Vibration and Noise Generation in Gear Units

Caused by Gear Teeth Impacts

S. Ciric-Kostic, University of Kragujevac, Faculty of Mechanical

Engineering Kraljevo,
Prof. M. Ognjanovic, University of Belgrade, Faculty of Mechanical
Engineering, Belgrade, Serbia

Abstract
The basic hypothesis of the work is that machine part surfaces are membranes which divide
inside and outside space. The membranes receive disturbance power which is transformed
within inside space and emitted to the other machine parts and surroundings. Additionally,
machine systems operation causes numerous disturbances such as collisions, sliding, rolling
etc. which with periodic repetition produce disturbance power. Gear drives represent very
interesting case for analysis of disturbances, spreading of disturbance energy inside of
machine system and its transformations, and for analysis of noise emission to surroundings.
The gear teeth impacts produce disturbances and restorable free (natural) vibrations of
machine parts. The gear unit housing has dominant role in transformation of disturbance
power and sound emission to surroundings. By combination of theoretical, numerical and
experimental analysis, using classical gear drive unit (reducer), this work explains these
processes, especially the role of gear unit housing, which is very complex. The role includes
vibration and noise frequency spectrum modulation, the noise isolation or the noise and
vibration intensifying. The housing modal behavior presents the main content of the article.

1. Introduction
Process of gear unit noise generation is complex and is usually studied through
investigations of three sub-processes: generation of disturbance power by action of the gear
unit components (gears and bearings), spreading of the disturbances through structure of the
gear unit and disturbance power emission through vibrations and noise of the gear unit.
There is significant number of papers that consider identification of dominant causes of noise
on the place where disturbances are generated. Houser and Harianto [1] considered bearing
forces that are the result of mesh forces analyzing the influence of gear meshing impact
forces, effective transmission error forces, shuttling forces, friction forces and forces due to
the entrapment of air and lubricants. In paper [2], Houser, Harianto and Ueda presented a
procedure of gear profile selection and optimization with respect to noise reduction. Bartod et
al. [3] analyzed phenomenon of the rattle noise, caused by the fluctuation of the engine
torque (acyclic excitation) which, under special conditions, can cause multiple impacts inside
the gearbox. Kartik and Houser [4] analyzed effects of shaft dynamics on gear vibration and
noise excitations. A method for suppression of gear pair vibration by active shaft control is
developed in [5] by Guan et al. Effects of bearing stiffness on critical rotational speeds of
gearboxes are analyzed by Rigaud et al. in [6].
Several papers present possibilities of numerical prediction of noise level. Houser et al.
compared numerical predictions for simple gearbox to experimentally measured data [7].
Inoue [8] proposed an optimum design method, which minimizes the vibration energy, for a
thin-plate structure, and applied it to the design of gearbox housing for low vibration and
noise. In [9], Abbes et al. developed FEM based model with the goal to estimate acoustic
radiation of simplified gearbox internally excited by gear mesh stiffness fluctuation.
The main goal of this paper is to present investigation of the influence of gear unit housing to
vibrations and acoustic emission of a gear unit. Disturbances caused by teeth impacts are
the strongest during the initial contact of a teeth pair, and they are periodically repeated.
These disturbances are selected for definition of disturbance power and analysis of
spreading of the disturbance power through the structure of the gear unit. A casted housing
of a general use gearbox is selected as the object of the research, but the obtained results
are of general nature and are applicable to all mechanical systems with periodic generation
of disturbances.

2. Gear disturbances processes

Several types of teeth impacts accompany the process of gear teeth meshing. In spur gears,
teeth impact is the most intense at addendum collision. This impact is, in the first place, the
consequence of the elastic deformations of the gear teeth, but deviation of dimensions and
shapes of teeth profiles can intensify it. In helicoids gears, the tooth starts meshing by one of
its end, where the stiffness is very small, as well as the intensity of the impact force.
After each collision of teeth, natural vibrations of meshed gears arise. The natural frequency
is proportional to the square root of average stiffness of meshed teeth cb and inversely

proportional to its mass: f n1 = cb / me / 2 . Fig. 1 presents the time variation of vibration

acceleration for a relatively slow gear rotation when the frequency of teeth collision,
f = nz / 60 , is considerably smaller than natural frequencies of the gears. These free
vibrations are very quickly damped. A new collision renews them, and restorable free
vibrations arise.
With the increase of the rotational speed, the frequency of teeth collision f increases and the
natural frequency fn1 remains the same. Resonance arises when the frequencies become
equal. In the supercritical range, the frequencies of teeth meshing are higher than the natural
frequency of the gears, f>fn1. Vibrations are realized by their natural frequency, but due to the
increased intensity of teeth collision, the level of free vibrations with the frequency fn1 is
higher.

Fig. 1. Restorable gear vibrations with successive impacts repetition

3. Transmission of disturbances through the gear unit structure

Absorbed disturbance power is transmitted through the gearbox parts in the form of elastic
waves. One part of this power is attenuated inside of machine parts and the rest is emitted to
surroundings and transmitted to the other machine parts via contacts in the assembly.
Propagation of the waves through elastic structure of the gear unit (gears, shafts, housing)
can excite natural vibrations of the gear unit parts, thus increasing disturbance power
transferred to the other parts and emitted to the surroundings.
Fig. 2 presents distribution of disturbance energy in gear transmission unit, with Fig. 2a
showing the spreading processes, and Fig. 2b the assembly of the gear, shaft, bearing and
support in the housing wall. Transmissibility factor of disturbance power from gear to the
shaft is Tg-sh= Wsh / Wg, with Wg and Wsh representing respective disturbance powers at gear
and shaft. This factor includes disturbance power dissipation inside the gear and sound
power emission inside the housing Win (Fig.2b). From the shaft, disturbances in the form of
elastic waves, or in the form of shaft vibration, are transmitted to the gear unit housing
through the bearings. The bearing is a complex structure with numerous contacts that
causes power losses, and the transmission coefficient of the bearing is defined as
Tb = Who/Wsh. The value of that coefficient is small, but the value of the transmitted energy is
increased by disturbances produced by the bearing operation itself.

Fig. 2. a) General structure of process of disturbance energy transformation,

b) Disturbance energy transmission from the source to the surroundings

Disturbance power transmitted to the housing Who can produce several effects. The first one
is further transmission to the outside and inside air in the form of outside noise Won and in the
form of inside noise Win. The second effect of the housing contains the possibility of strong
attenuation of energy Who or the possibility to excite natural vibrations by the energy Who and
significantly increase emitted outside noise Won. Also, disturbing natural (modal) vibrations of
the housing modulate frequencies of the emitted outside noise Won in comparison to the
frequencies of machine part vibrations (gears, bearings, shafts, etc). The third effect of the
housing is the inside noise isolation. The machine parts emit inside noise that attempts to
pass through the housing walls to the surroundings. The noise transition ratio of the housing
walls is Tn= W'on / W'in.
The sound power W of the gear unit is the result of multiple noise components. One is the
result of disturbance conduction from disturbance sources to the outside housing surface that
emits the outside noise. The next component is the noise produced by natural (modal)
activities of the housing. Housing sensitivity at the modal excitation and intensity of modal
vibrations are parameters influencing outside noise. The third component of outside noise is
the noise which comes through the housing walls. Isolation abilities of the housing walls and
the level of inside noise define the effect of the third component on the total level of the
sound power of the gear unit.
The presented analysis underlines important effects of the gear unit housing in its sound
power. Also, the housing modulates sound frequencies in comparison to disturbance
frequencies. For that reason the modal behavior of the housing is extremely important. Also,
the way (mechanism) of certain modal shape excitation and intensity of its oscillation provide
important information for establishing the model of noise generation in machine systems.

Fig. 3. The chosen gearbox housing: a) Discretized model, b) Chosen modal shape of
vibration

4. Disturbance power modulation by housing modal behavior

The research of modal behavior effects is performed on the example of a housing shown in
Fig 3. It is a casted housing of a two-degree gear drive, reinforced with ribs and rings for
increasing stiffness. A complex shape was thus obtained having small sensitivity to
excitation. As such, it offers a possibility for detection of all-important details in clarification of
excitation mechanisms and character of natural oscillation of each structure.
Modal analysis of the given housing was performed by applying the finite elements method.
The linear 3D-brick finite element with 12 degrees of freedom (three translations per each
node) was used. The finite elements mesh shown in Fig. 3a contains 6385 finite elements,
12950 nodes with 38850 degrees of freedom. For the frequency range of 0-3000 Hz, 88
natural frequencies and modal shapes of vibrations are calculated. Each vibration mode
comprises existence of standing waves within separate zones of the considered structure. As
an illustration, one of vibrating modes is presented in Fig. 3b

Conditions for certain modal shape excitations

The modal analysis allowed determination of modal shapes of vibrations and their modal
characteristics. These vibration modes may be excited when certain conditions are met. In
real conditions, only a small number of vibration modes, out of a large number (theoretically
infinite) of possible modes, are active.
Excitation of a certain modal shape can be realized if the following conditions are satisfied:
If the excitation of elastic deformations (direction and place of action) completely or partly
coincide with the elastic deformations arising during vibration with a certain modal shape;
If the excitation frequency is close or equal to the frequency of the modal shape which is
excited;
If modal attenuation is of sufficiently small value so that it could not result in partial or
complete attenuation of this oscillation.

Fig. 4. The example of using the results of numerical modal excitation by impulse force:
a) Numerical integration results, b) Exciting force directions, c) Modal shape
displacement in chosen sections (359 Hz)

These conditions were checked by the numerical integration method and modal testing. The
discretized (by FEM elements) model of housing was excited by the impulse force of 1000 N
with duration of 0.02 seconds in the area of maximal modal displacement (Fig. 4b). This
force excites the corresponding modal shape together with similar shapes and frequencies.
One of these results is presented in Fig. 4. By the force in the direction z, in the area of the
middle hole, natural frequencies 155 Hz and 359 Hz are excited (Fig. 4a) because the force
direction is the same as the direction of maximal displacement for these modal shapes
(Fig. 4b,c). By force in x and y directions, the modal shape with 359 Hz is not excited
because these directions do no not correspond to the vibration displacement. The force in
the y-direction excites only the modal shape with 155 Hz because the force direction
corresponds to the displacement direction for this frequency. It is also possible to excite the
corresponding modal shape by disturbance with the same frequency. The maximal effect can
be obtained with the excitation force which acts in the place and direction of maximal
displacement and fluctuates with the corresponding frequency of modal shape.
Random excitations produced by the impact of a modal hammer or by a shaker with random
frequencies are used as excitation in experiments. Fig. 5 presents the frequency responses
measured at point T0 with excitation by a modal hammer at points T6 (in the middle of the
lateral side of the housing) and T7 (at the front vertical wall, right above point T0). The modal
response obtained experimentally is similar to the response obtained numerically.
Differences between the calculated and measured values of frequencies range from 0.7 to 9
% with the tendency to reduce the difference with the increase of frequency. The procedure
of investigation and elaboration of conditions necessary for excitation of a certain modal
shapes are excited is presented in [10] in a detailed way.

Fig. 5. Amplitude-frequency diagrams obtained by modal testing and numerically (inset A)

Modal excitation by teeth impacts
Disturbance deformations are transmitted via rolling bearings in radial and axial directions.
Depending on the wave forms generated, they continue to transmit through the housing walls
in the form of elastic waves.
There arises a question - which natural frequencies and vibration shapes could be excited in
the conditions of real excitation which is transmitted through the bearings to the housing. The
procedure of prediction of the modal shapes of vibration primarily begins with the selection
and consideration of only those shapes of vibration in which deformations exist in the area of
holes intended for placement of bearings. In order to satisfy the first condition for excitation of
a modal shape, it is necessary to have the point of introduction of disturbances in the area
where the deformations exist. It means that all modal shapes in which there are no
deformations in the area of holes for placement of bearings can be excluded from further
consideration.
Directions of propagation of deformations are then treated. Disturbances are transmitted
from the teeth mesh through the bearings to the housing in the radial and axial directions.
The deformations in the z-direction, i.e. the direction normal to the housing wall at the point
of excitation action, correspond to the axial direction of excitation, while radial deformations
are transmitted in the x-y plane, depending on the points on the hole. The simplest approach
to this research is the application of FEM or excitation of the structure by a modal hammer.
Excitation of the housing structure by impulse excitation with a broad range of frequencies
(e.g. up to 3000 Hz) enables obtaining responses from the structure independently of the
excitation frequency. In order to obtain all shapes of vibration and their corresponding natural

Fig. 6. a) The frequency responses of the housing at point T0 due to the action
of excitation impulse near the middle hole for the bearings, b) Certain modal shapes
which are excited by the impact of a modal hammer near the middle hole
frequencies which can be excited by a disturbance transmitted through the bearings, it is
necessary to excite the housing, in the holes for the bearings, by the impulse force.
Fig. 6a presents the frequency response for the case of introducing the excitation impulse by
a modal hammer, at point T11, in the direction of the y-axis, which, at that point, corresponds
to the direction of radial excitation. The frequency response of the housing measured at point
T0 for the range of frequencies from 0 to 3 kHz shows that of possible 88 vibration modes
numerically calculated by modal analysis, the impulse excitation at the point of bearings
excites twenty-three. Some of the modal shapes are presented in Fig. 6b. All shapes of
vibrations with deformations at the point of contact between the bearings and the housing are
excited to a smaller or larger extent. At that, the response is stronger in the vibration shape
whose directions of deformation coincide with the direction/directions of excitation
disturbances transmission. The intensity of response is increased for the shapes of
oscillation with the frequencies of oscillation which coincide or which are approximate to the
frequency of excitation, i.e. the collision speed of the teeth. It should also be noted that the
response in Fig. 6a corresponds to the action of excitation disturbance directly to the housing
wall. Dissipation, i.e. attenuation in the contacts of parts of gear transmission will cause a
weaker response than the one presented. For the purpose of characterization of the
transmissibility factor of disturbances caused the gear mesh, via shaft to the housing, three
points at which excitation was introduced were selected: excitation (direction of the y-axis) in
the hole on the wall opposite to the accelerometer, excitation at the shaft (direction of line of
action) and excitation at the tooth addendum of the middle shaft gear.
In this purpose, additional testing was carried out with vibration measurement inside the
bearing hole. The tested structure was completed with gears, shafts and bearings in the
housing. The components added changed the modal structure of the system, especially the
intensity of response. In Fig. 7 some of the results are presented.
In the presented frequency spectrums, the strongest responses correspond to high
frequencies from 2 to 2.8 kHz.
When the excitation is introduced in the area of the bearings (the area of thick housing
walls), the maximum response corresponds to the frequency of about 2.4 kHz (Fig. 7a).
By exciting the tooth addendum with a modal hammer, the absorbed disturbance energy
is transmitted from the gear body, through the shaft and bearings in order to excite the
housing walls for natural oscillation. On that way, a large part of that energy is dissipated
causing a very low level of response of the housing vibration (Fig. 7b) and up to some 6
times weaker response in comparison with the response when excitation acts directly at
the place of bearings. However, it is very important to notice that vibrations exist, i.e. that
 a large number of natural frequencies whose values correspond to the frequencies
excited by the action of disturbances directly at the place of bearings are obtained.

Fig. 7. Comparison of results of modal tests: a) of emission of housing disturbed by impact

inside of bearing hole in direction of gear contact line, b) of housing with gear system
disturbed by impact at the tooth addendum of middle gear

5. Experimental proof of gear teeth impacts effects

In order to prove the main hypothesis that housing modulated emitted gear unit noise,
measurements of housing vibration and noise caused by gear pair rotation and teeth impact
were carried out. Similar situation to modal testing is obtained with the gears which can
produce strong impacts. By welding at the tooth surface around pinion, two damages were
made which can produce strong impacts in the flanks of the gear. During the test, the pinion
rotated with 500 rpm and produced impacts of 16 Hz. By comparing the response diagram of
modal testing (Fig.7) and the frequency spectrum of housing vibration (Fig. 8a), it is possible
to notice there is only one harmonic with 16 Hz produced by teeth impacts. Then there
follows the harmonics produced by natural vibration of the gear housing. In the spectrum of
measured vibrations, natural free vibrations produced by modal vibration of the excited
modes dominate in the spectrum of measured vibrations.
Another experiment was designed to confirm the thesis that the noise emitted into the
surroundings by the gearbox is the consequence of natural vibration of the housing. For that
purpose, at the distance of 0.5 m above the gearbox, the acoustic pressure of the gearbox
was measured. The frequency spectrum of noise of the tested transmission, for the driving
shaft revolutions number of 500 rpm, is presented in Fig. 8b. By comparing these spectra
with each other and with the spectrum of vibrations in Fig. 6, the following can be underlined:
A very complex spectrum of noise has been obtained. They are mainly produced by
natural vibrations after every teeth impact, bearing rolling, etc.
Natural vibrations of the gear unit housing produce a low level of noise which is covered
by the noise produced by the gears, especially in the frequency range above 1.4 kHz.
 The housing walls which oscillate by forced and natural vibrations emit sound waves
which affect the frequency spectrum of transmission unit noise, thus increasing the
acoustic pressure. Stronger responses in the frequency spectrum (Fig. 8b) correspond to
the frequencies of housing vibrations with the highest amplitudes. The highest acoustic
pressure emitted by the tested transmission unit corresponds to the frequency of around
300 Hz (Fig. 8b) which is identified by housing modal analyses and by modal testing. The
other frequencies in this spectrum are in relation with natural frequencies of the housing.
The angular speed of the driving shaft also significantly influences the level of the emitted
noise. Increase of angular speed results in significant increase of excitation frequency,
absorption of disturbance power and in increase of the level of noise of the corresponding
natural frequencies of the housing.

Fig. 8. Comparison of vibration acceleration spectrum (a) and noise pressure spectrum (b)
of gear drive unit with strong impact simulation in the gear mesh

6. Conclusion
The main hypothesis of the presented investigation is proved. The noise and vibration power
are the part of disturbing power absorbed by machine parts operation. Disturbing power is
proportional to disturbance (teeth impact) intensity and to the frequency of disturbance
repetition. Propagation of disturbances through elastic structure represents elastic waves.
Indicators of this process are defined in the form of transmissibility factors. Measurement of
values of those indicators presents very complex problem and the task for the future work.
Actually, the main results tend to explain the role and effects of gearbox housing. Housing
modulates frequency spectrum of vibration and noise. Disturbed natural frequencies form
frequency spectrum structure. Intensity of the spectrum components is in relation with the
disturbance power and the housing modal stability. Additional roles of housings are noise
isolation and intensification or attenuation of transmitted disturbance power. In order to study
these roles, the mechanisms of the certain modal shape disturbing are defined. The set of
modal tests in various conditions was carried out. Vibration and noise measurement with
strong teeth impact simulation provided possibility to identify relation between absorbed
disturbance power and vibration and noise emission.

7. Acknowledgement
This work is a contribution to the Ministry of Science and Technological Development of
Serbia funded projects TR 14052 and TR 14033.

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