drive linkage. can stabilize the equilibrium position if the coefficient of
2. Drive linkage stiffness. The energy stored which can be negative damping does not exceed half the value of the
released to the slider can be reduced by incorporating stiff critical damping. Similar conclusions were drawn for two
drive linkages. mass systems with negative damping where dry friction is
3. Friction-velocity characteristic (Stribeck effect). necessary to stabilize the equilibrium position. The dy-
Voorhes (1963) and Niemann, et al. (1964) found that namic characteristics of systems with constant Coulomb
the negative friction-velocity slope can be eliminated by friction and velocity-dependent friction are outlined in the
inserting Polytetraflouroethylene (PTFE) strips or gra- next section.
phite between sliding surfaces or by applying lubricant
additives.
n.3 Vibration with Constant or Velocity-Dependent
II.2 Between Dry Friction and Damping Friction

The friction force can be separated into two components. The dynamic behavior of friction systems depends to a
The first has the usual retarding effect upon motion main- great extent on whether the friction force is a constant
tained by an external force, while the second actually during sliding or varies with the sliding speed. A large
starts and maintains another motion of a vibrating nature portion of early research activities was confined to the
which is superimposed on the first. For example, the work case of constant friction force. This constant friction
done by a damper with a Coulomb friction of a sliding model is still used in many classical and practical engi-
mass describing a sinusoidal motion X(t)= X0coscot is neering problems. Pratt and Williams (1981) studied the
steady state relative motion of two sliding masses with
dry Coulomb friction. Their model, however, can be rep-
r . r2n/(0 •2 resented by a single equation of motion
F d, 4F X
Hc^aH. °! =- < ° <*> mZ + 2F(Z,t) + kZ = (-2kY0sin<t>)sincot (6)

where the Coulomb friction force is represented by the where Z is the relative displacement between the two
expression Fc X/KI. If the Coulomb friction force were re- masses, k is the spring stiffness of each mass, Y0 is the

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 230 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994
support displacement amplitude, co is the support fre- velocity of mass m and the belt is positive. The system
quency, F(Z,t) is the Coulomb friction represented by motion may be described by the equations of motion

F0 ifZ(t)>0
X + cafc = £ { - bXcos 9 - CX - F d J^ + T(U)}
(9)
F(Z,f) = <( - ^kZ L - (kY0sin(p)sincot if Z(t) s 0 )• (7)
2 4> = y[M(cp)-rT(U)]
•F„ ifZ(t)<0
V. where M(<j>) = L(q>) - Tijfo), U = V - X,
T(U) = mgp.{sgnU - a : U + a,U 3 },
where ZL is the relative displacement when the system L(cp) is the driving torque, and H0(<p) the resistance
becomes locked. torque applied to the rotor
The response of system (6) was determined numeri- The interaction of the system motion with the power
cally by using a standard shooting technique. Starting supply dynamics is nonlinear and is referred to as au-
with arbitrary initial conditions Z(0) and Z(0), the quanti- toparametric coupling. The first equation shows that the
ties of the displacement and velocity after half period are
obtained by integrating the equation of motion in time. stiffness of the system is expressed in terms of two com-
This is continued iteratively until the boundary conditions ponents: a constant value, the second term on the left-
for non-periodicity are satisfied, i.e. hand side, plus an autoparametric component, the first
term on the right-hand side. It was found that the dry fric-
Z(0) = -Z(7l/C0), Z(0) = -Z(7l/C0) tion damper has a substantial influence on the nature of
(8)
the resonance curve and the amplitude of the system os-
For certain values of these parameters, the results ex-
hibit the occurrence of multiple lockups per cycle.
Recently, Franca and Oliveira (1990) employed the direct
method of Liapunov to study the stability of linear oscilla-
tors with dry friction, and of unbalanced discs sliding on a
straight line with dry friction at the point of contact.
Bifurcation theory has been used by Shaw (1986) to ana-
lyze the forced oscillation of piecewise linear mass-spring
systems with dry friction, which assumes one of five val-
ues depending on the state of the mass velocity. It was
shown that for positive viscous damping the non-sticking
steady state solutions of the same period as the forcing
excitation are nearly always asymptotically stable.
However, for negative viscous damping such motions be- radius r
come unstable. Makris and Constantinou (1991a) deter-
mined the transient and steady-state responses of mass-
spring-dashpot oscillators with constant Coulomb and lin- FIG 3 Schematic diagram of limited power supply
ear/Coulomb friction. They obtained conditions of separa- coupled with a mass sliding on a running belt
tion and reattachment that distinguish between normal (Alifov and Frolov, 1977)
and abnormal stops. A normal stop occurs when the slip
displacement reaches a maximum, i.e., a turning point for
the mass. An abnormal stop occurs when the slip dis-
placement is less than the maximum and, upon separa-
tion, the mass moves in the same direction as the motion
prior to the stop. This kind of stop occurs in motions with
multiple stops per cycle.

II.4 Nonlinear Systems with Dry Friction

The influence of friction on the response behavior of non-

linear systems has been considered in only a few studies.
Nonlinear systems with time delay and slowly varying
time coefficients have been treated by Bojadziev (1973) (a) stationary response (b) nonstationary response
The interaction of a self-excited oscillatory system with
limited power supply, shown in Fig. 3, was examined by FIG 4 Mass and motor responses near resonance
Alifov and Frolov (1977) for the case when the relative (Alifov and Frolov, 1977)

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 231

dilation is real if the speed of the power supply is al- Introducing the following parameters,
lowed to change between its upper and lower limits.
Alifov and Frolov (1979) extended their analysis and con- x =cont, ca^k/m > Fd = Fd/k, f0=gn/con2, and v =V/con
sidered self-excited vibration with negative values of the
relative velocity. For certain values of the belt speed and*
motor torque, the system exhibits nonstationary oscilla- equation (11) becomes
tions of chaotic nature in the neighborhood of resonance,
as shown in Fig. 4. Their results show that the dry-friction X" -4sgn(v-X) + fi(v-X) -f3(v-X)3 + Fdsgi<X)+X = 0 (12)
damper eliminates or reduces autoparametric oscillation,
in such a way that only specially chosen initial perturba- where ft = g|ia,/con2, and f3 = g\ia3<aa
tion leads to stable oscillation. The interaction of self-
excited vibration with parametric vibration in the pres- For the case where v>X', Tondl (1970) solved equa-
ence of dry friction (hard self-excited systems) is exam- tion (12) by the harmonic balance approach. He obtained
ined extensively in a research monograph by Tondl two amplitudes for the sliding mass motion. The smaller
(1978). Tondl considered nonlinear systems described by amplitude corresponds to an unstable limit cycle, while
the equation of motion the larger belongs to a stable limit cycle and contradicts
2 2
the original assumption that v>X. In the phase plane the
mX- (C - PX )X + m&i(sgnX) + (K + yX + ecos 2Qt)X = 0 unstable limit cycle includes the domain of initial condi-
(10) tions leading to the equilibrium position. The solution in-
dicated that Coulomb dry friction can either eliminate the
where p\ y are coefficients of damping and stiffness non- onset of self-excited vibrations, or at least stabilize the
linearities, respectively, and 2Q is the parametric excita- equilibrium position. However, certain perturbations in
tion frequency. the initial conditions will induce self-excited oscillations.
The behavior of system (10) is characterized by a Tondl (1975a,b, 1976) extended the analysis to two-
stable equilibrium position in addition to one of the three degree-of-freedom vibration absorbers in which the mass
possible types of oscillations: 1) vibrations containing ratio of the absorber to the main system is very small. He
only a component of self-excited vibration, 2) parametric found that quenching of self-excited vibration can be
vibrations, and 3) a combination of self-excited and achieved only in a very narrow interval of the internal de-
parametric vibrations. The stability of the equilibrium po- tuning. Nakai, et al. (1981), Watari and Sugimoto
sition is not essentially affected by the frequency of (1963), and Sueoka, et al. (1986) considered different
parametric excitation. However, the parametric excita- forms of equation (11) for Fd=0, and obtained analytical
tion reduces the domain of attraction of the stable equilib- solutions in the presence of linear viscous damping.
rium position in the region of parametric resonance. Dry Recently, Makris and Constantinou (1991b) considered
friction, on the other hand, reduces both the amplitude of
self-excited vibrations and the amplitude of parametric
resonance. As dry friction increases, the domain of attrac-
tion of the equilibrium position is enlarged. Above a crit-
ical value of dry friction force, self-excited vibration can
be completely suppressed so that only parametric vibra-
tions occur within certain intervals of the parametric exci-
tation frequency.
The dependence of friction on sliding speed was also
examined by Tondl (1970b). He considered a mass-spring
system with Coulomb friction sliding on a running belt, radius r
shown schematically in Fig. 5. The system may be de- (a) mass sliding on a moving belt with dry friction
scribed by the nonlinear differential equation

mX - mg|i{sgn(V - X) - ^(V - X) + (^(V - X)3} F(V-X)

+ Fdsgn(X) + kX = 0 (11)
where m is the mass which can slide on a belt moving at
speed V. The mass is attached to a spring of stiffness k, \i V-X
is the static coefficient of friction between the mass and
the belt, the expression inside braces represents the de-
pendence of friction force on the relative velocity (V - X), (b) friction-velocity curve
oti and a 3 are constants, and Fd is the friction force of a FIG 5 Single mass system with dry friction damper and
Coulomb damper. Stribeck friction (Tondl, 1979)

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 232 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994
the case of velocity-dependent friction. They found that sults in non-smooth behavior. In systems with non-smooth
the response possesses a longer duration of motion and characteristics discontinuities take place on a surface in
less permanent displacement in free vibration than the the state space (Utkin, 1978). It is well known that a non-
case of constant Coulomb friction. The number of stops smooth system can exhibit chaotic behavior (see, for ex-
per cycle was limited to two, whereas in the case of con- ample, Popp and Stelter, 1990a,b). The forced excitation,
stant friction the number of stops increases without bound of a nonlinear system described by an equation similar to
as excitation frequency tends to zero. (12) but with stiffness nonlinearity, was solved numeri-
Tondl also examined the effect of speeding up the cally by Awrejcewicz (1986). By means of Poincare
belt to the specified operational speed v0 using the ana- maps, he examined the influence of excitation parame-
logue computer. He used the following law to control the ters, system parameters, and the coefficient of friction on
belt speed the size and position of strange attractors. The strange at-
tractor was found to be very sensitive to the excitation
v = v0[l - Exp(- at)] (13) frequency. Very recently, the chaotic behavior of similar
systems has been examined by Popp and Stelter
where a represents the belt acceleration. It was observed (1990a,b), Stelter (1990,92), Stelter and Sextro (1991),
that self-excited oscillations can occur only for a definite Popp (1992) and Narayanan and Jayaraman (1991). Popp
range of values of a. This range depends on the system and Stelter considered four different systems based on
parameters and the belt operational speed. discrete and continuous systems sliding on a moving belt.
Another related nonlinear problem is normal vibra- They used numerical simulation of the state equations and
tions due to Hertzian contacts. The effect of normal vi- conducted experimental tests on continuous systems. With
bration on friction was studied by Godfrey (1967), Tolstoi reference to the two-degree-of-freedom system shown in
(1967), Tolstoi, et al. (1971, 1973), Nayak (1972), Fig. 6 Popp and Stelter solved numerically the coupled
Budanov, et al (1980) and Martins, et al. (1990). equations of motion
Experimental measurements revealed that a larger reduc-
tion in friction occurs when the normal accelerations ex- mx 0 Cj + C 2
ceed gravitational acceleration. The instantaneous nor-
mal contact deflection is related to the coefficient of fric-
0 m -c,.
ft} (14)
tion as established by Sakamoto (1985, 1987). The non-
linear forced vibration of a beam coupled to an actuator kj+k2 / x 1 \ = /N1n(x1-v0)
through Hertzian contact is treated by Bryant (1985). -k2 W \N#(x2. v„)
Bryant (1985) and Soom and Chen (1986) assumed
Hertzian contact where the contact force is proportional towhere the coefficient of friction depends on the sliding
z1-5, where z is the instantaneous contact compression.
For a rider mass in contact and sliding against a rough speed, and Nt are the normal forces acting on each mass.
surface, Soom and Kim(1983) and Soom and Chen The two equations are nonlinear due to the depen-
(1986) represented the surface roughness as a random dence of [X on the relative sliding velocity. Figure 7
process with specified spectral density in the spatial shows the bifurcation diagrams of both masses as function
wave-number and frequency domains. The nonlinear of the damping ratio of the second mass for k j / k ^ . O ,
Hertzian stiffness model resulted in nonlinear response m1/m2=2.5 and q / c ^ l . According to the numerical solu-
behavior, and at relatively higher sliding speeds consider-tion the transition to chaos is found to take place within
able loss of contact took place, as reflected by the disap-the range o.07>£2>0.04. The corresponding phase-portraits
pearance of contact resonance. Under sinusoidal external and frequency spectra for mass 1 are shown in Fig. 8.
load, Hess and Soom (1991a,b) found that the normal These Figures reveal that with decreasing the damping ra-
contact deflection follows the well-known soft nonlinear tio £2 the number p of p-periodic solutions increase in the
response characteristics. The softening behavior associ- manner p= 1,2,4. However, for £2=0.05 this sequence is in-
ated with decreasing contact deflection was found to ex- terrupted by a p=9 solution. The routes of chaos were re-
ceed the hardening effect due to increased contact com- ported to begin with period doubling and p-period solu-
pression. Hess and Soom (1991c,d) analyzed the dynam- tions up to 9. For higher damping £2>0.07, only p=l solu-
ics of sliding systems describing normal and angular mo- tions occur. Beyond critical damping £2=1, only the sec-
tions. These systems are described by essentially three ond mass performs stick-slip vibrations, while the first
coupled nonlinear differential equations in which subhar- mass remains in pure slip mode. Narayanan and
monic, superharmonic, and combination resonances may Jayaraman used the method of harmonic balance and nu-
occur. The normal and angular contact frequencies in the merical integration. By increasing the excitation fre-
presence of rough planar contacts are much lower than the quency the system exhibits chaotic behavior mainly in
contact frequencies with smooth planar contacts.
three different frequency ranges. However, the system is
found to change from periodic motion to chaos in other
II.5 Friction and Chaos frequency ranges with very narrow frequency bands.
The effect of friction as a source of energy dissipation
The stick-slip phenomenon consists of two qualitatively on mechanical joints and support boundaries will be dis-
different processes with a non-smooth transition which re- cussed in section II.6. However, mechanical joints are

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 233

usually subject to two types of nonlinearity. The first re- citation amplitude increases and then it develops to
sults from gaps and play while the second is due to inter- chaos. They also proposed a smooth friction function of
face stiffness. Moon and Li (1990) examined the effect of the form
the abrupt change in friction in pin joints on space struc-
ture dynamics. The dynamics were shown to experience \i( x) = [)J.k + (1 - nk) sech(P x)] tanh(a x) (17)
complex behavior by joint play, and chaotic vibrations
were found to occur. Hess and Wagh (1992) studied the where the static coefficient of friction is normalized to
nonlinear joint dynamics resulting solely from nonlinear one, and a and p are constant parameters. For particular
interface stiffness. The normal motion to the interface is friction and excitation parameters, the response of system
nonlinear because the interfaces exhibit compliance in (16) exhibits period-one, period-two, and higher-period
the normal direction and shear in the direction of sliding.
Under normal harmonic excitation, the equation of motion motions. Chaotic motions were also observed for parame-
in the normal direction is ter values £1=1.3, a=1.45, <;=0.015, a=50, £=5.

y"+2Cry' + y[e-(ho-iyi)-e-<h<» + W]sgn(y) = $cos'c (15)

where y is a nondimensional normal displacement, r is the

ratio of the natural frequency to the forcing frequency, h 0
is the ratio of the separation between mean plane of rough
surface and flat in the absence of normal vibration to the
standard deviation of the asperity height, y is a nondimen-
sional restoring force amplitude, 4 is a nondimensional
amplitude of the normal excitation, and x is nondimen-
sional time scale. Chaotic motion was found to take 1.2 ; , i.6
1.1 ? , 1.6
place for certain values of the linear damping ratio C, and
the excitation force amplitude. Since the friction force FIG! 7 Bifurcation digrams of the two masses of Fig. 6
depends on the normal motion, it is obvious that chaotic (Popp and Stelter, 1990a)
normal motion results in chaotic friction force.
Feeny and Moon (1993a,b) considered a single-
degree-of-freedom system whose magnitude of friction
varies linearly with displacement. The system is de-
scribed by the nondimensional differential equation
x + 2£x + x + n( x )N(x) = a cos Qt (16)

where N(x) represents the normal load, t, is the linear

damping ratio for the oscillator when friction is removed.
The coefficient of friction M(*) obeys the Coulomb
friction law. This oscillator may experience regular and
chaotic motions. Period doubling was observed as the ex- (a) response spectra of the first mass
x. x,
1 1_
rr - \
-2
1 0.5
2
1
11 IfV - ) < )

V [J .5

Vs.
-2
% -0-5

(b) corresponding phase portraits

y
\*s*X -2
FIG 8 Response spectra (a), and corresponding phase
FIG 6 Two coupled masses slide on a moving belt (Pop portraits (b) showing route to chaos
and Stelter, 1990a) (Popp and Stelter, 1990a)

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 234 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

II.6 Friction in Support Boundaries and Multibody rameters, including its variation with modal frequency.
Systems For a beam with a spring-mass-dry friction damper at-
tached at an arbitrary location, Dowell (1983) examined
Dry friction damping arises in sliding surfaces at the the threshold force amplitude below which the dry friction
boundaries of beams, plates, turbomachinery blades damper is immobile. His analysis was re-examined and
(Unger, 1966, 1973, Beards and Bermingham, 1972, corrected by Ferri and Dowell (1985), who found that for
Jezequel, 1981, Plunkett, 1980, Dowell, 1986, and positive viscous damping no sustained motion is possible
Pfeiffer and Hajek, 1992) and large flexible space struc- for excitation amplitudes below the threshold value. For
tures (Hertz and Crawley, 1983,1984). Friction in support negative damping, the equilibrium position is unstable, as
boundaries acts as a source of energy dissipation. expected. Two unstable equilibrium amplitudes are pre-
However, the associated slip results in irregular variation dicted for negative damping and below a critical force
of the system dynamic properties such as the natural fre- level. The numerical simulation of the equations of mo-
quencies and damping coefficients. Beards (1983) indi- tion did not reveal any stable solution when the damping
cated that the energy dissipated in a joint is proportional of all modes is negative. A beam mode with negative
to the product of the interface friction force and the rela- damping and a node at the point where the dry friction el-
tive slip between the contact faces. There is always max- ement is attached behaves as an uncoupled unstable lin-
imum dissipation of energy such that the dynamic re- ear mode.
sponse of a structure can be significantly reduced. Suh Dowell and Schwartz (1983a,b) considered three dif-
and Sin (1981) concluded that the interface friction force ferent dry friction configurations attached to a cantilever
is mainly influenced by the joint clamping force. The op- beam. They investigated the forced vibration response
timum clamping force at a joint for the minimum response analytically and experimentally. Component mode analy-
of a frame structure was determined by Beards and sis and first-order harmonic balance methods were used to
Woowat (1985). obtain closed form solutions for the forced response. For
The analysis of multibody systems with friction con- one harmonic solution it was shown that as the ratio of the
tacts require a special treatment in order to obtain a excitation amplitude IFI to dry friction force Fd, IFI/Fd, in-
unique solution after each contact event (Ivanov, 1986). creases from zero the slip motion begins first at reso-
Chace and Angell (1977) introduced the effect of friction nance. The range of the excitation frequency over which
and impact in their numerical simulation of machine dy- slip occurs increases as IFI/Fd increases. However, for a
namics. Agrawal, et al. (1982), Schiehlen and Schramm critical force amplitude ratio IFI/Fd=1.44 the response be-
(1983), Wu, et al. (1986) studied the effects of Coulomb comes unbounded at resonance. Nonlinear motion of the
friction, stiction, intermittent motion, and addition and primary and secondary excited members is characterized
deletion of constraints on the dynamics of mechanical by a rapid amplitude jump at a critical force amplitude ra-
systems. These systems possess a time-variant structure tio. This rapid increase corresponds to the initiation of
due to alternating stick-slip situations generating alternat- slip at the damper interface for very small values of exci-
ing degrees of freedom. Accordingly both the equations of tation force amplitude. In a single-degree-of-freedom sys-
motion and the constraint equations are time-variant. tem with constant linear damping, the normalized band-
Formulation of contact situations with respect to indicator width of the response spectra is invariant with excitation
and constraint dynamics has been considered by Glocker level. This differs from connected systems with dry
and Pfeiffer (1992), Pfeiffer (1991, 92). Pfeiffer (1993) Coulomb friction, where the effective bandwidth increases
has shown that constraint forces and relative kinematics with increasing excitation level. This bandwidth increase
in friction contacts are always complementary and their is mainly caused by the occurrence of slip across a broad
scalar product is zero. This property allows the applica- frequency range. Ferri and Dowell (1985), Pierre, et al.
tion of the complementary algorithm developed by Cottle (1985), and Wei and Pierre (1989) adopted the multi-
and Dantzig (1968). harmonic balance method to analyze different problems
Chung, et al. (1988) examined the dynamic response involving dry friction damped systems. Ferri and Dowell
of an axially loaded beam on an elastic foundation. They (1988) employed a multi-harmonic frequency domain so-
found that there is an optimum axial force at a joint for lution to a multi-degree-of-freedom dry friction damped
maximum dissipation of energy for the beam. Jezequel system. Their technique is based on the Galerkin/Newton-
(1981) considered the axisymmetric lateral motion of a Raphson method. The effect of higher harmonics was
circular plate. His mathematical model included the non- found to be significant when stick-slip motion occurs. The
linear coupling between lateral and in-plane plate motion. excitation at which slip begins is found to depend on the
For sufficiently large motion the total slippage occurs at number of harmonics used in the analysis. It was reported
the plate boundary and the inherently nonlinear Coulomb that small discrepancies between theory and experiment
friction mechanism may be expressed by an equivalent are due to the occurrence of stick-slip. However, large
linear viscous damping (see also Hertz and Crawly, discrepancies between predicted and measured results
1984). Dowell (1986) extended Jezequel's work for were also observed. Parnes (1984) investigated similar
beams and plates with arbitrary lateral support conditions systems, but restricted his analysis to two stops per cycle.
vibrating in an arbitrary mode. He obtained a simple rela- The dynamic behavior of a single degree-of-freedom
tionship describing the dependence of the equivalent lin- system with amplitude- and velocity-dependent friction
ear viscous critical damping ratio on beam or plate pa- forces was examined by Anderson and Ferri (1990). They

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 235

developed a special time integration approach which uti- square responses obtained for different values of excita-
lizes the piecewise linear nature of the governing equa- tion bandwidths.
tions of motion. They pointed out that traditional numeri- In turbine blade applications friction dampers are
cal integration methods do not work properly for such sys- used to reduce resonant vibratory stresses (Plunkett, 1980,
tems due to the high numerical stiffness of the equations Griffin, 1980, Griffin and Sinha, 1982, Dominic, et al.
for small velocities and during sticking (see also 1982, Muszynska and Jones, 1983b, Srinivasan and Cutts,
Schlesinger, 1979). For low values of amplitude-depen- 1983, and Sinha and Griffin, 1983, 1984). These studies
dent friction the response characteristics are similar to determine the normal load at the friction joint for which
those of a viscous damped system. However, for larger
values the numerical results were in poor agreement with
the single harmonic results obtained by the harmonic bal-
ance method. The method of harmonic balance together
with a finite element approach was used by (Machowicz
(1990) to investigate the nonlinear effects of slip friction.
Dowell (1986) and Tang and Dowell (1986a,b) con- 8
sidered the nonlinear response of beams and plates, with
dry friction damping due to slippage at the support bound- "\/c
aries, to sinusoidal and random excitations applied at a tf 6 - \/B
A

ons
point close to one end. They considered narrow band and
wide band random excitations and obtained the response
Q*
o
V
statistics in terms of the normal load at the support joints o 4
S3
by using a statistical linearization method, numerical
simulation, and experimental testing. The results indi-
3
cr "^N^V
cated that the stick-slip and stick phenomena take place | 2
as the normal load increases. In this case energy dissipa- S
tion due to dry friction tends to vanish and the response
amplitude becomes larger. Under wide band random exci- 0 i
E i
r^ i i
12 18 24
tation and normal load 12g Newton, they estimated the
time history of dry friction force which reveals the occur- normal load, Newton
rence of stick-slip as shown in Fig. 9. The dependence of
the mean square response upon the normal load as FIG 10 Dependence of mean square response on the normal
load for beam model
evaluated by the three approaches is shown in Fig. 10.
(Tang and Dowell, 1986b)
The observed disagreement between measured and pre-
(A) numerical integration for C = 0
dicted curves was attributed to the assumption that the
(B) approximate solution, (C) another approximate solution
excitation is white noise in the theory whereas it is band-
limited random noise in the experiment. This difference (D) numerical integration C =0.006, (E) experimental results
6q
is reduced as the excitation becomes narrow-band, as
shown in Fig. 11. Fig. 12 shows another set of mean

£ 12 18 Ng 24

1.0 1.2 1.4 1.6 FIG 11 Dependence of the mean square response on the
time t. s normal load (Tang and Dowell, 1986b)
for center frequency 28.5 Hz and bandwidth 10 Hz
FIG 9 Time history record due to dry friction for normal (A) numerical integration for (^=0.0, (B) for ^=0.006
force 12g Newton, (Tang and Dowell, 1986b) and (C) experimental results

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 236 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994
the amplitude of vibration will be minimized. Jones and as a mass spring system sliding on a belt have been made
Muszynska (1978) adopted two different blade models by Yokoi and Nakai (1979, 1980, 1981a,b), Nakai, et al.
with dry friction dampers. The first is a single dovetail (1981), Sueoka, et al. (1986), Sugimoto (1984) and Nakai
blade modeled by two mass elements, while the second is and Yokoi (1990). Nakai and Yokoi considered a nonlin-
represented by three mass elements and has a "shroud" at ear model described by the differential equation
a small distance from the dovetail and touches the disk at
some finite rotational speed. The dry friction at the dove- 3F(Vr). 32F(Vr)
tail has great influence on the modal damping of the mX+cX+kX=R (18)
blade. For example, if the dry friction is reduced, e.g., by av • x+ av2
using coated or lubricated interfaces, the modal damping
would increase for the same rotational speed. Sinha where m is the slider mass, k is the connected spring
(1990) determined the optimal value of slip load for a stiffness, x is the mass displacement, V is the belt speed,
frictionally damped turbine blade subjected to wide-band F(Vr) is the frictional force between the body and belt,
random excitation. Muszynska and Jones (1978, 1979, (this force is a function of tlie relative velocity Vr=V-x),
1983a,b) determined one harmonic solution for bladed and R is the tangential force due to surface roughness.
turbine disk with multiple dry friction damper elements. The force R was represented by a sum of sine waves as
None of these studies considered the nonlinear sources
described in Section II.5 which result in chaotic friction
and chaotic motion at the joints and support boundaries. R = RkXaisin»1t (19)
The work of Moon and Li (1990) and Hess and Wagh
(1992) should be further extended to this class of systems. where Rk is a spring constant due to contact.
It is clear that the nature of friction vibration is gov-
III. CHATTER AND SQUEAL erned mainly by the frictional force, the magnitude of the
surface roughness, the natural frequency, and the fre-
III.l Basic Background quency content of the roughness. For example, if the
force due to surface roughness is greater than the friction
Other well-known friction phenomena of audible nature, force, the motion is mainly governed by forced excited
including chatter and squeal, can take place in systems vibration. On the other hand, if the friction force is
with sliding parts, and each occurs within a certain fre- greater, the vibration is controlled by the characteristics
quency band. For example, a high frequency noise is of the friction-velocity curve. In the absence of roughness
termed squeal, and a low frequency noise is called chat- R, Sugimoto (1984) and Nakai and Yokoi (1990) indi-
ter. This means that the inherent nonlinearities of contact cated that if V> x, the effective damping is positive and
forces are important factors in addition to those known in the remaining small friction force causes rubbing noise.
tribology. It appears that audible noises are generated in- However, when 3F(vr)/dV<0, the friction force assumes a
termittently and without any apparent order or combina- negative slope and self-excited vibration in the form of
tion. However, when their frequencies arc analyzed and squeal will occur. In real cases, enough linear viscous
studied in detail, one finds that such noises are generated damping will suppress the squeal.
in combination. Recent attempts to understand the mech- Sugimoto (1984) considered two different friction-ve-
anism of friction-induced noise in classical models such locity models, shown in Fig. 13, and determined the vibra-
tion behavior of system (14) for each case. The depen-
dence of vibration frequency and amplitude on sliding ve-
locity is also shown for the two friction-velocity models.
For model (I) the static friction force coincides with the
dynamic friction force when the relative velocity is zero.
The vibration frequency is nearly constant with respect to
the sliding speed, while the amplitude increases monoton-
ically up to a critical sliding speed, where the friction-
speed slope curve is reversed and the amplitude then de-
creases. For model (II) the static friction force is much
higher than the dynamic friction force. In this case the
vibration frequency increases with the sliding speed; then
it approaches a constant in the neighborhood of the sys-
tem natural frequency. The amplitude first decreases over
a small range of the sliding velocity, then increases. For
very low sliding speeds there is a typical stick-slip mo-
18 Ng tion. Yokoi and Nakai (1979, 1980) conducted a series of
FIG 12 Dependence of experimental mean square experimental tests on a disk in contact at its rim with one
response on normal force for bandwidths (A) df=10HZ, end of a cantilever beam. Fig. 14 shows the friction coef-
(B) df=30HZ, (C) df=100Hz, (D) white noise ficient and noise level in dB generated with the passage
(Tang and Dowell, 1986b) of friction time or the friction distance for a peripheral ve-,

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 237

locity of 0.7 m/s and normal load 14.7 N. It is seen that speed, and other conditions. It is necessary, therefore, to
the noise level is relatively small, 65 dB, and is random evaluate noise occurrence under a variety of test condi-
of the rubbing type. This is generated for a small friction tions. However, linear stability analyses of simple models
coefficient. As the friction coefficient increases (three or have been developed to predict the onset of noise.
four times the initial value) for a friction distance greater Equally important are means of reducing or eliminating
than 1100 meters, the noise level suddenly jumps to about friction-induced noise from mechanical components. The
94 - 97 dB. This level takes the form of a screaming following subsections outline the main results of different
noise with a high-pitched sine wave with a frequency very applied and basic research activities in three engineering
close to the fundamental natural frequency of the beam. applications, namely water lubricated bearings, wheel/rail
The dependence of the friction coefficient levels on the systems, and disc brake systems.
disk's peripheral speed for the two cases of random noise
and screaming noise is shown in Fig. 15. For the same III.2 Stern-Tube Bearing Noise
disk speed the friction coefficient required to produce
screaming is much higher than the one which produces III.2.1 Background and Experimental Results: Propeller
random noise. When the length of the beam is increased, shafts of ships and submarines are supported in stern-tube
a squeal corresponding to the higher order natural fre- bearings which are lubricated by water. A section of the
quency was generated, in addition to the noise generated tube and the haft is shown in Fig. 16. Full separation of
at the first natural frequency. The higher order squeal was the bearing and shaft surfaces is generally realized during
generated, not only by the negative slope of the coeffi- normal running. Under such conditions, the friction torque
cient of friction, but also by the coupling of the lateral exerted by the stern-tube bearing on the propeller shaft
and longitudinal vibrations of the beam. obeys viscous flow behavior. During start up and shut
Chatter and squeal are of great concern to the design- down, the rotation speed of the shaft may not be high
ers of mechanical components involving sliding surfaces enough to achieve full separation of the surfaces by water.
at relatively low speeds. These components include wa- In this case, unlubricated friction mechanisms would pre-
ter-lubricated bearings in ships and submarines, wheel/rail vail at that portion of the surface areas in direct contact.
systems in mass transit, disc brake systems, and machine
tool/work piece systems. Chaos is a special form of 7
squeal, and its main source is inherently nonlinear forces. beam j '1 disk 46G^z
Quantitative analyses to predict chatter and squeal have
not yet been developed, and there is no unique theory that a 2 - AAAAA
o 1100 m
can be generalized to analyze these noise phenomena. 550 m
Most research activities are based on experimental tests p, , ' o S % 100 m
T3
»,''
icient of

90

nois e level,
of physical models. In general, friction-induced noise 1 - 150 m
0

varies greatly depending on temperature, normal load, 80

1
o 0
9 O O O
1
O
0 0

1
70
60
0 500 1000
friction distance, m
o friction coefficient s noise level

FIG 14 Dependence of friction coefficient and noise level

on friction distance (Nakai and Yokoi, 1990)

-©•
screaming noise
2 - * random noise
0"ff--v,

-O—O-

sliding velocity V sliding velocity V u

o J_ 1
(a) (b) -L
• frequency • amplitude 0 50 100 150 200
disk peripheral velocity, cm/s
FIG 13 Dependence of vibration frequency and amplitude
on the sliding speed for two different friction curves FIG 15 Friction coefficient levels versus speed
(Sugimoto, 1984) (Nakai and Yokoi, 1990)

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 238 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

In addition the overall friction torque would be consider- the same pattern of the previous one. This apparent irreg-
ably higher (Pan, et al., 1971). Smith and Pan (1975) ularity may in part be caused by the presence of low-fre-
conducted a series of exploratory experiments to examine quency oscillation of the test rig structure. It was reported
the mechanism of sound and vibration generation of a wa- that each burst became totally attenuated in less than 20
ter-lubricated surface bearing system. The experimental msec. The attenuation time seemed to be somewhat
rig consists of a commercial drill press with a disk of shorter at smaller loads. There also appears to be a rest
transparent material attached to the drive spindle to slide period before a subsequent burst can develop.
against the test bearing pad. The rubber stave pad is For the case of a rigidly-mounted pad, friction-excited
mounted on a brass section base. Two alternative meth- vibration can be broadly classified into two types: squeal-
ods of bearing pad mounting are used: flexible and rigid. ing and chattering. Squealing is characterized by a rela-
The flexible mounting consists of a rod and the rigid ar- tively high-pitch sound. Steady- state squealing is associ-
rangement connects the stave directly to the base of the ated with a slight amplitude modulation of a relatively
rig. Friction-excited noise and vibrations are induced ei- high-frequency oscillation. The pitch of the squeal de-
ther at constant speed by increasing the load, or at a creases with increasing load. When squealing was first
given load by reducing speed. detected, the dominant squeal was at 4.8 KHz. As the
For the case of a flexible-mounted pad, vibration and load increased, the frequency shifted downward while the
audible noise were detected by using a microphone and amplitude intensified somewhat. At a moderately large
accelerometer. Both microphone and accelerometer load, modulation in the squeal became more apparent. A
records showed modulated signals for the incipient and spontaneous transition from squealing to chattering took
steady state squeal as shown in Fig. 17. A number of place while speed and load were essentially unchanged.
structural resonances detected by the accelerometer did Chattering is recognized in the time-trace as a grossly
not become airborne. The microphone spectra also
showed peaking in the same frequency range. Structural
resonance in this frequency range was impact-excited
only when the bearing pad was directly struck edgewise.
This may be attributed to shear oscillations in the rubber
stave. The breakaway process at very slow speed was
simulated by hand rotation of the spindle. Prior to break-
away, the resistance appeared to be proportional to the
imposed rotational displacement. The contact point on
the rubber surface seemed to follow the disk motion.
Upon breakaway, the pad (and its under-structure)
snapped back while the resistance was instantly reduced
for a brief moment. As this was going on, a typical time
trace of the accelerometer output appeared as a burst of
highly attenuated high-frequency oscillations. Before and
after breakaway, the friction appeared to play two roles.
During the "stick" period, the rubber surface is forced to
follow the sliding displacement, and the elastic strain en-
ergy is built up in the stave. Upon breakaway, the stave
releases its strain energy and sets off a free oscillation FIG 17 Time history records of (a) incipient squeal and
which is attenuated by spurious friction which, is suffi- (b) steady state squeal (Smith and Pan, 1975)
ciently irregular that succeeding bursts do not duplicate
20
Chatter regime

15
B-
to

1
"3 5
D
o
I _L
25 50 75 100
speed mm/s
FIG 16 Schematic diagram of a stern-tube bearing FIG 18 Squeal and chatter regimes for 12.7 mm thick
(Pan, et a., 1971) curved soft rubber (Bhushan, 1980)

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 239

modulated pattern, and appears to be mainly lower-fre- 1. Single-Degree-of-Freedom Modeling: This model is es-
quency oscillations. sentially a disk-shaft-dashpot system interfaced with a
Smith and Pan's study suggested that the presence of friction pad bearing and is allowed to have only torsional
stern tube bearing noise is associated with both the con- freedom. Taking the angular input of the motor as ^(t),
tact mechanics of the bearing and the dynamic character- the differential equation relating the disk's angular motion
istics of the structural components on which bearing fric- e(t) to 4<(t) can be written as
tion exerts a substantial influence. Smith, et al., (1976),
Krauter (1977, 1981), and Krauter and Brower (1978) ex- ie' + FR + Ce + K6 = K¥(t) (20)
tended the work to include a section of an existing stern
tube bearing. The new test rig consisted of a single stave where I is the polar mass moment of inertia of the disk
mounted on a massive foundation and a massive disk about the spin axis, F is the force by the pad on the disk,
which acts as the rotating propeller shaft. The rotating R is the disk radius, C is the damping coefficient (which
disk was immersed in a water bath and was supported ver- does not include pad damping), and K is the effective tor-
tically by four hydrostatic water bearings. The disk was sional stiffness of the shaft.
loaded radially by a piston which has a hydrostatic bear- According to the variation of friction force with disk
ing at the piston-disk interface. The disk was driven via a speed, a decreasing exponential relationship can be
rubber coupling located at its center. The coupling was adopted:
connected to a steel shaft which, in turn, is attached to
the output shaft of a motor-speed reducer combination. F = N{f1 + (f0-f1)exp(-aeR)} (21)
Experimental measurements indicated that the friction
force was highly dependent on the contact surface of the where N is the normal pad load, a is a coefficient deter-
pad and disk, and varied somewhat around the circumfer-
ence of the disk. This variation was found to be random mined experimentally, f0 is the ratio of F/N when the disk
and caused the damping of the surrounding structure also speed is essentially zero, and fj is the ratio of F/N when
to be random. Thus structural damping can be a function the disk speed is high.
of the instantaneous friction force on the pad. Substituting F in the equation of motion gives
Consequently, changing the magnitude of the friction
force can affect squeal stability by changing the structural 19 + NR{ft + (fg - fi)exp(- a0R)} + C8 + KG = IW(t) (22)
damping. Independent research activities on noise gener-
ation in water-lubricated compliant rubber bearings were The torsional disk speed 6 may be written as the sum
conducted by Bhushan, et al. (1978) and Bhushan (1980). of two components: a steady state Q. and a small ampli-
Their approach and model were different from those tude variable speed Q1 , i.e., Q = Q + 6V Expanding the ex-
adopted by Krauter. Their model consists of a rubber ponential term exp^aR&j) in a Taylor series and keeping
stave section and a glass slider. The staves were 75 mm terms up to third order, the following differential equation
wide, 75 mm long, and either 6.4 mm or 12.7 mm thick.
For curved 12.7 mm thickness soft rubber staves the is obtained in the nondimensional form:
boundaries of the squeal and chatter regimes are depen-
dent on the normal load and sliding speed, as shown in ex + 2C 8i + 9! + S0f - 5vQ{ = - C (23)
Fig. 18. In the case of squeal, the frequency of the noise
would often decrease with time during sliding. The noise where a prime denotes differentiation with respect to the
sometimes even turned to chatter toward the end of slid- nondimensional time parameter x =cont,
ing. The typical squeal frequencies were 700-1000 Hz;
and in case of chatter they were 500 Hz.
con2=K/I, 8 = |[R3a2(fo - f,)exp(-aRQ), v=Rao^3
III.2.2 Analytical Models: Based on the linear modeling es-
tablished by Krauter (1981), one may develop nonlinear C = (NR^:)[f1 + (f0-f1)exp(-aRi2)] + 2 ^ , 1= - ^
analytical models with one and two degrees of freedom,
shown respectively in Figs. 16, and 19.
C = TT^f [C • ^ " fj)exp(-aRn)] (24)

Introducing the nondimensional parameters

V = Rfla, n = iycon, n0 = NfaR/[N/Km], m = Nf1R/[v/KIQ]

The parameters of (23) take the form

. Vz, , -V V r - V, . -V
FIG 19 Schematic diagram of two-degree-of-freedom stern
tube model

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 240 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

The expression of £ clearly indicates that decreasing

the disk speed and increasing the pad load tend to make I8'9' + Cs(0 + fl) + 1^.(8 + 0 0
the torsional damping ratio more negative. As this ratio
becomes more negative, the peak amplitude of the re- + NR[f1 + (f0-f1)Exp{-a[R(e + Q)-x]}] =0 (2 9 a )

sponse to a given input becomes larger and occurs at a

frequency which increases toward the natural frequency.
The expression also indicates that, for sufficiently low nyc + C,x + K,x - N [fj + (fo - fi)Exp{ -a[R(e + Q) - x]} ] = 0
non-pad system damping, negative damping can produce (29b)
unstable torsional disk oscillations. However, the inter- where the torsional disk speed is taken to be 6+£2.
play of damping nonlinearity as given by quadratic and by These equations are coupled through linear inertia,
cubic terms will have a significant effect on the system damping, and stiffness terms in addition to nonlinear cou-
dynamic characteristics and may lead to a limit cycle or pling terms. One also can generate three and higher free-
chaotic oscillations depending on the system parameters.
The stability of the stationary solution of the homoge- dom models. The analysis of such systems including sys-
neous nonlinear equation will be examined first. tem (29) has not been treated in the literature.
Introducing the state vector Y^fY^Yj} where Yl=Ql HI.2.3 Related Problems: Other related work includes self-
and Y2 = 0j-, equation (23) becomes excited whirl of rotors induced by rubbing friction between
rotor and stator. Ehrich (1969, 72, 88) provided an excel-
Y;=Y 2 lent overview of various problems and mechanisms of
(25) self-excitation in rotor dynamics. Among these problems
3 are dry friction whip (Muszynska, 1986), stick-slip, and
Y ^ C Y ^ - S Y l + SvYj chatter. Dry friction whip is experienced when the surface
of a rotating shaft comes in contact with an unlubricated
System (25) possesses a stationary equilibrium stationary guide, shroud, or stator system. When radial
(Y^Yji) =(0.0, 0.0). The eigenvalues of the Jacobian of contact is made between the surface of the rotating shaft
system (25) corresponding to the stationary point are and the bearing surface, Coulomb friction will induce a
tangential force on the shaft. This tangential force in-
X^-^isfT^F (26) duces a whirling motion which results in larger centrifugal
force on the shaft. The whirling rotation is opposite to the
shaft's direction of rotation. Stick-slip and chatter, on the
which is stable if and only if other hand are caused by the irregular nature of the fric-
tion force developed at very low rubbing speeds. Note
C=C-|(Ho-H!)e- v (27) that while dry friction whip is flexural, stick-slip and chat-
ter are torsional vibrations. According to Den Hartog
(1956), all cases of clearance rubbing will initiate uncon-
The equilibrium (0.0, 0.0) is hyperbolic or nondegen- trolled vibration. Friction vibration behavior drastically
erate as long as £ does not vanish. The condition for changes if one considers the stator flexibility (Ehrich,
which C vanishes results in a simple pair of purely imagi- 1969). Billett (1965) examined the case of two-bearing
nary eigenvalues and thus defines the occurrence of Hopf support in which shaft orbiting the bearing clearances is
bifurcation. This bifurcation takes the system from the combined with the dry friction phenomenon. He showed
static equilibrium configuration to a periodic motion that whirl speed increases and may approach, but never
regime. This condition is satisfied if the intrinsic damping exceed, the critical speed of the shaft. Begg (1974) ana-
ratio Z, is very close to the bearing effective friction pa- lyzed the stability of rotors and established three possible
rameter, i.e., if instability regimes for the case of a simple cantilevered
shaft. Depending on the friction-to-damping ratio and the
C = ^(U0-|X1)e"V (28) magnitude of initial disturbances the vibration amplitude
may propagate to a larger value, may move to another
It is seen that the intrinsic damping ratio at which level, or may reach a stable amplitude.
Hopf bifurcation is linearly proportional to the difference
of the friction parameters |J.0 and \i1 and is nonlinearly III.3 Wheel/Rail Squeal
proportional to the velocity parameter V. The complete
dynamic characteristics of (25) should be further exam- The squeal or screech generated by wheel/rail interaction
ined for the existence of limit cycle and other response of conventional mass transit systems negotiating a curve
behavior such as period doubling, and route to chaos. It is of short radius is characterized by an intense narrow band
important to extract from the nonlinear response useful in- noise. This problem has been treated by several investi-
formation regarding the response spectra which may de- gators including Bender and Remington (1974),
fine the occurrence of chatter and squeal. Remington (1976a,b, 1985), Rudd (1976), Ver, et al.
(1976), Galaitsis and Bender (1976), Popp, et al. (1985),
2. Two-Degree-of-Freedom Modeling: With reference to and Schneider, et al. (1988). Remington (1976a) pro-
Fig. 21, the equations of motion are vided a detailed analysis to quantify the dynamic and

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 241
sound radiation characteristics. The mechanical vibration simulations indicated that transition to chaos takes place
produced by the wheel/rail interaction is transformed into for relatively small values of damping ratio. Finberg
acoustic radiation. Three mechanisms of squeal were (1989, 1990) developed a model of wheel/rail squeal
proposed. These are 1) the rubbing of the flange against which describes the entire path from the excitation to the
the side of the rail as the bogie traverses a curve, 2) dif- human ear. The modal expansion technique together with
ferential slip between the inner and outer wheels on a a finite element approach, was used to characterize the
solid axle, and 3) lateral creep of the wheel on the rail. natural frequencies and mode shapes of the railway wheel.
Experiments by Bleedorn and Johnstone (1977) have The sound radiation characteristics of the wheel were cal-
shown that flange rubbing alone will not produce squeal, culated using the boundary element method. Acoustical
but can actually reduce it. Lateral creep C{. is measured quantities such as sound field, sound power, and radiation
by the ratio of the sliding velocity Vs across the rail di- efficiency were calculated for each mode. Fig. 19 shows
vided by the rolling velocity V0, ct= "VyVo. Lateral creep the overall level of velocity spectral density at the wheel
can result in friction forces at the wheel/rail interface, contact point and the total sound power as a function of
that under proper conditions can lead to squeal. This the forward velocity for a lateral creep of 2%. It is seen
mechanism was originally suggested by von Stappenbeck that the velocity spectral density grows monotonically,
(1954). Remington, et al. (1975) and Anon (1975) while the sound power displays fluctuations which are a
showed that the lateral creep forces that arise as a bogie consequence of the varying dominant frequency in the
traverses a curve generate squeal. It was reported that sound power.
when the ratio of the curve radius to the length of the bo-
gie wheel base is less than about 50%, squeal should oc- III.4 Disc Brake Squeal and Noise
cur because the slope of the coefficient of friction with re-
spect to lateral creep becomes negative. Accordingly, the III.4.1 Characteristics of Disc Brake Noise: One of the
forces acting at the wheel/rail interface will be acting like general observations of disc brake squeal is that such
negative damping. The sound radiation of the rail may be noise is fugitive and its occurrence is affected by the in-
neglected in comparison to the one of the wheel, as ob- terface contact geometry. While such noise is undesir-
served by Stappenbeck (1954) and by Herbst, et al. able for the human ear, however, the squeal is a sign that
(1983). the brakes are reliable (North, 1972a). Early research fo-
The frequency and mechanism of squeal in railway cused on experimental investigation with the purpose of
wheels were studied analytically and experimentally by identifying the effects of parameter changes on the modes
Nakai, et al. (1982). The experimental model consists of of vibration of various brake systems and to eliminate the
a steel rod with a square cross section pressed against the problem of squeal (Fosberry and Holubecki, 1955,
circumference of a thin disk which is clamped at its cen- 1957a,b, 1959, 1961, Basford and Twiss, 1958a, and
ter. Squeal was generated when the rod was moved in the North, 1969). Different types of noise and vibration are
axial direction of the disk at a constant speed of about 0.7 associated with disc brake systems and can be classified
m/s. Nakai, et al. measured the frequency spectra of the into two main categories (Rhee, et al., 1989). The first is
model and found that squeal occurred at nodal diameter a low frequency rigid body vibration (100 - 1000 Hz) over
modes which include (3-0), (4-0), and (5-0) modes. As which brake roughness, judder, moan or groan may occur.
the contact load increases the number of modes increases. The second is brake squeal (1000-18000 Hz), character-
The model results were found to be very similar to those
spectra measured during actual train squeal while passing
over a curved track. The frictional vibration of the disk
was mathematically described by a nonlinear autonomous
differential equation. The solution of the nonlinear system
and its stability were obtained using the averaging 6
method. It was concluded that the vibration of the disk is on
diminished as the damping factor increases, and one sta- C
O
ble solution exists regardless of the initial conditions. T3

Popp, et al. (1985) presented a numerical model

based on finite element analysis to examine the self-
excited vibration of a railroad wheel excited by the lateral
friction forces at the wheel/rail interface during curving.
Recently, Popp and Stelter (1990a) investigated, numeri-
cally and experimentally, regular and chaotic motions of
simple multi-body and continuous mechanical systems
under self-excitation due to dry friction. For classical
models represented by sliding masses restrained by
springs, they showed that chaos occurs in certain fre- velocity, V0 (m/s)
quency bands which are separated by bands with a cas-
cade of period doubling. The stick mode captures peri- FIG 20 Dependence of velocity spectral density and sound
odic motions as well as chaotic ones. The numerical power on the speed for lateral creep 2% (Finberg, 1990)

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 242 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

ized by high-pitched noise which occurs randomly during It is seen that when (j. = cot 9 the frictional resistance F
the last stage of a braking action. Disc brake squeal is a becomes infinite. If the pivot pin at O' is very rigidly
common problem in road vehicle braking systems (Spurr, mounted F will rise to high values as cot6 approaches \i,
1961, Earles and Soar, 1972, Millner, 1978, and and eventually the strut 'spragged' or locked and motion
Murakami, et al., 1984), railway brakes (Jacobsen, 1986), becomes impossible. On the other hand, if the pivot is
and brake draw systems used on large off-road construc- mounted on a flexible support 'stick-slip' motion will oc-
tion vehicles and oil drilling rigs (Earls 1984, Jacobsen cur and not spragging. In this case the flexible support
1986, and Pelton, 1989). Disc brake squeal is character- for O' can be replaced by another rigid strut 0"0' with a
ized by the following observations (North 1976): secondary pivot O".
1. Generation of harmonics and limit cycles which 3. Negative friction-velocity slope which results in self-
indicate the existence of nonlinear behavior including excited vibration due to the action of the friction energy
loss of contact between friction material and the disc. input to the system (Fosberry and Holubecki, 1955,
2. Generation of squeal over a limited pressure range 1961, and Chikaromi, 1968). In this case the friction
which is related to the pad material stiffness. does not act as energy dissipative mechanism.
3. Generation of simultaneous structural modes as reflec- 4. Modal coupling of the structure involving sliding parts.
ted by the occurrence of binary flutter type instability. The coupling results in changes of friction force neces-
4. Generation of vibrations over a wide frequency range. sary for self-excited vibration.
Murakami, et al. (1984) combined the second and
III.4.2 Mechanisms of Disc Brake Noise: Four possible third mechanisms in one treatment. From several thou-
mechanisms of friction-induced vibration in disc-brake sand braking tests, they found that squeal often occurred
systems have been proposed in the literature. These are: in the vicinity of 2 kHz and between 6 and 10 kHz. The
1. Stick-slip phenomena which has been discussed earlier vibration modes of each component were studied at the
in Section II and is characterized by a saw-tooth wave- time of squeal occurrence by using double-pulse laser
form. holography, modal analysis, and finite element methods.
2. Sprag-slip phenomenon proposed by Spurr (1961) and Their results were similar to those obtained by Felske, et
occurs due to locking action of a slider into a sliding al. (1978). When the natural frequencies of the disc, pad,
surface. This is known as geometrically-induced or and cylinder are close to each other there is a strong ten-
kinematic constraint instability which occurs even dency for squeal occurrence when the friction velocity
though the coefficient of friction is constant (Spurr, curve has a negative slope. The condition of close natural
1961, Millner 1978, Earles and Soar, 1972, Earles, frequencies of different components suggests certain forms
1984, Earles and Badi, 1984, and Earles and Chambers, of coupled vibration. It is obvious that such coupling re-
1985). According to Spurr's observations, squeals can sults in internal resonance conditions which emerge due
occur at numerous frequencies, implying nonlinearity. to nonlinear coupling of various normal modes. Rhee, et
Sudden jumps in frequency during a single squeal are al. (1989) proposed a different non-analytical mechanism
accompanied by simultaneous changes in the friction based on the concept of the hammer in modal analysis
coefficient. Very occasionally, squeal depends on the testing. They observed that the noise frequencies identi-
magnitude of the friction coefficient, not on the friction fied in a vehicle test with a typical brake are similar to
force, and is associated with rapid oscillations in the those observed from modal analysis with a hammer of the
friction coefficient. Spurr considered a rigid strut O'C same brake components. Hammering during braking
pivoted at O' loaded against a moving surface AB at an might occur between the friction pad/shoe assemblies and
angle 0 with load P as shown in Fig. 21. Taking mo- the rotor, or between the pad/shoe assemblies and the
ments about O' gives caliper. Hammering during braking may be initiated by
the rocking action of the disc pads when they slide across
the rotor surface against the hills and valleys formed by
thermal distortion (Abendroth, 1985 and Inoue, 1986).

III.4.3 Analytical Modeling: Analytical models have re-

cently been proposed to describe the dynamics of brake
systems, including brake caliper, pads and disc (Basford
and Twiss, 1958b, Jarvis and Mills, 1963, North, 1972,a,b,
1976, Earles, 1977, Earles and Badi, 1978, Bracken and
Sakioka, 1982, and Lyons, et al. 1985). Four common
models are selected for discussion.
1. Cantilever-Disc Model (Jarvis, 1962, and Jarvis and
Mills, 1963). This model is shown in Fig. (23a) where the
cantilever is clamped in a large, horizontally pivoted
block and the tip is loaded against the disc of mass m by
means of a dead weight. In Fig. (23b) the cantilever is
replaced by a mass M whose motion u is linear and per-
FIG 21 Sprag-slip mechanism (Spurr, 1961) pendicular to the undeformed neutral axis of the can-

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 243

tilever. The mass M is constrained by stiffens K m and Instability occurs if

damping Cm. The direction of motion of M is indicated by
an angle y to the disk surface. The two components are Cz/Ci < 0, or 1 > T > (CM/Cm)(m/M)
constraint to remain in contact and are coupled together
by reaction force R and friction force F=|j.R, where \i is and Tan'^m > y> 0 (33)
the friction coefficient. The equations of motion of the
cantilever and disc are, respectively, It is clear that there is a finite range for y over which
instability can occur for suitable values of mass and
Mii + CMu + KMu = R(SUTY- (icosy) (31a) damping ratios. The same paper of Jarvis and Mills in-
cludes a discussion by Crisp. Crisp indicated that the
mw + Cmw + KnjW = - R (31b) coupling of a single disc mode with a single cantilever
mode, through me geometric constraint of having the two
components remain in contact, is the primary cause of in-
with the constraint stability. He also called this type of instability as kine-
w = usury (31c) matic constraint instability.

Multiplying both sides of the second equation by

(siny-M-cosy) and adding the two equations, gives after
using the constraint relation the single degree-of-freedom
equation of motion
M1u + C1ii + K1u = 0 (32)

where
CM £ _J±M -Km
M1 = i-r, q-^-r-
M m ' M m
r = ^(n-tany)sin2Y
21vP

(a) Translational mode of pin-disc model

I y S
J

•-.. f ,

(b)
(b) Torsional pin-disc model
FIG 22 Cantilever-disc model (Jarvis and Mill, 1963) FIG 23 Pin/disc models (Earles and Soar, 1971)

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 244 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

2. Pin/Disc Model: (Earles and Soar, 1971) This model 3. Four-Degree-of-Freedom Pin/Disc Model: (Earles and
consists of a disc and a pin fixed to the end of a shaft andLee, 1976) In this model the pin P is supported at the end
loaded against the disc. The pin has one translational of a flexible cantilever C, which is in turn attached to an
freedom x, as shown in Fig (24a) or one torsional freedom arm A free to rotate in a horizontal plane about bearing B
as shown in Fig. (24b). With reference to torsional free- as shown in Fig 24. The pin has a mass mj and moment of
dom motion the equations of the disc and pin are, inertia I, and has three degrees of freedom, one torsional
respectively <(>, and two translational X and Y. The disc is represented
by a mass m2 and has one translational freedom Xp. The
My + CDy + KDy = -N(t) normal force between the pin and disc is N(t), which is
(34a) associated with the friction force JiN(t). The linearized
equations of motion are
19 + Cp6 + KpQ = N(t) I sin(60 + 6) - |nN(t)lcos(eo + 6)
(34b) mjX + k,X = - N(t) , mjY + k2X = |jN(t)
with the displacement compatibility relation, (36a)
y = e&sin(eo + e) (34c) m2Xp + k4(Xp - 1 ) = N(t) 1(f) + k 3 9 = N(t)(nt + c)

Combining these equations and expanding the 60+G with the constraint relation
terms for small values of G gives
Xv = X + l-c<? (36b)
6 + GG2 + CG + K6 = 0 (35)
Straight forward stability analysis leads to a similar
. rrC 2BMS Cp + CDAS Kp + KDAS condition to the previous model.
K
where U - I + M A S , c - i + MAS ' ~ I + MAS
4. Binary Flutter Instability of Two Disc Modes: (North,
A = I sin(G0 + G8) S = J> {sin(G0 + G) - ncos(G0 + G,)} 1972) This model consists of a disc of thickness h sand-
wiched between layers of flexible friction material of total
B = i cos(G0 + Gs) T = l{cos(G0 + G) + nsin(0o + G,)} stiffness k' bounded by immovable planes. The disk is
e o +0 s ~0 o , G, = steady state angular rotation represented by a beam of mass M and moment of inertia
I, and with mixed coordinates y, and G. The disc is re-
Equation (35) is nonlinear homogeneous equation. strained by translational spring kt and rotational spring kr,
The nonlinear term arises from the compatibility condition see Fig. 25. The pad material introduces additional 2
trans-
(34c). In the absence of the linear damping term C6, lational stiffness k' and rotational stiffness k'& /3, where
Earles and Soar (1971) have shown that for the initial 21 is the pad length. The equations of motion are
conditions t=0, 6=-60,6=0, the system possesses stable
limit cycles if G9o<0-5, and the system is unstable if My+(kt + k)y + (F 1+ F 2 )6 = 0 (37a)
G9o>0.5. For tan"1n>G>0 not only a 'digging-in' action of
the pin occurs, thus drawing it under the disc and increas-
ing 0, but as S<0 the values of (I+MAS) decreases and l8+(kr + k'^)G-(F 1 -F 2 )h = 0 (37b)
hence the magnitude of G increases. Thus, it may be ex-
pected that instability occurs. Based on experimental ob- Y
A AMN(t)
servations, Earles and Soar estimated that GG0 lies in the
range 0.1 - 0.8 when a 'digging-in' action occurs. The ob-
served motion in this region is dominantly torsional with
squeal being produced. A linear double-pin and disc
model was analyzed by Earles and Chambers (1986). An
important conclusion of their study is the need to deter-
mine the instability magnitudes and frequencies. Audible
squeal noise is dependent on the instability magnitude,
which can vary considerably over the unstable region. A
large disc, or large pin masses, or large pin support mo-
ments of inertia can substantially reduce the unstable re-
gion. The unstable region can also be reduced if the pin
support stiffness is high. High pin support torsional damp-
ing reduces the unstable region. FIG 24 Four-degree-of-freedom pin/disc model
(Earles and Lee, 1976)

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 245

where Fr = n(k'y + N0), Fj = (x(-k'y + N 0 ), N„ is the static considered a pin and disc model and found that the disc
preload between pad. and disc, and Fi and F 2 are the damping reduces squeal generation whereas pad damping
frictional forces. may increase or decrease it depending on the particular
system parameter values being used. Reduction or elimi-
The stability analysis leads to stability boundaries at nation of disc brake squeal has always been a vital objec-
tive of manufacturers of brake systems. The key factors in
k' = (16 MTF|j.h)/(I - Mt2/3)2 (38) improving brake components are the friction materials, ro-
Because the stiffness matrix of these equations is tors, and disc pads. Tarter (1983) described a method of
non-self adjoint, the resulting instability is similar to a testing disc brakes to measure squeal, and found that
great extent to the flutter of aeroelastic structures and is squeal can be eliminated if the rotor is slotted. Test re-
known as binary flutter (Done, 1968). Chen and Bogy sults indicated that changes in friction material and pad
(1992) considered the flutter stability of a disc with a contact geometry can have significant effects. Schwartz,
point friction load and showed that such a load always et al. (1985) suggested that compounders of friction mate-
destabilizes the forward traveling wave. rial should follow three major activity phases: screening,
Other models include double-pin and disc represented probing, and optimization. In the screening phase the
by five degrees of freedom and two constraint relations compounder determines what materials have an effect on
(Earles and Badi, (1984). Millner (1978) developed a the property being modified, e.g. friction, wear and noise.
linear six-degree-of-freedom model with one kinematic In the probing phase, which is the most time- consuming,
constraint to describe disc brake squeal. In the computed the compounder evaluates the relative magnitudes of ef-
stability analysis the complex (conjugate) eigenvalues fects and selects the most promising approach based on
always have a negative real part, such that X2 = -p±iq, effects on the other response variables. Optimization in-
where p and q are always positive. The unstable parts of cludes the determination of the approach that gives the
the system coordinates are written in the form best overall combination of properties for a friction mate-
rial. Experimental work has shown that modifications to
the rotor and friction pad assembly can significantly re-
yd = A1extsin(o)t+<p1), 9d = Aze^si^cot + (pj) (39) duce the squeal of a given disc brake. Lewis and Shah
(1987) presented an analytical study of brake squeal and
and so on for other system coordinates, where yd and 9d its control.
are the disc displacement and rotational angle, respec- It is clear that most of the mathematical models are
tively, and Aj andfydepend on the eigenvectors. Millner based on linear modal analysis which provides eigenval-
ues and mode shapes. For most models examined in the
called the exponent % the "squeal propensity" and co the literature, stability boundaries based on the linear theory
squeal frequency. These are given by the expressions is also determine. These studies are important, however,
they do not provide the actual mechanism of the squeal or
X = [p2 + q2] 1/4sin8/2, co = [p2 + q2] 1/4cos5/2, 6 = arctan(q/p) its nonlinear characteristics. The nonlinear theory of
(40) modern dynamics together with stochastic analysis are
two key tools which should be employed in parallel with
A necessary and sufficient condition to induce squeal is laboratory experiments.
that % m u s t D e large enough at least to overcome the in-
herent stability provided by the natural damping forces. III.5 Chatter in Machine Tool Systems
The effects of damping in the brake elements has
been examined by Earles and Chambers (1985). They III.5 Linear Theory
Machine tool chatter is a well known self-excited vibra-
tion in metal cutting. Basically, there are two main
sources of this type of vibration (Tobias, 1966, and Tlusty,
1985). These are mode coupling between the tool and the
workpiece, and the regenerative effect due to the wavi-
ness generated by previous cuts. In mode coupling, the.
tool usually moves in an elliptical path as the cutting
force varies with time. The frequency of chatter is equal
to the dominant mode of the natural vibrations of the me-
chanical structure involved. In the regenerative case the
interaction between the movement of the tool point and
the chatter marks (produced in the preceding operation)
already exciting the surface of the workpiece. The regen-
erative chatter is analytically modeled by differential
equations with time delay. Stepan (1989) presented a
mathematical treatment of these type of differential
equations and proposed cutting force with distributed time
FIG 25 Binary flutter model (North, 1972) delay. Additional types of sources can arise when the

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 246 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

workpiece surface has not been previously machined. until it may be bounded by a limit cycle due to the sys-
This group comprises three types of chatter due to (i) the tem inherent nonlinearity. It is the frequency of this limit
friction conditions existing between the workpiece and the cycle which creates the chatter of machine tools.
tool, (ii) the dynamic modification of rake angle and The friction-type vibration is a self-excited vibration,
clearance angle, and (iii) the tendency for the cutting caused by the negative slope of friction-speed curve, oc-
force to fall or rise with cutting speed. The mathematical curs at frequencies above 1000 Hz in the case of cutting
modeling which combines these factors appears to be steel. It appears when the mechanical structure exhibits a
complicated and nonlinear. However, machine tool natural mode of vibration in the direction of the cutting
dynamicists have extensively used the linear theory to velocity between the tool and the workpiece. The design
predict stability boundaries for operating range in terms of and clamping of the tool holder is often found responsible
cutting speed and depth of cut. According to the linear for providing the structure with such dynamics. In contrast
theory of machine tool dynamics (Welbourn and Smith, to the regenerative chatter, the friction-induced vibration
1970) the maximum depth of cut can be taken without hardly occurs when the tool is just resharpened, but it
chatter is approximately proportional to the static stiffness builds up as too-flank wear develops. Han (1953) re-
and damping of a machine tool. ported friction-induced vibration known as transitional in-
A simple model of friction-induced chatter in ma- stability which occurs between the cutting stages. He ob-
chine tools is shown in Fig. 26. It is assumed that the cut- served that before breaking through the surface of the
ting edge of the tool remains in the plane of the relative work-piece and starting the actual work of chip removal,
cutting speed during the vibratory process. Accordingly, the cutting edge rubs on the surface, with the result that
the thickness of the chip removed s0 and the vertical cut- powdered metal crumbles away from the surface. When
ting-force component Fy will both be constant. The fric- the cutting edge is forced somewhat deeper into the work-
tion force between the cutting tool and the workpiece is piece, violent vibrations are set up which diminish as
u.Fy where \i is generally a function of the relative sliding soon as true chip removal starts. This transitional instabil-
speed (v0+x). If x«v 0 , the coefficient of friction can be ity is basically attributed to a friction effect as observed
experimentally by Doi (1953).
expressed in a Taylor series
Under unsteady-state cutting, due to for example the
a presence of hard particles in the workpiece material, both
d a |i 1 - ,d
n
3l
^(v0 + x) = |i(v0) + xdv^ + i * 2 2+ (41) the chip thickness and cutting force are not constants.
dT x
3T "dV + ' Unsteady-state cutting can also be observed during the
cutting of homogeneous materials of polished surfaces
It is seen that the vibrating tool can be replaced by an like plastic rods or plates (Thomson and Sarwar, 1974).
equivalent system consisting of an equivalent mass m , an According to these observations Grabec (1988) proposed
elastic spring with stiffness k and dashpot c oscillating on two possibilities for the mechanism of random forces dur-
a belt of speed v 0 . The equation of motion is ing the dynamic cutting process. These are either the
flow of the cut material is intrinsically unstable as in tur-
. , r- i , % .du 1 .%&l\\ 1 .3d 3 u. , bulence or the interaction between flow and tool leads to
mx + ex + kx = - Fy(n(v0) + x ^ + ^ x ^ + ffx-^ +
•••) chaotic dynamics. In view of the energy losses associated
(42) with plastic flows it is reasonable to discard the first pos-
sibility. The cutting force element dF is function of time
Considering small oscillation, equation (42) can be and velocity. The force-velocity relationship exhibits sim-
linearized in the form ilar characteristics to the dry friction-velocity curve. This
means that at relatively low speed the force-velocity
mX + (c + Fy J±) x + kx = FyM.(v0) (43) slope is negative and the force in this case gives energy
to the system causing self-excited vibrations. The dy-
It is clear that the stability of motion depends on the namic force dF also excites the machine frame in the di-
sign of the damping term which is mainly governed by the rections of x and y. A schematic diagram showing two-
slope of the friction-velocity terms d(X/dv. At small speed degree model is shown in Fig. 27.
v0, the slope is always negative and if the damping coeffi- The cutting force variation is determined mainly by
cient is greater than the friction-velocity slope the oscilla- relative oscillations normal to the cut surface. In this
tion will decay, otherwise the oscillation amplitude grows case the depth of cut is dependent on both the current mo-
tion of the tool x(t) and the wave left on the surface dur-
ing the previous tool pass x(t-T), where x is the displace-
ment of the tool perpendicular to the mean cutting direc-
tion, t is the time, and T is the time for one pass of the
tool or revolution of the workpiece. The presence of a vi-
bration normal to the mean cutting direction causes varia-
tions in a number of cutting parameters which affect the
pFy ^~v; cutting force. In machine tool literature the cutting force
variation is divided into a portion that is in phase with the
FIG 26 Equivalent machine tool model displacement x(t) and another that is out of phase with

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 Appl Mech Rev vol 47, no 7, July 1994 Ibrahim: Dynamics and modeling 247

x(t). Accordingly, dF can be expressed as the sum of the two-dimensional system (Hastings, et al. 1971, and
two forces (Tobias, 1966, Boothroyd and Knight, 1989): Kapitaniak, 1991). Both force components are interre-
lated and the corresponding equations of motion become
dF = kx[x(t) - vx(t - T)] + k2(27t/Q)x(t) (44) nonlinearly coupled. The numerical solution of the equa-
tions of motion is obtained by Grabec (1988). At a low
where lq is the cutting stiffness, k2 is a constant, v is an intensity of the cutting force the solution exhibits
overlap factor (it is unity when successive passes of the quasiperiodic oscillations. As the force level increases
cutting tool completely overlap, and can have a value transition to chaotic oscillation is developed. With further
from zero to one). When this force is introduced into the increase of the cutting intensity the response becomes in-
equation of motion of the cutting tool it results in a differ- tensive, synchronized anharmonic oscillations. For a well
ential equation with time delay. The linear stability anal- developed chaotic state the corresponding spectrum is
ysis of such case is well documented (see for example characterized by a wide band oscillation, while sharp
Boothroyd and Knight, 1989). peaks correspond to quasi periodic oscillations. These
The linear theory of machine tool chatter can features have been observed experimentally by Grabec
only predict instability conditions. However, new (1987). Recently, Moon (1993) presented analytical and
dynamic phenomena such as chaotic chatter and experimental investigations of the nonlinear dynamics of
information about the properties of well-developed chatter metal cutting. His results suggested that under certain
can only be predicted by considering the nonlinearities conditions material removal processes may exhibit
associate with the cutting process. Machine tool chatter chaotic dynamics. The experiments results revealed a
is believed to be a special form of chaos only if one fractal dimension less than three for turning of aluminum
considers nonlinear analysis. The role of nonlinearity in on a small lathe.
machine tool vibration has been recognized by Tlusty and
Ismail (1981). Grabec (1986, 88) developed a two- IV. CONCLUSIONS AND NEED FOR RESEARCH
degree-of-freedom model with friction non-linearity and
demonstrated the occurrence of chaos. Lin and Weng Friction is a complex process and cannot be accurately
(1991) adopted another nonlinear model and performed a defined. It influences the operation and durability of
numerical simulation for solving the equations of motion. many industrial components involving sliding motion.
Their results exhibited chaotic response characteristics. The governing laws of friction are phenomenological in
In their modeling the dynamic cutting force was character. Thus, it is natural that there is be no unique
represented by two components as indicated by relation mathematical model or theory to explain the mechanisms
(44). The dependence of the cutting force on velocity and and dynamic phenomena associated with friction. Some
cut depth is nonlinear. The cutting force can be resolved of these phenomena are undesirable and are sometimes
into two components along and perpendicular to the detrimental to the operation of machine elements. A
cutting directions. Some investigators (see foe example great deal of basic and applied research has been con-
Grabec, 1986) have referred to the perpendicular force ducted to eliminate or reduce friction-induced noise.
component as a friction force which is not true. It is However, many problems still need to be addressed.
indeed a cutting force component opposite to the relative Several measurements of friction in metal-to-metal and in
velocity, however, it has similar velocity dependence to metal-to-elastomer contacts have shown that friction is a
the friction force. The generated force is transmitted over random process. Accordingly, stochastic linear and non-
the tool, machine frame and the remaining part of the linear models should be developed. In mathematical
specimen, which can be treated altogether as an elastic modeling, friction nonlinearity can be represented by a
discontinuous process or by a nonlinear friction-speed
workpiece curve. The contact normal forces, on the other hand, are
nonlinear with normal deflection due to Hertzian contact
in higher kinematic pairs. Most of the reported results
concentrate on the analysis of single-degree-of-freedom
systems with both deterministic friction models.
The influence of friction on the nonlinear modal cou-
pling is not fully understood. Analytically, deterministic
and stochastic models should be examined in parallel
with experimental testing. The role of nonlinear coupling
in quenching friction-induced vibration should be ex-
plored. This problem has a direct impact on engineering
problems, including disc brake systems, water-lubricated
bearings, wheel/rail squeal, and many others. Friction has
very small effect on machine tool chatter. It is the tan-
gential cutting force which results in unsteady-state condi-
tions including chaotic chatter and squeal. The only fric-
tion exists between the flow of chips over the tool surface.
FIG 27 Two-degree-of-freedom model Chaotic chatter of machine tools needs further research.

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 248 FRICTION-INDUCED VIBRATION Appl Mech Rev vol 47, no 7, July 1994

In particular the nonlinear modal coupling, including the Beards, C. F. and Woowat, 1985, "The Control of Frame
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Another problem in structural dynamics is the uncer- 96(2), 450-454.
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Bender, E. K. and Remington, P. J., 1974, "The Influence of
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5, 394-401.

RaoulA Ibrahim is a Professor ofMechanical Engineering at Wayne State University. He

received his ESc and MSc in Aeronautical Engineering in 1963 and 1969, respectively,Fom
Cairo Universi~v (Egypt). He received his PhD in Mechanical Engineering/rom the University
ofEdinburgh in 1974. From 1963 thl'Ough 1971. he worked as a research engineer at the
Ael'Ospace Research Center of rockets industl:V in Egypt. From 1976 through 1979, he was
appointed as a Senior Research Specialist at Sakr Fact01Y in Cairo. and worked as Adjunct
Assistant Professor at Cairo University. In 1979, he moved to the United States and worked at
Shaker Research C01p. New York. In 1980, he joined Texas Tech University as Assistant,
Associate, then/i.l! Professor. Ibrahimjoined Wayne State Universi~v in 1987. He is a recipient
of two Halliburton Awards ofExcellence in 1983 and 1986, Texas Tech Presidential Award in
Research in 1987, and Outstanding Professor Awards in teaching in 1982 and 1989. He has
~ifr;'"'lc·~:IPublished more than 70 technical papers and a research monograph entitled "Parametric
Random Vibration" (Wiley, New York, 1985). He is a registered engineer in the State of Texas
b,;,I:..l-..I and a Fellow ofASME, Associate Fellow ofAIAA, and a member ofASEE and AAM.

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