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Dynamic Balancing and Shaft Alignment

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 Dynamic Balancing and Shaft Alignment
Syllabus

Material
1. Introduction
1.1 Causes of Unbalance
1.2 Types of Unbalance
1.3 Benefits of Balancing

2. Balancing Machines
2.1 Introduction
2.2 Soft Bearing Balancing Machines
2.3 Hard Bearing Balancing Machines
2.4 Field Balancing
2.4 Influence Coefficients Method
2.5 Acceptable Limits of Unbalance

3. Running Successful Balancing Procedure

3.1 Before Balancing
3.2 Setting Correct Parameters
3.3 Influence Coefficients Balancing Procedure
3.4 Enhancing Accuracy

4. Shaft Alignment
4.1 Causes and Types of Misalignment
4.2 Misalignment Vibration Signature
4.3 Benefits of Alignment
4.4 Applied Standards
4.5 Acceptable Limits of Misalignment
4.6 Cold and Hot Alignment

5. Alignments Methods
5.1 Rim and Face
5.2 Reverse Rim and Cross Rim
5.3 Laser Alignment

6. Running Successful Alignment Procedure

6.1 Before Alignment
6.2 Selection of the Proper Alignment Method
6.3 Error Detection and Correction
6.4 Correction of Misalignment
6.5 Soft Foot Detection
Dr. Jaafar Khalaf Ali
Department of Mechanical Engineering
College of Engineering
University of Basrah
 Chapter 1
Introduction

1.1 Definitions
When man invented the wheel, he very quickly learned that if it wasn’t completely round and if it
didn’t rotate evenly about its central axis, then he had a problem. The wheel would vibrate, causing
damage to itself and its support mechanism and in severe cases, be unusable. As the task of
manufacturing a replacement was so huge and time consuming, a method had to be found to
minimize the problem. Research showed that the wheel and its shaft had to be in a state of
balance, i.e. the mass had to be evenly distributed about the rotating centerline so that the
resultant vibration was at a minimum. This had to be achieved during the manufacturing process
(and perhaps just as importantly, as wear occurred) so that maximum service life could be achieved
from the system.
A level of unbalance that is acceptable at a low speed is completely unacceptable at a higher
speed. This is because the unbalance condition produces centrifugal force, which increases as the
speed increases. In fact, the force formula shows that the force caused by unbalance increases by
the square of the speed. If the speed is doubled, the force quadruples. Prolonged exposure to the
vibration results in damage and increased downtime of the machine.
F = mω 2r (1.1)
The International Standards Organization defines unbalance as: That condition which exists in a
rotor when vibratory force or motion is imparted to its bearings as a result of centrifugal forces.
A more popular definition is: The uneven distribution of mass about a rotor’s rotating centerline.
Identifying and correcting the mass distribution and thus minimizing the force and resultant
vibration is the technique known as dynamic balancing.

1.2 Causes of Unbalance

The common causes of unbalance are:

A. Manufacturing Causes
Many causes are listed as contributing to an unbalance condition, including material problems
such as density, porosity, voids and blowholes. Fabrication problems such as misshapen castings,
eccentric machining and poor assembly also a source of unbalance. Distortion problems such as
rotational stresses, aerodynamics and temperature changes. Even inherent rotor design criteria
that cannot be avoided. Many of these occur during manufacture, others during the operational life
of the machine.

B. Assembly Causes
As previously stated, there are many reasons why unbalance occurs when a rotor is being
fabricated. Principle among these is a stack up of tolerances. When a well-balanced shaft and a
well-balanced rotor are united, the necessary assembly tolerances can permit radial displacement,
which will produce an out of balance condition. The addition of keys and keyways adds to the
problem. Although an ISO standard does exist for Shaft and Fitment Key Conventions, in practice,
different manufacturers follow their own procedures. Some use a full key, some a half key, and
some no key at all. Thus, when a unit is assembled and the permanent key is added, unbalance will
often be the result.

C. Installed Machines Causes

When a rotor has been in service for some time, various other factors can contribute to the
balance condition. These include corrosion, wear, distortion, and deposit build up. Deposits can also
break off unevenly, which can lead to severe unbalance. This particularly applies to fans, blowers,
compressors and other rotating devices handling process variables. Routine inspection and cleaning
can minimize the effect, but eventually the machines will have to be removed from service for
balancing.

1.3 Types of Unbalance

The key phrase being “rotating centerline” as opposed to “geometric centerline”. The rotating
centerline being defined as the axis about which the rotor would rotate if not constrained by its
bearings (also called the Principal Inertia Axis or PIA). The geometric centerline being the physical
centerline of the rotor. When the two centerlines are coincident, then the rotor will be in a state of
balance. When they are apart, the rotor will be unbalanced.

Principal Inertia Axis

Shaft Axis

Figure 1.1 Principal and Geometric Centerlines

Different types of unbalance can be defined by the relationship between the two center-lines.
These include:
Static Unbalance: where the PIA is displaced parallel to the geometric centerline (as shown in Fig.
1.1).
Couple Unbalance: where the PIA intersects the geometric centerline at the center of gravity (CG)
as shown in Fig. 1.2.

Shaft Axis

Principal Inertia Axis

Figure 1.2 Couple Unbalance

Dynamic Unbalance: where the PIA and the geometric centerline do not coincide or touch.
 Shaft Axis

Principal Inertia Axis

Figure 1.3 Dynamic Unbalance

1.4 Benefits of Balancing

There are many good consequences and benefits associated with a well balanced, smooth running
rotor. Included among these are:

1) Minimize vibration: Unbalance is still the major source of machine vibration.

2) Minimize noise: Airborne noise is often directly attributable to mechanical vibration.
3) Minimize structural stress: The forces produced by unbalance have to be absorbed by the
surrounding structure.
4) Minimize operator fatigue and annoyance: Exposure to high levels of vibration and noise
affects operator efficiency.
5) Increase machine life: The time between outages can be extended if the machine is running
smoothly.
6) Increase bearing life: Bearings bear the brunt of the unbalance forces.
7) Increase product quality: Minimum vibration, especially on machine tools, produces better
parts.
8) Increase personnel safety: Dangers associated with machine failure are minimized.
9) Increase productivity: Machines running smoothly have more “uptime” availability
 Chapter Two
Balancing Machines

2.1 Introduction
Correction of unbalance can be accomplished by adding or removing masses at specified planes
and angles. Generally, there are two balancing schemes, Factory or Workshop Balancing and Field
Balancing. Factory balancing as the name may imply, is executed during manufacturing of rotating
elements as a part of production routine. On the other hand, workshop balancing is performed as a
maintenance measure to correct any unbalance introduced during operation. Both factory and
workshop balancing can be done using Balancing Machines. Balancing machines are tools used to
correct or reduce the unbalance present in rotating parts. Factory balancing machines are normally
highly automated for high-speed balancing and automatic unbalance correction by drilling,
engraving or welding. Workshop machines do not require the features of factory machines. They
are situated in the workshops where the rotor or rotating element must be disassembled first and
brought to the machine for balancing. However, workshop machines must be capable of adapting
to wide range of rotors of different sizes and shapes. Generally there are two types of balancing
machines, soft-bearing and hard-bearing machines. Figure 2.1 shows a balancing machine.
Balancing machines vary in size, capacity, speed, technology and orientation. The most advanced
machines are enclosed by a special vacuum container to reduce the effect of air especially for
turbomachinery.

Figure 2.1 Balancing Machine

On the other hand, Field or in-situ Balancing eliminates the need to dismantle the machine to
perform workshop balancing. Also, field balancing can take into consideration the effects of the
attached parts and thus producing good overall balancing condition. Field balancing can be
accomplished by using portable balancers or some advanced handheld vibration analyzers. One of
the most important features of a portable vibration analyzer is the field balancing capability. Some
rotating parts and machines permit in-place balancing due to the accessibility to the correction
planes. Examples are fans, blowers, shafts, couplings, large turbo-machinery and others. The
following table lists the main differences between workshop and field balancing:
 Table 2.1 Comparison between Workshop and Field Balancing
Criterion Workshop Balancing Field Balancing
Tool Balancing machines Portable analyzers
Applicability Any rotating parts Rotating parts that can be accessed
Disassembly Require dismantling Does not require dismantling
Attached parts and Effect of some attached parts is Effects of all attached parts and fluid
fluid flow effect considered flow are considered
Precision High Good

Balancing machines typically consist of the following parts:

1. The motor and gearbox to drive the rotor. The drive mechanism can be implemented by flexible
joints where the rotor is directly coupled to the spindle of the machine or belts where the rotor
is rotated by a belt wound around it or around the shaft. The belt is preferable since it eliminates
the flexible joint unbalance effect which may reduce the accuracy of the machine.
2. The bearings and support which may be soft or hard.
3. Vibration or force sensors. Two sensors are required to pick vibration signals from the supports.
4. Speed sensor which is in addition to measure speed, it is useful to determine the phase angle of
vibration signal. Normally magnetic or photoelectric sensor is used to detect when a notch or
reflector becomes opposite to the sensor. This will produce a pulse per each revolution as shown
in Fig. 2.2.

Figure 2.2 Photoelectric Speed Sensor

2.2 Soft Bearing Balancing Machines

These machines have flexible supports where the rotor is swinging freely in the horizontal
direction. The natural frequency of the support is much less than the operating speed of the
machine as shown in Fig. 2.3. The force exerted by the supports can be neglected as compared to
Inertia Force of the rotor. Advantages of these machines are the high accuracy due to high response
of the flexible supports and ability to use any vibration sensors including low cost velocity sensors.
However, these machines require a special calibration procedure for each rotor to be balanced. This
procedure is executed to calculate the so called influence coefficients.
 Figure 2.3 Resonance Frequencies of Soft and Hard Bearing Machines

To understand the operation of the balancing machines, assume the mass-spring-damper system
shown in Fig. 2.4 below where the amount of unbalance is represented by the small mass m
situated at radius r and the rotor mass is M. The support has a stiffness of k and damping factor c.
the differential equation which governs the motion of mass M is given by:

Mx

+ Cx
+ kx = F0Sin ωt (2.1)

2
Where F0 = m ω r represents the centrifugal force introduced by unbalance m rotating at speed
ω. The steady state solution is given by:
x = X Sin (ωt − φ ) (2.2)
Where X is the amplitude of motion and ϕ is the phase angle;

F0
X =
2 2
( k − M ω ) + (C ω ) 2
(2.3)
Cω
φ = tan −1
k − M ω2

M
m
ω r

C k

Figure 2.4 Simple Mass-Spring-Damper System

 k C C
Remembering that: ωn = , ζ = = , eq. (2.3) can be re-written as:
M C c 2 M ωn

F0
X =
2
  ω 2   ω 
2

k 1 −   + 2ζ
  ωn    ωn 
 
ω (2.4)
2ζ
ωn
φ = tan −1 2
ω 
1−  
 ωn 
Since ω/ωn is very large for soft-bearing machines and assuming that the damping ratio is very
small (ζ ≈ 0) it can be concluded that the amplitude of vibration X depends mainly on the
unbalance (X ≈ m.r/M) while the phase angle approaches 180º.

2.3 Hard Bearing Balancing Machines

These machines have rigid supports as the name implies. The natural frequency of the support is
much larger than the operating speed. They are also called force measuring machines because the
force transmitted to the sensors directly proportional to unbalance force. Back to equation (2.4)
above, since ω/ωn is very small, it can be neglected resulting in X.k ≈ m.r ω2 , where X.k is the
force transmitted to the support. The phase angle approaches zero for these machines. Advantages
of these machines are ease of application, fast and the rotors can be vertically oriented to reduce
the force on the bearings and shafts. However, these machines require high sensitivity force or
displacement sensors that measure relative motion or force between the bearings and pedestal.
 
When the forces at the left and right supports, FL and FR are measured either directly by using
force transducers or indirectly by using displacement sensors (see Fig. 2.5), then the equilibrium
forces at the correction planes can be evaluated by applying forces and moments equilibrium
equations:
Right Correction Plane
(Plane 2)
Left Correction Plane
(Plane 1)

Left Support Right Support

(Support 1) (Support 2)

a b
d
Figure 2.5 Typical Rotor in Two-Plane Balancing
 
∑  = 0  
F
⇒ FL + FR + F1 + F2 = 0
 (2.4)
∑ M L = 0  
⇒ aF1 + (a + b )F2 + dFR = 0
 
Where F1 and F2 are the forces at correction planes No. 1 and 2 respectively. From the above
equations, it can be concluded that:
 
 (d − a − b ) FR − ( a + b ) FL
F1 =
 b (2.5)
 aFL − (d − a ) FR
F2 =
b

 F 
The unbalance at plane-i is given by U i = i2 . Where U i = mr ∠θ is the product of mass by its
ω
radius and has a unit of (g.mm) or (oz.in). The out-of-balance mass value can be found by dividing

the unbalance U by the radius r and its position is simply the argument (angle) of unbalance;

U
m=
r (2.6)

angle = Arg (U )

2.4 Field Balancing

Field balancing requires a portable balancing system which could be a portable computer with
data acquisition system or a portable vibration analyzer. Many advanced vibration analyzers
incorporate one-plane and two-plane balancing scheme based on influence coefficients method.
Figure 2.6 shows ViPACK-9, a portable vibration analyzer with two-plane field balancing capability.
To perform balancing procedure, a reflecting tape must be attached at some angle to produce
reference mark to measure angles. Vibration pickups of any type can be attached at the bearings
housing to measure vibration signals. The machine is operated at first to measure initial vibration,
then stopped to add trial mass at the first correction plane and operated again to measure vibration
due to the first trial mass. A second trial mass is added at the second correction plane and the
vibration is measured at the third run. The device will calculate the influence coefficients and
calculate the initial unbalance. The influence coefficients are saved for future balancing procedures
where a single run can be executed to measure unbalance.
 Figure 2.6 ViPACK-9 Portable Field Balancer

A powerful field balancer must take into accounts the following requirements to speed up
balancing procedure and handle mistakes efficiently:
1. Trial mass may be kept during and after balancing procedure to speed up the process.
2. Specific trial run can be repeated individually at any time.
3. Setup time of the analyzer must be as short as possible to avoid running for long period of time
at high vibration.
4. The correction masses may be divided in case of fans or other discontinuous parts when the
angle of correction lies in the blank section.
5. The data collector must be capable of saving the influence coefficients to reduce balancing
time in the next maintenance procedure.
.

2.4 Influence Coefficients Method

Dynamic unbalance is the most type of unbalance imposed in rotating elements. In this case,
generally two masses are required to compensate the effect of unbalance. For rigid rotors and
rotating elements, where the operating speed is less than 70% of the first critical speed, single
plane (one mass) or two planes balancing (two masses) may be used to effectively balance these
parts. Selecting one plane or two plane balancing is not straightforward. It generally depends on
two factors. One of the factors is the ratio of the length of the rotor L to the diameter of the rotor
D. The other factor is the operating speed of the rotor. As a general rule of thumb, we can refer to
the table shown below. From Table 2.2, it is clear that single plane balancing, where a single mass is
used, is adequate in some cases where the rotor has small L/D ratio or when the operating speed is
low even when the rotating element contains dynamic unbalance. This is due to the fact that couple
unbalance has small effect as compared to static unbalance.
 Table 2.2 Selecting the Proper Balancing Planes
Speed Range (RPM)
Rotor L/D ratio
Single Plane Two Plane

Less than 0.5 0 - 1000 Above 1000

More than 0.5 0 - 500 Above 500

For single plane balancing, the relation between vibration displacement x and the unbalance is
given by:

x = αU (2.7)
Where α is the influence coefficient which relates vibration at a given measuring plane to the
unbalance at a balancing (correction) plane. The influence coefficients can be found by running the
so called Trial Mass Procedure in which a trial mass is attached to measure its effect on vibration.
The trial mass procedure is actually a calibration procedure to estimate the parameters of the
system consisting of the balancing machine and the rotor.
For soft bearing machines, the trial mass procedure must be applied to each rotor since the
coefficients are highly related to the rotor specifications and amount of unbalance. The influence
coefficients can be saved for a specific rotor and recalled later for subsequent balancing tasks. For
the hard-bearing machines, the parameters do not depend on the rotor specifications rather than
balancing speed. Thus, one factory calibration procedure is required at each balancing speed to
estimate the response of the system to a known unbalance. The sensitivity and phase response are
estimated and stored and then can be used for any rotor. However, trial mass procedure or
influence coefficients method can also be applied to hard bearing machines and lead to more
accurate results. For field balancing, influence coefficients method is used since the system
parameters are not known and must be estimated.
The trial mass procedure for a single plane balancing can be listed as below:
1. The rotor is initially rotated without any trial mass to measure the initial vibration x0. The

initial vibration is related to the initial unbalance as x 0 = αU 0

2. The rotor is stopped to attach a trial mass at a given radius and position (U trial ) and then the
rotor is spun again to measure x1 which represent the response after attaching the trial
mass
 
x 1 = α (U 0 + U trial ) (2.8)

3. The influence coefficient can be found from the following equation:

α=
( x 1− x 0 ) (2.9)
U trial

Consequently, the initial unbalance U 0 can be estimated by dividing the initial vibration by α. For
two plane balancing, see Fig. 2.4, the influence coefficient method can be generalized and extended
given that the response at any measuring plane is resulting from the effect of masses in both
correction planes. i. e.
 
x 1 = α11U 1 + α12U 2
  (2.10)
x 2 = α 21U 1 + α 22U 2

Where α11 resemble the effect of unbalance at the first correction plane on the response at the
first measuring plane, α12 resemble the effect of unbalance at the second correction plane on the
response at the first measuring plane and so on. The above equation can be arranged in matrix
form as below:
 
 x 1  α11 α12  U 1  U 1 
 x  = α     = [α ] U  (2.11)
 2   21 α 22  U 2   2
The trial mass procedure for two plane balancing requires two trial runs in addition to the first
initial run. In the first trial run a trial mass is attached to the first correction plane while in the
second trial run, a trial mass is attached to the second correction plane. The influence coefficients
can be calculated from the collected vibration at both planes in the three runs. Consequently, the
initial unbalance can be estimated by multiplying the inverse of the influence coefficient matrix by
the initial vibration.

2.5 Acceptable Limits of Unbalance

It is very hard or impossible to obtain zero unbalance condition in a rotating element, instead a
given permissible unbalance is tolerated to be present. There are three schemes applied to detect
the allowable unbalance:
1. Applying one of the balancing quality grades such as ISO 1940 and API 617.
2. Experimental method which can be used for mass production. This method is based on
monitoring of vibration or noise introduced by the rotating element to establish the
acceptable limits or baseline of unbalance. Once the baseline is detected, it can be
generalized for similar parts.
3. Bearing force calculations which determine the allowable unbalance by taking into account
the force capability of the bearings
The International Standards Organization, ISO, published Standard 1940/1 "Balance Quality
Requirements of Rigid Rotors," which has been adopted by the American National Standards
Institute, ANSI, as S2.19-1975, "Balance Quality Requirements of Rotating Rigid Bodies." It has also
been adopted by BRITISH Standards as BS 6861: Part 1 and by GERMAN Standards as VDI 2060. ISO
1940/1 requires an understanding of balancing and its terminology if the standard is to be
understood and used properly.
It is generally accepted that the permissible unbalance is proportional to the mass of the rotor.
The proportionality factor Eper is defined as the specific permissible unbalance;
U per
E per = (2.12)
M
Where U per is the permissible unbalance and M is the mass of the rotor. The experiments have
shown that for the same rotors, the specific permissible unbalance is inversely proportional to the
operating speed of the machine. This implies that the product of permissible unbalance and
operating speed is a constant;
Eper ω = constant (2.13)

The constant in the above equation is actually permissible vibration in mm/sec. This constant is a
measure for the quality of balancing such that when it is small, then balancing quality is good. Table
2.3 below shows the values of the constant for various types of rotors.

Table 2.3 Balancing Quality Grades According to ISO 1940

Balance quality grades are standardized in ISO 1940.
Vibration velocity in
Rotor types mm per second Balance quality grade
General examples G
(Eper ω)
Crankshaft drives of large Diesel engines
100 G 100
Complete engines for trucks and locomotives
Crankshaft drives for engines of trucks and locomotives 40 G 40
Parts of crushing machinery
16 G 16
Parts of agricultural machinery
Fly-wheels
Fans
Aircraft gas turbine rotors
6.3 G 6.3
Electrical armatures
Process plant machinery
Pump impellers
Machine-tool drives
Turbo compressors
2.5 G 2.5
Small electric armatures
Turbine-driven pumps
Grinding machine drives
Textile bobbins 1 G1
Automotive turbochargers
Gyroscopes
Disk-drives 0.4 G 0.4
Spindles for high-precision applications
● The smaller the number, the smoother the operation
● ω= 2π N/60 , where N is the speed in RPM

A. Single plane balancing

To calculate the permissible mass at a given plane, the following procedure is applied for single
plane balancing:
1. Calculate Eper = Grade / ω
2. Calculate U per = 1000 × E per M (g.mm) where the multiplication factor of 1000 is used to
convert from kg to gram.
3. For single plane balancing, the permissible unbalance at the correction plane is simply
equals to U per ; hence the permissible mass (in gram) can be calculated as follows:
 U per
Permissuble Mass = (2.14)
R

Where R is the radius of correction mass.

Example: A narrow rotor of weight 25 kg and running as speed of 1500 RPM. Calculate the
permissible mass at radius of 150 mm for balancing grade of 2.5 mm/sec.
Solution:
1500
ω = 2π × = 157 rad / sec
60
2.5
E per = = 0.01592
157
U per = 1000 × 0.01592 × 25 = 398 g .mm
398
m= = 2.65 g
150

B. Two Plane Balancing

In this case, the calculated permissible unbalance should be distributed on both correction planes.

1) Rotors with inner correction planes: this is illustrated in Fig. 2.7, the following assumptions are
considered:
• The correction planes are both inside the supports
• The distance b is greater than d/3
Right Correction Plane
Left Correction Plane

CG

hL hR
a b
d
Figure 2.7 Rotor with internal correction planes

The permissible unbalance at the left and right correction planes are given by:

h 
U per ,L = U per  R 
 b 
(2.15)
h 
U per ,R = U per  L 
b 
 The value of Uper,L and Uper,R should not be less than 30% of Uper and no more than 70% of it,
otherwise the Narrow Rotor rule must be applied.

2) Rotor with outer correction planes: this is shown in Fig. 2.8. In this case the distance between
correction planes (b) is greater than the distance between the supports (d), so the values of
permissible unbalance must be adjusted by (d/b)
 h  d 
U per ,L = U per  R   
 b  b 
(2.16)
 hL   d 
U per ,R = U per    
 b  b 
Left Correction Plane Right Correction Plane
d
CG

hL hR
b
Figure 2.8 Rotor with outer correction planes

3) Overhung and narrow rotors: in this case the distance between correction planes is less than
third of the distance between the bearings, see Figs. 2.9 and 2.10. The rules applied for these
types of rotors are:

Left Correction Left Correction

Right Correction b
Right Correction
Plane b Plane Plane Plane
d

C
C Static Correction Plane
Static Correction Plane d

Figure 2.9 Overhung Rotor Figure 2.10 Narrow Rotor

• Distance between correction planes is less than 1/3 the distance between bearings (b < 0.33 d)
• Assumes equal permissible dynamic bearing loads.
• Couple corrections are made 180° apart in their respective planes.
• The plane for static corrections may be a third plane or either of the planes used for couple
corrections.
• Allocate Uper as static and couple residual unbalance as follows:
 U per d
U per ,static =
2 2C (2.17)
U per 3d
U per ,couple =
2 4b

The existing unbalance at the left and right planes may be converted to equivalent static and
couple unbalances using the following equations:

 1  
(
U static = U L + U R
2 
)
 
U cuople, L = U L − U static (2.18)
  
U cuople, R = U R − U static

The balancing results will be accepted when the amplitude of U static is less than U per ,static and the
couple unbalance is less than U per ,couple . Note that couple unbalance in the right plane is equal to
the couple unbalance in the left plane in magnitude but in the opposite direction.
 Chapter Three
Running Successful Balancing Procedure

3.1 Before Balancing

In the field of vibration analysis and balancing, some questions jump to the mind, what is the
percent of science in the process of vibration analysis and balancing. Do we need some art to solve
the problem and obtain successful result? In fact, we need both of them, science and art.
Experience plays important role especially when dealing with complex part of equipment. Also,
some details need to be well considered for reliability of the results.
To run successful balancing program, some pitfalls must be avoided, examples are:
1. Problems of probes such as electrical or mechanical runout, bad location, bad connection,
..etc.
2. Mechanical looseness of bearings and base plate.
3. Mechanical defects such as runout, bent shaft and eccentricity.
4. Gear couplings that may lock under loads.
5. Assembling the flange or coupling with different locations of bolts or other parts. Parts must
be marked and placed in their correct places.
6. Effect of critical speed and mode shape when balancing at high speeds. Rigid rotor balancing
is valid when the operating speed is less than 70% of the first critical speed.
7. Effect of piping loading on the misalignment in pumps and compressors.

Prior to execute balancing procedure, the following tasks should be performed in order to avoid
pitfalls:
1. Review the critical speeds and unbalance response analysis to ensure correct placement of
vibration sensors and proper selection of balancing planes. Some software can be used for
this task.
2. Obtain influence coefficients from the manufacturer if possible.
3. When using proximity sensors, the runout in the reading can be found by slow rotation of
rotor, and then it can be subtracted from the reading during operation.
4. Check for amplitude and phase repeatability between readings.
5. Wait for vibration amplitude and phase to be stabilized before taking the final readings.
Some turbomachinery requires few hours as the rotor heat soaks.
6. Calculate the correct permissible unbalance using the recommended standard.
7. Maintain the same operating condition such as speed and load throughout the test.

3.2 Setting Correct Parameters

A. General Rotor Parameters
For hard-bearing balancing machines, it is essential to enter the correct dimensions of the rotor
such as the distance between the correction planes, distance between the support, distance of the
first plane from the first support and the radii of correction. See Fig. 3.1. This is because that in the
hard-bearing balancing machines the unbalance is calculated from equilibrium equations which
require accurate values of dimensions. However, when using influence coefficients method based
on trial runs, these dimensions are not required to be entered correctly except for reference
purposes for future balancing. Figure 3.1 shows a typical two-plane rotor and its parameters.

Figure 3.1 Rotor parameters for two-plane balancing

B. Correction Plane Type or Correction Mode

Some computerized or portable systems permit the definition of the type of correction plane
whether it is continuous or fragmented. Or in other words, it is possible to select correction mode
whether it is free (mass can be attached at any angle) or at fixed angles. Moreover, it is possible to
use fixed masses to give the effect of any mass value by distributing them on both sides of the
required mass.
(1) Continuous rotor or free mode: in this mode the mass can be attached at any angle.
Examples are pulleys, hubs, disks and electrical motors rotors.
(2) Fragmented rotor or fixed positions mode: in fragmented rotors (such as fans and
impellers), the masses can be attached at certain positions. Hence, correction mass is
divided between the closest two positions on both sides of the required angle. It is required
to enter the number of positions and the first position offset from the reference point.
 m2

θ2 m
θ1
m1

For example, if the number of positions is 8 as shown in the figure above, and the required
mass position is between 0 and 45°, then the required masses m1 and m2 can be calculated
as follows (given that the masses are attached in the same radius):
m1 cos θ1 + m 2 cos θ 2 = m
(3.1)
m1 sin θ1 − m 2 sin θ 2 = 0
(3) Fixed mass mode: in this case the position is free but the amount of mass is restricted to
certain values such as (2 gram, 4 gram …etc). In this case, two masses (normally equal) are
used to give the effect of the required mass. Balancing software calculate the angles of
attachment on both sides of the required correction position. The masses must be more
than or at least equal to one half of the required mass. Given the required mass is m and the
fixed value mass is mf, then attachment angle on both sides are:

mf

θ m
θ
mf

m
cos θ = (3.2)
2m f

Some balancing software have the possibility to calculate the permissible masses at the balancing
planes(s) according to the rotor type, dimensions, weight, operating speed and selected standard
and grade. If this feature is not available, then the user should carefully calculate the allowable
unbalance.

3.3 Influence Coefficients Balancing Procedure

Influence coefficients, as sated before, relate the response at a certain plane with the unbalance
at another (or same) plane. They measure the flexibility of the rotor or the inverse of stiffness. The
higher the influence coefficients, the higher the response for a given mass unbalance or exciting
force will be. The influence coefficients can be found by running the Trial Mass Procedure which
requires attaching of a number of trial masses equal to the number of balancing planes. This is
actually a calibration procedure. This procedure can be applied to both soft and hard bearing
balancing machines. For field balancing, it is the most applied scheme.
The following procedure is used in two-plane balancing:
1. For field balancing, stop the machine to attach a reflecting tape on the rotating shaft to
represent the reference point for phase and speed measurement.
2. Attach vibration and reference pickups to the machine and start.
3. Start your data collector to measure vibration due to initial unbalance.
4. Stop the machine; add the first trial mass (more than the permissible mass) to the first
correction plane.
5. Start the machine and let the data collector measure vibration due to the first trial mass.
6. Repeat steps 4 and 5 for the second trial mass at the second correction plane, the first trial mass
can optionally be removed or kept.
7. Start the machine again and let the data collector measure vibration after adding the second
trial mass.
8. The data collector will calculate the influence coefficients and accordingly will calculate the initial
unbalance and the required correction masses in any of the following cases; the first trial mass is
kept or removed, the second trial mass is kept or removed, both trial masses are kept or
removed.

As a general rule, the trial mass should produce at least 30% change in vibration amplitude or at
least 30º phase change or both. Normally, the trial masses value selection is based on the
permissible mass or the mass which cause a centrifugal force that is 10% of the rotor weight or
above. When the trial run fail to satisfy the requirements, then the trial mass can be increased and
the run is then repeated.
To enhance linearity of the results, some balancing software have the ability of recalculating the
influence coefficients by considering the effect of correction masses on vibration. In this case, the
change in vibration (vector subtraction of vibration before correction from vibration after
correction) is divided on the correction mass to find the relevant influence coefficient. But, it is
essential to use accurate correction masses as dictated by the software or give the operator the
ability to enter the exact applied correction mass (if difference exist between the applied and the
required masses).

3.4 Enhancing Accuracy

To increase reliability of balancing results, the following actions should be taken:
1. Set consistent method to measure phase angle. Normally, phase angle is positive in the
direction of rotation. Use polar label (0 to 360º) to facilitate angle reading when applicable.
2. Allow some time for the vibration reading to be stabilized before proceeding.
3. Repeat the unbalance detection to ensure stable masses and angles readings. Best value is the
average of all taken readings.
4. If the system does not respond as expected, such as the unbalance is increased when
performing correction and/or the phase angle is not stable, then it may be the incorrect
 influence coefficients. Repeat the trial mass procedure carefully to estimate the influence
coefficients again.
5. Do not take reading when the machine is still speeding up and do not stop the machine before
taking the final reading.
6. Set large time for averaging process.
7. For workshop balancing machines, attach the flanges and keys to simulate actual rotation. Use
balancing speed as close as possible to the operating speed if applicable.
8. Measure and compensate the effect of flexible joint for workshop balancing machines with
direct coupling.
 Chapter 4
Shaft Alignment

4.1 Types and Causes of Misalignment

Misalignment is a condition where the shaft of the driver machine and the driven machine are not
on the same centerline. The non-coaxial condition can be parallel misalignment or angular
misalignment or combined as depicted in Fig. 4.1. Parallel misalignment can be further
subcategorized as either horizontal or vertical misalignment. Horizontal misalignment refers to
misalignment of the shafts in the horizontal plane, while vertical misalignment refers to
misalignment of the shafts in the vertical plane. Parallel horizontal misalignment results when the
motor shaft is moved horizontally away from the pump shaft, but both shafts still operate in the
same horizontal plane and parallel. Parallel vertical misalignment occurs when the motor shaft is
moved vertically away from the pump shaft, but both shafts still operate in the same vertical plane
and parallel.
Similarly, angular misalignment can be further subcategorized as either horizontal or vertical
misalignment. Angular horizontal misalignment occurs when the motor shaft is at an angle with the
pump shaft, but both shafts still operate in the same horizontal plane. Angular vertical
misalignment occurs when the motor shaft is at an angle with the pump shaft, but both shafts still
operate in the same vertical plane. Serious instances of misalignment can occur as a result of
parallel misalignment, angular misalignment, or a combination of the two.
Shaft misalignment is responsible for as much as 50 percent of all costs related to rotating
machinery breakdowns. Accurately aligning shafts can prevent a large number of machinery
breakdowns and reduce much of the unplanned downtime that results in a loss of production.

Figure 4.1 Types of Misalignment

Misalignment is typically caused by the following conditions:

1. Inaccurate assembly of components, such as motors, pumps, etc.
2. Relative position of components shifting after assembly
3. Distortion due to forces exerted by piping
4. Distortion of flexible supports due to torque
5. Temperature induced growth of machine structure
6. Coupling face not perpendicular to the shaft axis
7. Soft foot.

4.2 Misalignment Consequence and Vibration Signature

Failure to align the shafts properly will increase the amount of stress on the units, resulting in a
range of potential problems that ultimately can seriously impact a company’s bottom line:
• Increased friction, resulting in excessive energy consumption, and the possibility of premature
breakdown of equipment. Experiments show that the offset misalignment of 1.25 mm in a
typical pump of 75 kW results in increase of power consumption by 9%.
• Excessive wear on bearings and seals, leading to premature failure.
• Excessive seal lubricant leakage.
• Failure of coupling and foundation bolts.
• Excessive heat generation in the coupling and shafts.
• Increased vibration and noise.

Vibration analysis using FFT spectrum is useful to identify misalignment condition. As shown in Fig.
4.2, angular misalignment primarily subjects the driver and driven machine shafts to axial vibrations
at the 1xRPM frequency. Misalignment is rarely seen just as 1xRPM peak. Typically, there will be
high axial vibration with both 1xRPM and 2xRPM. However, it is not unusual for 1x, 2x or 3xRPM to
dominate. These symptoms may also indicate coupling problems (e.g. looseness) as well.

Figure 4.2 FFT spectrum of angular misalignment condition

Parallel misalignment results in 2 hits per cycle and therefore a 2xRPM vibration in the radial
direction. Parallel misalignment has similar vibration symptoms compared to angular misalignment,
but shows high radial vibration that approaches a 180° phase difference across the coupling. As
stated earlier, pure parallel misalignment is rare and is commonly observed to be in conjunction
with angular misalignment. Thus, we will see both the 1xRPM and 2xRPM peaks.
When the parallel misalignment is predominant, 2xRPM is often larger than 1xRPM, but its
amplitude relative to 1xRPM may often be dictated by the coupling type and its construction. When
either angular or parallel misalignment becomes severe, it can generate high amplitude peaks at
much higher harmonics (3x to 8x) (Figure 4.3) or even a whole series of high-frequency harmonics.
Coupling construction will often significantly influence the shape of the spectrum if misalignment is
severe.

Figure 4.3 FFT spectrum of parallel misalignment condition

4.3 Benefits of Alignment

Alignment may be defined as the process of bringing the axes of rotation of drive and driven shafts
in collinear state at the point of power transmission. Some benefits of alignment are:
1. Increased productivity of the machine due to reduction of breakdown possibility.
2. Reduced power consumption.
3. Longer life of couplings and bearings due to reduction of reaction forces.
4. Reduced maintenance and labor cost.
5. Reduced heat generation.
6. Smooth operation.
7. Better personnel and plant safety.

4.4 Applied Standards

API 686 Recommended Practices for Machinery Installation and Installation Design published by
American Petroleum Institute is intended to provide recommended procedures, practices and
checklists for the installation of new and reapplied machines. Chapter 7 of this document is
dedicated for the alignment practices. This chapter is subdivided into 5 sections and six appendices.
In these sections, definitions of terms, general requirements, alignment types and field alignments
requirements are stated. Appendices provide additional data such as checklists, tables and data-
sheets.
Section 5 of chapter 7 in API 686 is dedicated to discuss the requirements of field alignment. In this
section, the requirements of Prealignment process are explored. The qualification demands are also
stated. Furthermore, alignment tolerances such as axial tolerances, shims requirements and bolts
clearance are given. Other information such as maximum allowable sag, gear procedures, dowels
and soft foot condition are also provided.
Note: The student should obtain and read chapter 7 of API 686 thoroughly.
4.5 Acceptable Limits of Misalignment
Based on misalignment types, two parameters are defined to specify the amount of misalignment;
offset and angularity. Angular misalignment (angularity) is sometimes expressed as angle in degree
or as Gap (mm or mil) per Rim diameter (100 mm for metric and 10 inch for British). For example a
gap of 1 mm with rim diameter of 100 mm will produce angular misalignment of 1/100=0.01 mm
per 100 mm.
Unless otherwise specified, offset misalignment refers to the distance between shafts rotation
centerlines at the axial center of coupling, see Fig. 4.4.

Figure 4.4 Illustration of angularity and offset

Based on experience, Prueftechnik suggested a general guide line for the misalignment tolerances
given in Table 4.1 below. The suggested alignment tolerances provided are general industry
standards and should not be exceeded. (Note: If a manufacturer of a machine or coupling requires
tighter alignment tolerances, those should be used).
Consider all values listed to be the maximum allowable deviation from the alignment target, be it
zero, or some desired value to compensate for thermal growth. In most cases, a quick glance at the
table will tell whether coupling misalignment is allowable or not. Metric tolerances are given for
machines with a 50Hz supply running at multiples/fractions of 3000 RPM. Imperial tolerances are
given for machines with a 60 Hz supply running at multiples/fractions of 3600 RPM. Angularity is
usually measured in terms of gap width at the edge of the coupling. For a given amount of
angularity, the larger the diameter the wider the gap at the coupling edge. The table lists values for
coupling diameters of 100 mm or 10". If actual coupling diameter is required, multiply the value
from the table by the appropriate factor.
Notes:
1. To convert angular misalignment tolerance from metric to inch, multiply tolerance by 100.
2. To calculate the allowable gap of angular misalignment for a specific coupling (used with face
dial), multiply the value in the table by the Rim diameter and divide by the reference Rim
diameter (100mm for metric and 10 inch for British)
 3. You can also multiply the obtained angularity VA or HA (in the incoming equations) by 100 to
find the Gap for each 100mm which can be compared directly with the values in the above
table. Alternatively, you can divide the value of the allowable Gap in the table by 100 to find
the allowable angularity which can be compared to VA or HA.

Table 4.1 Tolerances of misalignment

4.6 Cold and Hot Alignment

The proper machine positions in the hot running state can be significantly different than when
cold non-running. For large machinery sets running at elevated temperature, the effect of thermal
growth must be taken into account. There are a number of ways used to set the final alignment
conditions:
1. Manufacturer recommendation for thermal growth
2. Empirical calculations based on thermal expansion coefficient per length of specific material
3. Online measurement of thermal growth
Among the above methods, the third one is the most accurate method but it requires special tools
and proficiency. API 686, chapter 7, Appendix D lists some of the methods used to measure the
amount of thermal expansion and the requirements of the measurement process. The most readily
available target specifications of cold alignment are obtained from the manufacturer of the
equipment. When these specifications are not provided, it is possible to apply the following
equation to estimate the thermal growth. Some computer and smart phone software are already
available to do calculations of thermal expansion and the required alignment specifications.

E = H α ∆T (4.1)
Where E is the amount of thermal expansion, H is the distance between the shaft centerline and
base-plate, α is the coefficient of thermal expansion (10.2x10-6 per ºC for iron) and ∆T is the
temperature difference.
Thermal expansion is not the only cause of shaft re-positioning during operation; there are other
causes which must be considered. Examples are:
• Loading forces
• Bearing thermal expansion
• Oil film thickness in fluid film bearings
• Piping forces
 Chapter Five
Alignments Methods

5.1 Rim and Face

The use of dial indicators in shaft alignment represents substantial step forward accurate
alignment methods. One the earliest methods that uses dial indicators is the face and rim method
in which two dial indicators are used to measure the total misalignment. One dial indicators in the
radial direction or Rim and the other is in the axial direction or face as shown in Fig. 5.1. The face
and rim dials are pointed to the coupling hub in the machine to be moved (MTBM). When the gap
between the hubs is not enough to insert the face dial, then a special bracket can be attached to
the MTBM shaft and the dials are pointed to that bracket.
Advantages:
• Used when only one shaft can be rotated.
• Given the correct precautions, precision alignment is attainable with this method.
Disadvantages:
• End float affects face reading.
• Indicator bracket (bar) sag affects readings.
• Eccentric, skewed couplings or damaged surfaces will cause errors.
• Fixture looseness causes errors.
• Indicator stems not perpendicular to shaft causes errors.
The indicators should be checked to ensure that:
• The plungers are level, parallel to shafts, and depressed about half their total travel.
• The indicators are same distance from the shaft axis and exactly opposite each other when
two indicators are used.
• The contact points are midway between coupling halves in the axial direction.

Figure 5.1 Rim and face dial indicators method

To apply this alignment method, the following action must be takes:
• Take the required measurements using measuring tape
• Obtain or measure the sag in both rim and face dials according to the setup used
 • Put the combination in the 12:00 o'clock (0 position) and take both dials readings
• Rotate the combination to 3:00 o'clock and record dials readings. The clockwise direction is
determined when the MTBM is viewed from the free side towards the static machine (STAT).
• Rotate to 6:00 o'clock and record readings
• Finally, rotate to 9:00 o'clock and record readings.

The misalignments of MTBM can be calculated from the following equations:

V O = (R 6 − R 0 − Rs ) / 2 V A = (F 6 − F 0 − Fs ) / Dia
(5.1)
HO = (R 9 − R 3) / 2 HA = (F 9 − F 3) / Dia

The required correction shims (vertical correction) and movements (horizontal correction) can be
calculated from the following equations:

Shim = (F 6 − F 0 − Fs ) × S / Dia + (R 6 − R 0 − Rs ) / 2
(5.2)
Move = HA × S + HO = (F 9 − F 3) × S / Dia + (R 9 − R 3) / 2

Where:
Positive shims means add shims, negative means remove shims.
Positive move means move from 9:00 o'clock towards 3:00 o'clock. Negative move means move
from 3:00 o'clock towards 9:00 o'clock.
Clockwise is determined by looking from the back of MTBM towards STAT.
R0, R3, R6, and R9: Rim readings at 12:00, 3:00, 6:00 and 9:00 o'clock respectively.
F0, F3, F6, and F9: Face readings at 12:00, 3:00, 6:00 and 9:00 o'clock respectively.
Rs, Fs: Sag in the Rim and Face indicators respectively.
S: distance from the indicator plane to the front or rear foot.

5.2 Cross Rim and Reverse Rim

Cross Rim method uses two dial indicators mounted exactly 180º apart to take shaft-to-shaft
readings. Both parallel and angular misalignment may be compensated for at the same time. This
method allows the couplings to remain attached, as the shafts must move together. Figure
5.2 show a typical cross dial setup. The reason behind the 180º between the dials is only to allow
simultaneous attachment and reading of dials to save the time.

Figure 5.2 Cross dial setup

 The Reverse Rim method is almost the same as the cross dial method except that the dials are in
the same plane and the dials are set in the reverse direction to measure shaft to shaft radial
misalignment as shown in Fig. 5.3.

Figure 5.3 Reverse dial setup

Advantages:
• Most accurate method of using dial indicators
• Easy and fast to use
• Simple: Computer or pocket calculators can also be used and it requires only 180º rotation
Sources of error are:
• Indicator stems not perpendicular to the shaft
• Looseness
• Indicator bracket (bar) sag
• Coupling backlash
• Extreme axial float may be problematic

Notes:
1. Clock position is referenced to the respective dial position, for example S6 is the reading of S dial
at 6:00 o'clock.
2. One dial indicator can be used at a time but it is time consuming.

For the above setup in Fig. 5.2, the misalignments at the center of coupling with respect to MTBM
are given by:

V O = (S 6 − S 0 − Ss ) / 2 − (S 6 − S 0 − Ss + M 6 − M 0 − Ms ) ×C / 2D
V A = (S 6 − S 0 − Ss + M 6 − M 0 − Ms ) / 2D
HO = (S 9 − S 3) / 2 − (S 9 − S 3 + M 9 − M 3) × C / 2D
HA = (S 9 − S 3 + M 9 − M 3) / 2D (5.3)
For the MTBM or machine with M dial (motor in the above setup), the correction required can be
found as follows:

Shim Left foot =V A × S L −V O

Shim Right foot =V A × S R −V O
(5.4)
Move Left foot = HA × S L − HO
Move Right foot = HA × S R − HO

Positive shim value means add shims and negative value means remove shims.
Positive move value means move toward 3:00 o'clock and negative value means move toward 9:00
o'clock.

5.3 Laser Alignment

The laser method of alignment is similar to the rim and face method, but it uses light to span the
shaft-to-shaft distance. As both shafts are rotated, the misalignment is determined by the move-
ment of the laser beam on the detector surface. This is shown in Fig. 5.4.

Figure 5.4 Laser alignment typical setup

Advantages:
• Most accurate measuring device available
• Speed: with practice, alignment calculations can be made quickly
• Wired to a computer
• Only requires 180º or 90º of shaft rotation
• Horizontal move capabilities

Sources of error are:

• Heat/cold air can distort the laser and affect alignment calculations
• Looseness in brackets or fixtures
• Coupling backlash
 Chapter Six
Running Successful Alignment Procedure

6.1 Before Alignment

Chapter 7 in API686 lists the recommended requirements for running successful alignment
procedure. Some guidelines in this perspective include:
1. Machine to be driven is installed first, then the driver machine is installed and aligned.
2. Before grouting, the machines must be pre-aligned properly to ensure that the jackbolts
bolts do not need to be adjusted later.
3. Basic checks should be carried out to ensure good coupling. Check for runout of coupling
hubs using dial indicators.
4. Correct large misalignment first using simple methods such as straightedge and tapered
ruler or filler gages.
5. Preparation of machinery baseplate and machine mounting surface, feet, pedestals etc. is of
vital importance to achieve successful alignment.
6. Clean, file and dress up any burr from the mounting faces and bolts holes.
7. Prepare the shims and tools before alignment. Maximum number of shims under any foot
should be less than 5.
8. Check and correct any soft foot.
9. Disconnect pipes and ducts that may cause reaction forces during alignment. After re-
connecting the pipes and ducts, the alignment should be checked again.

6.2 Selection of the Proper Alignment Method

The laser alignment is the most accurate method among the methods of alignment mentioned
before. However, it requires special high cost systems that are not available always. Also,
sometimes space restriction or shaft size may limit the application of laser alignment system. In
these cases, other methods such as the reverse dials or rim and face dials can be used instead.
Generally alignment methods should be used in the following order when possible:
1. Laser alignment
2. Reverse rim or cross rim dials
3. Rim and face dials
4. Straightedge and tapered ruler

6.3 Error Detection and Correction

The sources of errors mentioned in previous chapter for each method should be avoided to
ensure correct and accurate alignment process. Sag in dial indicators should always be measured
and compensated for. The axial movement of shafts should be prohibited especially when using rim
and face method. Any looseness in the fixtures and brackets should be prohibited.
 For dial indicators, the fluctuation of reading can be compensated for by repeating the reading and
then taking the average value. Also, one of the conformity checks of rim dial readings is to use the
following equation:
S 6 + S 0 − Ss = S 9 + S 3
M 6 + M 0 − Ms = M 9 + M 3
If the above equation is not within 0.005 mm, then the readings must be repeated.

6.4 Correction of Misalignment

The face and rim dial method and reverse rim method give the amount of correction needed at
each side of the movable machine. The correction can be done by using dial indicator or any
measuring tool to monitor the movement. Some laser alignment systems permit online correction
according to a wizard or steps dictated by the device. To avoid soft foot the correction made to the
two legs of the movable machine at a given side must be matched.

6.5 Soft Foot Detection

An essential component of any successful alignment procedure is the determination and
correction of soft foot condition. The machine stands differently each time an alignment is
attempted in case of soft foot. Two types of soft foot may exist, parallel where the machine foot is
parallel to the baseplate and angular when the foot makes an angle with the baseplate. The parallel
soft foot can be corrected by adding straight shims while angular soft foot can be corrected by
adding tapered shims or by grinding the foot first then adding shims.
Before checking soft foot, the pipes must be disconnected to avoid any reaction force. Any foot
showing more than 0.05 mm (2 mil) must be corrected. Measurement of soft foot should be done
while the hold-down bolts are loosened. A dial gage can be used to measure the movement of the
soft foot. The dial gage is fixed to the baseplate while its tip in pointed to the top of machine foot.
The hold-down bolts should be tightened before going to the next foot. Alternative method to
measure soft foot is to use laser alignment system which includes soft foot measurement option.

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