Experimental and Numerical Analysis

of Transversal Open Cracked Shafts

Considering Beam Slenderness and Crack
Depth

Rafael García-Illescas, Julio C. Gomez-Mancilla and Luigi Bregant

Abstract Stiffness variation due to cracks in rotors is a well-known problem;

plenty of studies to prevent/avoid catastrophic accidents and rotor bursts exist. FEM
numerical results calculating natural modal frequencies for open cracked beams at
different notch depths and slenderness ratios, are compared versus experimental
laboratory measurements. Shaft beams under simply supported and free-free
boundary conditions, focusing on solids and Timoshenko beam finite elements, are
studied. Timoshenko beams employ the Mayes and Davies equivalent-length
concept for crack modeling. Notched shafts provide useful upper bound frequency
reductions values (breathing cracks display up to, and smaller decrements). Modal
frequency splitting for each natural frequency are confirmed and validated by
numerical simulation and tests. Modal frequencies splitting functions are given,
obtained by simulation and experiments which reflect strong crack depth and
slenderness ratio influences. Vibrational coupling energy of the frequency splitting
reaches a maximum when the excitation is orthogonal to the crack orientation,
conclusions are given.

Keywords Notched open crack
Modal frequencies splitting
Crack depth

Beam slenderness FEM

R. García-Illescas (&)
J.C. Gomez-Mancilla

Rotordynamic and Vibrations Laboratory, Instituto Politécnico Nacional,
Mexico City, Mexico
e-mail: rrggii@hotmail.com
J.C. Gomez-Mancilla
e-mail: gomezmancilla@gmail.com
R. García-Illescas
Turbomachinery Department, Instituto de Investigaciones Eléctricas, Cuernavaca,
Morelos, Mexico
R. García-Illescas
L. Bregant
Dipartimento di Ingegneria e Architettura, Università degli Studi di Trieste,
Trieste, Italy
e-mail: bregant@units.it

© Springer International Publishing Switzerland 2015 347

P. Pennacchi (ed.), Proceedings of the 9th IFToMM International
Conference on Rotor Dynamics, Mechanisms and Machine Science 21,
DOI 10.1007/978-3-319-06590-8_27
348 R. García-Illescas et al.

1 Introduction

Cracked rotating shafts are thoroughly studied by many researchers since the 1970s,
some good examples are shown in [1–7]. Some works of the authors involving
crack behavior, detection and modeling analysis are presented in [3, 4, 8]. Relevant
researchers and works are numerous too long to mention. In the present study,
theoretical and numerical values for the first vibration modes of simple beams
having an open crack are studied. Numerical analyses are performed by NISA, a
general purposes finite element program. Several modal tests were performed in
order to validate the previous calculations.

2 Shaft Modeling

A shaft can be modelled by means of finite elements, using solids elements as well as
beam elements. Normally, the use of solid elements give more precise results than
beam elements, however it requires a much higher computational effort, that is why
beam elements are used but with some additional features for modelling the crack.
There are also other model approaches based on differential equations or energy
methods. Although it is possible to add a crack at any shaft axial location, in the
present work all analyses were done with the crack located at shaft mid-span in order
to compare calculations to with experimental tests. For upper vibration modes, there
are no enough general simple analytical models, especially when the support con-
ditions are not simple. In those cases Ritz method is good enough to obtain higher
modal shapes preferably for simple boundary conditions. The finite element method
(FEM) is normally the best solution for complex structures with several support
conditions, different beam transverse sections and multiple mass locations.

2.1 Crack Modeling

The crack can be modeled in several ways, directly modeled into the mesh if solids
finite elements are used. Alternatively, adding an artificial flexibility due to the
crack presence by means of an element having an equivalent length and special
characteristics when beam elements are used, a concept introduced by Mayes and
Davis [6]. At the cracked beam section such equivalent length, leq, is obtained from
Eq. (1); which to account for the stiffness loss, modifies structural beam charac-
teristics diminishing the geometrical properties of the shaft cross section as follows,

DI=I r

¼ 1  m2 F ð1Þ
1  DI=I leq
Experimental and Numerical Analysis of Transversal Open … 349

Fig. 1 Representation and

parameters of the transversal
crack in the shaft

where ΔI = I0 − Icrack, represents the change in second moment of area due to the
crack (I0 corresponds to the integral cross section; Icrack the cracked cross section, Iξ
the weakest direction, Iη at crack orthogonal direction), refer to Fig. 1; r is shaft
radius, v is Poisson ratio, F is the compliance function see [5–7]. Therefore, a
cracked beam element will have two different equivalent lengths, along ξ and η.
The crack simulation involves placing two elements at shaft mid-span, whose
sum is equal to equivalent length leq and the orthogonal
different second moments
of area are using Eqs. (2, 3), where a ¼ cos1 ar  1 defines the transversal crack
depth.
 
r4 16 sin6 a
In ¼ a  sin a cos a þ 2 sin a cos a 
3
ð2Þ
4 9ða  sin a cos aÞ

r4 
Ig ¼ 3a  3 sin a cos a  2 sin3 a cos a ð3Þ
12

3 Numerical Simulations

For two different boundary conditions: simply supported beam (SSB), and free-free
beam (FFB) are considered. Different shaft length/diameter slenderness ratios
(L/d) and crack depths ratios (a/d) are analyzed: d = 1 cm steel shafts, having
L/d = 5, 8, 12, 20, 35; plus another shaft with d = 6.5 cm, L/d = 7.3. For FEM-solid
models, second order solid elements are used using 6400 elements for the smallest
case (L/d = 5), and 18,560 elements for the most slender (L/d = 35); while for
FEM-beam models, 44 and 60 elements are used, respectively. To optimize the
number of elements, a convergence analysis of the FEM mesh for each type of
elements is realized; though due to space reasons are not shown. Figure 2 shows
two flexural mode shapes, 3rd and 5th. Notice that cracked shaft modes along η
orientation (right side of Fig. 2) are similar to the integral case; however, at weaker
orientation ξ, these shapes are clearly different, much bent at crack location. Since
the crack is located at shaft mid-span, high bending mainly manifests in the first and
odd modes, where the even modes are slightly affected. Though FEM-beam
350 R. García-Illescas et al.

Fig. 2 Two SSB mode shapes for L/d = 12, deep crack a/d = 0.5. Results above in each set used
FEM-solids; while FEM-beams are below; along ξ-orientation (LHS), η-orientation (RHS).
a Third mode, b fifth mode

elements using the equivalent length concept [6, 7] provide results congruent with
FEM-solids, to obtain improve mode shapes another method needs to be developed.
Tables 1 and 2 show some results of dimensionless natural frequencies along ξ
direction, where the normalization is done with respect to the integral case for each
L/d ratio. From previous table, it can be concluded that for both boundary condi-
tions (FFB, SSB), stocky beams give a better opportunity for detecting cracks. Due
to damage location, modes 1 and 3 have the major frequency changes. Very slender
beams do not allow crack identification especially for mode 2 (not shown here)
even for stocky cases.

4 Experimental Tests

Several tests are accomplished using small shafts (1 cm diameter) for the case of
simply supported beam, SSB; good test results are obtained only for slender beams.
Therefore due to the difficulties on testing the previous shafts, a stocky beam with
d = 6.5 cm and L/d = 7.3 is analyzed. Several experiments on this steel shaft with
different crack depths are carried out by means of an acquisition system based on a
Pimento front end and Test.Xpress software both from LMS. The crack was rather a
slot made with a saw machine with 1 mm of thickness. The material properties are
E = 210 GPa, density = 7750 kg/m3 and Poisson ratio = 0.3. The shaft is tested
under free-free conditions, FFB. 12 points are excited along the shaft: 6 in the
vertical crack plane and 6 in the horizontal; one triaxial accelerometer is used. In
Fig. 3, a plot of matching frequencies between FEM calculations and testing for the
integral shaft are illustrated in the left side. Although Euler-Bernoulli, Rayleigh,
Shear, and Timoshenko beam theories were used to calculate the flexural mode
Table 1 Normalized natural frequencies obtained by FEM-Solids, first_ξ flexural mode
a/d Free-free, FFB Simply supported, SSB
L/d = 5 L/d = 8 L/d = 12 L/d = 20 L/d = 35 L/d = 5 L/d = 8 L/d = 12 L/d = 20 L/d = 35
0 1 1 1 1 1 1 1 1 1 1
0.1 0.991 0.994 0.996 0.997 0.999 0.987 0.991 0.996 0.994 0.999
0.2 0.958 0.972 0.980 0.988 0.993 0.955 0.960 0.981 0.984 0.994
0.3 0.893 0.925 0.947 0.967 0.980 0.896 0.901 0.952 0.966 0.983
0.4 0.804 0.858 0.895 0.932 0.959 0.810 0.817 0.904 0.935 0.964
Experimental and Numerical Analysis of Transversal Open …

0.5 0.674 0.749 0.807 0.867 0.916 0.698 0.700 0.832 0.884 0.932
351
 352

Table 2 Normalized natural frequencies obtained by FEM-solids, third_ξ flexural mode

a/d Free-free, FFB Simply supported, SSB
L/d = 5 L/d = 8 L/d = 12 L/d = 20 L/d = 35 L/d = 5 L/d = 8 L/d = 12 L/d = 20 L/d = 35
0 1 1 1 1 1 1 1 1 1 1
0.1 0.998 0.998 0.998 0.998 0.999 0.994 0.995 0.997 0.998 0.999
0.2 0.971 0.982 0.989 0.992 0.995 0.970 0.977 0.983 0.989 0.993
0.3 0.961 0.965 0.970 0.979 0.987 0.929 0.947 0.961 0.972 0.983
0.4 0.916 0.928 0.939 0.958 0.973 0.875 0.909 0.937 0.944 0.966
0.5 0.818 0.824 0.885 0.922 0.947 0.819 0.870 0.919 0.903 0.938
R. García-Illescas et al.
Experimental and Numerical Analysis of Transversal Open … 353

7000 2nd tors

FEM 6000 Timoshenko
SOLIDS 3rd
Natural Frequency (Hz)

6000
TEST flexural FEM Solids

Frequency (Hz)
5000
5000
1st tors 1st axial TEST
4000
4000
3000
3000 2nd
flexural
2000 2000
1st
1000 flexural 1000
1000 3000 5000 7000 1 2 3
Natural Frequency (Hz) Mode

Fig. 3 Integral shaft natural frequencies comparison for FEM versus test (left) and first three
flexural modes (right), both for free-free integral beam, L/d = 7.3

40

3rd flexural
20 1st flexural 2nd flexural
1st torsional 2nd torsional
1st axial
0
dB/1 [(m/s2)/N]

-20

-40

-60

0 2000 4000 6000 8000

Frequency Traces: 6/6 Compressed Frequency [Hz]

Fig. 4 FRF plot for FFB, L/d = 7.3, integral shaft showing the first six natural frequencies (each
color response denotes one of the six hit-excitation points)

frequencies, the first three flexural modes are shown for the most representative
cases are shown at the right side of the same figure. A very good match was
obtained for the FEM solids, theoretical Timoshenko model and tests.
Figures 4, 5, 6, 7 and 8 are for different test cases under free-free boundary
conditions, FFB: integral shaft and considering several slot depths. Frequency
Response Function (FRF) plots for the integral shaft are shown in Fig. 4 along with
different test responses at different excitation points. The first flexural mode is at
354 R. García-Illescas et al.

40
1st axial
1st flexural
20

0
dB/1 [(m/s2)/N]

-20 3rd flexural

-40

-60

0 2000 4000 6000 8000

Frequency Traces: 6/6 Compressed Frequency [Hz]

Fig. 5 FRF crack depth variations, FFB, L/d = 7.3: black—integral; orange—a/d = 0.1; green—
a/d = 0.2; blue—a/d = 0.3; grey—a/d = 0.4; and red—a/d = 0.5

40 orthogonal to crack direction

integral
20
crack direction
dB/1 [(m/s2)/N]

-20

-40

-60

500 1000 1500 2000

Frequency Traces: 3/3 UnCompressed Frequency [Hz]

Fig. 6 First flexural mode frequencies for FFB, L/d = 7.3, integral (black) and slotted shaft at
crack depths: a/d = 0.3 orange, a/d = 0.4 green

1325 Hz; second flexural mode at 3387 Hz; first torsional mode at 3474 Hz (small
peaks); first axial mode at 5558 Hz; third flexural mode at 6078 Hz; and second
torsional mode at 6973 Hz.
Experimental and Numerical Analysis of Transversal Open … 355

40 crack direction, 2nd flexural Integral, 2nd flexural

orthogonal to crack direction,
1st torsional

crack direction, 1st torsional

20
dB/1 [(m/s2)/N]

-20

3100 3200 3300 3400 3500 3600

Frequency Traces: 3/3 UnCompressed Frequency [Hz]

Fig. 7 Second flexural mode frequencies for FFB, L/d = 7.3 integral (black) and slotted shafts, a/
d = 0.3 orange, a/d = 0.4 green (peaks above 3400 Hz are decreased 1st torsional frequencies)

40
orthogonal to crack

crack direction integral

20
dB/1 [(m/s2)/N]

-20

5600 5700 5800 5900 6000 6100 6200 6300

Frequency Traces: 3/3 UnCompressed Frequency [Hz]

Fig. 8 Third flexural mode frequencies for FFB, L/d = 7.3 integral (black) and slotted shafts;
crack depths: a/d = 0.3 orange, a/d = 0.4 green

Figure 5 shows the slot influences on the natural frequencies in first low modes.
However, the highest changes are mainly in the first and third flexural modes since
the damage is located at the middle of the span (where second flexural mode is not
highly affected by the slot). Other special case is the first axial mode that decreases
from 5558 Hz (integral) up to 4386 Hz (when a/d = 0.5). The coupling mode are
magnified depending on the angle and location and proximity to the crack location.
356 R. García-Illescas et al.

Mainly focusing on the first three flexural modes for the integral and damaged
shaft (Figs. 6, 7 and 8), a clear splitting in each natural frequency is observed,
behavior confirmed by numerical calculation. For slotted shafts two values of
natural frequencies appear since the structure has now two different orthogonal
stiffness’ being the ξ direction the weaker orientation. This modal frequency sep-
aration is mostly influenced by crack depth. When the excitation is orthogonal to
crack orientation (along η), important coupling between the two directions occurs
since vibration along the cracked plane direction is also excited. This shows how
crack orientation vibrating modal coupling energy is manifested. However this
coupling is highly minimized when the excitation occurs along the crack direction
(ξ) becoming inexistent should the impact direction is exact.

5 Final Discussion

Several slenderness ratios combined with different crack depths under two
boundary conditions (simply supported and free-free) are studied. Although the first
ten natural frequencies are calculated for all cases, only the first four flexural modes
are clearly visible during tests. Figure 9 shows the 1st mode natural frequencies for
these two boundary conditions. From this figure, the influence of the beam slen-
derness on the crack detectability can be seen. The stockier the beam, the better for
detecting cracks since the change in frequency is bigger for the same crack depth,
this is verified to both boundary conditions. For instance, in the SSB, with 4 % in
frequency change, an a/d = 0.2 crack can be detected in a stocky shaft (L/d = 8),
while the same crack depth in a slender shaft (L/d = 35) only reveals less than 1 %
in frequency change. Fortunately real rotor machines are not so slender allowing the
opportunity to detect cracks. For the FFB, stocky beams (L/d = 8) require deeper
cracks to obtain the same frequency change.

1.00 1.00
0.98
ω 1/ ω1 FEM-S

0.98
ω 1/ ω1 FEM-S

0.96 L/d=8 FEM solids

0.96
L/d=8 Test
0.94 0.94 L/d=7.3 FFB FEM solids
L/d=20 FEM solids
L/d=7.3 FFB Test
0.92 L/d=20 Test 0.92 L/d=20 FEM solids
L/d=35 FEM solids L/d=20 Test
0.90 0.90 L/d=35 FEM solids
L/d=35 Test
L/d=35 Test
0.88 0.88
0.0 0.1 0.2 0.3 0.00 0.10 0.20 0.30
crack depth a/d crack depth a/d

Fig. 9 First mode simply supported slotted beam (left) and free-free beam (right): dimensionless
natural frequencies along ξ plotted versus beam slenderness ratios and crack depths
Experimental and Numerical Analysis of Transversal Open … 357

25

Δω 1 =100∗(ω η−ω ξ )/ω ο

20 L/d=8, FEM-S
L/d=12, FEM-S
15
L/d=12, Test
L/d=35, FEM-S
10
L/d=35, Test
5

0
0 0.1 0.2 0.3 0.4 0.5
crack depth, a/d

Fig. 10 Frequency split functions for different crack depths and beam slenderness for SSB for
fundamental mode

1.00 1.02

0.95 1.00
ω / ω FEM-Solid)

ω / ω FEM-Solid)

0.90 0.98
FEM-TB orthog. to crack
0.85 0.96
FEM-S orthog. to crack FEM-TB orthog. to crack
Test, orthog. to crack FEM-S orthog. to crack
0.80 0.94
FEM-TB, crack dir. Test, orthog. to crack
0.75 FEM-S, crack dir. 0.92 FEM-TB, crack dir.
Test, crack dir. FEM-S, crack dir.
0.70 0.90 Test, crack dir.
0.0 0.1 0.2 0.3 0.4 0.5 0.0 0.1 0.2 0.3 0.4 0.5
crack depth, a/d crack depth, a/d

Fig. 11 Natural frequencies for 1st flexural mode (left) and 2nd flexural mode (right), for FFB, L/
d = 7.3 along crack direction ξ and orthogonal direction η (TB Timoshenko beam, S solids)

The concept of modal frequencies (separation) splitting functions, obtained by

simulation and experiments, is introduced by means of Eq. (4). These frequency
functions reflect strong crack depth and slenderness ratio influences and represent
the difference between the two peak values that appear for a cracked shaft for each
mode j. Inspection of these functions shows that the deeper the crack and the
stockier the shaft, the bigger value of this frequency function, as shown in Fig. 10
for the SSB, where only the first mode is shown.


Dxj ¼ 100  xg;j  xn;j =xo;j ð4Þ

Figure 11 shows two bending natural frequencies of the stocky shaft (L/d = 7.3)
FFB. In both sides of the figure it is observed that the crack is more detectable if the
358 R. García-Illescas et al.

1.02 1
1

w/wFEM-Solid
0.95
w/wFEM-Solid

0.98
0.96 0.9
0.94 FEM Solid
0.92 0.85
FEM Timoshenko Beam
0.9 FEM Rayleigh Beam FEM Solid
0.8
0.88 TEST
TEST
0.86 0.75
0 0.1 0.2 0.3 0.4 0.5 0 0.1 0.2 0.3 0.4 0.5
crack depth (a/d) crack depth (a/d)

Fig. 12 Natural frequencies of the 1st torsional (left) and 1st axial (right) modes (FFB)

beam is excited in the ξ direction rather than η direction since the stiffness change is
bigger. On the other hand, since the crack is located at half midspan, only the first
flexural mode (and odd modes) give a better opportunity to detect the crack. In the
second flexural mode (and even modes) only very deep cracks can be detected for
this crack location.
Figure 12 corresponds to the first torsional and axial modes found during tests
and also numerical calculation. The first torsional mode does not show an excellent
opportunity to detect the crack since produces around 2 % in frequency change
even for deep cracks (a/d = 0.4 or deeper). However, the axial mode is very
sensitive to the crack presence. Shear effects on torsional vibrations are here evident
since Rayleigh beam does not follow the pattern as Timoshenko beam, FEM Solid
and test do. For higher flexural modes only some natural frequencies are reached.

6 Conclusions

Although real machines during operation are much more complex, this study help
define a relation between crack depth and slenderness of shafts to feasibility of
detect-ing cracks. Beam elements use equivalent-length to model the crack [6] and
reproduce the frequency split and reduction. Splitting is verified also during test.
Modal testing analysis provides confident results up to first 3 flexural modes, first
torsional and axial (clearly shown) modes. Beam slenderness has an important
effect on the crack detection; i.e., stocky cracked beams display clear differences in
natural frequencies and mode shapes compared to slender beams, where crack
identification is more complex.
Notched shafts here analyzed provide useful upper bound frequency reductions
values (breathing cracks display up to, and smaller decreases). Modal frequency
splitting for each natural frequency are confirmed and validated both, by numerical
simulation and test, limit values of diminished frequencies for a cracked shaft
represents the extreme case of a damaged rotor by an actual crack. Breathing
Experimental and Numerical Analysis of Transversal Open … 359

mechanisms have nonlinear aspects that are out of the scope of the present study.
Vibrating modal coupling energy helps identify how the shaft is excited; strong
energy manifests when excitation is along the orthogonal direction-η; coupling
energy magnitude greatly diminished when the excitation occurs along crack ξ-
orientation.

Acknowledgments The authors acknowledge the National Council of Science and Technology
(CONACYT) and the Instituto Politécnico Nacional IPN, MÉXICO for the scholarships, sab-
batical year and grants received to accomplish this work.

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