C H A P T E R 1

Introduction 1

M achinery development has been synon-

ymous with technological progress. This growth has resulted in an evolutionary
trend in industrial equipment that moves towards increased complexity, higher
speeds, and greater sophistication. The water wheel has evolved into the hydro-
electric plant, the rudimentary steam engine has grown into the gas turbine, and
coarse mechanical devices have been replaced by elegant electronic circuits.
Throughout this evolution in technology, new industries and vocations have
developed. In recent decades, the Machinery Diagnostician has appeared within
most maintenance engineering organizations. These individuals generally pos-
sess an extensive knowledge of the machinery construction. They understand
repair procedures, and they have a working knowledge of the peripheral equip-
ment. This includes familiarity with the lube and seal oil system, the processing
scheme, and the machine controls. Diagnosticians are generally knowledgeable
of the machinery monitoring or surveillance instrumentation that covers every-
thing from transducers to the data logging computers. Furthermore, when a
problem does appear on a piece of equipment, it generally falls under the juris-
diction of the machinery diagnostician to resolve the difficulty, and recommend
an appropriate course of corrective action. This requirement imposes another set
of demands. That is, these individuals must be familiar with problem solving
techniques and proven methodology for correcting the machinery malfunction.
Clearly, the diagnostician must be qualified in many technical disciplines.
As depicted in the adjacent diagram, the basic areas of expertise include knowl-
edge of machinery, knowledge of physical behavior, plus knowl-
edge of instrumentation. The machinery background must be
thorough, and it must allow the diagnostician to focus upon
ior

realistic failure mechanisms rather than esoteric theories.

Ins
K ehav

The category of physical behavior embraces technical fields

tru e

such as: statics, dynamics, kinematics, mechanics of w l e dg

no
B

me
al

materials, fluid dynamics, heat transfer, mathematics,

nta
c
➜ E

➜
ysi

and rotordynamics. Knowledge in these areas must be

tio
Ph

fully integrated with the instrumentation aspects of

e

pe c
x

the electronic measurements required to document ri e n

and understand the machinery motion. Machinery

1
2 Chapter-1

Competence in these three areas is only achieved by a combination of

knowledge and field experience. Acquiring knowledge often begins with specific
technical training. For instance, all academic institutions provide the mathemat-
ics and physics necessary to grasp many physical principles. A few universities
provide an introduction to the world of analytical rotordynamics. Unfortunately,
academia is often burdened by the necessity to obtain research grants, and gen-
erate complex general solutions for publication. Certainly the college level con-
tributions to this field are significant, and the global solutions are impressive.
However, the working machinery diagnostician often cannot use generalized con-
cepts for solving everyday problems. To state it another way, integral calculus is
absolutely necessary for success in the classroom, but it is reasonably useless for
most activities performed on the compressor deck.
Within the industrial community, a variety of training programs are avail-
able. Instrumentation vendors provide courses on the application and operation
of their particular devices. Similarly, machinery vendors and component suppli-
ers have various courses for their clientele. Although these training courses are
oriented towards solutions of field problems, they typically display shortcomings
in three areas. First, the industrial courses are limited in scope to three or four
days of training. This time frame is acceptable for simple topics, but it is inade-
quate for addressing complex material. Second, industrial training courses are
restricted to the instruments or devices sold by the vendor providing the train-
ing. Although this approach is expected by the attendees, it does limit the depth
and effectiveness of the training. The third problem with vendor training resides
in the backgrounds of the training specialists. Although these people are usually
well qualified to represent the products of the vendor, they often lack an under-
standing of the realities within an operating plant. Clearly, the smooth presenta-
tion of fifty computer generated slides has no relationship to the crucial decisions
that have to be made at 2:00 AM regarding a shaking machine.
Another disturbing trend seems to permeate the specialized field of vibra-
tion analysis. Within this technical area, there have been long-term efforts by
some vendors to train people to solve problems based entirely on simplistic vibra-
tory symptoms. This is extraordinarily dangerous, and the senior author has
encountered numerous instances of people reaching the wrong conclusions based
upon this approach. Many problems display similar vibratory symptoms, and
additional information is usually required to sort out the differences. In all cases,
the measurements must be supplemented with the logical application of physical
laws. In addition, the machinery construction and operation must be examined
and understood in order to develop an accurate assessment of the malfunction.
Very few professional organizations provide a comprehensive and inte-
grated approach targeted to the topic of machinery diagnosis. The text contained
herein attempts to provide a pragmatic and objective overview of machinery mal-
function analysis. The three fundamental areas of physical behavior, machinery,
and instrumentation knowledge are integrated throughout this book. The struc-
ture of this text is directed towards developing a basic understanding of funda-
mental principles. This includes the applicability of those principles towards
machinery, plus the necessary instrumentation and computational systems to
 3

describe and understand the actual behavior of the mechanical equipment.

It should be recognized that acquiring basic knowledge does not guarantee
that the diagnostician will be qualified to engage and solve machinery problems.
As previously stated, experience is mandatory to become proficient in this field.
Although the preliminary knowledge may be difficult to obtain, the experience
portion may be even harder to acquire. This is particularly true for the individ-
ual that works in an operating complex that contains a limited assortment of
mechanical equipment. For this diagnostician, the ability to develop a well-
rounded background may be hampered due to an absence of mixed machinery
types, and associated problems. References such as the excellent series of books
by Heinz Bloch1 provide detailed machinery descriptions, procedures, and guide-
lines. If the diagnostician is not familiar with a particular machine, this is the
one available source that will probably answer most mechanical questions.
In a further attempt to address the experience issue, this text was prepared
with 52 field case histories interspersed throughout the chapters. These case
studies are presented with substantial details and explanations. The logical
steps of working through each particular problem are reviewed, and the encoun-
tered errors as well as the final solutions are presented. It is the author’s hope
that these field examples on major process machinery will provide additional
insight, and enhance the experience level of the machinery diagnostician.
The equipment discussed in this text resides within process industries such
as oil refining, pipeline, chemical processing, power generation, plus pulp and
paper. The specific machines discussed include pumps, blowers, compressors, and
generators that vary from slow reciprocating units to high speed centrifugal
machines. The prime movers appear in various configurations from induction
motors, to cryogenic and hot gas expanders, hydro-turbines, multistage steam
turbines, and large industrial gas turbines. In some cases the driver is directly
coupled to the driven equipment, and in other trains an intermediate gear box is
included. Some of the discussed machinery was installed decades ago, and other
mechanical equipment was examined during initial field commissioning.
It is an objective of this text to assist in understanding, and to demonstrate
practical solutions to real world machinery problems. This book is not designed
to be mathematically rigorous, but the presented mathematics is considered to
be accurate. In all cases, the original sources of the mathematical derivations are
identified. This will allow the reader to reference back to the original technical
work for additional information. Significant equations in this text are numeri-
cally identified, and highlighted with an outline box such as equation (2-1).
Developmental and supportive equations are sequentially numbered in each
chapter. In addition, intermediate results plus numeric sample calculations are
also presented. These examples are not assigned equation numbers. In essence,
this book is structured to supplement a formal training presentation, and to pro-
vide an ongoing reference.

1 Heinz P. Bloch, Practical Machinery Management for Process Plants, Vol. 1 to 4 (Houston, TX:
Gulf Publishing Company, 1982-1989).
4 Chapter-1

MACHINERY CATEGORIES
It is organizationally advantageous to divide process machinery into three
categories. Typically, these individual machinery categories are administered
under a singular condition monitoring program since they share a common tech-
nology. However, the allocation of resources among the three segments varies in
direct proportion to the process criticality of the mechanical equipment.
The first segment covers the large machinery within an operating plant.
These main equipment trains are generally critical to the process. In most
instances the plant cannot function without these machines. For example, the
charge gas compressor in an ethylene plant, or a syngas compressor in an ammo-
nia plant fall into this category. This equipment typically ranges between 5,000
and 50,000 horsepower. Operating speeds vary from 200 to 60,000 RPM, and
fluid film bearings are normally employed. Most of the machinery problems pre-
sented within this text reside within this critical category.
Machines of this class are typically equipped with permanently installed
proximity probe transducer systems for vibration and position measurements,
plus bearing temperature pickups, and specialized transducers such as torque
sensors. Historically, the field transducers are hard wired to continuous monitor-
ing systems that incorporate automated trip features for machinery protection.
These monitoring systems are also connected to process and/or dedicated com-
puter systems for acquisition of static and dynamic data at predetermined sam-
ple rates. These data acquisition computer systems provide detailed information
concerning the mechanical condition of the machinery.
The second major group of machines are categorized as essential units.
They are physically smaller than the critical units, they normally have lower
horsepower ratings, and they are usually installed with full backup or spare
units. Machines within this category include trains such as product pumps,
boiler feed water pumps, cooling water pumps, etc. Individual units in this cate-
gory may not be critical to the process — but it is often necessary to keep one out
of two, or perhaps two out of three units running at all times. It should be recog-
nized that a particular service may be considered as essential equipment when a
fully functional main and spare unit are in place. However, if one unit fails, plant
operation then depends upon the reliability of the remaining train. In this man-
ner, an essential train may be rapidly upgraded to the status of a critical unit.
These essential machinery trains are usually instrumented in a manner
similar to the critical units previously discussed. Shaft sensing proximity probe
systems, and thermocouples are hard wired to monitoring systems. These moni-
toring systems may be integrated with computerized trending systems. Due to
the similarity of construction and installation of the critical and the essential
machines, the text contained herein is directly applicable to essential units.
The third group of machines are referred to as general purpose equip-
ment. These units are physically smaller, and they generally contain rolling ele-
ment bearings. These machines are often installed with full backups, or they are
single units that are non-critical to the process. Machines within this category
have minimal vibration or temperature measuring instrumentation perma-
 Chapter Descriptions 5

nently installed. This equipment is often monitored with portable data loggers,
and the information tracked with dedicated personal computer systems. In many
instances, small machines are not subjected to detailed analytical or diagnostic
procedures. An in-depth analysis might cost more than the original purchase
price of the equipment. Although there are not many direct references to small
machinery within this book, the techniques and physical principles discussed for
large machines are fully appropriate for these smaller units.
The technology necessary to understand the behavior of process machinery
has been evolving for many years. For example, dedicated machinery monitoring
systems are being replaced by direct interfaces into Distributed Control Systems
(DCS) for trending of general information. Detailed dynamic data is simulta-
neously acquired in a separate diagnostic computer system. This improvement in
data trending and resolution allows a better assessment of machinery malfunc-
tions. In addition, numerous developments in the areas of rotor dynamics, aero-
dynamics, blade design, cascade mechanics, metallurgy, fabrication, testing, plus
optimizing bearing and support designs have all combined to provide a wealth of
knowledge. Understanding these individual topics and the interrelationship
between design parameters, mechanical construction, vibratory behavior, posi-
tion between elements, and the array of electronic measurements and data pro-
cessing can be an intimidating endeavor.
In support of this complex requirement for knowledge plus experience, this
book has been prepared. To provide continuity through the chapters, various fac-
ets of several basic types of industrial machines are examined. It is understood
that one text cannot fully cover all of the material requested by all of the readers.
However, it is anticipated that the information presented within this text will
provide a strong foundation of technical information, plus a source for future ref-
erence. The specific topics covered in this book are summarized as follows.

CHAPTER DESCRIPTIONS
The following chapter 2 on dynamic motion begins with a general classifi-
cation of machinery vibration problems. A review of the fundamental concepts
provides a foundation that extends into a description of a simple undamped
mechanical system. The addition of damping, plus the influence of forced vibra-
tion are discussed. Although the majority of the emphasis is placed upon lateral
motion, the parallel environment of torsional vibration is introduced. Finally, the
theoretical concepts are correlated with actual measured machinery vibratory
characteristics for lateral and torsional behavior.
Rotor mode shapes are discussed in chapter 3. This topic begins with a
review of static deflection, followed by the influence of rotor mass, and the distri-
bution of mass and supports. Various aspects of inertia of mechanical systems
are discussed, and critical distinctions are identified. Next, system damping, and
effective support stiffness are discussed, and their influence upon the deflected
mode shapes are demonstrated. The physical transition of a rotor across a criti-
cal speed, or balance resonance region is thoroughly explained. These basic con-
6 Chapter-1

cepts are then extended into measured and calculated rotor mode shapes. In
addition, the construction of interference maps are introduced, and a variety of
illustrations are used to assist in a visualization of these important concepts.
Chapter 4 addresses machinery bearings and supports in rotating sys-
tems. This includes an introduction to oil film bearing characteristics, and some
computational techniques. This is followed by proven techniques for determina-
tion of radial fluid film bearing clearances, plus the measurement of bearing
housing coefficients. Fluid film thrust bearings are also discussed, and the char-
acteristics of rolling element bearings are reviewed. Appropriate case histories
are included within this chapter to assist in explanation of the main concepts.
Analytical rotor modeling is introduced in chapter 5. This is a continua-
tion of the machinery behavior concepts initiated in the previous chapters. These
concepts are applied to the development of an undamped critical speed analysis
for lateral and torsional behavior. This is followed by the inclusion of damping to
yield the damped response, plus a stability analysis of the rotating system. Fur-
ther refinement of the machinery model allows the addition of dimensional forc-
ing functions to yield a synchronous response analysis. This step provides
quantification and evaluation of the transient and steady state vibration
response characteristics of the machinery. Finally, the validity and applicability
of these analytical techniques are demonstrated by six detailed case histories
distributed throughout the chapter.
Chapter 6 provides a discussion of transducer characteristics for the
common measurement probes. A traditional industrial suite of displacement,
velocity, acceleration, and pressure pulsation probes are reviewed. The construc-
tion, calibration, and operating characteristics of each transducer type are sub-
jected to a comprehensive discussion. In addition, the specific advantages and
disadvantages of each standard transducer are summarized. Specialized trans-
ducers are also identified, and their general applications are briefly discussed.
Finally, the topic of vibration severity and the establishment of realistic vibra-
tion limits is discussed.
Dynamic signal characteristics are presented in chapter 7. This section
addresses the manipulation and examination of dynamic vibration signals with a
full range of electronic filters. In addition, an explanation of combining time
domain signals into orbits, and the interrelationship between the time and fre-
quency domain characteristics are examined. Finally, common signal combina-
tions such as signal summation, amplitude modulation, and frequency
modulation are discussed. In all cases, appropriate examples are presented.
Chapter 8 covers data acquisition and processing in terms of the
instrumentation systems required for accurate field data acquisition, plus the
processing of the data into useful hard copy formats. Sample forms are included
to facilitate documentation of field measurements. In addition, the functions and
necessary compatibility issues between instruments and transducers are dis-
cussed, and operational guidelines are offered. This chapter concludes with an
overview of the most useful machinery data presentation formats.
Based upon the concepts discussed in the previous sections, chapter 9 dis-
cusses the origin of many of the common malfunctions experienced by process
 Chapter Descriptions 7

machinery. The topics include synchronous (rotational speed) excitations such as

unbalance, bowed shafts, eccentricity, and resonant responses. The influence of
preloads, machinery stability, mechanical looseness, rubs, and cracked shafts are
discussed. In addition, foundation considerations are reviewed from several per-
spectives. These general problems are applicable to all rotating machines, and
several case histories are included to illustrate these fundamental mechanisms.
Chapter 10 addresses the unique behavior of different types of machin-
ery. Excitations associated with gear boxes, electrical frequencies, and fluid exci-
tations are included. In addition, the behavioral characteristics of traditional
reciprocating machines, plus hyper compressors are reviewed. Although this
group does not cover all of the potential sources of excitation, it does provide a
useful summary of problems that occur with regularity on many types of
machines. Again, a series of fully descriptive field case histories are distributed
throughout the chapter.
Rotational speed vibration is the dominant motion on most industrial
machines. Chapter 11 is devoted to an in-depth discussion of this synchronous
behavior, and the direct application of these concepts towards rotor balancing.
This chapter begins with the initial thought process prior to balancing, and the
standardized measurements and conventions. The concept of combined balanc-
ing techniques are presented, and the machinery linearity requirements are
identified. The development of balancing solutions are thoroughly discussed for
single plane, two plane, and three plane solutions. In addition, static-couple solu-
tions using two plane calculations are presented, and multiple speed calculations
are discussed. The use of response prediction, and trim balance calculations are
reviewed, and several types of supportive calculations are included. Again, field
case histories are provided to demonstrate the applicability of the rotational
speed analysis, and rotor balancing techniques on process machines.
The last portion of chapter 11 deals with shop balancing machines, tech-
niques, and procedures. Although the fundamental concepts are often similar to
field balancing, the shop balancing work is generally performed at low rotative
speeds. This shop balancing discussion includes additional considerations for the
various types of machinery rotors, and common balance specifications.
Machinery alignment persists as one of the leading problems on process
machinery, and this topic is covered in chapter 12. Alignment is discussed in
terms of the fundamental principles for casing position, casing bore, and shaft
alignment. Each type of machinery alignment is discussed, and combined with
explanations of several common types of measurements and calculations. This
includes dial indicator readings, optical alignment, wire alignment, plus laser
alignment, proximity probes, and tooling balls. The applicability of each tech-
nique is addressed, and suitable case histories are provided to demonstrate the
field use of various alignment techniques.
The concepts of applied condition monitoring within an operating plant
are discussed in chapter 13 of this text. This chapter was based upon a tutorial
by the senior author to the Texas A&M Turbomachinery Symposium in Dallas,
Texas. The first portion of this chapter describes the logic and evolution of condi-
tion monitoring, and the typical parameters involved. These concepts are illus-
8 Chapter-1

trated with machinery problems detected during normal operation. The second
part of this chapter reviews the turnaround checks and calibrations that should
be performed on the machinery control and protection systems. The third portion
of this chapter covers the application of condition monitoring during a post-over-
haul startup of a machinery train. Again, case studies are used to illustrate the
main points of the transient vibratory characteristics.
Chapter 14 address a machinery diagnostic methodology that may be
used for diagnosis of complex mechanical problems. This chapter was based upon
a paper prepared by the senior author for an annual meeting of the Vibration
Institute in New Orleans, Louisiana. This topic discusses the fundamental tools,
successful techniques, and the seven-step process used for evaluation of machin-
ery problems. Again, specific field case histories are included to illustrate some of
the germane points of this topic.
The final chapter 15 is entitled closing thoughts and comments, and it
addresses some of the other obstacles encountered when attempting to solve
machinery problems. This includes candid observations concerning the problems
of dealing with multiple corporate entities, plus the politics encountered within
most operating plants. In many instances, an acceptable solution is fully depen-
dent upon a proper presentation of results that combine economic feasibility
with engineering credibility.
The appendix begins with a machinery diagnostic glossary for the spe-
cialized language and terminology associated with this business. For reference
purposes, a list of the physical properties of common metals and fluids, plus a
table of conversion factors are included. The technical papers and books cited
within this text are identified with footnotes, and summarized in a bibliography
at the end of each chapter. In addition, a detailed index is provided in the last
appendix section that includes technical topics, corporate references, and specific
authors referenced throughout this book.
It is the authors’ hope that the material included within this book will be
beneficial to the machinery diagnostician, and that this text will serve as an
ongoing technical reference. To paraphrase the words of Donald E. Bently (circa
1968), founder and owner of Bently Nevada Corporation …we just want to make
the machinery run better… To this objective, we have dedicated our professional
careers and this manuscript.

BIBLIOGRAPHY
1. Bloch, Heinz P., Practical Machinery Management for Process Plants, Vol. 1 to 4,
Houston, TX: Gulf Publishing Company, 1982-1989.