Mechanical Systems and Signal Processing 31 (2012) 176–195

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Mechanical Systems and Signal Processing

journal homepage: www.elsevier.com/locate/ymssp

Effect of bearing preloads on the modal characteristics of a

shaft-bearing assembly: Experiments on double row angular contact
ball bearings
Aydin Gunduz, Jason T. Dreyer, Rajendra Singh n
Acoustics and Dynamics Laboratory, Department of Mechanical and Aerospace Engineering and Smart Vehicles Concepts Center, The Ohio State University,
Columbus, OH 43210, USA

a r t i c l e in f o abstract

Article history: This article investigates the role of bearing preloads on the modal characteristics of a
Received 12 July 2011 shaft-bearing assembly with a double row angular contact ball bearing. First, an
Received in revised form analytical model is developed to comparatively evaluate the effects of axial bearing
22 February 2012
preloads on the vibratory responses of alternate double row configurations. The
Accepted 24 March 2012
Available online 3 May 2012
analytical model includes bearings via a five dimensional stiffness matrix. Changes in
the resonant amplitudes with respect to the bearing preloads are examined for preload-
Keywords: independent and preload-dependent viscous damping models. The bearing preloads
Modal experiment significantly affect the vibration characteristics of the shaft-bearing assembly due to
Bearing dynamics
major changes in both diagonal and off-diagonal elements of the stiffness matrix, and
Damping models
such effects depend on the bearing configuration. Second, a new experiment consisting
Automotive wheel bearings
of a vehicle wheel bearing assembly with a double row angular contact ball bearing in a
back-to-back arrangement is designed. The bearing is subjected to axial or radial
preloads in a controlled manner. Experiments with two preloading mechanisms show
that the nature and extent of the bearing preloads considerably affect the natural
frequencies and resonant amplitudes, thus influencing the vibration behavior of the
bearing assembly. Finally, the new bearing stiffness model is validated using measure-
ments from the modal experiment. Suggestions for further work are briefly discussed.
& 2012 Elsevier Ltd. All rights reserved.

1. Introduction

It is well known that rolling element bearings must be preloaded to eliminate large deflections due to external loads,
enhance fatigue life, decrease noise, prevent skidding, and reduce rattle due to clearances [1,2]. However, the effect of
bearing preloads on the modal or vibration characteristics of a shaft-bearing assembly are not well understood, though
several numerical and experimental studies have been reported [3–8]. For instance, some shifts in the frequency response
function measurements at various preloads have been seen [8,9], but changes in the resonant responses due to bearing
preload have not been explored. It seems that a controlled experiment to analyze the nature and extent of bearing preloads
on the modal characteristics of shaft-bearing systems (including their stiffness and damping characteristics) has yet to be
conducted. This study fills this gap with a focus on double row angular bearings and presents new experimental and
analytical results (in the frequency domain) in order to provide a better understanding on the preload effects.

n
Corresponding author. Tel.: þ 1 614292 9044; fax: þ 1 614292 3163.
E-mail address: singh.3@osu.edu (R. Singh).

0888-3270/$ - see front matter & 2012 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.ymssp.2012.03.013
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 177

Double row angular contact ball bearings are similar to duplex (paired) bearings in terms of design and functionality
[1]. Conventional double row angular contact ball bearings have solid inner and outer races; however, certain types (such
as most automotive wheel bearings) are designed with a split inner race; this provides ease in axial preloading with a lock
nut or a similar mechanism [1,2]. To address such bearings, a new bearing stiffness matrix (Kb) formulation has been
developed by extending the prior single row theory by Lim and Singh [7]. This article will first outline the new theory then
employ the new Kb formulation to guide the design of a new shaft-bearing system experiment to extensively investigate
the effect of bearing preloads on system modal characteristics, as well as to experimentally validate the new Kb
formulation.

2. Literature review

Several aspects of the bearing stiffness formulations and resulting vibration characteristics have been well studied by
prior investigators. White [5] analyzed the influence of preloads on the radial bearing stiffness coefficients in a two degree-
of-freedom model and showed that the bearing nonlinear effects are negligible at higher preloads. Lim and Singh [7,8]
demonstrated a relationship between preloads and stiffness coefficients and analyzed the modal properties of a linear,
time-invariant system at various preloads. Royston and Basdogan [10] presented similar results for self-aligning bearings
by relating axial and radial preloads to the stiffness coefficients. Cermelj and Boltezar [11] used Lim and Singh’s stiffness
model [7] to compare analytical and experimental frequency response functions at a given preload. Jorgensen and Shin
[12] analyzed high speed effects and found a relationship between the radial loads, rotational speed, and radial stiffnesses.
Yet a few other researchers have focused on the nonlinear dynamic aspects of the shaft-bearing systems. For example,
Akturk et al. [6] used a nonlinear three degree-of-freedom model of an angular contact ball bearing and observed a
reduction in the vibration amplitudes (at the ball passage frequency) with an increase in the axial preload. Alfares and
Elsharkawy [13] expressed similar observations using a five degree-of-freedom model as they also found a reduction in the
peak-to-peak amplitudes with an increase in axial preload. Bai et al. [14] used the same five degree-of-freedom model to
observe that unstable periodic solutions of a rotor bearing system could be avoided with a sufficiently high axial preload.
Experimental studies that demonstrate the effects of bearing preloads on the vibration characteristics of a shaft-bearing
system are limited. Kraus et al. [4] utilized experimental modal analysis to estimate the modal parameters of a shaft-
bearing system using a single degree-of-freedom system (in both axial and transverse directions). They reported an
increase in the stiffness (and natural frequency) of the shaft-bearing system in the axial or transverse direction and also an
increase in axial damping but a reduction in transverse damping with an increase in the axial preload. Lim and Singh [8]
and Spiewak and Nickel [9] presented limited experimental results (on single row bearings in the frequency domain) for
three axial preloads but did not observe a clear trend between bearing preloads and vibration amplitudes. Several other
researchers [12,15–18] have measured natural frequencies of the shaft-bearing system at various preloads and rotational
speeds but did not focus on the vibratory characteristics of the shaft-bearing system nor present any frequency domain
results.

3. Problem formulation: Scope, assumptions and objectives

The generic vibration problem of a shaft-bearing system containing a double row bearing is illustrated in Fig. 1. Here,
the shaft is subjected to an alternating (with subscript a) load vector f sa ðtÞ ¼ fF xsa ðtÞ, F ysa ðtÞ, F zsa ðtÞ, M xsa ðtÞ, M ysa ðtÞgT
which represents typical vibratory excitations, say due to kinematic errors, torque fluctuations, and mass unbalances [8].

Bearing Casing xsa

xsa

Double Row Bearing

Fxsa
Mxsa Fzsa Ωz
Shaft zsa z
Mysa

Fysa

ysa

ysa
y

Fig. 1. Schematic of the vibration transmission problem. Here a shaft is subjected to dynamic loads and moments f sa ðtÞ ¼ fF xsa ðtÞ, F ysa ðtÞ, F zsa ðtÞ,
T
M xsa ðtÞ, M ysa ðtÞgT , resulting in vibratory motions qsa ðtÞ ¼ fdxsa ðtÞ, dysa ðtÞ, dzsa ðtÞ, bxsa ðtÞ, bysa ðtÞg . Here, subscript a implies alternating or vibratory.
x and y are radial directions, and z is the axial direction.
178 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

The resulting vibratory motions of the shaft (also shown in Fig. 1) are similarly represented by a generalized displacement
T
vector as qsa ðtÞ ¼ fdxsa ðtÞ, dysa ðtÞ, dzsa ðtÞ, bxsa ðtÞ, bysa ðtÞg . The last two terms of both vectors correspond to tilting
moments and angular motions about the x and y axes, respectively. The rotational term about the z-axis is not included as
the shaft is allowed to freely rotate about its rotational (z) axis. For vibration analysis, assume that the amplitudes of
vibratory motions transmitted through the bearing are much smaller than the mean bearing displacements due to
preloads and mean (static) external loads. This yields a linear, time-invariant system with bearing properties such as Kb
about an operating point. The governing equation of the linearized vibration model is:
Mq€ a ðtÞ þCq_ a ðtÞ þ Kqa ðtÞ ¼ f a ðtÞ ð1Þ

where M, C and K are system mass, viscous damping, and stiffness matrices, and f a ðtÞ and qa ðtÞ are the generalized
alternating force and displacement vectors, respectively. Although high speed effects are not considered in this study, one
could easily incorporate gyroscopic and centrifugal effects into Eq. (1) to analyze overcritical speeds [16]. Note that the
bearing preloads and mean shaft loads do not explicitly appear in the governing equation. However, they dictate the
vibration characteristics of the bearing system via the diagonal and off-diagonal terms of Kb (as well as via elements of C),
thus controlling the natural modes and forced responses.
The specific objectives of this study are as follows: (1) develop a new stiffness matrix (Kb) model for double row angular
contact ball bearings; (2) develop a simple analytical system model of a shaft-bearing system (with a double row angular
contact ball bearing of alternate configurations) and computationally evaluate the effects of preloads on the natural
frequencies and vibration amplitudes by employing two alternate viscous damping approximations; (3) design and
instrument a new laboratory experiment consisting of an automotive wheel-hub assembly (with a back-to-back double
row angular contact ball bearing) to investigate the effects of axial and radial bearing preloads on the system modes,
natural frequencies and resonant amplitudes; and (4) validate the new stiffness model based on modal measurements for
the axial preload case.

4. New bearing stiffness model for double row angular contact ball bearings

The proposed Kb is a global representation of the bearing kinematic and elastic characteristics, and it combines the
effects of each rolling element of both rows, including their interactions. The derivation is similar to Lim and Singh’s [7]
formulation for single row bearings; however, it is slightly more complex due to the presence of two rows that can be
organized in different arrangements. To define the bearing stiffness matrix, the relationship between the mean bearing
load vector f m ¼ fF xm , F ym , F zm , Mxm , M ym gT and mean displacement vector qm ¼ fdxm , dym , dzm , bxm , bym gT
(both vectors acting along the geometrical center of the bearing) has to be derived. Thus, the total elastic deformation of
i
each rolling element (dj ) is first determined utilizing the complex kinematics of the rolling elements of a double row
angular contact bearing as outlined in Eqs. (2–7) and illustrated in Fig. 2 (i and j are the row and rolling element indices,
respectively):
i i i i
ðdr Þij ¼ ½dxm þ mi dz bym cosðcj Þ þ ½dym mi dz bxm sinðcj Þr L ð2Þ

i i
ðdz Þij ¼ dzm þ R½bxm sinðcj Þbym cosðcj Þ ð3Þ

ðdr Þij ¼ ðdr Þij þ Ao cosðao Þ

n
ð4Þ

ðdz Þij ¼ ðdz Þij þ ni ðAo sinðao Þ þðdz0 Þi Þ

n
ð5Þ

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Aij ¼ ððdr Þij Þ2 þ ððdz Þij Þ2
n n
ð6Þ

8
< Aij Ao for dij 4 0
dij ¼ ð7Þ
:0 for dij r 0
i
here, cj is the angular position of the rolling element (measured from þx axis), r L is the radial clearance, R is the pitch
i
radius, ao is the unloaded contact angle, and dz is the axial distance between the geometric center of the bearing and the
ith bearing row. ðdr Þj and ðdz Þj are the radial and axial deflections, and ðdr Þij and ðdz Þij denote the radial and axial distances
i i n n

between the inner and outer raceway curvature centers of the loaded rolling element. Aij and Ao are the loaded and
unloaded distance between the inner and outer raceway curvature centers, respectively. Refer to Fig. 2(a), (b) for a
schematic illustration of the geometric and kinematic parameters. Coefficient mi in Eq. (2) is a dimensionless constant and
is ‘ 1’ for i ¼1 (left row) and ‘1’ for i¼2 (right row). ðdz0 Þi in Eq. (5) defines an axial displacement preload on the ith row
obtained by bringing the inner and outer raceways closer together by a distance ðdz0 Þi (for instance in the case of split inner
rings [33]). ðdz0 Þi can have a positive value only if the radial clearance is eliminated (r L ¼ 0). Note that ðdz0 Þi differs from
ðdz Þij , which corresponds to an axial deflection caused by an external load; those two variables may add up or cancel each
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 179

R
o

dzi
E
αj

αo

Outer ring
(*r)ji

jth rolling element ai

of the ith row
ao
(*z)ji i
Aj
Inner ring Ao

Fig. 2. Illustration of kinematic quantities utilized in the analytical model. (a) Geometric parameters of a double row bearing shown for a back-to-back
configuration; (b) Elastic deformation of a rolling element under load.

other out dependent on the value of ni , which is a dimensionless constant and dependent on the configuration of rolling
elements as follows:
(
i
1 for i ¼ 1ðLeft rowÞ
Back-to-back configuration : n ¼ ð8aÞ
1 for i ¼ 2ðRight rowÞ

(
i
1 for i ¼ 1 ðLeft rowÞ
Face-to-face configuration : n ¼ ð8bÞ
1 for i ¼ 2 ðRight rowÞ

Tandem configuration : ni ¼ 1ðnÞ ðBoth rowsÞ ð8cÞ

i
The elastic deformation of the rolling element (dj ) is then used in the Hertzian contact stress theory to obtain the
resultant normal load (Q ij ) on the element
i
Q ij ¼ K n ðdj Þn ð9Þ

here, Kn is the rolling element load-deflection stiffness constant, which is a function of material properties and geometry
[1]. The exponent n is equal to 1.5 for point/elliptical type contact (for ball type bearings). The loaded contact angle aij for
the same element is determined by trigonometry:
!
ðd Þi
n

aij ¼ arctan zn ji ð10Þ

ðdr Þj
180 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

 
Next, fm is written in terms of qm through vectoral sums of Q ij ði ¼ 1,2; j ¼ 1,. . .,ZÞ for each loaded dij 40 rolling
element where Z is the number of rolling elements in one row:
8 9
> i >
8 9 >
> cosðaij Þcosðcj Þ >
>
> F xm > >
> >
>
>
> >
> >
> i i >
>
> F ym >
> > >
> cosðaj Þsinðcj Þ >
>
>
< >
= X 2 XZ >
< >
=
i
fm ¼ F zm ¼ Qji sinð aj Þ ð11Þ
>
> >
> i¼1j¼1 > > >
>
> Mxm >
> > > ½Rsinðai Þmi diz cosðai Þsinðcij Þ >
> >
>
> > > >
:M > ; >
>
>
j j >
>
>
ym >
> i i i i >
i >
: ½Rsinðaj Þ þ m dz cosðaj Þcosðcj Þ ;

The five dimensional stiffness matrix (Kb) around the operating point is finally defined as follows:
2 3
kxx kxy kxz kxyx kxyy
6 7
6 kyy kyz kyyx kyyy 7
6 7
@f m 6 kzz kzyx kzyy 7
Kb ¼ ¼ 6 7 ð12Þ
@qm 6 6
7
6 symmetric k yx yx kyx yy 7
7
4 5
kyy yy

Explicit expressions of each stiffness term are symbolically calculated. For the sake of illustration, the first term (radial
stiffness kxx ) of Kb is expressed in its simplest form as:
X Z ðdi Þn cos2 ðci ÞðnAi ððdn Þi Þ2 =ðAi A Þ þ ððdn Þi Þ2 Þ
2 X
j j j r j j o z j
kxx ¼ K n ð13Þ
i¼1j¼1 ðAij Þ3

5. Analytical model of a rigid shaft supported by double row bearing

Since the main purpose of this study is to examine the modal characteristics of double row angular contact ball
bearings, both shaft and bearing casings are assumed to be rigid. This facilitates the development of a simple analytical
model (of dimension N ¼5) as shown in Fig. 3 to represent the vibration problem of Fig. 1. Here, a rigid shaft ðMS Þ is
supported by a double row angular contact ball bearing represented as a five-dimensional bearing stiffness matrix (Kb )
with an appropriate viscous damping matrix (Cb ). Both are directly connected to ground. Mass, damping, and stiffness
matrices of the shaft-bearing assembly essentially become M ¼ MS , C ¼ Cb and K ¼ Kb where
2 3
ms 0 0 0 0
6 0 ms 0 0 0 7
6 7
6 7
MS ¼ 66 0 0 m s 0 0 7: ð14Þ
7
6 0 0 0 I I 7
4 xx xy 5
0 0 0 Iyx Iyy

In these studies, Kb is evaluated by using the analytical expressions such as Eq. (13). A commercial double row angular
contact ball bearing whose properties are given in Table 1 will be utilized in the computational (Section 6) and
experimental studies (Section 7). These properties are either given by the bearing manufacturer or determined from the
kinematics, except for the Hertzian stiffness coefficient (Kn) which can be found empirically [1]. Neglecting shaft and

x

Rigid shaft Ms
z

y
y
Double row bearing Kb Cb

Fixed casing

Fig. 3. Analytical model (of dimension 5) of a rigid shaft supported by double row bearing.
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 181

Table 1
Kinematic properties of the double row angular contact ball bearing utilized for computational and experimental studies.

Symbol Value Description

Z 13 Number of rolling elements in one row

Kn (N/mm1.5) 414,000 Hertzian stiffness constant
R (mm) 31.75 Radius of the inner raceway groove curvature center (pitch radius)
Ao (mm) 0.65 Unloaded distance between inner and outer raceway centers curvature
i
dz (mm) 18.20 Axial distance between the geometric center and bearing one row
ao (deg) 35 Unloaded contact angle
n 1.5 Load-deflection exponent

casing compliances and assuming the casing is grounded, the shaft-bearing system can be represented by the lumped
parameter model of Fig. 3. For the example case, the rigid shaft has a mass of m¼ 5 kg, and the moment of inertia of the
bearing center about the x and y axes are calculated from geometry as Ixx ¼Iyy ¼0.015 kgm2. The product of inertia terms
(Ixy ¼Iyx ) of Eq. (14) are zero as the shaft is rotationally symmetric (x, y, and z are the principal axes); thus MS is diagonal.
The viscous damping matrix ðCb Þ, however, cannot be easily predicted due to unknown dissipative characteristics of
rolling element bearings [2,4] and thus must be found from the experiment. To facilitate this, consider a non-
_ T
proportionally damped multi-degree-of-freedom system, and rewrite Eq. (1) by defining a state vector xðtÞ ¼ ðqðtÞ,qðtÞÞ
of dimension 2N,
 ( € )  ( _ )  
M C qðtÞ 0 K qðtÞ fðtÞ
þ ¼ ð15Þ
0 M _
qðtÞ M 0 qðtÞ 0

_ þ AxðtÞ ¼ ½fðtÞ 0T where

This is of the form BxðtÞ
   
M C 0 K
B¼ ;A¼ ð16a; bÞ
0 M -M 0

For the generalized eigenvalue problem assume a solution of the form xðtÞ ¼ vexpðltÞ ðReðlÞ o 0Þ,

Av ¼ lBv ð17Þ

The solution results in 2N eigenvalues (lr ) and eigenvectors (vr ) occurring in complex conjugate pairs. The rth
eigenvalue (lr ) is written in the form
pffiffiffiffiffiffiffiffiffiffiffi
lr ¼ zr or 7jor 1zr ð18Þ

and the undamped natural frequencies (or ) and viscous damping ratios (zr ) of the system are:
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
or ¼ ðReðlr ÞÞ2 þðImðlr ÞÞ2 ð19Þ

9Reðlr Þ9
zr ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi : ð20Þ
ðReðlr ÞÞ2 þðImðlr ÞÞ2

In this study, two alternate viscous damping mechanisms are employed. First, a preload-independent viscous damping
is considered. It is described by the following non-proportional, diagonal matrix (Cb ) of the form

Cb ¼ diagð½cxx ,cyy ,czz ,cyx yx ,cyy yy Þ ð21Þ

where cxx ¼ cyy ¼ czz ¼ 4350 Ns=m and cyx yx ¼ cyy yy ¼ 7:25 Nms=rad. These damping coefficients are estimated based on
experimental results for an intermediate axial preload (to be discussed later in Section 8.2) and then utilized at all loads.
Second, a preload-dependent viscous damping model is used where Cb is proportional to Kb:

Cb ¼ sKb ð22Þ

Here, the proportionality constant s (such as 10  7 s) is found empirically. Since Kb is a function of the bearing preload,
the values of Cb are decided by the extent of preload, unlike the first model described by Eq. (21).
Assuming a sinusoidal excitation fðtÞ¼Fejot at a frequency o (rad/s), the accelerance matrix AðoÞ ¼ ½Aij ðoÞ ¼ f i =qj  can
be expressed as follows:

AðoÞ ¼ o2 ½o2 M þ joC þ K1 ð23Þ

182 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

which is expanded below (note that each element of a symmetric matrix is a function of o):
2 3
Axx Axy Axz Axyx A xyy
6 Ayy Ayz Ayyx Ayyy 7
6 7
6 7
6 Azz Azyx Azyy 7
AðoÞ ¼ 6 7 ð24Þ
6 7
6 symmetric Ayx yx Ayx yy 7
4 5
Ayy yy

6. Computational study

The modal characteristics of a shaft-bearing system are first analyzed with a computational exercise to serve the
following four objectives: (1) demonstrate the utility of Kb with a simple linear vibration model; (2) investigate two
viscous damping models described by Eqs. (21) and (22), and observe a change in the vibration amplitudes with an
increase in axial preload; (3) guide the design of a laboratory experiment setup (Section 7) to select an appropriate bearing
and analyze its sensitivity to preload; and (4) interpret the experimental results of next section.
For the sake of illustration, the effects of axial preloads (F z0 ) will be examined, although other loading scenarios could
be easily applied. Here, F z0 defines a force quantity that can be expressed in terms of axial displacement preload ððdz0 Þi Þ by
the following relation [19]:
ðdz0 Þi ¼ ðZK n sinða0 Þ1 þ n Þ1=n ðF z0 Þ1=n ð25Þ

The double row bearing of Table 1 is subjected to F z0 ranging from 0.25 to 5.0 kN with an increment of 0.25 kN. In the
absence of any radial or moment loads on the bearing the only significant off-diagonal terms of Kb are kxyy and kyyx (and their
symmetric elements kyy x and kyx y ), which couple translational and rotational motions in two radial directions, x and y. Also, the
translational and rotational stiffness coefficients in the x and y directions are identical ðkxx ¼ kyy and kyx yx ¼ kyy yy Þ which
results in an overlap of relevant vibration modes under a pure axial load. For this particular example, a pair of identical modes
are obtained at r¼1 and 2 and then at r¼4 and 5. The third mode (r¼3) that corresponds to axial (translational) vibrations is
unique as it is uncoupled from all other modes because all the z-axis related off-diagonal terms of Kb are negligible in the
absence of radial or moment loads.
First, consider the preload-independent Cb model of Eq. (21). The undamped natural frequency ðor =2pÞ map of the
shaft-bearing system with respect to F z0 is illustrated in Fig. 3(a) –(c) for three bearing arrangements (face-to-face, back-
to-back and tandem). An increase in F z0 affects the diagonal and off-diagonal terms of Kb (as shown in Table 2) and raises
or values for all arrangements as seen from Fig. 4, but considerable variations among the three configurations are found.
For example, the r ¼1, 2 mode of the face-to-face arrangement occurs at such a low frequency that it does not exist until
F z0 is equal to 1.0 kN. Beyond 1 kN, this mode still remains in the lower frequency regime (below 160 Hz), whereas the
same mode occurs between 760 and 870 Hz for the back-to-back arrangement and in the 500–660 Hz range for tandem
arrangement. This result could be explained by the fact that the back-to-back arrangement, which is designed to carry
substantial moment loads, has higher moment stiffness terms (kyx yx ¼kyy yy around 0.55–0.75 GNmm/rad for this case) that
considerably raise the natural frequencies of angular (tilting) modes. Since the radial modes (r ¼1, 2) are highly coupled
with the tilting modes (r ¼4, 5) through the cross-coupling terms ðkxyy and kyyx Þ, the overlapped radial modes of the
back-to-back arrangement also occur at a higher frequency. Conversely, the face-to-face arrangement, which is designed to
provide a better compensation for shaft misalignments (which are closer to the self-aligning bearings in this sense), has
much lower tilting stiffness coefficients (around 0.1–0.25 GNmm/rad) as it has a smaller effective load center. Lower tilting
stiffness coefficients shift the natural frequencies to the lower frequency regime.
The axial vibration mode (r ¼3), however, occurs at the exact same frequencies for the face-to-face and back-to-back
arrangements (shifting from 1240 to 1670 Hz with increasing F z0 ), as they show the same axial vibration behavior. This is
because their kzz values are the same, and there is no coupling between the tilting and axial coefficients ðkzyx ¼ kzyy ¼ 0Þ in

Table 2
Non-zero elements of the stiffness matrix calculated by the proposed stiffness model with alternate bearing configurations for F z0 ¼0.5 or 5 kN.

Axial preload (kN)

Face-to-face Back-to-back Tandem

Stiffness element (units) 0.5 5 0.5 5 0.5 5

kxx ¼kyy (kN/mm) 329 454 329 454 531 746

kzz (kN/mm) 378 601 378 601 579 898
kyxyx ¼ kyyyy (MNmm/rad) 134 222 558 753 468 700
kxyy ¼kyyx (MN/rad)  6.89  9.77  15.2  22.9  12.1  17.8
kyyx ¼kyxy (MN/rad) 6.89 9.77 15.2 22.9 12.1 17.8
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 183

Face-to-Face (X) Arrangement

3000

Natural Frequency (Hz)

2000

1000

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5

Back-to-Back (O) Arrangement

3000
Natural Frequency (Hz)

2000

1000

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5

Tandem Arrangement
3000
Natural Frequency (Hz)

2000

1000

0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Axial Preload (kN)

Fig. 4. Natural frequencies vs. axial preload for the computational example. (a) Face-to-face arrangement, (b) Back-to-back arrangement, (c) Tandem
arrangement. Key for modes: ( ), r¼ 1, 2; ( ), r ¼3; ( ), r ¼ 4, 5.

the absence of any radial or moment loads. However, when the rolling elements are arranged in a tandem configuration,
this axial mode occurs at a higher frequency (shifting from 1540 to 2070 Hz) due to its high axial rigidity (of course it is
assumed that the tandem arrangement is loaded in the direction it can carry the load).
The system transfer functions at various F z0 provide more insights. Thus, the radial accelerance spectra ð9Axx ðoÞ9Þ is plotted
for five F z0 values (0.5, 1, 2, 3, 5 kN) in Fig. 5(a)–(c) for face-to-face, back-to-back, and tandem arrangements, respectively. These
spectra clearly illustrate that the natural frequencies move up or the peaks shift towards the right with an increase in F z0 . Again,
observe that the back-to-back arrangement has the highest resonant frequencies, followed by tandem and face-to-face
configurations, respectively. If the vibration amplitudes are to be rank-ordered from maximum to minimum, the same order of
bearing configurations applies (which is especially clear from the first overlapped mode). It is also apparent that these peak
amplitudes grow with increasing F z0 when the preload-independent Cb model of Eq. (21) is selected.
Since the axial vibration mode (r¼ 3) is uncoupled from other modes of vibration, its resonant peak cannot be seen in
the 9Axx ðoÞ9 spectra. In order to clearly observe this mode, 9Azz ðoÞ9 spectra are plotted in Fig. 6(a)–(c). As expected, the
face-to-face and back-to-back arrangements have identical spectra, whereas this mode occurs at a higher frequency with
higher amplitudes for the tandem configuration. The increasing trend of vibration amplitude with increasing F z0 is also
seen in the 9Azz ðoÞ9 spectra.
Now, consider the load-dependent Cb model of Eq. (22). If the radial and axial accelerance spectra ð9Axx ðoÞ9 and 9Azz ðoÞ9Þ
which are shown in Fig. 7(a)–(c) and Fig. 8(a)–(c), respectively, are viewed, it can be observed that the vibration amplitudes at
all modes decrease with increasing F z0 unlike the previous case. In fact, the peak amplitudes of the curves corresponding to
light preloads (such as 0.5 kN) are elevated, but they are considerably reduced for heavy axial preloads (such as 5 kN). Also,
even though the undamped natural frequencies do not vary significantly, the shape of the resonant peaks are altered in
comparison to the load-independent viscous damping model of Eq. (21). Since the damping characteristics of rolling element
bearings are not very well understood, both damping models must be examined to assist us in interpreting vibration
measurements as discussed in the next section.
184 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

Face-to-Face (X) Arrangement

2.5

Accelerance (1/kg)
2 Increasing
preload
1.5

0.5
Increasing preload
0
0 500 1000 1500 2000 2500
Back-to-Back (O) Arrangement
2
Increasing
Accelerance (1/kg)

1.5 preload
Increasing preload
r = 4, 5
1
r = 1, 2
0.5

0
0 500 1000 1500 2000 2500
Tandem Arrangement
3
Increasing
Accelerance (1/kg)

preload
2

1
Increasing preload

0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 5. Effect of axial preload on the radial accelerance magnitude spectra 9Axx ðoÞ9 of the computational example with preload-independent, non-
proportional damping model described by Eq. (21). (a) Face-to-face arrangement, (b) Back-to-back arrangement, (c) Tandem arrangement. Key: Fz0; ( ),
0.5 kN; ( ), 1 kN; ( ) 2 kN; ( ) 3 kN; ( ) 5 kN.

7. Experimental study

7.1. Development of a modal experiment

A new experiment composed of an automotive wheel-hub assembly, as shown in Fig. 9, is designed to assess the effects
of bearing preloads on modal characteristics. A similar wheel-bearing unit has been investigated by Choi and Yoon [20] to
optimize its design variables. In this system, the shaft is supported by a double row angular contact ball bearing in back-to-
back arrangement (with kinematic properties of Table 1) that has a split inner ring. The main reason a back-to-back
arrangement is selected is its ease of preloading with a lock nut through a threaded rod [2], and this arrangement is found
in many real-life applications (such as vehicle wheel bearings). Also, the analyses of the previous section suggest that the
radial, axial, and tilting modes of the back-to-back arrangement are well separated when compared with the face-to-face
or tandem arrangement. The bearing housing (or the knuckle for this case) is rigidly clamped to a pedestal which is rigidly
connected to the ground. The experiment is conducted under non-rotating (zero speed) conditions to avoid any gyroscopic
or centrifugal effects that have been well studied by several authors [12,16]. The bearing is initially unloaded in the axial
direction. The initial radial preload for such bearings is given in terms of radial clearance that is between 0 and  30 mm
(note that this negative clearance defines a displacement preload), which creates some uncertainty regarding the precise
value of initial radial preload. Additional bearing preloads are applied via the following mechanisms.

1. Axial preload (F z0 ): Applied through the shaft by tightening the nuts at both ends of threaded rod inside the shaft that
can be seen in Fig. 9. The applied load is measured with a washer type load cell (Omega model LC901-5/8-50K, 28.6 mm
outer diameter 16.4 mm inner diameter, 0 to 222.4 kN compression range, 9.39e-3 mV/V/kN) that is placed between
one of the nuts and flange on the shaft.
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 185

Face-to-Face (X) Arrangement

3

Accelerance (1/kg)
Increasing
2 preload

0
0 500 1000 1500 2000 2500

Back-to-Back (O) Arrangement

3
Increasing
Accelerance (1/kg)

preload
2
r=3

0
0 500 1000 1500 2000 2500

Tandem Arrangement
4
Accelerance (1/kg)

Increasing preload
3

0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 6. Effect of axial preload on the axial accelerance magnitude spectra 9Azz ðoÞ9 of the computational example with preload-independent,
non-proportional damping model described by Eq. (21). (a) Face-to-face arrangement, (b) Back-to-back arrangement, (c) Tandem arrangement. Key:
Fz0; ( ), 0.5 kN; ( ), 1 kN; ( ) 2 kN; ( ) 3 kN; ( ) 5 kN.

2. Radial load (F x0 ) with imposed moment: Applied as an external static shaft load ðF xm Þ using a hydraulic jack that is
placed on a stable base as shown in Fig. 9 while the bearing is axially preloaded at 2.67 kN. The applied radial load,
which is carried by the wheel bearing, essentially imposes a moment load ðM ym Þ on the bearing as well. The amount of
applied radial load is measured with a miniature compression load cell (Omega model LC307-3K, 12.7 mm diameter,
9.7 mm thick, 0 to 13.3 kN compression range, 0.109 mV/V/kN) which is attached at the top of the jack.

An impulse hammer (PCB model 086C02, 0 to 445 N range, 11.2 mV/N) test is conducted at various axial and radial
loads, and cross-point accelerance measurements are taken for numerous impact (f 1 ,f 2 ,. . .,f 5 ) and accelerometer locations
(1, 2 and 3) as shown in Fig. 9. In these measurements the angular position of the shaft (and essentially the bearing) is kept
the same for all preloads. In the following sub-sections, typical results are presented for various locations of a triaxial
accelerometer (PCB model 356A15, 100 mV/g sensitivity in each direction, o5% transverse sensitivity) when the force (f1z)
is applied on the left end of shaft (as shown in Fig. 9). Other force locations are incorporated to observe the mode shapes.
The frequency range of interest of this study will be from 500 to 2500 Hz as the relevant vibration modes of the shaft-
bearing system occur within this region. The natural frequencies that occur below 500 Hz correspond to the lower order
flexural modes of the casing itself, whereas the modes beyond 2500 Hz represent local motions. Thus, the modes of shaft-
bearing assembly are well separated from the rest of experimental system (or fixture) modes.

7.2. Effects of axial preload

Axial preloads ranging from 0.45 to 2.67 kN are applied with an increment of 0.22 kN; these are within 7 0.05 kN error
margin as it is not possible to experimentally apply a precise amount of preload. Also, there is an uncertainty of 74 Hz in
186 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

Face-to-Face (X) Arrangement

3
Increasing preload

Accelerance (1/kg)
2

Increasing preload
0
0 500 1000 1500 2000 2500

Back-to-Back (O) Arrangement

1.5
Increasing
Accelerance (1/kg)

preload
1
Increasing r = 4, 5
preload
i = 1, 2
0.5

0
0 500 1000 1500 2000 2500

Tandem Arrangement
2
Accelerance (1/kg)

1.5

0.5 Increasing preload

0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 7. Effect of axial preload on the radial accelerance magnitude spectra 9Axx ðoÞ9 of the computational example with preload-dependent, proportional
damping model described by Eq. (22). (a) Face-to-face arrangement, (b) Back-to-back arrangement, (c) Tandem arrangement. Key: Fz0; ( ), 0.5 kN;
( ), 1 kN; ( ) 2 kN; ( ) 3 kN; ( ) 5 kN.

the frequency measurements based on the frequency resolution of acquired digital data. Accelerance results are presented
for two accelerometer locations (1 and 2) in Fig. 9.
Accelerance magnitude measurements at location 1 are first plotted in Fig. 10(a) up to 2500 Hz for all preloads. In this
plot, the low-amplitude peak occurring around 65 Hz (though not very visible) corresponds to a casing mode and is thus
beyond interest as mentioned earlier. The first preload-dependent mode occurs at 660 Hz when Fz0 ¼0.45 kN, and its
natural frequency increases to 810 Hz as the Fz0 is gradually increased to 2.67 kN. The peak amplitude at this mode
significantly reduces with an increase in Fz0, resembling the load-dependent damping case described by Eq. (22) as
discussed in the previous section. As a result of these two combined effects, the peaks display a clear trend towards right
and down with increasing Fz0. Around 890 Hz, one can observe yet another peak with lower amplitudes shifting slightly
towards right with increasing Fz0. These two modes, when magnified in Fig. 10(b), predominantly correspond to the radial
motions of the shaft.
The amplitude at another vibration mode, as observed around 1620 Hz in Fig. 10(a), is significantly attenuated with an
increase in Fz0, though it does not exhibit a considerable frequency shift. Further analysis reveals that this mode predominantly
corresponds to the axial motions of the shaft which is consistent with the computational study of Section 5. A reduction in the
vibration amplitude can be explained by the fact that a high Fz0 overcomes the axial clearances within the bearing and
consequently does not permit any axial vibrations of the shaft. Conversely, when Fz0 is low, higher amplitude vibrations seem
to occur due to a higher clearance. A nonlinear study of the clearance issue is beyond the scope of this paper.
The next resonant peak shifts from 1890 to 2120 Hz when Fz0 is increased from 0.45 to 2.67 kN. This mode represents a
combination of tilting motions of the shaft and translational (radial) vibrations. Note that at lower preloads, more than one
peak is seen in this frequency range. The amplitude at this mode also attenuates with increasing Fz0 and finally diminishes
for Fz0 Z 2.22 kN. Measurements described so far seem to suggest an increase in the damping ratios with increasing Fz0
which is similar to the load-dependent damping model of Eq. (22).
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 187

Face-to-Face (X) Arrangement

2.5

Accelerance (1/kg)
2

1.5

0.5

0
0 500 1000 1500 2000 2500

Back-to-Back (O) Arrangement

2.5
Accelerance (1/kg)

2
Increasing
1.5 r=3 preload

0.5

0
0 500 1000 1500 2000 2500

Tandem Arrangement
2
Increasing
Accelerance (1/kg)

1.5 preload

0.5

0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 8. Effect of axial preload on the axial accelerance magnitude spectra 9Azz ðoÞ9 of the computational example with preload-dependent, proportional
damping model described by Eq. (22). (a) Face-to-face arrangement, (b) Back-to-back arrangement, (c) Tandem arrangement. Key: Fz0; ( ), 0.5 kN;
( ), 1 kN; ( ) 2 kN; ( ) 3 kN; ( ) 5 kN.

Although spectra up to 2500 Hz are examined, yet another mode is found, as shown in Fig. 10(c), under axial force
impacts that start at 2400 Hz for 0.45 kN and shift up to 3500 Hz as Fz0 increases. Unlike the previous modes, the vibration
amplitude at this mode significantly grows with increasing Fz0, resembling the behavior of load-independent damping
model as described by Eq. (21). This mode reaches its maximum amplitude at Fz0 ¼2.00 kN, and then amplitude starts to
decay under higher Fz0 without a significant frequency shift. This shows that the accelerance spectra start to show some
deviations from the general trends at higher preloads.
Similar trends in the system modes (up to 2500 Hz) can also be observed from location 2 measurements, as shown in
Fig. 11, however with different amplitudes. At this location the mode occurring at 660 Hz at Fz0 ¼0.45 kN (r ¼1) has the
highest amplitude, and it still exhibits a shift towards right and down with increasing Fz0. The peak occurring around
890 Hz (r ¼2) is more visible at this location. Also, the natural frequencies of axial shaft motion (r ¼3) are found to be
slightly lower (around 1500 Hz); thus, its separation from the next resonant peak (r ¼4) is more clear.

7.3. Effects of combined radial and moment loads

The effect of radial preloads (F x0 ) and imposed bending moments (M ym ) is investigated following the same procedure.
Before the application of a radial load, the axial preload is set at 2.67 kN, which is also significantly affected by the applied
radial and moment loads. Then F x0 , ranging from 0.89 to 4.44 kN is applied with 0.44 kN increments using the hydraulic
jack. Fig. 12 illustrates the accelerance spectra for each F x0 at location 1. The magnitude spectra are plotted up to 3000 Hz
in Fig. 12(a), and the phase spectra are given in Fig. 12(b). Shifts in the transfer functions are very clear with increasing F x0 ,
however the direction of the shifts in either frequency or peak amplitude is mode-dependent. Shifts can also be seen in
phase spectra.
188 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

Radial
Fixed
Steering
Axial Bearing/Hub Assembly Knuckle

Impact Locations Accelerometer

f5 Location 2

f1 f2 f3 f4
f1
Accelerometer
Shaft with Threaded Location 1
Rod And Nuts
Accelerometer
Load Cell Location 3
Hydraulic
Jack Load Washer

Fig. 9. Experiment with wheel-hub assembly and illustration of preloading mechanisms utilizing hydraulic jack (for radial direction) and shaft with
threaded rod (for axial preloading).

A unique characteristic of this case is that the resonant curve occurring within 650–720 Hz range (r ¼1 mode) shifts
towards the left (instead of right), showing a reduction in the natural frequency with increasing F x0 . This unexpected
behavior could be due to a ‘‘relief’’ in F z0 when M ym is simultaneously imposed on the bearing. Peaks at other modes do not
display this behavior as they continue to shift towards the right with increasing F x0 due to an increase in the stiffness
coefficients as expected. The second mode, which is not very visible under pure axial preloads, now occurs between 1130
and 1260 Hz with considerable amplitudes that amplify with increasing radial and moment loads, unlike the trends seen
at the first mode. The axial vibration mode (r¼ 3) now occurs within a much narrower bandwidth (1500–1540 Hz), and the
peak moves towards right and down with increasing F x0 . The peak within 1960–2250 Hz band (r¼ 4 mode) behaves in a
manner similar to the r ¼2 mode as it shifts right and upwards with increasing radial ( þ moment) load, however a shift in
the natural frequency of this mode is much more significant with an increase in F x0 .
One can observe similar behavior of the system modes from locations 2 and 3 9Azz ðoÞ9 spectra, which are displayed in
Fig. 13(a) and (b), respectively. As also observed from the axial preloading case, the relative amplitude of modes show
significant variations at each location. Note that the shifts in frequency or amplitude with an increase in F x0 (and Mym ) are
again uniform though mode-dependent. The only exception to these monotonic trends can be observed at the r ¼2 mode
occurring between 1130 and 1260 Hz. Here, the accelerance amplitude seems to attenuate when F x0 increases from 0.89 to
1.78 kN. Beyond 1.78 kN however, the peak amplitude begins to significantly amplify and reaches its highest value at
4.44 kN. This behavior is observed at all three measurement locations, and it is most likely due to complex dynamic
interactions within the double row bearing itself; it would require further analysis in a future article.

7.4. Summary of experimental studies

For the first mode (occurring between 660 and 810 Hz), the changes in natural frequencies and accelerance amplitudes
(dB re 1 kg  1) with Fz0 are summarized in Table 3 at measurement locations 1 and 2. The ‘change’ column shows the
difference from its value at the nominal axial preload (Fz0 ¼0.45 kN). Note that changes do not follow a linear variation;
rather some are abrupt, and some are relatively insignificant. For example, an increase of Fz0 from 0.45 to 0.67 kN increases
the natural frequency by 53 Hz. However, an increase from 0.67 to 0.89 kN only induces a 4 Hz difference. In general, the
rate of change in frequency or amplitude with respect to Fz0 reduces with increasing Fz0.
Similarly, the effect of combined Fx0 and M ym loading on the natural frequencies and vibration amplitudes of the r ¼1
mode (occurring between 720 and 650 Hz) are summarized in Table 4 for all three measurement locations. Recall that this
is the only mode whose natural frequencies reduce with increasing Fx0. Like the axial preload case, one can observe the
changes in natural frequencies and vibration amplitudes follow somewhat an abrupt manner.
The natural frequency maps (from 500 to 2500 Hz) are plotted with respect to Fz0 and Fx0 in Fig. 14(a) and (b),
respectively. A second order linear regression fit is applied to each mode, which fits the experimental data in a
satisfactorily manner. Similar results can also be generated for vibration amplitudes at various measurement locations.
Also, note that trends between Fig. 14(a) and Fig. 4(b) are similar.
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 189

6
Fig. 10(c)
5

Accelerance (1/kg)
4

3
Fig. 10(b) Increasing
2
preload
1

0
0 500 1000 1500 2000 2500
Frequency (Hz)
1.8
1.6
Accelerance (1/kg)

1.4
1.2 Increasing axial
1 preload
0.8
0.6
0.4
0.2
0
300 400 500 600 700 800 900 1000
Frequency (Hz)
14
12
Increasing axial
Accelerance (1/kg)

10 preload
8
6
4
2
0
2000 2200 2400 2600 2800 3000 3200 3400 3600 3800
Frequency (Hz)

Fig. 10. Effect of axial preload on the measured axial accelerance magnitude spectra at location 1. (a) 1–2500 Hz, (b) 300–1000 Hz, (c) 2000–3800 Hz.
Key: Fz0; ( ), 0.45 kN; ( ), 0.67 kN; ( ), 0.89 kN; ( ), 1.11 kN; ( ), 1.33 kN; ( ), 1.56 kN; ( ), 1.78 kN; ( ), 2.00 kN; ( ), 2.22 kN; ( )
2.45 kN; ( ) 2.67 kN.

0.9
0.8
Increasing axial
0.7
Accelerance (1/kg)

preload
0.6
0.5
0.4 Increasing
preload
0.3
0.2
0.1
0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 11. Effect of axial preload on the measured axial accelerance magnitude spectra at location 2. Key: Fz0; ( ), 0.45 kN; ( ), 0.67 kN; ( ), 0.89 kN;
( ), 1.11 kN; ( ), 1.33 kN; ( ), 1.56 kN; ( ), 1.78 kN; ( ), 2.00 kN; ( ), 2.22 kN; ( ) 2.45 kN; ( ) 2.67 kN.
190 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

0.7

0.6 Increasing
radial +

Accelerance (1/kg)
0.5 moment
load
0.4 Increasing
radial +
0.3 moment
load
0.2

0.1

0
0 500 1000 1500 2000 2500 3000
Frequency (Hz)

4
3 Increasing radial
+ moment load Increasing radial
2 + moment load
Phase Angle (rad)

1
0
-1
-2
-3
-4
0 500 1000 1500 2000 2500 3000
Frequency (Hz)

Fig. 12. Effect of radial (and imposed moment) load on the measured axial accelerance spectra at location 1. (a) Magnitude spectra, (b) Phase spectra.
Key: Fx0; ( ), 0.89 kN; ( ), 1.33 kN; ( ) 1.78 kN; ( ) 2.22 kN; ( ) 2.67 kN; ( ), 3.11 kN; ( ), 3.55 kN; ( ) 4.00 kN; ( ) 4.44 kN.

8. Validation of the bearing stiffness matrix

8.1. Comparison of natural frequencies

The five degree-of-freedom analytical formulation of Fig. 3 is utilized once again (with damping coefficients based on
measurements) to model the experiment of Fig. 9. Only the axial preload case is analyzed. This is because the radial
preload case, as implemented with the hydraulic jack, affects the boundary conditions of the shaft-bearing system by
creating an additional ground connection and thus imposes torsional stiffness which may not be included in the proposed
stiffness model (i.e., the model is valid for shaft-bearing systems that are allowed to rotate freely about their rotational
axis). Sample results for an intermediate axial preload (Fz0 ¼1.56 kN) will be illustrated.
Table 5 lists the measured (from experiment of Fig. 9) and predicted (using five degree-of-freedom model of Fig. 3)
natural frequencies of the system. The predictions match well with the measurements with small errors. When there is no
external radial or moment load applied in the model, natural frequencies at r ¼1 and r ¼2, as well as r¼ 4 and r ¼5, are
repeated (as mentioned earlier). With an application of a slight amount of load in the x-direction (Fxm ¼0.3 kN), these
repeated roots separate as shown in the fourth column of Table 5. Now, the second, third, and fifth natural frequencies
show a better match with measurements, but the estimation of the first natural frequency deviates further from
experiments.
The last column of Table 5 shows a case when a diagonal Kb (with zero cross-coupling terms) was to be used in five-
degree-of-freedom model. In this case the natural frequency calculations deviate significantly from measurements. These
results clearly highlight the importance of cross-coupling stiffness terms of Kb, and verify a need for incorporating the
bearing stiffness matrix when analyzing the vibration transmission paths [7].

8.2. Comparison of radial accelerance spectra

Next, measured 9Axx ðoÞ9 (with impact location f1x and accelerometer location 1) are compared with predicted 9Axx ðoÞ9
by the five degrees-of-freedom model to further validate the stiffness model at a given preload and to estimate the
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 191

0.5
Increasing Increasing
radial + radial +
0.4 moment moment

Accelerance (1/kg)
load load
0.3
Increasing
radial +
0.2 moment
load
0.1

0
0 500 1000 1500 2000 2500 3000
Frequency (Hz)

1.4

1.2
Increasing
Accelerance (1/kg)

1
radial +
0.8 Increasing moment
radial + load
0.6 moment
load
0.4

0.2

0
0 500 1000 1500 2000 2500 3000
Frequency (Hz)

Fig. 13. Effect of radial (and imposed moment) load on the measured axial accelerance magnitude spectra. (a) At location 2, (b) At location 3. Key: Fx0;
( ), 0.89 kN; ( ), 1.33 kN; ( ) 1.78 kN; ( ) 2.22 kN; ( ) 2.67 kN; ( ), 3.11 kN; ( ), 3.55 kN; ( ) 4.00 kN; ( ) 4.44 kN.

Table 3
Measured natural frequencies and peak amplitudes of the first vibration mode at various axial preloads.

Axial Preload (kN) Natural frequency (Hz) Accelerance amplitude (dB re 1 kg  1)

Measurement location 1 Measurement location 1 Measurement location 2

Value Change Value Change Value Change

0.45 667 4.4  1.0

0.67 720 þ53 2.4  2.0  2.8  1.8
0.89 724 þ57 1.9  2.5  5.0  4.0
1.11 733 þ66 1.1  3.3  5.4  4.4
1.33 765 þ98 0  4.4  6.8  5.8
1.56 773 þ106  1.7  6.1  6.9  5.9
1.78 797 þ130 3  7.4  6.7  5.7
2.00 801 þ134  6.2  10.6  8.0  7.0
2.22 803 þ136  6.5  10.9  8.3  7.3
2.45 806 þ139  7.2  11.6  9.0  8.0
2.67 806 þ139  7.5  11.9  9.5  8.5

damping coefficients. Since r ¼1 and 2 as well as r ¼4 and 5 overlap in the absence of radial or moment loads, and r ¼3
mode does not affect 9Axx ðoÞ9, the dimension of the analytical model can be conveniently reduced from five to two that
describes translation along the x-axis (x) and the rotation about the y-axis (yy ). Accordingly, the system matrices of this
two degree-of-freedom model are written as follows:
" # " #
M11 M12 m 0
M2 ¼ ¼ ,
M21 M22 0 Iyy
192 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

Table 4
Measured natural frequencies and peak amplitudes of the first vibration mode at various combined (radial and moment) loads.

Radial load (kN) Natural frequency (Hz) Accelerance amplitude (dB re 1 kg  1)

Location 1 Location 1 Location 2 Location 3

Value Change Value Change Value Change Value Change

0.89 716  8.0  11.6  4.4

1.33 709 7  8.1  0.1  11.8  0.2  4.6  0.2
1.78 700  16  9.2  1.2  12.8  1.2  5.6  1.2
2.22 686  30  11.4  3.4  15.2  3.6  7.3  2.9
2.67 667  49  11.8  3.8  15.8  4.2  8.0  3.6
3.11 666  50  11.2  3.2  15.2  3.6  7.4  3.0
3.55 665  50  11.7  3.7  15.7  4.1  7.8  3.4
4.00 662  53  11.8  3.8  15.8  4.2  7.9  3.5
4.44 659  53  11.9  3.8  15.8  4.2  8.0  3.5

2400
2200
Natural Frequency (Hz)

2000
r=4
1800
1600
1400
r=3
1200
r=2
1000
800
600 r=1
0.5 1 1.5 2 2.5
Axial Preload Measured by Load Washer (kN)

2400
2200
Natural Frequency (Hz)

2000
r=4
1800
r=3
1600
1400
1200
1000 r=2
800 r=1

600
0.5 1 1.5 2 2.5 3 3.5 4 4.5
Radial Preload Measured by Load Cell (kN)

Fig. 14. Effect of preloads on the measured natural frequencies (between 500 and 2500 Hz). (a) Under axial preload, (b) Under radial (and moment) load
(while the bearing is also axially preloaded). Key: Discrete points, measurements at, ( ), r ¼1; ( ), r ¼2; ( ), r ¼3; ( ), r ¼4; continuous line, a second
order curve fit of measured data.
" # " #
C 11 C 12 cxx 0
C2 ¼ ¼ ,
C 21 C 22 0 c yy yy
" # " #
K 11 K 12 kxx kxyy
K2 ¼ ¼ ð26a2cÞ
K 21 K 22 kyy x kyy yy

where m¼mS ¼5 kg, and Iyy ¼0.015 kgm2 (same as before). The elements of K2 and C2 are identical to their counterparts in
the five degree-of-freedom model.
The reduced order model facilitates the analytical derivation of the accelerance. The closed form solution can be helpful
in acquiring a better understanding of the effects of stiffness elements (and consequently the bearing preloads) on the
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 193

Table 5
Measured and predicted natural frequencies of the experiment (of Fig. 9), with several formulations of the analytical model of Fig. 3 for pure axial preload
of Fz0 ¼ 1.56 kN.

Natural frequencies (Hz)

Modal index (r) Experiment 5 DOF Model (original) 5 DOF Model (with radial load) 5 DOF Model (with diagonal Kb)

1 773 763 711 1422

2 894 763 864 1422
3 1636 1583 1617 1565
4 2049 2046 2059 1657
5 2246 2046 2127 1657

vibration characteristics of the shaft-bearing system. The accelerance matrix of the two degree-of-freedom model is
written as:
" # " #
A11 ðoÞ A12 ðoÞ Axx ðoÞ Axyy ðoÞ
A2 ð o Þ ¼ ¼ ð27Þ
A21 ðoÞ A22 ðoÞ Ayy x ðoÞ Ayy yy ðoÞ

The elements of A2 ðoÞ are explicitly described below in terms of the system parameters (where M 12 ¼M 21 ¼0,
C 12 ¼C 21 ¼0, K 12 ¼K 21 ):
o4 M22 þ jo3 C 22 o2 K 22
A11 ðoÞ ¼ ð28aÞ
DðoÞ

o2 K 12
A12 ðoÞ ¼ A21 ðoÞ ¼ ð28bÞ
DðoÞ

o4 M11 þ jo3 C 11 o2 K 11

A22 ðoÞ ¼ ð28cÞ
DðoÞ
where
DðoÞ ¼ o4 M 11 M 22 jo3 ðM 11 C 22 þ C 11 M 22 Þo2 ðM 11 K 22 þ K 11 M 22 þ C 11 C 22 Þ
þ joðC 11 K 22 þ K 11 C 22 Þ þ K 11 K 22 K 12 2 ð29Þ
Note that these accelerance terms are dictated by all four stiffness elements K 11 ¼kxx , K 12 ¼ K 21 ¼ kxyy and K 22 ¼kyy yy .
Given the above expressions, one can easily determine the accelerance magnitudes symbolically. For instance, the
magnitude of radial accelerance ð9Axx ðoÞ9Þ is written in the form:
9N11 ðoÞ9
9Axx ðoÞ9 ¼ 9A11 ðoÞ9 ¼ ð30aÞ
9DðoÞ9

where
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
9N11 ðoÞ9 ¼ M 222 o8 ð2K 22 M 22 C 22 2 Þo6 þ K 22 2 o4 ð30bÞ

and
9DðoÞ9 ¼ ½ðM11 2 M 22 2 Þo8 þðC 11 2 M22 2 þ C 22 2 M11 2 2K 22 M 11 2 M22 2K 11 M 11 M22 2 Þo6
þ ðC 11 2 C 22 2 2C 11 2 K 22 M22 2C 22 2 K 11 M11 2 þ K 11 2 M 22 2 þ4K 11 K 22 M 11 M 22 þ K 22 2 M 11 2 2K 12 2 M 11 M22 Þo4
þ ðC 11 2 K 22 2 þ 2K 12 2 C 11 C 22 þ C 22 2 K 11 2 2M 22 K 11 2 K 22 2M 11 K 11 K 22 2 þ2K 12 2 M 22 K 11 þ 2K 12 2 M11 K 22 Þo2
þ ðK 11 2 K 22 2 þ K 12 4 2K 11 K 22 K 12 2 Þ1=2
Measured and predicted 9Axx ðoÞ9 are compared in Fig. 15(a). Observe that the two degree-of-freedom model accurately
estimates the two system resonances (in terms of both frequencies and amplitudes) by a judicious selection of the
damping coefficients as C 11 ¼ cxx ¼ 4350 Ns=m and C 22 ¼ cyy yy ¼ 7:25 Nms=rad. In the context of a two degree-of-freedom
model, such damping values correspond to the modal damping ratios of z1 ¼ 0:074 and z2 ¼ 0:025. The third curve in
Fig. 15(a) is based on the five degree-of-freedom model that includes components of both the radial and axial accelerances.
It could be empirically obtained by the following relation, where the factor of g ¼0.18 is chosen to better explain the
measurements in Fig. 15(a); this relation is used to account for the participation of axial mode when the system is excited
by applying a force on the shaft in the radial direction:
9Aobs ðoÞ9 ¼ 9Axx ðoÞ9 þ g9Azz ðoÞ9 ð31Þ

The predicted results can be further improved by eliminating a small discrepancy in the second natural frequency. If the
equivalent moment of inertia of the shaft-bearing system rotating about the bearing center were to be chosen as
Iyy ¼0.0154 kgm2 instead of the calculated value (Iyy ¼0.015 kgm2), the resonance peaks overlap at 2046 Hz as shown in
194 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195

2.5

Accelerance (1/kg) 1.5

0.5

0
0 500 1000 1500 2000 2500
Frequency (Hz)

2.5

2
Accelerance (1/kg)

1.5

0.5

0
0 500 1000 1500 2000 2500
Frequency (Hz)

Fig. 15. Comparison of radial accelerance magnitude spectra ð9Axx ðoÞ9Þ for Fz0 ¼1.56 kN. Key: ( ), Measured at accelerometer location 1; ( ),
predicted by two degree-of-freedom model; ( ), predicted by five degree-of-freedom model including participation of the r ¼ 3 mode. (a) Prediction
2 2
with original Iyy ¼ 0:015 kg m , (b) Prediction with modified Iyy ¼ 0:0154 kg m .

Fig. 15(b). Overall, predictions obtained of the analytical model, which utilizes Kb, match very well with measurements.
These results clearly suggest that the proposed stiffness model is valid and can be confidently utilized for modeling double
row angular contact ball bearings.

9. Conclusion

Three key contributions of analytical and experimental studies emerge. First, the effects of axial preloads are
analytically investigated on a shaft-bearing assembly containing a double row angular contact ball bearing. In these
analyses the bearing is represented via a new stiffness matrix (Kb). The vibration characteristics of face-to-face, back-to-
back, and tandem arrangements are evaluated on a comparative basis. Analyses show that the natural frequencies of the
back-to-back arrangement that are related to radial and tilting motions occur at higher frequencies due to higher moment
stiffness terms. Similarly, the axial vibration frequency of the tandem arrangement is higher than the other two
arrangements due to high axial stiffness. In these analyses two alternate viscous damping models are investigated. The
first one is a preload-independent non-proportional viscous damping model, whose values are experimentally determined
for an intermediate preload and kept constant for all preloads. This model results in higher peak amplitudes with increased
axial preloads. The second model is a preload-dependent, proportional viscous damping model, which yields lower
vibration amplitudes with increased preloads.
Second, the effects of bearing preloads on the shaft-bearing dynamics are experimentally investigated for an
automotive wheel-hub assembly containing a double row angular contact ball bearing (with back-to-back arrangement)
under two different preloading mechanisms. The axial preload is applied through the shaft by tightening the lock nuts, and
radial preload applied via a static shaft load using a hydraulic jack which also imposes moment load on the bearing.
Measurements show that each vibration mode responds somewhat differently to changes in axial or combined loads.
 A. Gunduz et al. / Mechanical Systems and Signal Processing 31 (2012) 176–195 195

In general, the natural frequencies of the shaft-bearing system increase with an increase in the bearing preload due to the
increase in the bearing stiffness elements. The first mode of the shaft-bearing system, however, does not follow this rule
and displays an opposite trend when combined load is applied. The resonant amplitudes, on the other hand, attenuate at
certain modes, but amplify at other modes with increasing axial or combined loads. These results suggest a mode-
dependent damping mechanism which requires further investigation. Although two alternate viscous damping mechan-
isms (with preload-independent non-proportional and preload dependent proportional models) are investigated,
measurements show that the bearing damping can be well represented by neither of these mechanisms alone. A more
accurate damping model could be established by extending these two mechanisms.
Third, the Kb formulation is experimentally validated at an intermediate axial preload (Fz0 ¼1.56 kN). The calculated
natural frequencies of the analytical model utilizing Kb match well with measurements. Also, their radial accelerance
spectra match well when the damping coefficients from experimental data are utilized. However, the damping
characteristics at several modes are yet to be fully understood and would require more experimental studies for both
stationary and running shaft-bearing assemblies. Future work should resolve this issue, by employing amplitude and/or
frequency dependent damping model, or by using nonlinear contact/Hertzian damping formulations. Finally, experimental
methods of this article could be extended to study other bearing types.

Acknowledgements

We are grateful to the member organizations (such as the Army Research Laboratory and Honda R&D) of the Smart
Vehicle Concepts Center (www.SmartVehicleCenter.org) and the National Science Foundation Industry/University
Cooperative Research Centers program (www.nsf.gov/eng/iip/iucrc) for supporting this work.

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