The Five Conditions

Victor Wowk, P. E., Machine Dynamics Inc., Albuquerque, New Mexico.

Vibration analysis of machinery has proven useful to iden-

tify problems and improve reliability. It is no longer an infant
technology, but is not mature enough to diagnose conditions
with certainty. Senior diagnosticians still rely on proven age-old
techniques to work through those difficult situations. When ap-
proaching a serious machine problem, it is useful to keep in mind
the fundamentals and step through them in the diagnostic journey.
The five conditions described in this article are necessary for any
machine system to operate well. They are not the complete story,
because some pre-existing conditions must also be satisfied, such
as good lubrication, tight hardware, good bearings, and no seri-
ous cracks. If these preexisting conditions are known to be good,
then the five conditions in this article should be investigated for
before delving into other possible causes. With a few exceptions,
machine systems (driver, driven, speed changer, and accessories)
can be setup to startup well and restored to smooth operation
with a few simple tools and established procedures. Every young
mechanic and new engineer responsible for machinery is advised
to keep these basics in their toolbox and apply them before invest-
ing time and resources into more sophisticated analysis paths.

For any rotating system to operate smoothly and without prema- Figure 1. Shaft setup for measuring total indicator reading (TIR).
ture failure, there are only five simple conditions that need to be
satisfied. They are: straight shafts, aligned bearings, mass balanced,
shaft alignment, and free from resonances. This might sound too
simple to be true, but a lifetime of fixing vibration problems on
machinery has led me to one of these five general categories. The
lifetime I speak of is actually about 30 years, because I was not
doing vibration analysis on machinery as an adolescent or while
serving in the Department of Defense.
The source of all machine vibration is less-than-perfect manu-
facturing or less-than-perfect repair. It is possible that bearings can
be worn, hardware is loose, parts are dirty, or there is insufficient
lubrication. These other conditions are usually not present on new
or recently repaired machines, so I will assume that these have Figure 2. Misalignment is a major cause of bearing failures.
already been checked. The assumptions are that the bearings are
good, all hardware that needs to be tight is tight, parts are clean, This run-out measurement can be done in situ with the rotor
there are no serious cracks and everything is well lubricated. This supported in its own bearings, or it can be done on a bench with
is the scenario that describes my entry into serious vibration or the shaft supported in V-blocks (wooden or plastic). Figure 1 shows
failures. The obvious has already been checked and corrected. this measurement.
The procedure for diagnosing machine vibration or failures starts
with a vibration analysis, but vibration analysis cannot diagnose Aligned Bearings
anything with certainty. It can only direct further diagnosis by The two bearings that support the shaft (all the bearings if there
narrowing the list of possibilities. An obvious example is unbal- are more than two) must be coaxial with minimum offset and
ance, which is the easiest thing in the world to diagnose, but other minimum angularity. Small deviations can be accommodated by
defects such as bowed rotors, misaligned bearings, eccentricities, the clearance in the bearings. Once the bearing clearance is fully
and misaligned shafts can produce identical symptoms. consumed, then a hard stop is encountered with metal pressing
Vibration analysis is also plagued with measurement anomalies against metal. The shaft then deflects and is no longer straight and
(phantoms, modulation, electromagnetic noise, and self-generated the bearings suffer a beating (Figure 2).
signals), and errors in interpretation. Diagnosing machine vibration The need for precise bearing alignment is well understood by
or failures, with confidence, boils down to testing for these five machine-tool builders. They control it by line-boring housings,
conditions and an uncomplicated process of elimination. The tests using arbors and fixtures for maintaining alignment during as-
for these conditions are relatively straightforward. sembly in a clean environment using heat or cold, or a combina-
tion of these, to allow insertion without galling metal. In the field,
Straight Shafts alignment is less controlled during bearing replacements. There is
A dial indicator fixed with a magnetic base is the instrument of also the variable of non-flat foundations on site, which can distort
choice here. A machined shaft should have a total indicator read- machine housings and seriously disturb the bearing alignment. The
ing (TIR) of no more than 0.001 inch (0.025 mm). This includes foundation does not necessarily have to be flat. It only needs to be
all motor and pump shafts anywhere and everywhere along a good match to the bottom of the machine feet so that strain is not
their entire lengths. Fan shafts should meet this criteria on every transmitted into the housing. This is the domain of millwrights
precision-machined part of the shaft, especially at the journals and the practice of shimming.
where the bearings fit. Fortunately, there are two simple tests for judging bearing align-
I might accept slow-speed shafts up to 0.002 inch TIR (0.05 mm). ment at the machine. The first is to rotate the shaft by hand and
Between 0.002 inch to 0.005 inch (0.05 - 0.127 mm), the rotor will see that it spins freely. It should spin with minimal friction and
be difficult to balance, and the bearings will get beaten up. Above no binding during a 360-degree rotation. The second test requires
0.010 inch (0.25 mm), the rotor cannot be balanced. a dial indicator again. This is used to check the parallelism of the

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 Figure 5. Typical bearing alignment test.

These dial-indicator measurements are not always possible if the

rings are not accessible, but if they can be done, then adjustments
with a punch and hammer, shimming, or repositioning pillow
blocks can be done in place while observing the dial indicator.
Aligned bearing operation is cool and quiet, and they have a
normal life.
This bearing alignment issue is serious and usually introduced
during bearing repair. The tests in Figures 3 and 4 are almost
never done by mechanics, even though they are described in the
Machinery’s Handbook, first published in 1914. This is a lost art
Figure 3. Alignment setup for checking outer ring fit to the bearing housing.
in the maintenance field. Figure 5 is a photograph of this test being
done using a universal test indicator.
A serious condition of bearing misalignment can be introduced
during operation as things heat up. The thermal expansion forces
have the capability to bend the shaft and distort the housing or
the frame. Thermal expansion can be measured, but it is most
often calculated and predicted. We can do nothing to stop thermal
expansion. The best we can hope for is to accommodate for it by
providing some room for metal to grow into. This is an engineering
function for the machine designer, but the mechanic must be aware
of this because he or she will be the last person with their hands
on the machine, and when problems arise on start up, fingers will
point in their direction.
Floating, or expansion, bearings provide this clearance for ther-
mal growth, and their proper setup is part of bearing alignment. If
not properly done, then the machine may start OK when cold, but
vibration and noise will worsen as temperatures rise. This is the
key indicator to stop the machine before it is too late.
A straight shaft with aligned bearings will not only rotate freely
by hand, but it will also balance well.

Mass Balanced
Unbalance is a common condition causing vibration on rotating
machines and mass balancing is a common corrective procedure.
The indication for unbalance is obvious – a shaking force. It is easy
to diagnose with a vibration instrument that provides frequency
information. Unbalance is always a high-amplitude motion ex-
actly at rotating speed (Figure 6). As noted earlier, other defects
can cause similar vibration symptoms. This is not uncommon in
Figure 4. Alignment setup for checking inner ring fit to the shaft. the vibration analysis business; i.e., for multiple defects to cause
similar symptoms or for symptoms to be compounded.
faces and their perpendicularity to the shaft. The two test setups Vibration analysis is not a perfect technology, nor is it mature
are shown in Figures 3 and 4. enough to be called a science. It is still an art, because it requires
Figure 3 checks that the face of the outer ring is perpendicular a healthy dose of judgment and experience in the analysis of the
to the shaft axis. The indicator is fixed to the shaft with a clamp, data. The only true diagnosis of unbalance is to place correction
and the indicator tip reads on the face of the outer ring as the shaft weights and see that the vibration is reduced.
is rotated. The total indicator run-out should be no more than 1.0 Rotors can become unbalanced in service if they accumulate
mil per inch of swing diameter. debris unevenly (like dirt, grease, minerals from water evapora-
Figure 4 checks that the face of the inner ring is not crooked on tion, insect or rodent droppings) or erode away material from an
the shaft or that the shaft is not bent. The dial indicator is affixed abrasive fluid stream. They can also develop cracks or looseness.
to the housing or a stationary part, and the tip of the indicator Therefore, prior to mass balancing, it is wise to verify that the rotor
reads on the face of the inner ring as the shaft is rotated. The ac- is clean, has no cracks, and everything is tight.
ceptable reading is again no more than 1.0 mil per inch of swing The vast majority of mass balancing in industrial and commer-
diameter TIR. cial environments is on fans, which are sensitive to uneven mass

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 Figure 7. Typical operating point curve for a fan.

Figure 6. Machinery vibration spectra showing unbalance before and after

correction: a) unbalanced fan; b) after mass balancing.

distribution because of their light weight, high speeds, and large

diameters. Mass balancing is fun because it provides immediate
job satisfaction, but it is a dangerous business. The danger is in
test weights coming off, multiple starts and stops, leaving tools or
other parts in the rotor cabinet, and damaging the machine with Figure 8. Typical shaft alignment test setup.
too large or improperly placed weights.
Poor system matching to the resistance in the pipes, ducts, as the speed and torque-handling capabilities are satisfied, with
downstream devices, and poor inlet flow conditions can create the one exception of torsional resonances. The torsional natural
choking, surging, or stalling. This can produce vibrations that look frequency of a rotating system is adjusted by the system designer
like unbalance. Therefore, prior to mass balancing fans or any other when choosing a specific coupling. The type of coupling should
flow machine, it is wise to verify that they are operating on a good not be changed on systems subject to torsional pulses, that is,
part of their curve, which is the best operating point to the right of reciprocating machines.
the peak (Figure 7). This is even more important for blowers and The axial spacing, set as the coupling is assembled onto the
compressors that operate at higher pressures and on pumps that shafts, allows for thrust forces, motor magnetic centers, and some-
handle higher-density fluids. times thermal expansion. This axial positioning is the responsi-
bility of the one who adjusts the shaft alignment and adjusts the
Shaft Alignment coupling. Coupling spacing is part of the shaft alignment task and
The only true way to diagnose shaft misalignment is to stop the is done with micrometers, calipers, thickness gauges, and some-
machine, attach a measuring fixture, and swing readings (see Figure times dial indicators.
8). It is not possible to diagnose poor shaft alignment from vibra-
tion readings alone, because bowed rotors and misaligned bearings Free from Resonances
produce identical vibration symptoms as misaligned shafts. In This is an easy thing to detect with a quick and simple impact
fact, all three are similar physical conditions at the bearings and test (see Figure 9). I wish every startup engineer and technician
generate the same kind of wear. However, it is possible to prove would do this test routinely and put me out of a job. The respon-
good shaft alignment with low vibration, and this also proves a sibility for designing machines to have natural frequencies 20%
straight shaft and aligned bearings. away from operating speed rests with the machine designers, but
The type of coupling is a major factor that determines how honestly, they do not have adequate analytical tools to accurately
much forces are transmitted to the bearings from misaligned predict this, especially on large machines where the foundation
shafts. Obviously, more flexible and larger-clearance couplings is provided by someone else.
can accommodate greater misalignments with speed and torque The most economical way to deal with this state of affairs is to
penalties. There is an abundance of coupling choices available test for it on site and finish the design on site with strategically
today, and the maintenance engineer is free to substitute as long placed stiffeners. Other fixes are to change speed, add damping,

14 SOUND & VIBRATION/MAY 2014 [Link]

 the force transmission or to contain the dynamic vibrations in
areas or on platforms. Proper isolation operates on the theory of
resonance and on the assumption of infinitely stiff foundation
below the springs. When the foundation is not infinitely stiff,
or if it changes over time, then machine vibration can change or
unexplained failures can emerge. The key test for this condition
is an impact test to measure the natural frequency of the machine
on its support system to determine if resonance is an active player.

Lubrication
Lubrication is not listed as one of the five conditions, but it is
certainly necessary for smooth operation. The reason for discuss-
ing it here is that “lack of lubrication” is too often blamed as the
cause of failure without sufficient evidence to support it. Sufficient
lubrication is one of those easily understood preconditions, like
good bearings, clean rotor, and tight hardware. These conditions
are assumed to be satisfied before drawing on outside sources to
work a machine vibration problem.
The key indicator for lack of lubrication is temperature. This
could be during operation, or postmortem, with discoloration,
carburized oil, or softened metal. If no evidence of excessive fric-
tion, via temperature indicators, is present, then lack of lubrication
can be dismissed, along with his big brother of an excuse – “bad
bearings.”
Figure 9. Impact test for resonance.
The good news is that four of the five conditions, with the one
exception being mass balancing, can be evaluated with the machine
or dynamic absorbers. stopped. So you see, even before the machine is energized, I can
Machines and structures have an aging effect where the joints measure a few things with dial indicators and an impact test and
soften over time. This means that natural frequencies go down. predict with reasonable confidence how it will behave with balanc-
A machine may have started its service life with a stiff support ing. The final diagnosis of balance condition must necessarily be
structure and low vibration, but as it ages, vibration or bearing done while spinning. But if the other four conditions are satisfac-
wear problems could emerge. This is a subtle effect over a long tory, then mass balancing should converge quickly to a fine level.
time that may not be recognized as a resonance. This is akin to an So machines are not so complicated that their conduct cannot
old man’s joints that can’t take it anymore. be demystified with a few simple tests.
A related issue is isolation. Spring or rubber isolation is not a
corrective method for machine vibration. It only serves to limit The author can be contacted at victor@[Link].

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