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Lateral vibration of hydro turbine-generator rotor with varying stiffness of

guide bearings

Article  in  IOP Conference Series Earth and Environmental Science · November 2012

DOI: 10.1088/1755-1315/15/4/042006

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

Lateral vibration of hydro turbine-generator rotor with

varying stiffness of guide bearings

X D Lai1, G L Liao2, Y Zhu1, X Zhang1, Q Q Gou1 and W B Zhang1

1
School of Energy and Environment, Xihua University, Chengdu, 610039, China
2
Sichuan Research & Design Institute of Agricultural Machinery, Chengdu, 610066,
China

E-mail: laixd@mail.xhu.edu.cn

Abstract. The rotor consisted of rotating components and origin of energy transfer is the
source of all vibrations in a hydro turbine generator unit. Among all vibration modes, the
lateral mode is of the greatest concern. A lateral vibration response calculation model for rotor-
bearing system with the nonlinear characteristics of the guide bearing’s stiffness is presented in
this paper. The model for hydro-generator rotor combines finite element model with the
varying guide bearing’s stiffness, the gyroscopic effect, unbalanced magnetic pull, hydraulic
force and mechanical forces to calculate natural frequencies and steady state response. Take
Francis turbine unit with three guide bearings for an example, the unit’s lateral vibration
characteristics and response of rotating components had been simulated by using FEM. The
lateral vibration characteristics and response amplitude at rotating parts had been analyzed by
varying stiffness simultaneously or one of the three guide bearings based on the assumption of
elastic supporting models, and the influence of rotating speed, phase difference between the
unbalanced forces on the vibration response had also been analyzed by the simplified analysis
at the designed guide bearing stiffness. It shows that accounting for bearing stiffness and
support structure flexibility, and then understanding the resulting in vibration behavior is an
important factor in enhancing the stability of a hydro turbine generator rotor. The simulation
results show that, for a vertical-mounted hydro turbine generator unit, there exists a common
characteristic in the first three vibration mode, that is, the maximum amplitude is at the exciter
in the first vibration mode and at the runner in the second vibration mode respectively, and the
maximum amplitude is near the exciter or rotor in the third vibration mode. These results have
great significance for the optimization design of the supporting structure of a hydro turbine
generator unit.

1. Introduction
As large hydro turbine generator units play important roles in power network, special attentions need
to be paid to ensure their stability and safety during design. Vibration of shaft system of a hydro
turbine generator unit is one of the most important factors that affect the stability and safety. The
phenomenon of excessive vibration frequently happens in hydro power plants, as it has greatly
influenced on the operating stability and safety of the unit and even resulted in malfunctions of the
unit’s components, which will lead to accidents[1-2]. Shaft system of a unit might submit to axial,
torsional and lateral vibration, of all the vibration characteristics, lateral vibration is the mostly
concerned [3]. There are many factors that will exert influence on lateral vibration and dynamic

Published under licence by IOP Publishing Ltd 1

26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

behavior, such as changes in the guide bearing stiffness and the unit’s rotational speed, and
unbalanced magnetic pull, unbalanced hydraulic force and unbalanced mechanical force during
operating, as well as the eccentricity of unit shaft system that caused by combination of all the
rotational parts during manufacturing [3-4]. Vibration response analysis of a hydro turbine generator
unit is very complex in the practical hydro power plant, because boundary conditions and external
excitation in solving are usually associated with operating conditions such as the rotational speed, load,
and excitation of the unit. Boundary conditions such as the guide bearing oil film forces are related to
rotational speed and eccentricity. In respect of external excitation, the unbalanced mechanical force is
proportional to the rotational speed, while unbalanced hydraulic force is connected with load and
unbalanced magnetic pull is related to excitation current, and so on[3-7]. Some research works
focusing on natural vibration were carried out in lateral vibration of shaft system of hydro turbine
generator units. Especially from the 1970s, various methods for calculating vibration response were
proposed for horizontally mounted steam turbine generator units, but most of them could only deal
with the periodic excitation forces, not with the random excitation forces often observed in actual
operation. B.P. Betting and R.P.S. Han [3] had made some assumption such as shaft coupling
misalignment and preload to linearize the bearing stiffness and damping coefficients. Fuzhou Feng et.
al [5] had tried to employ the transient Riccati transfer matrix method to calculate the transient
response of the rotor-bearing shaft system for a pump-turbine generator set. Yong Xu et. al [7] had
established a simulation model for radial vibration of a large hydro turbine generator unit by
simplifying the nonlinearity of the bearing dynamic coefficients with B/M nonlinear model, and
proposed a novel algorithm in which combined Wilson-θ method with iteration to solve the model.
Dynamic forces induced by interactions between the runner and the guide vanes and surrounding fluid
are very difficult in analytical methodology in calculating vibration responses of a hydro-turbine
generator unit, which can be solved by flow simulation with CFD software. Therefore, it is necessary
to study the unit’s vibration response from the perspective of numerical simulation, to provide an
effective approach for solving vibration problems during operation and the optimization of the shaft
system during design of a unit’s structure[8-12].
In order to predict the lateral vibration response, a simplified model was established by combining
effect of various unbalanced forces on the unit’s lateral vibration in this paper. For more accurate
modeling of the mass, inertia and gyroscopic effects, the finite element method (FEM) was applied to
solve this model and simulate lateral vibration for the rotating parts of a Francis turbine generator unit
in practical engineering. The influences of the guide bearing stiffness on the natural vibration
frequency and vibration response of the shaft system’s rotating parts are mainly analyzed in the most
unfavorable load combination, and the vibration response in the first three vibration mode varying the
unit’s rotating frequency is also qualitative analyzed for simulating start-up and shutdown processes of
the hydro turbine generator unit.

2. Dynamic modeling for rotor system of a hydro-turbine generator unit

2.1. Modeling the example of Francis hydro turbine generator unit

A Francis hydro turbine generator unit with rated unit’s capacity of 40MW was installed in Yinxiuwan
hydro power plant, China. It was chosen as an example for modeling as it was need to be retrofitted
after experienced the earthquake. The machine is vertical axis type hydro turbine generator unit with 3
guide bearings and the thrust bearing above the generator, i.e. UGGB (Upper generator guide bearing),
LGGB (Lower generator guide bearing) and TGB (Turbine guide bearing), all of the bearings are tilted
pad with preload. The drawings of the power plant were used to obtain the section diameters and
lengths of the shaft system depicted in Figure 1, and the main design parameters are listed in Table 1.

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

Table 1. Design data of the Francis hydro turbine generator unit

Hydro Turbine Generator
Parameter Value Parameter Value
Design head 290 mH2O Rated power 40 MW
Design flow-rate 17.5 m3/s Line voltage 13.8 kV
Rated rotational
500 rpm Power factor 0.85
speed
Runway speed 820 rpm Frequency 50 Hz
Hydraulic thrust 2,200,000 N Shaft’s length 6873 mm
Runner’s
Ф2150 mm Rotor Diameter Ф3364mm
diameter
Shaft’s out-
Ф550 mm Rotor length 2250 mm
Diameter
Shaft’s length 3560 mm Average Air Gap 10.5mm

Figure.1 Model of rotating parts of the Francis

hydro turbine generator unit

A physical model for modeling the vibration of the shaft system consists in the geometrics of shaft
system, boundary conditions, and exciting forces coming from operation conditions. As shown in
Figure 1, the geometry of shaft system, which includes exciter, upper shaft, generator rotor, main shaft
and hydro turbine runner, is the rotating part of the hydro turbine generator unit and the most
important component of the model. Boundary conditions, including guide bearings, thrust bearing,
runner’s seals etc., are related to the relative displacements and velocities of the journal [8-12]. That is,
feedback exists between boundary conditions and response. Exciting forces due to malfunction or
originated from specific operation conditions are another key factors that affect the dynamic response.
Operation conditions such as rotational speed, load and excitation current etc., have great effects on
both boundary conditions and exciting forces. As it is well known that, oil film force of bearing and
unbalance force are related to the rotational speed, hydraulic force is related to the load and unbalance
magnetic pull is related to the excitation current. Accordingly, to do the lateral vibration and response
analysis of a hydro turbine generator unit, the above mentioned factors including the mechanical,
magnetic, and fluid interactions are needed to takes into account. Therefore, it is necessary to establish
a mathematical model for the lateral vibration of the unit under the co-influence of those factors in
theoretical considerations. In the modeling process of a shaft system, if this system is assumed to
isolate from any possible links with the environment, vibration response of a hydro turbine generator
unit belongs to the self-exciting category [1].

2.2. Mathematical modeling of lateral vibration responses

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

Among all vibration modes, the lateral mode is of the greatest concern. To analyze the lateral vibration
behavior of shaft system for the hydro turbine generator unit, an idealized model is needed to establish
on the basis of the motion equations of shaft system vibration. In the stationary coordinates, if the
rotor rotates at a constant rotational speed, Ω, the shaft system of the hydro turbine generator unit can
be modeled with linear isotropic two lateral mode model of the rotor. Because of lateral isotropy, this
model can be treated as a one-complex-lateral-mode model as follows [1].
.. . .
+ Ku Fe j (ωt +δ ) + Pe jγ
M u + Ds u + Di (u − jΩu )= (1)
where:= u x(t ) + jy (t ) are rotor centerline lateral displacements in two lateral orthogonal directions,
as functions of time, t ; j denotes the imaginary in the complex.
In Eq.(1), the coefficients M , K , Ds , Di denote respectively rotor generalized (modal) mass,
lateral isotropic stiffness, and lateral external damping. Both stiffness and damping are considered in
the modal sense. In Eq.(1), ω is the frequency of the externally applied to the rotor, non-
synchronously rotating force with magnitude F and phase δ . Note that by using the complex number
formalism, the external exciting forces have forms of ‘vectors’ in the complex number sense, they
represent a combination of the magnitude and phase (angular orientation). This force may be
generated by the rotor unbalance (in this particular case ω = Ω ), or by an operational periodic load of
the unit, or process fluid-related periodic action in a hydro turbine generator unit . This force
magnitude may be constant, or, like rotor unbalance, may depend on frequency. If this rotating force is
due to unbalance attached to the rotor its frequency will be synchronous, thus ω = Ω , where , Ω ,
being the rotor rotational speed, is also the frequency of the rotor unbalance excitation. P is the
magnitude and γ is the phase of a unidirectional radial constant force, for the vertically mounted
hydro turbine generator unit, P = 0 .
Its lateral vibration responses can be described with solving this model by using complex number
formalization. The lateral vibrations of shaft system for the hydro turbine generator unit consist of free
response and its two kinds of forced responses: one response is due to an external constant radial force
(due to misalignment, unbalance or fluid flow interaction) and the second is due to a non-
synchronously rotating external exciting force, with frequency independent of the rotating part’s
rotational frequency. Considering the structure complexity of the hydro turbine generator unit, finite
element method is employed to numerically solve the model. The shaft system can be divided into
elements, and each element motion equation is formed separately. Based on the Eq.(1), Global
equation of motion of a shaft system for the vertically mounted hydro turbine generator unit is then
obtained by superposition of these element equations as[6]:
.. . .
[ M ]{u} + ([C ] + [C gy r ]){u} + Ω[ J ]{u} + [ K ]{u} = Fe j (ωt +δ ) (2)

in Eq.(2), the [ M ] , [ K ] and [C ] respectively denote the superposed system mass matrix, stiffness
matrix and damping matrix. [C gyr ] is the gyroscopic effect matrix. All of them are the real symmetric
matrix; Ω[ J ] for the rotating damping effect matrix, is a real ant-symmetric matrix. We can obtain
the forced solution of Eq. (2) with FEM, thus, the rotor response vector is:

{u} = {B} e j (ωt +δ ) (3)

where: { B} is synchronous response amplitude vector at the element’s nodes of the shaft system.
To obtain the undamped natural frequency of shaft system, considering the rotor model in Eq. (2)
without external excitation forces, the above equations can be simplified to characteristic equation as
[5]
:

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

.. .
[ M ]{u} + Ω[ J ]{u} + [ K ]{u} = 0 (4)

The undamped natural frequency ωn of the shaft system can be obtained by solving Eq. (4). The
magnitude of the response amplitude of the shaft system will depend on the rotational speed. The
maximum amplitude occurs at a rotational speed Ω RES (resonance speed or critical speed) close to the
rotor undamped natural frequency.

3. Numerical model, boundary conditions and exciting forces

3.1. Finite element meshing

The shaft system of the hydro turbine generator unit has conventionally been modeled by the lumped
mass approach. A major limitation of this approach is the imprecise approximation of both the location
and the distribution of the mass and inertias, along with the resulting inaccuracy in the calculation of
internal forces and stresses in the components themselves. The finite element method (FEM) used in
ANSYS® offers an attractive approach to modeling a rotor-dynamic system. ANSYS® Rel.12
software was used to analyze the vibration response of the shaft system, and element type SOLID272
was employed to mesh the geometrics of components. The element type SOLID272 is a 4-nodes
generalized axisymmetric element and support 3D non-axisymmetric loading and gyroscopic effect in
the stationary reference frame. The derivations of the local mass, gyroscopic and stiffness matrices are
then carried out. Finite element meshing is an extremely important for numerical simulation, and the
grid quality will directly affect the precision and accuracy of the FEA calculation. A sensitivity
analysis was carried out to determine the influence of mash density, after the sensitivity analysis for
this case, the resulting grid nodes number is 325836 and elements number is 168909, the quality of the
grid has already met the requirements of this simulation. The generated meshes for rotational parts are
shown in Figure 2.

Figure 2. FE meshing of rotating parts of Francis

hydro turbine generator unit

3.2. Determination of the excitation forces on the rotating parts of hydro turbine generator unit
To analyze the dynamic response of the shaft system caused by the radial forces, the excitation forces
should be determined firstly. The external excitation forces may be static, harmonic, or periodic,
transient and stochastic, or any combination of these forces. Static forces, which arise at the runner
due to unbalanced hydraulic forces or at the rotor of generator due to unbalanced magnetic forces, may
result in static displacement of the shaft, that is, eccentricity [5]. This eccentricity changes the bearing
dynamic behavior. Additional static forces may occur with coupling misalignment. The unbalanced
magnetic pulling force arising from the generator is a radial force rotating at a frequency proportional
to the shaft deflection and comparable with the bearing negative stiffness. Additional radial forces
with rotational frequency may arise from an unbalanced mass of the shaft system, which often occurs
at the rotor and at the runner. During actual operation of a hydro turbine generator unit, the unbalanced
forces acting on the rotating part of the unit can be sorted as follows:

(1) Unbalanced mechanical force

The mass unbalance force is the most common force in a shaft system of hydro turbine generator unit.
Using the modal approach, the distributed unbalance can be considered in the average as one lumped
force composed of the mass unbalance m , at radius e1 , and angle δ . This force is attached to the

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

rotor and rotates with it at rotational speed Ω , then the corresponding unbalance-related inertia force
is [6]
=
F1 me1Ω 2e j ( Ωt +δ ) (5)
This inertia force mainly lumps at the generator rotor and turbine runner for a hydro turbine
generator unit.

(2) Unbalanced magnetic pull

As the generator rotor and the stator may not be circular due to manufacture, eccentricity will exist and
yield an unbalanced magnetic force. Unbalanced magnetic pull is originated from an electromagnetic
force due to eccentricity, and can be introduced using Behrend's equation based on the magnetic flux
density from the generator power output and power factor, the generated magnetic pull can be defined
as [6]
2
 B  e2
F2 = βπ DL   (6)
 5000  10 g
where: L is the axial length of the iron; D is the diameter of rotor; B is the average magnetic flux
density (10- 4T); β is the coefficient with the generator type, the magnetic field distribution, tank,
damper, and the winding structure, generally β is equal to 0.2 to 0.5; e2 is the eccentricity of the
rotor (in the same direction as the force) and g is the average air gap. Thus, F2 is a linear function of
the air gap between rotor and stator due to eccentricity. Thus, F2 is a linear function of the rotor's
eccentricity e2 . If the stator center is offset or if the rotor center is misaligned, a static lateral force or a
rotating force respectively, will result.

(3) Unbalanced forces generated by bending of shaft axis

For vertically mounted hydro turbine generator unit, the rotating parts may rotate around its own axis
and geometrical axis of bearings, the latter is called arching rotation. Since the axis centerline is not
perpendicular to the flange, or not perpendicular to mirror plate of the thrust bearing, or clearance of
the guide bearing is uneven, a unbalance force will caused by non-concentricity and other reasons
when rotating, it can be determined by[5]:
F=
3 mrΩ 2 (7)

where: r is the radius of arch of shaft centerline; m is the mass of rotating components; Ω is the
rotational speed.

(4) Unbalanced hydraulic radial force acting on the turbine runner

Theoretically, the unbalanced hydraulic radial force can be obtained by flow measurement or flow
field calculation with CFD software with the known operating head and flow discharge [8、11].The
lateral fluid-related forces acting on the runner can be considered as the three parts [5]: a constant
component, a component with rotational frequency but with constant magnitude (hydraulic unbalance),
and the remaining lateral force, thus, the unbalanced hydraulic radial force can be expressed as:
FQ = k w y sin (ω2t + ϕ ) (8)

where: k w is the hydraulic unbalance factor; y is the swing of the runner; ω2 is round frequency of
water flow inside the turbine runner; ϕ is the phase difference.

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

In this article, the lateral hydraulic forces were partially taken from the actual measured data from
power station and verified with CFD simulation for flow field inside the hydro turbine [11]. In fact, all
forces mentioned above may be added to one another at a specific time as a resultant, so all possible
unbalanced forces acting on the shaft system should be take into account simultaneously when the
calculations of the vibration response. Generally, hydraulic force is main force as it always exist at all
working conditions, but the unbalanced mechanical force and unbalanced magnetic pull rely on the
mass eccentricity and uneven air gaps between stator and rotor [6].
The unbalanced forces acting on the shaft system have the maximum impact when they work in the
same vector direction and all frequency of unbalanced forces equals to the rotational frequency Ω ,
hence, the combined unbalanced force is:

FR = F1 + F 2 + F3 = A sin ( Ωt ) (9)
The impact of the unbalanced forces on the shaft system has relationship with both the magnitude
of the force and the phase difference between FQ and FR .

3.3. Simplified model of supports and Constraints

Three guide bearings of the hydro turbine generator unit are multi-pad type tilted hydrodynamic
bearings, which can be simplified as a spring element with stiffness K and damping C in calculation [6].
The thrust bearing is the pivot tilting-pad hydrodynamic bearing, it can be simplified as the spring
constraints with given its rigidity and its axial constraints [6]. The spring constraints for bearings are
shown in Figure 3 and Figure 4 respectively.

Figure 3. Spring constraints simplified Figure 4. Spring constraints simplified

for thrust bearing for guide bearing
To obtain the dynamic oil film forces of hydrodynamic journal bearing, the static and dynamic
coefficient of thrust bearing and guide bearings of a hydro turbine generator unit can be modeled with
the generalized Reynolds equation of lubrication in theoretically [5].As the thrust bearing is not related
directly to lateral force for a vertical-mounted hydro turbine generator unit, we can calculate the unit’s
thrust bearing stiffness in normal condition with the formula in the reference [6]. The dynamic
behavior of a vertical-mounted hydro turbine generator unit has a great dependence on its guide
bearings dynamic stiffness coefficient. The bearings static forces and dynamic stiffness coefficient can
be determined using a perturbation solution of Reynolds equation [4-6, 10], however, it is so time-
consuming that the extensively use of this method is not advised [4]. Actually, based on numerous
observations from field test its dynamic stiffness coefficient is composed of oil film coefficients and
the dynamic stiffness and damping coefficients of support systems. Considering of the guide bearings
as the isotropic support system, based on analysis for the dynamic oil film forces of hydrodynamic
journal bearing, the guide bearing stiffness can be approximately expressed as [12]

K = 
2
[ 2
( 2
)
 L  4ε π + π + 32 ε + 2 16 − π ε (2 4
) ]
( )[ ( )]
(10)
D 1 − ε 2 16ε 2 + π 2 1 − ε 2
3

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

where: K is the dimensionless stiffness coefficient of guide bearing; L is the axial length of guide
bearings; D is the diameter of guide bearing; ε = e / C is ratio of the journal center eccentricity, and e
is the eccentricity of the journal, C is the radial clearance of guide bearing. Thus, the dimensional
expression of the guide bearing stiffness is:
µΩL
k=K (11)
ψ3
where: µ is the viscosity of the lubricant, Ω is the rotational speed of shaft, ψ = C / R is the
clearance ratio of the bearing, and R is radius of the journal.

3.4. Stiffness and damping varying with eccentricity of guide bearing

As discussed in the above, the guide bearing stiffness is mainly changed with oil film forces due to the
eccentricity of the existed guide bearing during operating. For the example of hydro turbine generator
unit in this paper, the oil viscosity µ is 0.035N×s/m2, rotational speed Ω is 500r/min, the axial length
of bearing L is 0.512m, and the clearance ratio bearing ψ is 8.2×10-4. Taking the preload for tilt-pad
hydrodynamics bearing into account, if the eccentricity varies from 0 to 0.7, the practical stiffness
range of guide bearing in normal conditions can be acquired by Eq.(11) as shown in Figure 5. As the
guide bearing stiffness nonlinearly varies widely with the eccentricity, the change of the external load,
exciting forces and operating rotational speed for a vertical-mounted hydro turbine generator unit, it is
obviously unreasonable to set the stiffness K as a fixed value in traditional calculation of the lateral
vibration characteristics of shaft system. Figure 5 shows that the guide bearing stiffness is almost
constant when eccentricity is smaller than 0.2, and with eccentricity becomes larger than 0.2,
nonlinearity appears. Therefore, it is obviously unreasonable to set the stiffness K as a fixed value,
instead, it should set the stiffness according to the stiffness varying with the journal center at different
locations on the basis of the force expression of non-linear guide bearing oil film[3]. However, for the
tilt-pad hydrodynamics bearing, the practical damping of guide bearing is almost constant if the
eccentricity varies from 0 to 0.7[11].

Figure 5. Stiffness varying with eccentricity of guide bearing

4. Results and analysis

4.1. The influence of guide bearing stiffness on the lateral natural frequency of rotor system
Hydro turbine generator unit are special from other rotating machinery by its low speed, heavy mass,
rigid shaft coupling between generator and the turbine, implying that the lateral vibration
characteristics analysis have to combine both generator and turbine as an integrity. In traditional
design process, calculating the first natural frequency and assuring that this is more than 1.25 above

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

the highest runaway rotational speed was the only task need to check during the shaft system design [8].
The first natural frequency was calculated under the assumption of bearings are rigid support model,
so that the calculated natural frequency is much larger than the actual natural frequency [9]. Guide
bearing support stiffness is one of the most important factors influencing on its lateral vibration. To
avoid the vibration modes of the unit to come into resonance, the more accurate calculation of the
lateral vibration is needed by considering the guide bearing support stiffness [8]. For a practical hydro
turbine generator unit, the bearing’s stiffness coefficients are nonlinearly varying with eccentricity
during operating, and the eccentricity is related to the actual clearance of the bearings, its design
parameters, especially the assembled clearance of the bearings. As it is difficult to directly simulate
the lateral vibration varying with eccentricity, we can indirectly calculate the lateral vibration
characteristics by varying the bearing’s stiffness coefficients based the relationship between the
stiffness and eccentricity of guide bearing. In order to analyze the bearing support stiffness influence
on the natural frequency of lateral vibration, we had computed the first to third mode’s natural
frequency by using FEM with changing of guide bearing stiffness simultaneously and respectively
based on Eq.(4) and assume the guide bearings as the elastic supports [11]. The 1st to 3rd mode natural
frequency vs. guide bearings stiffness (in logarithmic) is shown in Figure 6. We can see from Figure 6
that the natural frequency of lateral vibration increases as the guide bearing’s stiffness increases in the
first to third mode, but when the guide bearing stiffness reaches a certain value (>2.0×107 N/mm), the
natural frequency of lateral vibration will change no more, and the curve of guide bearing stiffness vs.
natural frequency trends to be saturated. Figure 6 shows that the hydro turbine generator unit shaft
system’s natural frequency of lateral vibration is up to 16.04 Hz, 23.46 Hz and 33.92 Hz respectively
for first to third vibration mode when each guide bearing stiffness reaches 2.0×107 N/mm. The first
natural frequency of lateral vibration is more than 1.17 times the highest runaway rotational speed.

Figure 6. The 1st to 3rd mode natural frequency Figure 7. The lateral vibration amplitude vs.
vs. guide bearings stiffness guide bearings stiffness

4.2. The influence of phase difference between the unbalanced forces on lateral vibration amplitude
The shaft system response is determined by the external exciting force, and can be obtained by solving
Eq.(3) with FEM. As the described in 3.2, the external exciting force is a complex vector of all the
unbalanced forces determined by Eq.(8) and (9). For a vertical-mounted hydro turbine generator unit,
it is difficult to measure the phase difference between the hydraulic radial force and the other
unbalanced radial forces during operating. In order to find out the most unfavorable load combination
at the rated operation condition, by changing the phase difference from 0° ~ 180° , the lateral
vibration amplitudes at rotating parts varying the phase difference are listed in Table 2. For the Francis
hydro turbine generator unit illustrated in this paper, when FR =120kN, FQ =180kN, and the phase
difference between the between FQ and FR reach 180° , the maximum lateral vibration amplitudes at
rotating parts will occur, which is the most unfavorable combination of loads. Thus, the lateral

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

vibration characteristics of the rotating part can be calculated in this combination in practical
engineering [11].
Table 2. The influence of phase difference varying on lateral vibration amplitude (mm)
Location
Phase difference Exciter UGGB Rotor LGGB TGB Runner
0o 1.76×10-2 3.03×10-3 2.42×10-2 2.30×10-3 3.37×10-3 1.60×10-1
30o 1.77×10-2 3.04×10-3 2.43×10-2 2.34×10-3 2.95×10-3 1.40×10-1
60o 1.80×10-2 3.09×10-3 2.47×10-2 2.47×10-3 1.71×10-3 8.43×10-2
90o 1.84×10-2 3.15×10-3 2.53×10-2 2.66×10-3 1.49×10-3 3.37×10-3
120o 1.88×10-2 3.23×10-3 2.60×10-2 2.87×10-3 1.76×10-3 7.87×10-2
150o 1.92×10-2 3.29×10-3 2.64×10-2 3.02×10-3 3.07×10-3 1.40×10-1
180o 1.93×10-2 3.32×10-3 2.66×10-2 3.08×10-3 3.58×10-3 1.60×10-1

4.3. The influence of guide bearing stiffness on the lateral vibration amplitude at rotating parts
The structure damping ratio of the unit’s rotating part was set up 0.05 [11], and the rated rotating
frequency Ω =8.33Hz (500rpm) for illustration of the Francis hydro turbine generator unit. In order to
predict the influence of guide bearing stiffness on the lateral vibration amplitude at rotating parts at the
most unfavorable load combination, The lateral vibration amplitude varying of guide bearings stiffness
had calculated by using FEM under changing three guide bearing stiffness simultaneously and
respectively, and The lateral vibration amplitude at different location is shown in Figure 7. It shows
that the vibration amplitude at rotating parts decreases with the increase of guide bearing stiffness, and
also when the guide bearing stiffness reaches a certain value (>2.0×107 N/mm) , the vibration
amplitude will decrease no more, and the curve of guide bearing stiffness vs. vibration amplitude
becomes saturated. From Figure 6 and 7, we can see that first natural frequency of lateral vibration of
the hydro turbine generator unit’s shaft system is up to 16.04 Hz and the vibration amplitudes at
rotating parts are almost constants when each guide bearing stiffness reach 2.0×107 N/mm. That is to
say, to keep safe operation of the hydro turbine generator unit, the guide bearing stiffness should larger
than or equal to 2.0×107 N/mm in design. According to the above analysis, when the guide bearing
stiffness is at 2.0×107 N/mm, the shaft system’s resonance vibration mode shapes simulated by FEM
are shown in Figure 8.

(a) (b) (c)

Figure 8. Modal vibration shapes of the first to third modes
(a) First mode (b) Second mode (c) Third mode

4.4. Influences of rotating frequency on the lateral vibration amplitude at rotating parts
In order to estimate vibration responses during the start-up and shutdown processes of the hydro
turbine generator unit, the response due to rotational frequency-varying had been calculated with FEM
at the condition of the guide bearing stiffness is 2.0×107 N/mm and the structural damping ratio is 0.05.
If the unit’s rotating frequency is changed within 0~50Hz (covering the first to third natural
frequency)at the most unfavorable load combination, the vibration amplitude varying with the
rotational frequency curves at different rotating parts of shaft system of the unit are plotted in Figure 9.

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

(a) (b)

(c) (d)

(e) (f)
Figure 9. The vibration amplitude at rotating parts vs. the varying rotational frequency
(a) EXCITER (b) UGGB (c) ROTOR (d) LGGB (e) TGB (f) RUNNER
As shown in Figure 9, the peak amplitude on each curve occurs at the frequency corresponding to
the shaft system’s natural frequency (critical speed) of lateral vibration obtained by the above suction
4.1. It is obvious that the shape of the curves and the position of peak amplitude value have relation to
the lateral vibration modes. Although the resonance of the shaft system will occur near natural
frequency of the each lateral vibration mode, the peak amplitudes and locations are different to the
lateral vibration mode. As shown in Figure 9, in the first vibration mode, the unit’s maximum

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26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

amplitude occurs at the exciter, frequency near at 16.04Hz on curve a), in the second vibration mode,
the unit’s maximum amplitude occurs at the runner, frequency near at 23.46Hz on curve f), in the third
vibration mode, the unit’s maximum amplitude occurs near the exciter or the rotor, frequency near at
33.92Hz on curve c). Actually, the vibration amplitude response curves at the rotating parts on shaft
system varying with the rotational frequency are similar when the guide bearing stiffness varies from
2.0×107N/mm to 2.0×1010 N/mm by the numerical simulation with FEM.

5. Concluding remarks
The lateral vibration responses of shaft system of a Francis hydro turbine generator unit computed by
the model with FEM described in this paper appears to be more accurate and realistic, and the
calculation results show that the model and the method are correct and can be used expediently. The
numerical analysis results have shown that:
(1) To a vertical-mounted hydro turbine generator unit, the guide bearing stiffness coefficients are
nonlinearly varying with eccentricity during operating, and it is obviously unreasonable to assume the
guide bearings as rigid supports or to set the stiffness as a fixed value in traditional calculation of the
lateral vibration characteristics of shaft system. The guide bearing stiffness coefficients have obvious
influences on the natural frequency of lateral vibration of the shaft system. The greater the guide
bearing stiffness becomes, the higher the shaft system’s natural frequency of lateral vibration, and the
smaller the vibration amplitude will be. For the Francis hydro turbine generator unit illustrated in this
paper, when the stiffness coefficients of all three guiding bearings reaches 2.0×107N/mm, the curve of
the natural frequency vs. guide bearing stiffness and vibration response vs. guide bearing stiffness
become constant. It is helpful to determine appropriate value of the guide bearing stiffness during
support system design.
(2) For the Francis hydro turbine generator unit illustrated in this paper, there exists similar curves
of the vibration amplitude at rotating parts varying with the rotational frequency when the guide
bearing stiffness varies from 2.0×107N/mm to 2.0×1010N/mm. Although the resonance of the shaft
system will occur near the all vibration mode’s natural frequency, the amplitudes and locations are
different to the lateral vibration mode. Some calculation results can be used to identify faults during
operating, and further dynamic analysis may obtain more conclusions for fault diagnosis.
(3) For a Francis hydro turbine generator unit in practical engineering, the first to third mode
natural frequencies and response of lateral vibration are needed to analyze in design. To a vertical-
mounted hydro turbine generator unit, there exists a common characteristic of response in the first
three vibration mode, that is, the maximum amplitude locates at the exciter in the first vibration mode,
while the maximum amplitude occurs at the runner in the second vibration mode, and the maximum
amplitude occurs near the exciter or rotor in the third vibration mode.

Acknowledgments
The research presented in this paper was supported by the Foundation of Key Laboratory of Fluid and
Power Machinery (Xihua University), Ministry of Education, PRC (Grant No. SBZDPY-11-7), and
the Cultivation Foundation of Sichuan Provincial Department of Education (Grant No. 11ZZ002). The
illustrated Francis hydro turbine generator unit was installed in YINXIUWAN Power Station in China.
Their supports are greatly appreciated.

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 26th IAHR Symposium on Hydraulic Machinery and Systems IOP Publishing
IOP Conf. Series: Earth and Environmental Science 15 (2012) 042006 doi:10.1088/1755-1315/15/4/042006

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