Basics of Machine Unbalance

Mass Unbalance occurs in a rotating machine when the mass of the rotor
is unevenly distributed around the center of rotation. When this happens
the center of mass does not correspond with the center of rotation.

This diagram shows a rotor that is perfectly round, with its

mass evenly distributed around the center of the shaft.
Center of mass
Center of rotation
(center of shaft)

Note the center of rotation runs through the center of the

shaft and the center of mass is at the mid point of the rotors
length. If it rotated in mid air with no support bearings, it
would rotate around a path having a center point perfectly
aligned to the center of the shaft. A rotor could still be in
perfect balance even though the center of mass was not With no unbalance the rotor will rotate around a path as
at the mid point of the rotors length, as would be the case depicted by the blue line in this diagram. Note the center
with a tapered rotor. of the path coincides with the center of the shaft.
 In real life, a rotor does not rotate freely in mid air, as it is held in place by
its bearings. If a rotor has unbalance, the bearings are subjected to the force
of the rotor trying to rotate around the center of mass, which is now offset
from the center of the shaft.

In this diagram a mass was added to the rotor at the mid If the rotor were rotated in mid air, it would rotate in a new
point of its length. The center of mass has now shifted in path around the center of mass, as shown by the blue line
the direction of the added mass. in this diagram.

Original center of mass New center of mass

Center of rotation
(center of shaft)

The offset of the center of mass from the center of rotation is proportional
to the unbalance mass x the distance from the center of the shaft to the
center of the mass.
The force generated by the unbalance is a centrifugal force and is in all
radial directions. Placing an accelerometer at any point around the
circumference of the bearing reveals a peak once every revolution of the
shaft. Unbalance shows up as a peak at the 1X RPM on your FFT analyzer.
All machines have some degree of looseness and therefore unbalance
will generate some vibration (harmonics) at the 2X RPM.

Unbalance generates forces

in all radial directions. It will
also indirectly generate axial
vibration.
Axial vibration occurs when
the rotor shaft is bent or
flexes. A machine that has a
relatively lightweight, flexible
shaft is more likely to exhibit
axial vibration due to
unbalance.
 Understanding “Phase”
In order to understand how unbalance affects the vibration levels on a machine, it is first necessary to
understand “Phase”.
Phase is essentially the time difference between 2 signals that are of the same frequency. With rotating
equipment, the time difference is measured in degrees of rotation of the shaft, 360 degrees representing 1
revolution. Consider the diagram for Couple unbalance. The explanation notes that the rotor will have a
rocking action. As one end of the rotor is moving up, the other end is moving down. So as one end is at its
highest point, the other is at its lowest.
Phase can best be described as - “the time relationship a rotating component has with another rotating
component or alternatively with a fixed reference point”.
The following diagram of a rotor with couple unbalance shows the relationship of the waveforms to the heavy
spots, rotating through 360 degs. The signal measured by the vibration transducer will show a peak when
the heavy spot is nearest to the transducer and a low when it is 180 degs away. In order to locate the heavy
spot you will require a reference, which is provided by either a tach or a strobe light.

Vertical Unbalance 0o Unbalance Displacement Waveform

mass mass
25 Vertical
Vertical mm

270o 90o 0
mass mass

o o o o
90 180 270 360
180o

The rotor has Couple unbalance. Looking at

the yellow end, the rotor is turning clockwise.

NOTE : In a simple machine, the vibration will be in phase with the excitation frequencies well below resonance.
At resonance, the phase of the vibration will be exactly 90 degs out of phase with the excitation from the
rotor. At frequencies above the resonance frequency, the vibration will be 180 degs out from the excitation.
 Types of Unbalance
Static Note : = Blue Bearing = Yellow Bearing
25 Vertical 25 Vertical
mm mm
rms
1X RPM
0 12.5
2X RPM
= Mass distribution axis 90
o o
180
o
270 360
o
0
0.000 kcpm 6.00
= Rotational axis 25 Horizontal 25 Horizontal
mm mm
rms
1X RPM
0 12.5
2X RPM
o o o o
90 180 270 360 0
0.000 kcpm 6.00
25 Axial 25 Axial
mm mm
Static Unbalance (also referred to as Force unbalance) occurs rms
when a heavy spot on a rotor is located at the mid point between
the bearings that support the rotor. A rotor with a single unbalance, 0 12.5
located at a point other than the mid point, is said to have “Quasi
Static Unbalance”. True Static unbalance is found in rotors that o o o o
are short compared to their diameter. Short could be defined 90 180 270 360 0
0.000 kcpm 6.00
as having a length (not including the shaft) of no more than 25%
of the rotors diameter. This is not a fixed rule, simply a guideline. Static Waveforms Static FFT
* The fact that the waveforms from * Vertical & Horizontal amplitudes
Note that the center of the unbalance is located in exactly the each end of the shaft are overlaid will typically be similar, dependent
on each other, means that both on the rigidity of the machine. If
same plane as the center point of the rotor. This will cause a ends are moving in the same the machine has less rigidity in
centrifugal force to be applied equally to each bearing in the direction and at the same time - either the vertical or horizontal
same direction. they are “In Phase”. direction, amplitudes could be
* Note how the peaks on the higher in that direction. It is
Static unbalance, while the most basic form of unbalance, is Vertical waveform do not line up unusual to get extreme variations.
not a commonly encountered problem. with the peaks on the Horizontal * Amplitudes from each end of the
waveform - they are 90 degs out shaft in the same direction will
Note : Although relatively unusual, it is possible to get low levels of phase. This can vary by 30 also typically be similar.
of axial vibration due to the unbalance causing the shaft to flex. degs.
 Types of Unbalance
Note :
Couple = Blue Bearing = Yellow Bearing
25 Vertical 25 Vertical
mm mm
rms
1X RPM
0 12.5

= Mass distribution axis 2X RPM

o o o o
90 180 270 360 0
= Rotational axis
25 Horizontal 25 Horizontal
mm mm
rms
1X RPM
0 12.5
2X RPM
o o o o
90 180 270 360 0

25 Axial 25 Axial
mm mm
rms
Couple Unbalance occurs when the center point of the mass
distribution axis coincides with the center point of the rotational 0 12.5
axis. This situation causes the rotor to develop an end to end
rocking action as it turns. Force is applied to each bearing at
the same time but in opposite directions - (180 degs out of 90
o o
180
o
270 360
o
0
phase).
Couple Waveforms Couple FFT
Couple unbalance differs from Static in that a rotor with Static * The waveforms from each end * As with Static unbalance, the
unbalance if supported between 2 frictionless centers will always of the shaft in both the Vertical Vertical & Horizontal levels will be
come to rest with the heavy spot at the lowest point, while a and Horizontal directions are 180 similar, dependent on the rigidity
rotor with Couple unbalance will come to rest at random points. degs out of phase. This means of the machine.
Couple unbalance, like Static unbalance, is not a common that at any time they are moving * Amplitudes from each end of the
problem. in opposite directions. You will shaft will be similar.
also see a 90 deg phase
difference between the Vertical
and Horizontal measurements on
Note : Although relatively unusual, it is possible to get low levels each bearing (30 degs).
of axial vibration due to the unbalance causing the shaft to flex.
 Types of Unbalance
Dynamic Note : = Blue Bearing = Yellow Bearing
25 Vertical 25 Vertical
mm mm
rms
1X RPM
0 12.5

= Mass distribution axis 2X RPM

o o o o

= Rotational axis 90 180 270 360 0

0.000 kcpm 6.00
25 Horizontal 25 Horizontal
mm mm
rms
1X RPM
0 12.5
2X RPM
o o o o
90 180 270 360 0
0.000 kcpm 6.00
25 Axial 25 Axial
mm mm
rms
Dynamic Unbalance occurs when the Rotational axis and the
Mass distribution axis do not intersect at all. Whereas Couple 0 12.5
unbalance consists of 2 unbalance masses located on the rotor
equidistant from the center of the rotor and 180 degs apart,
Dynamic unbalance covers all other possible locations of any 90
o o
180
o
270 360
o
0
unbalance masses. 0.000 kcpm 6.00

Dynamic Waveforms Dynamic FFT

The phase differences between each end can vary anywhere * The graphs show a nominal 90
between 0 and 180 degs and will depend entirely on the way deg phase difference between the
the unbalance masses are distributed around the rotor. 2 bearings in both the Vertical &
Dynamic unbalance is the most common type of unbalance Horizontal directions.
you will encounter. This can vary anywhere between
0 and 180; however it will be
considerably greater than 0 degs
Note : Although relatively unusual, it is possible to get low levels and considerably less than 180
of axial vibration due to the unbalance causing the shaft to flex. degs.
* Dynamic FFT’s will show the
same behavior as both Static &
Couple.
Amplitude levels will be similar,
although dependent on the
distribution of the unbalance
mass, likely a greater variation will
be evident than with Static or
Couple FFT’s.
 Types of Unbalance
Overhung Note : = Blue Bearing = Yellow Bearing
25 Vertical 25 Vertical
mm mm
rms
1X RPM
0 12.5

2X RPM
o o o o
90 180 270 360 0
0.000 kcpm 6.00
25 Horizontal 25 Horizontal
mm mm
rms
1X RPM
0 12.5
2X RPM
o o o o
90 180 270 360 0
0.000 kcpm 6.00
Overhung Unbalance occurs when a rotor is cantilevered on 25 Axial 25 Axial
the end of a shaft. Under normal conditions the axial vibration mm mm
rms
at the top of the bearing will be out of phase with the axial 1X RPM
vibration at the bottom of the bearing. The unbalance forces will 0 12.5
also cause the bearing to move in a circle in its own plane.
2X RPM
When the force is upward on the blue bearing, as illustrated, 90
o o
180
o
270 360
o
0
the tilting of the bearing will be away from the rotor, so the axial 0.000 kcpm 6.00
phase at the top of the bearing will be out of phase with the Overhung Waveforms Overhung FFT
vertical. * The above assumes the positive * Overhung unbalance will give
phase is toward the peaks on all 3 axes. Note the
At the yellow bearing, the situation is reversed relative to the accelerometer, and the axial higher amplitude on the bearing
blue bearing at any given time. When the rotor is forcing the measurements are made on the (blue) nearest the rotor.
blue bearing upward, it will force the yellow bearing downward, right top edge of each bearing. As with the other types of
so the vertical phases will be 180 degs apart between the two * As is the case with Dynamic unbalance, the level of axial
bearings. Also, the bending of the shaft between the bearings unbalance, the horizontal phase vibration will depend on the rigidity
will cause the yellow bearing to tilt toward the rotor, opposite to differences will usually equal the of the machine, in particular the
the tilt of the blue bearing. Therefore, the axial phase at the top vertical phase differences (30 shaft. Axial vibration will always
of the yellow bearing will be out of phase with the vertical. degs). be present.
 Potential Causes of Unbalance
Rotors Fans Mechanical Damage
Gears
Mechanical Damage
Contaminant Buildup
Contaminant Buildup Off Center Bore

Bent Shaft

Off Center Shaft Off Center Bore Mechanical Damage

Pulleys / Sheaves Flywheels Shafts

Mechanical Damage Bent Shaft
Mechanical Damage Off Centre Holes

Oversize Locking
Screw

Irregular Machining
Off Center Bore Off Center Bore
 Potential Causes of Unbalance
Impellers Couplings Mechanical Damage Electrical Windings

Mechanical Damage / Corrosion Uneven copper

distribution

Off Center Bore

Casting Defects Thermal Expansion Oversize Bores

As individual components
expand at different rates due
to temp rature, the balance of
the rotor is affected. e
 Potential Causes of Unbalance

Keyways are often Overlooked !

While the keyway does not represent a large proportion of the overall mass of the rotor, it
can cause significant unbalance. Special care needs to be exercised with high speed
machines as the level of vibration due to unbalance increases by the square of the increase
in speed. An incorrectly fitted key on a machine rotating at 10,000 RPM, could create extreme
levels of vibration.
 Useful Tips
Natural Frequency, Resonance & Critical Speed
An understanding of these 3 topics will greatly assist you in diagnosing and correcting unbalance problems:
- Natural Frequency : All components making up a machine including rotors, bearings, shafts,
frames etc, have many natural frequencies at which they will vibrate if they are subjected to an external
force such as unbalance. Striking a component will cause it to vibrate at its natural frequencies. Each
frequency will exhibit a different pattern, or MODE of vibration as shown by the 3 critical speed pictures
below. By striking the component harder the displacement of the vibrations will increase, while the various
frequencies remain unchanged.
- Resonance : Resonance occurs when a natural frequency is excited by an external force of the
same frequency. Striking a component with a natural frequency of 5 Hz, 5 times per second will cause it
to resonate (vibrate profusely). The level of displacement will increase greater than the force applied.
- Critical Speed : When a shaft rotates at a speed which equals one of its natural frequencies or
a structural natural frequency, the shaft will begin to flex or bow due to excessive vibration generated by
the resonance. A rotor and its supporting structure have many natural frequencies; they likewise have
many critical speeds and therefore great care must be exercised by the designer to ensure the machine
is not required to operate at or near any of the critical speeds.
The illustrations below show a rotor with 3 critical speeds. As the rotor reaches each critical speed its
flexing movement will be different than the previous one, creating a new unbalance situation.
The response of a machine to an unbalance force depends greatly on the frequency (RPM) of the excitation
in relation to the natural frequencies (or “resonances”) of the machine. If the RPM is close to, or on a
natural frequency, the vibration due to unbalance will be very large. The PHASE of the response will also
depend on speed compared to resonance frequencies.

First Critical Speed Second Critical Speed Third Critical Speed

You cannot balance a rotor operating at or near a critical speed.

 Speed is a VITAL factor when considering Unbalance
The force generated by an out of balance mass is directly proportional to the square
of the speed of the rotor and also the weight of the out of balance mass.

To calculate the force generated, use the formula : -

F = 0.011 x M x R x RPM 2
where : F = force in Newtons
M = mass of the out of balance in kilograms
R = radius in meters from center of rotation to center of
the out of balance mass.

As an example, a rotor turning at 100 RPM has an out of balance mass of 1 kilogram,
the center of which is located on the rotor’s outer edge. The diameter of the rotor is
600 mm.
The force generated by the out of balance mass is
calculated as:
2
1 kg F = 0.011 x 1 x .3 x 100
= 33 Newton’s (3.367 kilograms)
If the speed of the rotor were increased to
3,000 RPM, the force would now be :

Rotational axis F = 0.011 x 1 x .3 x 3000 2

= 29,700 Newton’s (3,030.6 kilograms)
While the speed increased 30 times, the
level of vibration increased 900 times.

Results for rotors operating at or near a critical speed will be totally unpredictable.
Note : The above formula is only correct under ideal conditions where the bearings
have infinite stiffness. As the bearings will never be perfectly stiff, the calculation will
give an answer that is too large, in some cases by a considerable amount. It does
however still show the dramatic affect speed has on an unbalanced rotor.
 Summary
Unbalance is recognized by most vibration analysts as a leading cause of machine vibration and
therefore a thorough knowledge of this subject will assist you in keeping machinery operating at peak
efficiency.

The illustrations and problems presented here are by no means intended as a complete list and
should only be used as an introductory guide. The purpose is to show that unbalance can be caused
by many different factors. The problems have been exaggerated for teaching purposes.

When attempting to repair a machine with excessive vibration, it is a wise course of action to first
carry out a visual inspection as many problems can be identified this way.

As can be seen from the FFT graphs for each type of unbalance, the FFT spectra does not offer
much help in identifying what type of unbalance is present, as all the graphs are nearly identical.
Only by measuring the PHASE of the various signals will you be able to identify what is wrong with
your machine.

Phase is the key to identifying and correcting unbalance

Also, very heavy machines mounted on stiff foundations are difficult to move. Such a machine will
respond to unbalance forces much less that a lighter machine on flexible mounts. Therefore the
vibration level (amplitude) cannot be used to measure the precise severity of unbalance of the rotor
unless the stiffness of the machine in known. In general, heavy stiff machines will vibrate less than
light flexible machines in response to the same degree of rotor unbalance. However, bearings in the
stiff machine will bear much greater forces than those in the lighter machine. So it is good practice to
balance rigid machines to a higher degree of precision than is required for more flexible machines.