Mechanical Systems and Signal Processing 116 (2019) 322–346

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Mechanical Systems and Signal Processing

journal homepage: www.elsevier.com/locate/ymssp

Analytical modelling and numerical experiment for

simultaneous identification of unbalance and rolling-bearing
coefficients of the continuous single-disc and single-span
rotor-bearing system with Rayleigh beam model
Aiming Wang a,⇑, Wei Yao a, Kai He b, Guoying Meng a, Xiaohan Cheng a, Jie Yang a
a
School of Mechanical Electronic & Information Engineering, China University of Mining & Technology (Beijing), D11 Xueyuan Road, Haidian, Beijing 100083, China
b
Mining Products Safety Approval and Certification Center Co., Ltd., No.5 Qingniangou Road, Hepingli, Beijing 100013, China

a r t i c l e i n f o a b s t r a c t

Article history: This study proposes an algorithm for the simultaneous identification of residual unbalance
Received 15 September 2017 and bearing dynamic coefficients of a single-disc and single-span rotor based on the unbal-
Received in revised form 7 April 2018 ance response. The rotor is modelled as a homogeneous and continuous Rayleigh beam. A
Accepted 23 June 2018
fourth-order non-homogeneous partial differential equation set with a homogeneous
Available online 10 July 2018
boundary condition is solved to obtain the analytical solution, which expresses the unbal-
ance response as a function of position, rotor unbalance, and bearing stiffness and damping
Keywords:
coefficients. Accordingly, the inverse problem is studied. A novel algorithm that can be
Analytical modelling
Identification of rotor unbalance and
applied to both a rolling-bearing rotor and an oil journal bearing rotor is proposed to iden-
rolling-bearing coefficients tify the rotor unbalance during operation. Another novel algorithm is developed to identify
Rayleigh beam model the bearing stiffness and damping coefficients for a rolling-bearing rotor. Only four mea-
sured unbalance responses are required in the two above-mentioned algorithms. Thus, a
simultaneous identification of the rotor unbalance and the roll-bearing dynamic coeffi-
cients can be achieved. Furthermore, only a measured response registered for the disc,
the two bearings and any other selected cross-section of the rotor shaft under steady-
state operating conditions is required. Numerical simulation shows that the proposed
identification algorithms have excellent detection capabilities. In summary, the proposed
algorithms provide an efficient means for rotor parameter identification without test runs
or external excitations.
Ó 2018 Elsevier Ltd. All rights reserved.

1. Introduction

Rotating machines, such as steam turbines, fans, generators, and compressors, are widely used in engineering systems.
Owing to the ever-increasing demand for continuous, reliable, high-power, and high-speed operation, the accurate
prediction of the dynamic behaviour of such machines is becoming increasingly important. Although existing modelling
theories and techniques are well developed, the dynamic behaviour cannot be accurately predicted mainly because of a lack
of information on the residual unbalance and bearing stiffness and damping coefficients of rotor-bearing systems. The

⇑ Corresponding author at: School of Mechanical Electronic & Information Engineering, China University of Mining & Technology (Beijing), Room 313 of
Mechanical Electronic Building, D11 Xueyuan Road, Haidian, Beijing, China.
E-mail address: 201418@cumtb.edu.cn (A. Wang).

https://doi.org/10.1016/j.ymssp.2018.06.039
0888-3270/Ó 2018 Elsevier Ltd. All rights reserved.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 323

reliable identification of the unbalance and bearing stiffness and damping coefficients plays a critical role in the accurate
prediction of the dynamic behaviour of rotating machines.
Residual unbalance identification in rotor-bearing systems, which is critical for rotor balancing, is an age-old problem.
The modal method and the influence coefficient method are two classical methods of balancing with test runs. The modal
method proposed by Bishop [1] and Gladwell [2] requires knowledge of the modal properties of the machine. The influence
coefficient method proposed by Goodman [3] requires only the assumption of linearity of both the machine and the mea-
suring system. When using the modal balancing method, the identification of the rotor unbalance is affected by the support
properties of bearings, especially high damping coefficients. In the case of the influence coefficient balancing method, the
support properties of bearings do not affect the unbalance identification; however, the inappropriate positions of the mea-
surement points might result in an ill-conditioned coefficient matrix and lead to the failure of this method. Furthermore, this
method requires less priori knowledge of the system, and has been well developed [4]. However, a major drawback of this
method is that it requires a considerable number of test runs on site, whereas the modal method requires fewer test runs. In
contrast to traditional balancing methods, the holobalancing method proposed by Qu et al. [5–8] realises a full utilization of
the rotor precession information. However, it requires at least one test run.
Test runs are expensive and time consuming. Moreover, they reduce the service life of rotating machines, especially in the
case of large turbo generators, where the downtime is very expensive. Current unbalance estimation methods do not include
test runs. Hence, they overcome the above-mentioned disadvantages, and are more desirable in practice.
In 1978, Gasch and Drechsler [9] investigated the unbalance identification of a single-span rotor-bearing system using the
modal parameter identification method without test runs. In 1982, Palazzolo and Gunter [10] applied this method to the
unbalance identification of a multi-disc rotor-bearing system. Furthermore, Gnielka [11] applied this method to the unbal-
ance identification of a multi-span rotor-bearing system by considering the original deformation of the rotor. Zhu [12,13]
proposed a similar method and discussed a data processing method. However, a successful unbalance identification using
the above-mentioned methods requires accurate modal parameters, which can only be obtained via an experimental modal
analysis of rotor-bearing systems, which is not suitable for operating rotors.
Methods based on rotor dynamic theory, which do not involve test runs, were recently proposed. These methods do not
require an experimental modal analysis. Saldarriaga [14] modelled a rotor using the finite element method (FEM) to estab-
lish the relationship between unbalance response and unbalance. The inverse problem was solved using a genetic algorithm
and an artificial neural network to investigate unbalance identification. Khulief [15] combined finite element modelling,
experimental modal analysis, vibration measurements and mathematical identification to propose an experimental/analyt-
ical technique for balancing high-speed flexible rotors. A rotor dynamic model was established based on finite element the-
ory. Its differential equation of motion was then expanded based on the modal shapes. Furthermore, the unbalanced load
spectrum in the frequency domain was obtained using fast Fourier transform (FFT) and inverse FFT. Finally, the rotor unbal-
ance was identified [16]. A virtual dynamic balancing technology was developed based on the influence coefficient method
[17]. The influence coefficient was calculated by an analysis of the response in the FEM model. Finally, the unbalance was
obtained.
The methods based on rotor dynamics provide new research ideas for rotor balancing without test runs. These methods
try to calculate the rotor unbalance by solving an equation set constructed based on the Ricatti method or FEM with vibra-
tions near the bearings. However, successful identification depends on the actual stiffness and damping coefficients of the
bearings. Bearing coefficient identification is universally known as a difficult problem. Using bearing coefficients obtained
from design manuals or laboratory experiments, which are different from coefficients in practice, for rotor balancing might
reduce the identification accuracy and even result in balance failure.
Hence, methods to simultaneously estimate the residual unbalance and the bearing stiffness and damping coefficients
were developed. In 1986, Xia [18] proposed a method for identifying rotor unbalance and bearing stiffness and damping
coefficients based on the Ricatti matrix method. Many researchers [19–24] conducted further studies in this field. They mea-
sured the unbalance response of bearing blocks, constructed equations using the Ricatti matrix method or FEM and varied
the rotating speed over a wide range to obtain sufficient equations. The rotor unbalance and stiffness and damping coeffi-
cients of oil journal bearings were obtained by solving equation sets. However, expressing the stiffness and damping coef-
ficients of oil journal bearings as quadratic functions of the rotating speed has not been sufficiently supported by
experimental data; hence, errors in modelling and unbalance identification might occur.
Therefore, studies were conducted based on external forces (e.g. impulse and step change in force) applied to a system.
Tiwari [25] proposed a well-conditioned identification algorithm for a simultaneous estimation of the residual unbalance
and bearing stiffness and damping coefficients based on the clockwise and counter-clockwise responses of the rotor. Tiwari
and Chakravarthy [26] proposed a general method for the simultaneous estimation of the residual unbalance and bearing
dynamic parameters based on the impulse responses of flexible rotor-bearing systems. Tiwari et al. [27,28] concluded that
the synchronous unbalance response obtained from the run-down/up of large turbo machines should be exploited for the
identification of the bearing dynamic parameters along with the estimation of the residual unbalance. Glienicke [29] and
Mitchell [30] attempted to identify the rotor unbalance and bearing stiffness and damping coefficients by applying an exter-
nal harmonic excitation force to a rotor. Bently and Muszynska attempted to identify the rotor unbalance and bearing stiff-
ness and damping coefficients by applying excitations with different frequencies [31]. Hiroshi Iida [32] conducted an
experiment by applying impulse excitation to a double-disc and single-pan rotor-bearing system to identify the rotor unbal-
ance and bearing stiffness and damping coefficients based on the method proposed by Stanway [33]. Zheng and Xu [34]
324 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

attempted to identify the rotor unbalance and bearing stiffness and damping coefficients by applying additional unbalance to
a rotor. Rao, Zhou and Fu [35] applied transient excitation to a rotor to identify these parameters. Lou [36–38] used an active
magnetic executor to apply external excitation and attempted to identify the rotor unbalance and bearing stiffness and
damping coefficients using equations constructed by combining D’Alembert’s principle with the Ritz method. A high-
power exciter must be used when balancing large-scale rotors. However, implementing this method is difficult. Moreover,
the high-power exciter might damage the rotors.
This study proposes an algorithm for the identification of the residual unbalance and rolling-bearing coefficients of a
single-disc and single-span rotor based on the unbalance response. Only a measured unbalance response registered for
four selected cross-sections of the rotor shaft under steady-state operating conditions is required in this case. Compared
with the related methods in the literature, the proposed algorithm provides an efficient means for online monitoring of
rotor unbalance and rolling-bearing coefficients without external excitations, test runs or rotating speed variations.
Moreover, the algorithm offers the advantages of easy implementation, low cost and high identification accuracy. Only
the unbalance response of the plate and the measured unbalance response registered for three other selected cross-
sections of the rotor shaft are required when using it to identify the rotor unbalance. Furthermore, only the unbalance
response of the bearing and the measured unbalance response registered for the three other selected cross-sections of
the rotor shaft are required when using it to identify the rolling-bearing coefficients. Finally, only the unbalance
responses of the plate and two bearings and the measured unbalance response registered for another selected cross-
section of the rotor shaft are required when using it for the simultaneous identification of the rotor unbalance and bear-
ing dynamic coefficients.
The proposed algorithm is based on continuous rotor dynamics, making it more accurate than discrete dynamic mathe-
matical methods, such as the Ricatti method and FEM. External forces and test runs are not required. For an unbalanced
single-disc and single-span rotor shaft represented by a homogeneous and elastic Rayleigh beam, a continuous model is
studied by considering the eccentric disc, bearings, and free ends. An analytical solution is proposed to express the unbalance
response as a function of position, rotor unbalance, and bearing stiffness and damping coefficients. Accordingly, only the
unbalance responses of some positions on the rotating shaft are required to be measured to construct equations. in which
the rotor unbalance and bearing stiffness and damping coefficients are unknown variables. Thus, the rotor unbalance and
bearing dynamic coefficients can be determined by solving these equations.
The remainder of this paper is organised as follows: Section 2 discusses modelling based on Rayleigh beam theory
and its analytical solution to express the unbalance response as a function of position, rotor unbalance, and bearing stiff-
ness and damping coefficients. The inverse problem is studied to express the rotor unbalance and bearing dynamic coef-
ficients as functions of the measured unbalance response. Section 3 describes a numerical simulation conducted to
validate the model and its analytical solution as well as the proposed identification algorithm. Finally, Section 4 con-
cludes the paper.

2. Theory

2.1. Mathematical model and its analytical solution

(1) Rayleigh model of the rotating shaft

Fig. 1 shows the single-disc and single-span rotor-bearing system. Assume that the shaft is a perfect elastic body. It is
homogeneous and isotropic and obeys Hooke’s law.
The partial differential equations of the lateral vibration of a rotating shaft motion in the unbalanced single-disc and
single-span rotor-bearing system can be expressed as follows based on the Rayleigh model:
!
@4y @2y @4y @3x
E
I
þ m
2  Idx
2 2 þ Ip
w
2 ¼ fy ð1Þ
@z4
@t @z @t @z @t

Fig. 1. Single-disc and single-span rotor-bearing system.

 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 325

!
@4x @2x @4x @3y
E
I
þ m
2  Idy
2 2  Ip
w
2 ¼ fx ð2Þ
@z 4
@t @z @t @z @t

where x and y are the lateral displacement components caused by the lateral vibrations of the rotor shaft in the natural coor-
dinates; z is the axial position of the shaft; t is the time; E is the elastic modulus of the shaft; I is the diametric shaft cross-
sectional geometric moment of inertia; m is the mass per unit length of the shaft; w is the rotation frequency; Ip is the polar
moment of inertia per unit length of the shaft; Idx and Idy are the diameter moments of inertia per unit length of the shaft in
the x and y directions, respectively; and f x and f y are the lateral loads.

(2) Equivalent external force of the unbalanced rotor-bearing system

External forces were mainly applied by the disc and the two bearings. Considering the disc as a lumped mass, we simu-
lated the force acting on the shaft by the rotating eccentric disc as a point force. The counterforce of the bearing was also
considered as a point force. The equivalent external forces f x and f y are expressed as follows according to Figs. 2 and 3:

f y ¼ f 2
y þ f 1
y þ f 3
y

!  
@ 2 y2 @x1 @y
¼ mu
w
e
sinðwt þ aÞ  md
2 dðz  z2 Þ  k1
yx
x1 þ k1
yy
y1 þ c1
yx

2
þ c1
yy
1 dðz  z1 Þ
@t @t @t
 
@x3 @y
 k2
yx
x3 þ k2
yy
y3 þ c2
yx
þ c2
yy
3 dðz  z3 Þ ð3Þ
@t @t

Fig. 2. Analysis of the forces exerted on the shaft by the eccentric disc.

Fig. 3. Force analysis of the unbalanced rotor-bearing system.

326 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

f x ¼ f 2
x þ f 1
x þ f 3
x

!  
@ 2 x2 @x1 @y
¼ mu
w
e
cosðwt þ aÞ  md
2 dðz  z2 Þ  k1
xx
x1 þ k1
xy
y1 þ c1
xx

2
þ c1
xy
1 dðz  z1 Þ
@t @t @t
 
@x3 @y
 k2
xx
x3 þ k2
xy
y3 þ c2
xx
þ c2
xy
3 dðz  z3 Þ ð4Þ
@t @t
where f 1
x and f 1
y are the x and y components of the counterforce of the first bearing; f 3
x and f 3
y are the x and y components
of the counterforce of the second bearing; f 2
x and f 2
y are the x and y components of the counterforce of the rotating eccentric
disc; md is the mass of the disc; mu is the eccentric mass; w is the rotation frequency of the rotor-bearing system; z2 is the z
coordinate position of the disc; x2 and y2 are the lateral displacement components due to lateral vibrations of the rotor shaft
in position z2 ; e is the eccentric distance; qs2 is the eccentric angle, which is defined as the angle between the x-axis and the
eccentric position in the direction of rotation (Fig. 2); z1 is the z coordinate position of the first bearing; and x1 and y1 are the
lateral displacement components due to lateral vibrations of the rotor shaft in position z1 ; z3 is the z coordinate position of
the second bearing; and x3 and y3 are the lateral displacement components due to lateral vibrations of the rotor shaft in posi-
tion z3 ;k1
xx ; k1
xy , k1
yx , and k1
yy are the stiffness coefficients of the second bearing; c1
xx , c1
xy , c1
yx , and c1
yy are the damping
coefficients of the second bearing; k2
xx ;k2
xy , k2
yx , and k2
yy are the stiffness coefficients of the second bearing; c2
xx , c2
xy , c2
yx ,
and c2
yy are the damping coefficients of the second bearing; dðz  z2 Þ, dðz  z1 Þ, and dðz  z3 Þ are Dirac’s functions.

(3) Boundary conditions of the unbalanced rotor-bearing system

The shaft was considered free-ended. The flexural torque and the shearing force at both ends were zero. Hence, the equa-
tions of the boundary conditions are expressed as follows:

@2
E
I
yðz; tÞjz¼0;L ¼ 0 ð5Þ
@z2
@3
E
I
yðz; tÞjz¼0;L ¼ 0 ð6Þ
@z3
@2
E
I
xðz; tÞjz¼0;L ¼ 0 ð7Þ
@z2
@3
E
I
xðz; tÞjz¼0;L ¼ 0 ð8Þ
@z3
where L is the length of the shaft.

(4) Formulation of the mathematical model of the unbalanced rotor

The dimensionless quantities u, v , u1 , u2 , u3 , v 1 , v 2 and v 3 were used to transform Eqs. (1)–(8) into dimensionless Eqs. (9)
and (10).
y z x y z1 x1
u ¼ ; q ¼ ; v ¼ ; u1 ¼ 1 ; q1 ¼ ; v 1 ¼ ;
L L L L L L
y2 z2 x2 y3 z3 x3
u2 ¼ ; q2 ¼ ; v 2 ¼ ; u3 ¼ ; q3 ¼ ; v 3 ¼ :
L L L L L L
8 !
> @ u þ mL
@ u  Idx L
@ u þ Ip L
w
@ v
>
>
4 4 2 2 4 2 3 3
L Fu
>
> ¼
>
> @q4 E
I @t2 E
I @q2 @t 2 E
I @q2 @t E
I
>
>
>
<
@2 ð9Þ
> uðq; tÞjq¼0;1 ¼ 0
>
> @q2
>
>
>
>
>
> @3
>
: uðq; tÞjq¼0;1 ¼ 0
@q3
8 !
>
>
> @ 4
v mL 4
@ 2
v I dy L2
@ 4
v I p L2

w @ 3
u L3 F v
>
> þ
2 
2 2
2 ¼
>
> @q 4 E
I @t E
I @q @t E
I @q @t E
I
>
>
>
<
@2 ð10Þ
>
>
v ðq; tÞjq¼0;1 ¼ 0
>
> @q2
>
>
>
>
>
> @3
: v ðq; tÞjq¼0;1 ¼ 0
@q3
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 327

F u and F v are given by:

@ 2 u2
F u ¼ ðmu
w2
e
sinðwt þ aÞ  md L
2 ÞdðLðq  q2 ÞÞ
@t
 
@v 1 @u1
 k1
yx L
v 1 þ k1
yy L
u1 þ c1
yx L
þ c1
yy L
dðLðq  q1 ÞÞ
@t @t
 
@v 3 @u3
 k2
yx L
v 3 þ k2
yy L
u3 þ c2
yx L
þ c2
yy L
dðLðq  q3 ÞÞ ð11Þ
@t @t
!
@2v 2
F v ¼ mu
w
e
cosðwt þ aÞ  md L

2
dðLðq  q2 ÞÞ
@t 2
 
@v 1 @u1
 k1
xx L
v 1 þ k1
xy L
u1 þ c1
xx L
þ c1
xy L
dðLðq  q1 ÞÞ
@t @t
 
@v 3 @u3
 k2
xx L
v 3 þ k2
xy L
u3 þ c2
xx L
þ c2
xy L
dðLðq  q3 ÞÞ ð12Þ
@t @t
Eqs. (9) and (10) represent the dimensionless Rayleigh model of an unbalanced single-disc and single-span rotor-bearing
system.

(5) Analytical solution to the mathematical model of the unbalanced rotor

The continuous model is a fourth-order non-homogeneous partial differential equation set with a homogeneous bound-
ary condition. Thus far, no universal method is available for solving it. An analytical solution detailed in Appendix A was pro-
posed to express the dimensionless unbalance response UðqÞ, VðqÞ in the frequency domain as a function of position, rotor
unbalance, and bearing stiffness and damping coefficients.
UðqÞ and VðqÞ can be expressed as follows:
8 2 3T 2 39
>
> Lðk1
yy þ i
w
c1
yy ÞGu ðq; q1 Þ U1 > >
>
> >
>
> 6 w2
md LGu ðq; q2 Þ 7 6 U 7> >
>
>
> 6 7 6 2 7>
>
< 6 7 6 7> >
6 Lðk þ i
w
c ÞG ðq; q Þ 7 6 U 3 7= L2
UðqÞ ¼ p
mu
w2
e
ðsin a  i
cos aÞGu ðq; q2 Þ þ 6 7
6 7

2
yy 2
yy u 3
6 Lðk þ i
w
c ÞG ðq; q Þ 7 6 V 7> EI ð13Þ
>
> 6 1 7 6 1 7>
>
> 6
1
yx 1
yx u
7 6 7> >
>
> 4 5 4 V 2 5>
>
>
> 0 >
>
>
: >
Lðk þ i
w
c ÞG ðq; q Þ 2
yx 2
yx u 3 V ;
3

8 2 3T 2 39
>
> Lðk1
xy þ i
w
c1
xy ÞGv ðq; q1 Þ U1 > >
>
> >
>
> 6 7 6 U 7> >
>
> 6 0 7 6 2 7> >
>
< 6 7 6 7> >
6 Lðk 2
xy þ i
w
c 2
xy ÞGv ðq; q3 Þ 7 6 U 3 7= L2
VðqÞ ¼ p
mu
w
e
ðcos a þ i
sin aÞGv ðq; q2 Þ þ 6
2
6 Lðk þ i
w
c ÞG ðq; q Þ 7
7
6 7

6 V 7> EI ð14Þ
>
> 6 v 1 7 6 1 7>
>
> 6
1
xx 1
xx
7 6 7> >
>
> 4 w2
md LGv ðq; q2 Þ 5 4 V 2 5>
>
>
> >
>
>
: >
Lðk2
xx þ i
w
c2
xx ÞGv ðq; q3 Þ V3 ;

where Gu ðq; q1 Þ, Gu ðq; q2 Þ, Gu ðq; q3 Þ, Gv ðq; q1 Þ, Gv ðq; q2 Þ and Gv ðq; q3 Þ are Green’s coefficients that can be calculated using
Green’s functions Gu ðq; qi Þ and Gv ðq; qi Þ given by Eqs. (15) and (16), respectively. Furthermore, U 1 , U 2 , U 3 , V 1 , V 2 and V 3 rep-
resent the dimensionless unbalance response of the bearings and disc in the frequency domain.
X8
f 1 ðsj Þ sj
q X8
f 2 ðsj Þ sj
q X8
i
KPsj sj
q X8
i
KP sj
q X8
f 3 ðsj Þ ðqqi Þ
sj
Gu ðq;qi Þ ¼ 0
e
Ai þ 0
e
Bi þ 0
e
Ci þ 0
e
Di þ 0
e
uðq  qi Þ ð15Þ
j¼1
f ðsj Þ j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðsj Þ

X
8
i
KP
sj X
8
i
KP X8
f 1 ðsj Þ sj
q X8
f 2 ðsj Þ sj
q X8
f 4 ðsj Þ
Gv ðq; qi Þ ¼ 0
esj
q
Ai þ 0
esj
q
Bi þ 0
e
Ci þ 0
e
Di þ 0
j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ
ðqqi Þ
sj

e uðq  qi Þ ð16Þ

mL 2 4 Ip
w2 L2
where K ¼ w E
I , P¼ E
I
, uðq  qi Þ is the Heaviside function; sj ðj ¼ 1  8Þ denotes the solutions of f ðsÞ ¼ s8 þ 2L1
s6 þ
ð2K þ L21  P Þs  2L1 K
s2 þ K 2 ¼ 0,
2 4

f 1 ðsÞ ¼ s7 þ 2L1 s5 þ ðL21  P2  KÞs3  KL1 s;

328 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

f 2 ðsÞ ¼ s6 þ 2L1 S4 þ ðL21  P2  KÞs2  KL1 ;

f 3 ðsÞ ¼ s4 þ ðL1 þ i
PÞs2  K; f 4 ðsÞ ¼ s4 þ ðL1  i
PÞs2  K;

0 @f ðsÞ Idx
w2 L2 Idy
w2 L2

f ðsÞ ¼ ¼ 8s7 þ 12s5 þ 4ðL21  P2  2KÞs3  4L1 Ks; L1 ¼ ¼
@s E
I E
I
2 3
Ai
6B 7
6 i7
ðIdx ¼ Idy Þ and6 7 ¼ ½H11 1
½H12 :
4 Ci 5
Di
2 3
X
8
f 1 ðsj Þs2 X
8
f 2 ðsj Þs2 X
8
i
KPs3 X
8
i
KPs2
6 f 0 ðsj Þ

e j sj
f 0 ðsj Þ
j

e sj j
f 0 ðsj Þ

e sj
f 0 ðsj Þ
j

e 7 sj
6 7
6 j¼1 j¼1 j¼1 j¼1 7
6 7
6X 8 X
8 X
8 X 8 7
6 f 1 ðsj Þs3j f 2 ðsj Þs3 i
KPs4 i
KPs3j sj 7
6 0
esj f 0 ðsj Þ
j

esj j
f 0 ðsj Þ

esj f 0 ðsj Þ

e 7
6 j¼1 f ðsj Þ 7
6 j¼1 j¼1 j¼1 7
H11 ¼6 7;
6X 8 X
8 X
8 X f 2 ðsj Þs2
8 7
6 i
KP
s3j

esj
i
KPs2 j

esj
f 1 ðsj Þs2 j

esj j

e 7sj 7
6 0 0
f 0 ðsj Þ f 0 ðsj Þ
6 j¼1 f ðsj Þ f ðsj Þ
7
6 j¼1 j¼1 j¼1 7
6 8 7
6 X i
KP
s4 X
8
i
KPs3 X
8
f 1 ðsj Þs3 X8
f 2 ðsj Þs3j 7
4 j

esj j

esj j

esj
e sj 5
f 0 ðs Þ j f 0 ðsj Þ f 0 ðsj Þ 0
f ðs Þj
j¼1 j¼1 j¼1 j¼1

2 3
X
8
f 3 ðsj Þs2
ð1qi Þ
sj
6 f 0 ðsj Þ

e j
7
6 7
6 j¼1 7
6 7
6X 8 7
6 f ðs
3 j j Þs 3
ð1qi Þ
sj 7
6 0
e 7
6 j¼1 f ðsj Þ 7
6 7
H12 ¼6 7:
6X 8 7
6 f 4 ðsj Þs2j

ð1qi Þ
sj 7
6 f 0 ðsj Þ
e 7
6 j¼1 7
6 7
6 8 7
6 X f 4 ðsj Þs3 7
4 j

e ð1qi Þ
sj 5
f 0 ðs Þ j
j¼1

U 1 ;U 2 , U 3 , V 1 , V 2 and V 3 can be expressed as follows:

½ U1 U2 U3 V1 V2 V 3  ¼ H1
2
H1
ð17Þ

2 EI
L2
þ Lðk1
yy þ iwc1
yy ÞGu ðq1 ; q1 Þ w2 md LGu ðq1 ; q2 Þ Lðk2
yy þ iwc2
yy ÞGu ðq1 ; q3 Þ
6
6 Lðk1
yy þ iwc1
yy ÞGu ðq2 ; q1 Þ EI
 w2 md LGu ðq2 ; q2 Þ Lðk2
yy þ iwc2
yy ÞGu ðq2 ; q3 Þ
6
6 L2
6
6 Lðk1
yy þ iwc1
yy ÞGu ðq3 ; q1 Þ w2 md LGu ðq3 ; q2 Þ EI
þ Lðk2
yy þ iwc2
yy ÞGu ðq3 ; q3 Þ
6 L2
6
6
6 Lðk1
xy þ iwc1
xy ÞGv ðq1 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq1 ; q3 Þ
6
6
6 Lðk1
xy þ iwc1
xy ÞGv ðq2 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq2 ; q3 Þ
4
Lðk1
xy þ iwc1
xy ÞGv ðq3 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq2 ; q3 Þ
H2 ¼ 3
Lðk1
yx þ iwc1
yx ÞGu ðq1 ; q1 Þ 0 Lðk2
yx þ iwc2
yx ÞGu ðq1 ; q3 Þ
7
Lðk1
yx þ iwc1
yx ÞGu ðq2 ; q1 Þ 0 Lðk2
yx þ iwc2
yx ÞGu ðq2 ; q3 Þ 7
7
7
Lðk1
yx þ iwc1
yx ÞGu ðq3 ; q1 Þ Lðk2
yx þ iwc2
yx ÞGu ðq3 ; q3 Þ 7
0 7
7
7
EI
þ Lðk1
xx þ iwc1
xx ÞGv ðq1 ; q1 Þ w md LGv ðq1 ; q2 Þ
2
Lðk2
xx þ iwc2
xx ÞGv ðq1 ; q3 Þ 7
L2 7
7
Lðk1
xx þ iwc1
xx ÞGv ðq2 ; q1 Þ EI
 w2 md LGv ðq2 ; q2 Þ Lðk2
xx þ iwc2
xx ÞGv ðq2 ; q3 Þ 7
L2 7
5
Lðk1
xx þ iwc1
xx ÞGv ðq3 ; q1 Þ w2 md LGv ðq3 ; q2 Þ EI
L2
þ Lðk2
xx þ iwc2
xx ÞGv ðq3 ; q3 Þ
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 329

2 3
pmu w2 eðsin a  i cos aÞGu ðq1 ; q2 Þ
6 7
6 pmu w2 eðsin a  i cos aÞGu ðq ; q Þ 7
6 2 2 7
6 7
6 pm w2 eðsin a  i cos aÞG ðq ; q Þ 7
6 u u 3 2 7
6
H1 ¼ 6 7:
7
6 pmu w2 eðcos a þ i sin aÞGv ðq1 ; q2 Þ 7
6 7
6 7
6 pmu w2 eðcos a þ i sin aÞGv ðq ; q Þ 7
4 2 2 5

pmu w2 eðcos a þ i sin aÞGv ðq3 ; q2 Þ

Thus,
YðzÞ ¼ L
UðqÞ ð18Þ

XðzÞ ¼ L
VðqÞ ð19Þ

where YðzÞ and XðzÞ represent the unbalance response in the frequency domain.
The following was obtained by converting YðzÞ and XðzÞ from the frequency domain to the time domain:

yðz; tÞ ¼ Ay cosðwt þ by Þ ð20Þ

xðz; tÞ ¼ Ax cosðwt þ bx Þ ð21Þ

where Ay and Ax are the values of the complex modulus of X and Y, respectively, divided by p, and by and bx are the phase
angles of X and Y, respectively.

2.2. Identification of unbalance and bearing dynamic coefficients

The following 18 unknown variables are to be identified:

       
k1
xx k1
xy c1
xx c1
xy k2
xx k2
xy c2
xx c2
xy
mu
e; a; K 1 ¼ ; C1 ¼ ; K2 ¼ ; C2 ¼ :
k1
yx k1
yy c1
yx c1
yy k2
yx k2
yy c2
yx c2
yy

The proposed analytical solution can express the unbalance response as a function of position, rotor unbalance and bear-
ing stiffness and damping coefficients. Accordingly, sufficient equations, in which the rotor unbalance and bearing stiffness
and damping coefficients are unknown variables, can be obtained using the measured unbalance responses of some positions
on the rotating shaft.
However, solving these equations together was difficult because the expression of the unbalance response was nonlinear,
and too many unknown variables existed. We found that the equations containing the 18 unknown variables cannot be
solved together using MATLAB.
Furthermore, the unbalance response of the first bearing was related only to the first bearing dynamic coefficients;
the unbalance response of the second bearing was related only to the second bearing dynamic coefficients; and the
unbalance response of the disc was related only to e, cx and cy. Hence, the unbalance and bearing dynamic coefficients
can be identified.

(1) Identification of unbalance

According to Eq. (A.30), the unbalance parameters mu
e and a can be expressed in the form of Eq. (22). Only a measured
response for the four selected cross-sections of the rotor shaft under steady-state operating conditions is required. One mea-
sured response must be the unbalance response of the disc at position z2 .

AF1
B1 AF2
B2 AF3
B3 AF4
B4

mu e\a ¼ \ðb1 þ u1 Þ þ \ðb2 þ u2 Þ þ \ðb3 þ u3 Þ þ \ðb4 þ u4 Þ ð22Þ
pL pL pL pL
where mu
e\ais the identified unbalance; B1 and b1 are the modulus and the angle of the dimensionless response in the
frequency domain at position zs1 ; B2 and b2 are the modulus and the angle of the dimensionless response in the frequency
domain at position zs2 ; B3 and b3 are the modulus and the angle of the dimensionless response in the frequency domain at
position zs3 ; zs1 , zs2 and zs3 are the other three measured positions on the shaft; and B4 and b4 are the modulus and the angle
of the dimensionless response in the frequency domain at position z2 ; AF1\u1 ¼  F1 F5
; AF2\u2 ¼  F2
F5
; AF3\u3 ¼  F3
F5
;
AF4\u4 ¼  F5; and AF1\u1 , AF2\u2 , AF3\u3 and AF4\u4 can be calculated using F1, F2, F3, F4, F5 and F6, respectively,
F4

which are complex numbers expressed in the following forms:

330 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

F1 ¼ ei
ðgxn33
gxn21  gxn23
gxn31Þ

F2 ¼ ei
ðgxn31
gxn13  gxn11
gxn33Þ
F3 ¼ ei
ðgxn23
gxn11  gxn13
gxn21Þ
F4 ¼ L3
w2
md
ðgxn11
gxn22
gxn33 þ gxn12
gxn23
gxn31 þ gxn13
gxn32
gxn21 ð23Þ
 gxn12
gxn21
gxn33  gxn11
gxn32
gxn23  gxn13
gxn22
gxn31Þ
F5 ¼ L2
w2
p
ðgxn32
gxn21
gxn13 þ gxn31
gxn12
gxn23 þ gxn22
gxn11
gxn33
 11
gxn32
gxn23  gxn22
gxn31
gxn13  gxn12
gxn21
gxn33Þ

where

gxn11 ¼ Gv ðqs1 ; q1 Þ gxn21 ¼ Gv ðqs2 ; q1 Þ gxn31 ¼ Gv ðqs3 ; q1 Þ

gxn12 ¼ Gv ðqs1 ; q2 Þ ; gxn22 ¼ Gv ðqs2 ; q2 Þ ; gxn32 ¼ Gv ðqs3 ; q2 Þ :
gxn13 ¼ Gv ðqs1 ; q3 Þ gxn23 ¼ Gv ðqs2 ; q3 Þ gxn33 ¼ Gv ðqs3 ; q3 Þ
Furthermore, gxn11, gxn12, gxn13, gxn21, gxn22, gxn23, gxn31, gxn32 and gxn33 can be calculated according to Eqs. (15)
and (16).

(2) Identification of the rolling-bearing dynamic coefficients

The bearing stiffness and damping coefficient matrices are rather untypical for rotating machines. Rolling element
bearings are usually characterised by diagonal matrices. The stiffness matrices of oil journal bearings are often strongly
non-symmetric, where one cross-coupling component is negative. In contrast, the damping coefficient matrices are usually
symmetric, where both cross-coupling components are negative. Hence, ks1
xy , ks1
yx , ks2
xy and ks2
yx were equal to zero.
Eqs. (24)–(27) were obtained according to Eqs. (A.26), (A.28), (A.29) and (A.31), respectively. Only a measured response
for the four selected cross-sections of the rotor shaft under steady-state operating conditions is required. One measured
response must be the unbalance response of the bearing. The unbalance response of the first bearing must be measured
when identifying the first rolling bearing parameters ks1
xx and ks1
yy . Meanwhile, the unbalance response of the second
bearing must be measured when identifying the second rolling bearing parameters ks2
xx and ks2
yy .

ks1
yy ¼ ½ei
ðUðqs3 Þ
gyn12
gyn23  Uðqs3 Þ
gyn13
gyn22  Uðqs2 Þ
gyn12
gyn33
þ Uðqs2 Þ
gyn13
gyn32 þ Uðqs1 Þ
gyn22
gyn33  Uðqs1 Þ
gyn23
gyn32Þ
.h
L3
U 1
ðgyn11
gyn22
gyn33  gyn11
gyn23
gyn32  gyn12
gyn21
gyn33
i
þ gyn12
gyn23
gyn31 þ gyn13
gyn21
gyn32  gyn13
gyn22
gyn31Þ ð24Þ

ks1
xx ¼ ½ei
ðVðqs3 Þ
gxn12
gxn23  Vðqs3 Þ
gxn13
gxn22  Vðqs2 Þ
gxn12
gxn33
þ Vðqs2 Þ
gxn13
gxn32 þ Vðqs1 Þ
gxn22
gxn33  Vðqs1 Þ
gxn23
gxn32Þ
.h
L3
V 1
ðgxn11
gxn22
gxn33  gxn11
gxn23
gxn32  gxn12
gxn21
gxn33
i
þ gxn12
gxn23
gxn31 þ gxn13
gxn21
gxn32  gxn13
gxn22
gxn31Þ ð25Þ

ks2
yy ¼ ½ei
ðUðqs3 Þ
gyn11
gyn22  Uðqs3 Þ
gyn12
gyn21  Uðqs2 Þ
gyn11
gyn32
þ Uðqs2 Þ
gyn12
gyn31 þ Uðqs1 Þ
gyn21
gyn32  Uðqs1 Þ
gyn22
gyn31Þ
.h
L3
U 3
ðgyn11
gyn22
gyn33  gyn11
gyn23
gyn32  gyn12
gyn21
gyn33
i
þ gyn12
gyn23
gyn31 þ gyn13
gyn21
gyn32  gyn13
gyn22
gyn31Þ ð26Þ

ks2
xx ¼ ½ei
ðVðqs3 Þ
gxn11
gxn22  Vðqs3 Þ
gxn12
gxn21  Vðqs2 Þ
gxn11
gxn32
þ Vðqs2 Þ
gxn12
gxn31 þ Vðqs1 Þ
gxn21
gxn32  Vðqs1 Þ
gxn22
gxn31Þ
.h
L3
V 3
ðgxn11
gxn22
gxn33  gxn11
gxn23
gxn32  gxn12
gxn21
gxn33
i
þ gxn12
gxn23
gxn31 þ gxn13
gxn21
gxn32  gxn13
gxn22
gxn31Þ ð27Þ

ks1
xx ¼ k1
xx þ i
w
c1
xx ks2
xx ¼ k2
xx þ i
w
c2
xx

where , and U 1 , U 3 , V 1 and V 3 are the dimensionless forms of the responses
ks1
yy ¼ k1
yy þ i
w
c1
yy ks2
yy ¼ k2
yy þ i
w
c2
yy
in the frequency domain at positions z1 and z3 , where the bearings are located.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 331

(3) Simultaneous identification of the unbalance and roll-bearing dynamic coefficients

The simultaneous identification of the unbalance and roll-bearing dynamic coefficients can be achieved according to Eqs.
(22)–(27). Four measured unbalance responses are required when using these equations, and three of them should be at
positions z1 , z2 and z3 . In other words, the unbalance responses of the two bearings and the disc should be measured when
using Eqs. (22)–(27) for identifying the unbalance and roll-bearing dynamic coefficients together.

3. Numerical simulations and discussion

The numerical simulation aimed to validate the proposed theory, which consists of the mathematical model (i.e. the Ray-
leigh model) and its analytical solution and the identification algorithm. The Rayleigh model and its analytical solution were
validated via a comparison with the FEM, which is a classical method for calculating the unbalance response. The proposed
identification algorithm was examined by comparing the identified values with the set values. The unbalance responses cal-
culated by the Rayleigh model were used as measured responses.
Two computational examples were used in the numerical simulation to validate the Rayleigh model and its analytical
solution. They represented a non-symmetrical rotor with rolling bearings and a non-symmetrical rotor (overhung rotor) with
oil journal bearings, whose parameters were summarised in Tables 1 and 2, respectively. The computational example listed
in Table 2 was used to validate the proposed identification algorithm.
The lumped parameter models shown in Figs. 4(a) and 5(a) were used in the FEM. The distances between the adjacent
points were equal.

3.1. Numerical simulation for the Rayleigh model and its analytical solution

Figs. 6 and 7 were obtained using the computation listed in Table 1, which represents the overhung rotor with oil journal
bearings. The calculation frequency interval in the computation was 2 Hz.
Figs. 6 and 7 show that the trends of the calculated response with the frequency are the same. The first and second critical
frequency values calculated using the FEM and Rayleigh method are nearly equal, whereas the third critical frequency values
are slightly different. The difference between the calculated unbalance responses of the two methods is slightly far from all
the critical frequencies. The difference between the calculated unbalance responses of the two methods is not large around
the first- and second-order critical frequencies, and it is slightly large around the third critical frequency. However, it is
slightly far from all the critical frequencies because of the difference between the calculated critical frequencies of the
two methods. The calculated unbalance response is different around the critical frequency if the difference is large.
Figs. 8 and 9 were obtained from the computation for the non-symmetrical rotor with rolling bearings, which is listed in
Table 2. The calculation frequency interval was 2 Hz.
According to Figs. 8 and 9, the trends of the calculated responses with the frequency are the same. The calculated values
of the first three frequencies are nearly equal. The difference between the calculated unbalance responses of the two meth-
ods is large around the critical frequencies and slightly far from all the critical frequencies.

Table 1
Computational example of the non-symmetrical rotor-bearing system (overhung rotor) with oil-journal bearings.

Parameter Meaning Value

r shaft Radius of the shaft 0.01 m

p shaft Density of the shaft 7800 kgm3
E shaft Elastic modulus of the shaft 2.1  1011 Pa
L shaft Length of the shaft 1.2 m
r disc Radius of the disc 0.05 m
p disc Density of the disc 7800 kgm3
E disc Elastic modulus of the disc 2.1  1011 Pa
L disc Width of the disc 0.04 m
mu The eccentric mass 0.05 kg
e Modulus of the unbalance 0.03 m
a Angle of the unbalance 30°
 
K1 The stiffness matrix of the first bearing 6:7  106 3:6  107 Nm1
3:1  107 1:2  10 7
 
C1 The damping matrix of the first bearing 1:7  105 2:6  104 Nsm1
2:6  104 1:6  105
 
K2 The stiffness matrix of the second bearing 6:7  107 3:6  108 Nm1
3:1  108 1:2  10 8
 
C2 The damping matrix of the second bearing 1:7  106 2:6  105 Nsm1
2:6  105 1:6  106
z1 The position of the first bearing Point 4
z3 The position of the second bearing Point 12
z2 The position of the disc Point 13
332 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

Table 2
Computational example of the non-symmetrical rotor-bearing system with rolling bearings.

Parameter Meaning Value

r shaft Radius of the shaft 0.01 m

p shaft Density of the shaft 7800 kgm3
E shaft Elastic modulus of the shaft 2.1  1011 Pa
L shaft Length of the shaft 1.2 m
r disc Radius of the disc 0.05 m
p disc Density of the disc 7800 kgm3
E disc Elastic modulus of the disc 2.1  1011 Pa
L disc Width of the disc 0.04 m
mu The eccentric mass 0.05 kg
e Modulus of the unbalance 0.03 m
a Angle of the unbalance 220°
 
K1 The stiffness matrix of the first bearing 5  109 0 Nm1
0 4:9  109
 
C1 The damping matrix of the first bearing 42 0
Nsm1
0 67
 
K2 The stiffness matrix of the second bearing 4  109 0 Nm1
0 4:1  109
 
C2 The damping matrix of the second bearing 50 0
Nsm1
0 79
z1 The position of the first bearing Point 2
z3 The position of the second bearing Point 10
z2 The position of the disc Point 9

Fig. 4. Distribution of the four measured unbalance responses of the overhung rotor with oil journal bearings shown in Table 1: (a) lumped parameter
model for FEM and (b) only the unbalance response of the disc is measured for the unbalance identification.

Fig. 5. Distribution of the four measured unbalance responses of the non-symmetrical rotor with rolling bearings shown in Table 2: (a) lumped parameter
model for FEM and (b) unbalance responses of the disc, the two bearings, and position #1 measured for the identification of the unbalance and rolling-
bearing dynamic coefficients.

According to the numerical simulation described earlier, the trends of the calculated responses with the frequency were
the same when the FEM and the Rayleigh method were applied. The calculated low-order critical frequencies of the two
methods were nearly equal. The difference between the calculated unbalance responses of the two methods was very
slightly far from the critical frequency. The difference between the calculated unbalance responses of the two methods
around the low-order frequency was slightly large. The Rayleigh method was appropriate for calculating the unbalance
response of the rotor, whose speed was below the low-order critical speed. Thus, the proposed identification algorithm,
which was developed based on the Rayleigh method, can be applied to most high-speed rotors.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 333

Fig. 6. Comparison between the calculated unbalance responses of point #1 for the two methods using an overhung rotor with oil journal bearings (the
computation listed in Table 1).

Fig. 7. Calculated unbalance response of point #1 near the critical frequency in Fig. 6: (a) calculated unbalance response near the first-order critical
frequency, (b) calculated unbalance response near the second-order critical frequency, and (c) calculated unbalance response near the third-order critical
frequency.

3.2. Numerical simulation for the proposed identification algorithm

(1) Numerical simulation for the rotor unbalance identification

The proposed algorithm for unbalance identification was examined using the unbalance responses calculated by the Ray-
leigh method as measured responses. Fig. 10 was obtained from the computation of the overhung rotor with oil journal bear-
ings, which was listed in Table 1. The distribution shown in Fig. 4(b) was used, where points #2, #1, #11 and #13 were
selected for measuring the unbalance responses. The calculation frequency interval in the computation was 20 Hz. The
unbalance was set as 0.0015\30°.
According to Fig. 10(a), the identified unbalance was equal to 0.0015\30°. According to Fig. 10(b), the identified unbal-
ance was equal to 0.00153\35°. The relative error of the modulus was 2%, and the absolute error of the angle was 5°, which
334 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

Fig. 8. Comparison between the calculated unbalance responses of point #1 for the two methods using the non-symmetrical rotor with rolling bearings (the
computation listed in Table 2).

Fig. 9. Calculated unbalance response of point #1 near the critical frequency in Fig. 8: (a) calculated unbalance response near the first-order critical
frequency, (b) calculated unbalance response near the second-order critical frequency, and (c) calculated unbalance response near the third-order critical
frequency.

was equal to the error of the measured unbalance response. According to Fig. 10 (c), away from the critical frequencies, the
identified unbalance was nearly equal to 0.0015\30° although the error of the measured unbalance response existed. Near
the critical frequency, the identified unbalance was far away from 0.0015\30°. However, in engineering practice, the rotating
speed is far away from the critical speeds; hence, the error of the identified unbalance is inconsequential even if it is large
near the critical frequency.
The following conclusions can be made from the above-mentioned numerical simulation of the proposed algorithm for
identifying the rotor unbalance:

(1) The identified value of unbalance equals the set value when using unbalance responses calculated by the Rayleigh
method as measured responses. Thus, the identification error of the unbalance will be zero if the measured error of
the measured unbalance responses is zero.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 335

Fig. 10. Identified unbalance of the overhung rotor with oil journal bearings (the computation listed in Table 1) when the distribution shown in Fig. 4(b) is
used. The unbalance responses calculated by the Rayleigh method are used as measured responses: (a) the relative error of the modulus of the unbalance
response at each point is zero, and the absolute error of the angles of the unbalance response at each point is also zero; (b) the relative error of the modulus
of the unbalance response at each point is 2%, and the absolute error of the angle of the unbalance response at each point is 5°, and (c) the relative errors of
the modulus of the unbalance response at points #2, #1, #11 and #13 are 1%, 2%, 3% and 4%, respectively. The absolute errors of the angle of the unbalance
response at points #2, #1, #11 and #13 are 3°, 4°, 5° and 6°, respectively.

(2) The unbalance identification error is equal to the measured error if the measured errors of all the four measured
responses are the same.
(3) The unbalance identification error is large near the critical frequency, but small away from the critical frequency if the
measured errors are not the same. The unbalance response is very large near the critical frequency; hence, even a
small relative error might result in a large identification error. However, in engineering practice, the rotating speed
is far away from the critical speeds; hence, the error of the identified unbalance is inconsequential even if it is large
near the critical frequency.

As long as the measured unbalance responses are accurate, the unbalance of a rolling-bearing rotor or oil journal bearing
rotor can be correctly identified by the proposed algorithm. Furthermore, the unbalance identification error is nearly equal to
the measured errors if the measured errors are close to each other.

(2) Numerical simulation for the simultaneous identification of unbalance and bearing dynamic coefficients

The algorithm for the simultaneous identification of unbalance and bearing dynamic coefficients was examined using the
unbalance responses calculated by the Rayleigh method as measured responses. The distribution of the measurement points
shown in Fig. 5(b) was used in the simulation. The results are as follows: Figs. 11–13 were obtained using the computation of
the non-symmetrical rotor with rolling bearings listed in Table 2. Points #4, #1, #12 and #13 were selected for measuring
336 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

Fig. 11. Identified unbalance of the non-symmetrical rotor with rolling bearings (the computation listed in Table 2): (a) the unbalance responses calculated
by the Rayleigh method are used as measured responses, and the error is zero; (b) the unbalance responses calculated by the Rayleigh method are used as
measured responses; the relative error of the modulus of the unbalance response at each point is 5%, and the absolute error of the angle of the unbalance
response at each point is 10°; and (c) the unbalance responses calculated by the Rayleigh method are used as measured responses. The relative errors of the
modulus of the unbalance response at points #2, #1, #10 and #9 are 2%, 3%, 4% and 5%, respectively. The absolute errors of the angle of the unbalance
response at points #4, #1, #12 and #13 are 7°, 8°, 9° and 10°, respectively.

the unbalance responses. The calculation frequency interval in the computation was 20 Hz. The unbalance was set as
0.0015\140°.
According to Fig. 11(a), the identified unbalance was equal to 0.0015\140°. According to Fig. 11(b), the identified unbal-
ance was equal to 0.001575\140°. The relative error of the modulus was 5%, and the absolute error of the angle was 10°,
which was equal to the error of the measured unbalance response. According to Fig. 11(c), away from the critical frequencies,
the identified unbalance was nearly equal to 0.0015\140° even if the error of the measured unbalance response existed.
The identified unbalance near the critical frequency was far away from 0.0015\140°.
According to Fig. 12(a), the identified bearing stiffness coefficients k1
xx , k2
xx , k1
yy and k2
yy were equal to the set values.
According to Fig. 12(b), the identified bearing stiffness coefficients k1
xx , k2
xx , k1
yy and k2
yy were nearly equal to the set values
even if the error of the measured unbalance response was 5% and 10°. According to Fig. 12(c), the identified bearing stiffness
coefficients k1
xx , k2
xx , k1
yy and k2
yy were equal to 5.05E+9, 3.96E9, 4.95E+9 and 4.06E+9, respectively. The identification
errors were 1%, 1%, 1.02% and 0.98% even if the relative errors of the modulus of the unbalance response at points #2, #1,
#10 and #9 were 2%, 3%, 4% and 5%, respectively, and the absolute errors of the angle of the unbalance response at points
#4, #1, #12 and #13 were 7°, 8°, 9° and 10°, respectively.
According to Fig. 13(a), the identified bearing damping coefficients c1
xx , c2
xx , c1
yy and c2
yy were equal to the set values.
According to Fig. 13(b), the identified bearing damping coefficients c1
xx , c2
xx , c1
yy and c2
yy were nearly equal to the set values
even if the error of the measured unbalance response was 5% and 10°. According to Fig. 13(c), the identified bearing damping
coefficients c1
xx , c2
xx , c1
yy and c2
yy were far away from the set values.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 337

Fig. 12. Identified bearing stiffness value of the non-symmetrical rotor with rolling bearings (the computation listed in Table 2): (a) the unbalance
responses calculated by the Rayleigh method are used as measured responses, and the error is zero; (b) the unbalance responses calculated by the Rayleigh
method are used as measured responses; the relative error of the modulus of the unbalance response at each point is 5%, and the absolute error of the angle
of the unbalance response at each point is 10°; and (c) the unbalance responses calculated by the Rayleigh method are used as measured responses. The
relative errors of the modulus of the unbalance response at points #2, #1, #10 and #9 are 2%, 3%, 4% and 5%, respectively. The absolute errors of the angle of
the unbalance response at points #4, #1, #12 and #13 are 7°, 8°, 9° and 10°, respectively.

The following conclusions can be made from the above-mentioned numerical simulation:

(1) When using the unbalance responses calculated by the Rayleigh method as measured responses, the identified unbal-
ance and bearing stiffness and damping coefficient equal the set values.
(2) When the measured errors of all the four measured responses are the same, the unbalance identification error is equal
to the measured error, and the identified bearing stiffness and damping coefficients are equal to the set values.
(3) If the measured errors are not the same, the unbalance identification error is large near the critical frequency, but
small away from the critical frequency.
(4) If the measured errors are not the same, the identified bearing stiffness coefficient is nearly equal to the set value.
However, the identified bearing damping coefficient is far away from the set value. The bearing stiffness coefficients
can be accurately identified although the measured error exists. In contrast, the damping coefficients cannot be iden-
tified. In engineering practice, the damping coefficients of rolling bearings are extremely small relative to the stiffness
coefficients and often considered as zero. Hence, the proposed novel algorithm for the identification of bearing coef-
ficients can be applied to rolling-bearing rotors.

The proposed novel algorithm had high accuracy. The numerical simulation demonstrated that as long as the measured
unbalance response is accurate, the identification error of the rotor unbalance and bearing coefficients will be zero. The mea-
surement error is unavoidable in engineering practice. The identification errors of the rotor unbalance and bearing coeffi-
cients are equal to the measurement error when the measurement error of each measured unbalance response is equal.
338 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

Fig. 13. Identified bearing damping value of the non-symmetrical rotor with rolling bearings (the computation listed in Table 2): (a) the unbalance
responses calculated by the Rayleigh method are used as measured responses, and the error is zero; (b) the unbalance responses calculated by the Rayleigh
method are used as measured responses; the relative error of the modulus of the unbalance response at each point is 5%, and the absolute error of the angle
of the unbalance response at each point is 10°; and (c) the unbalance responses calculated by the Rayleigh method are used as measured responses. The
relative errors of the modulus of the unbalance response at points #2, #1, #10 and #9 are 2%, 3%, 4% and 5%, respectively. The absolute errors of the angle of
the unbalance response at points #4, #1, #12 and #13 are 7°, 8°, 9° and 10°, respectively.

Even if the measurement error of each measured unbalance response is not equal, the error of the identified unbalance is
nearly zero when the rotating speed is away from the critical speeds. In engineering practice, the rotating speed is far away
from the critical speeds. Hence, the proposed algorithm can be used for the rotor unbalance identification. The error of the
identified damping coefficients of bearings is large when the measurement error of each measured unbalance response is not
equal. In engineering practice, the damping coefficients of rolling bearings are extremely small relative to the stiffness coef-
ficients and often considered as zero. Thus, the proposed novel algorithm for the identification of bearing coefficients can be
applied to rolling-bearing rotors. Consequently, a simultaneous identification of the unbalance and roll-bearing dynamic
coefficients can be achieved by the proposed algorithm.

4. Conclusions

This study proposed a novel method for a simultaneous identification of the unbalance and bearing dynamic coefficients
of a single-disc and single-span rotor-bearing system. Unlike the existing methods and algorithms, the proposed method
does not require external forces or test runs. Moreover, the proposed method is based on the proposed continuous rotor
dynamics, called the Rayleigh method, which is more accurate than discrete dynamic mathematical methods, such as the
Ricatti method and FEM. The proposed Rayleigh method and the identification algorithm were comprehensively examined
via numerical simulations.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 339

The results of this study can be summarised as follows:

(1) The Rayleigh method is appropriate for calculating the unbalance response of a single-disc and single-span rotor. The
numerical simulation demonstrated that the trends of the calculated unbalance response with the frequency were the
same when the FEM and the Rayleigh method were applied. The low-order critical frequencies of the rotor calculated
using the two methods were nearly equal. The unbalance response calculated by the Rayleigh method was close to
that calculated by the FEM when the rotor speed was far from the critical speed. Hence, the Rayleigh method was use-
ful in this regard.
(2) The proposed novel algorithm for the rotor unbalance identification can be applied to both rolling-bearing rotors and
oil journal bearing rotors. Only a measured response registered for the four selected cross-sections of the rotor shaft
under steady-state operating conditions is required when using this method. The unbalance response of the disc must
be one of the four measured responses. The numerical simulation demonstrated that the unbalance can be correctly
identified by the proposed algorithm as long as the unbalance responses are accurately measured. The proposed
method provides an efficient rotor shaft balancing routine without test runs or external excitations.
(3) The proposed novel algorithm for the identification of bearing coefficients can be applied to rolling-bearing rotors. As
with the algorithm for the rotor unbalance identification, only a measured response registered for the four selected
cross-sections of the rotor shaft under steady-state operating conditions is required when using this method. The
unbalance response of the bearing must be one of the four measured responses. The numerical simulation demon-
strated that the bearing stiffness coefficients can be accurately identified even if a measured error exists. Furthermore,
the bearing damping coefficients can also be correctly identified by the proposed algorithm as long as the unbalance
responses are accurately measured. The proposed method serves as an efficient method for identifying the bearing
dynamic coefficients without test runs or external excitations.
(4) Using a measured response registered for the disc, the two bearings, and any selected cross-section of the rotor shaft
under steady-state operating conditions, we can achieve a simultaneous identification of the unbalance and roll-
bearing dynamic coefficients with the proposed novel identification algorithm. When applying the algorithm, the
same system is used to obtain the four measured unbalance responses so that the measured errors are close to each
other; thus, the unbalance identification error will be equal to the measured error, and the bearing damping coeffi-
cients can be accurately identified.

Real-world rotors, such as rotors with stepped, non-homogeneous shafts, rotors with multiple discs or different shaft ele-
ments and rotors with multiple spans, are more practical and complicated. Studies on the forward and inverse problems of
such continuous rotors will be performed in the future. Gyroscopic moments can act on the rigid disk as well as on the con-
tinuous shaft cross-sections; hence, this should be considered in the model of the continuous shaft for further study.
Although the single-disc and single-span rotor considered herein is a very simple or fundamental rotor-bearing system,
the proposed computational tool can not only be employed in academic research, but also be regarded as a means for further
required modifications. According to the Rayleigh method, a piecewise partial differential equation set is recommended for
the model of a rotor with stepped, non-homogeneous shafts. The method of modelling a continuous shaft and the analytical
solution of the model (Rayleigh method) may provide guidance for the dynamic analysis of rotors with multiple discs or dif-
ferent shaft elements and rotors with multiple spans. An algorithm for identifying the unbalance and bearing dynamic coef-
ficients of such real-world rotors will be proposed in the future.

Acknowledgments

The authors gratefully acknowledge the support of the National Key Research and Development Program of China
(Grant no. 2016YFC0600900) and the Yue Qi Distinguished Scholar Project, China University of Mining & Technology,
Beijing.

Appendix A

Two equations can be obtained by substituting Eq. (11) in Eqs. (9) and (10) in Eq. (12). The Fourier transform of the
obtained two equations on the variable t is presented as:

@ 4 U e2 mL4 Idx L2 e2 @ 2 U i
e
Ip L2
w @ 2 U 

Uþ

2 ¼ fmu
w2
e
p
½ðsin a  i
cos aÞdðe  wÞ
@q 4 E
I E
I @q2 E
I @q

þ sin a þ i
cos aÞdðe þ wÞ þ e2 md L
U 2 g
dðLðq  q2 ÞÞ
 Lðk1
yx
V 1 þ k1
yy
U 1 þ i
e
c1
yx
V 1 þ i
e
c1
yy
U 1 ÞdðLðq  q1 ÞÞ
 L3
Lðk2
yx
V 3 þ k2
yy
U 3 þ i
e
c2
yx
V 3 þ i
e
c2
yy
U 3 ÞdðLðq  q3 ÞÞ
E
I
ðA:1Þ
340 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

@ 4 V e2
mL4 e2
Idx L2 @ 2 V i
e
Ip L2
w @ 2 U 

V þ
2þ
2 ¼ fmu
w2
e
p
½ðcos a þ i
sin aÞdðe  wÞ
@q 4 EI EI @q EI @q

þ sin a þ i
cos aÞdðe þ wÞ þ e2
md L
V 2 g
dðLðq  q2 ÞÞ
 Lðk1
xx
V 1 þ k1
xy
U 1 þ i
e
c1
xx
V 1 þ i
e
c1
xy
U 1 ÞdðLðq  q1 ÞÞ
 L3
Lðk2
xx
V 3 þ k2
xy
U 3 þ i
e
c2
xx
V 3 þ i
e
c2
xy
U 3 ÞdðLðq  q3 ÞÞ
EI
ðA:2Þ
The frequency of the unbalance response equals the rotation frequency w. Hence, let e ¼ w. Eqs. (A.1) and (A.2) can be
written as follows:

@ 4 U m
w2 L4 Idx L2
w2 @ 2 U i
w2
Ip L2 @ 2 V 

U þ
2
2 ¼ ½mu
w2
e
p
ðsin a  i
cos aÞ þ w2 md L
U 2 dðq  q2 Þ
@q4 E
I E
I @q E
I @q
 Lðk1
yx
V 1 þ k1
yy
U 1 þ i
w
c1
yx
V 1 þ i
w
c1
yy
U 1 Þdðq  q1 Þ
 L2
Lðk2
yx
V 3 þ k2
yy
U 3 þ i
w
c2
yx
V 3 þ i
w
c2
yy
U 3 Þdðq  q3 Þ
EI
ðA:3Þ

@ 4 V w2
mL4 w2
Idx L2 @ 2 V i
w2
Ip L2 @ 2 U 

V þ
2þ
2 ¼ ½mu
w2
e
p
ðcos a þ i
sin aÞ þ w2
md L
V 2 dðq  q2 Þ
@q4 E
I E
I @q E
I @q
 Lðk1
xx
V 1 þ k1
xy
U 1 þ i
w
c1
xx
V 1 þ i
w
c1
xy
U 1 Þdðq  q1 Þ
 L2
 Lðk2
xx
V 3 þ k2
xy
U 3 þ i
w
c2
xx
V 3 þ i
w
c2
xy
U 3 Þdðq  q3 Þ
EI
ðA:4Þ
According to Eqs. (A.3) and (A.4), U and V can be expressed by Green’s function Gu ðq; qi Þ and Gv ðq; qi Þ as follows:

UðqÞ ¼ ½p
mu
w2
e
ðsin a  i
cos aÞ þ w2
md L
U 2 
Gu ðq; q2 Þ  Lðk1
yx
V 1 þ k1
yy
U 1 þ i
w
c1
yx
V 1
 L2
þ i
w
c1
yy
U 1 Þ
Gu ðq; q1 Þ  Lðk2
yx
V 3 þ k2
yy
U 3 þ i
w
c2
yx
V 3 þ i
w
c2
yy
U 3 Þ
Gu ðq; q3 Þ
ðA:5Þ
EI

VðqÞ ¼ ½p
mu
w2
e
ðcos a þ i
sin aÞ þ w2
md L
V 2 
Gv ðq; q2 Þ  Lðk1
xx
V 1 þ k1
xy
U 1 þ i
w
c1
xx
V 1
 L2
þ i
w
c1
xy
U 1 Þ
Gv ðq; q1 Þ  Lðk2
xx
V 3 þ k2
xy
U 3 þ i
w
c2
xx
V 3 þ i
w
c2
xy
U 3 Þ
Gv ðq; q3 Þ
ðA:6Þ
EI
Gu ðq; qi Þ and Gv ðq; qi Þ should satisfy the following equations:
8 4 2 L2 i
w2
I L2
> 2 mL4 2 2
>
>
@ Gu
@q4
 w E
I
Gu þ Idx w
@@qG2u  E
Ip
@@qG2v ¼ dðq  qi Þ
>
>
E
I
>
>
>
> 2 L2 i
w2
I L2
>
>
@ 4 Gv 2 mL4
 w E
I
Gv þ Idx w
2 2

@@qG2v þ E
Ip
@@qG2u ¼ dðq  qi Þ
>
> @q4 E
I
>
>
>
>
>
< @2
Gu ðq; q Þj ¼0
@q2 i q¼0;1
ðA:7Þ
>
>
>
> @ 3
Gu ðq; qi Þjq¼0;1 ¼ 0
>
> @q3
>
>
>
>
>
> @2
Gv ðq; qi Þjq¼0;1 ¼ 0
>
> @q2
>
>
>
>
: @3
@q3
Gv ðq; qi Þjq¼0;1 ¼ 0

Let,
@ @
Gu ðq; qi Þjq¼0 ¼ Ai ; Gu ðq; qi Þjq¼0 ¼ Bi ; Gv ðq; qi Þjq¼0 ¼ C i ; Gx ðq; qi Þjq¼0 ¼ Di ;
@q @q

^ u ; LaplaceðGv Þ ¼ G
LaplaceðGu Þ ¼ G ^v ;

w2
mL4 Ip
w2 L2 Idx
w2 L2 Idy
w2 L2

¼ K; ¼ P; ¼ ¼ L1 ðIdx ¼ Idy Þ;
E
I E
I E
I E
I
where LaplaceðGu Þ means Laplace transforming Gu , and LaplaceðGv Þ means Laplace transforming Gv ; i = 1–3.
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 341

Laplace transform Eq. (A.7) on variable q, and the following equation is obtained:
(
^ u  s3
Ai  s2
Bi  K
G
s4
G ^ u þ L1 ðs2
G
^ u  s
Ai  Bi Þ  i
P
ðs2
G
^ v  s
C i  Di Þ ¼ eqi
s
ðA:8Þ
^ v  s3
C i  s2
D i  K
G
s4
G ^ v þ L1 ðs2
G
^ v  s
C i  Di Þ þ i
P
ðs2
G
^ u  s
Ai  Bi Þ ¼ eqi
s

^ u and G
The solutions G ^ v of Eq. (A.8) are presented as follows:

^ u ¼ f 1 ðsÞ
Ai þ f 2 ðsÞ
Bi þ i
KPs
C i þ i
KP
Di þ f 3 ðsÞ
eqi
s

G ðA:9Þ
f ðsÞ f ðsÞ f ðsÞ f ðsÞ f ðsÞ

^ v ¼ i
KP
s
Ai þ i
KP
Bi þ f 1 ðsÞ
C i þ f 2 ðsÞ
Di þ f 4 ðsÞ
eqi
s

G ðA:10Þ
f ðsÞ f ðsÞ f ðsÞ f ðsÞ f ðsÞ

where f ðsÞ ¼ s8 þ 2L1
s6 þ ð2K þ L21  P2 Þs4  2L1 K
s2 þ K 2

f 1 ðsÞ ¼ s7 þ 2L1 s5 þ ðL21  P2  KÞs3  KL1 s

f 2 ðsÞ ¼ s6 þ 2L1 S4 þ ðL21  P2  KÞs2  KL1

f 3 ðsÞ ¼ s4 þ ðL1 þ i
PÞs2  K

f 4 ðsÞ ¼ s4 þ ðL1  i
PÞs2  K:

We obtain the following according to the Riemann–Mellin inversion formula, the residue theorem and the time shift of
inverse of Laplace transform:
X8
f 1 ðsj Þ sj
q X8
f 2 ðsj Þ sj
q X8
i
KPsj sj
q X8
i
KP sj
q X8
f 3 ðsj Þ ðqqi Þ
sj
Gu ðq; qi Þ ¼ 0
e
Ai þ 0
e
Bi þ 0
e
Ci þ 0
e
Di þ 0
e
uðq  qi Þ
j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðsj Þ j¼1
f ðsj Þ
ðA:11Þ

X
8
i
KP
sj X
8
i
KP X8
f 1 ðsj Þ sj
q X8
f 2 ðsj Þ sj
q X8
f 4 ðsj Þ ðqqi Þ
sj
Gv ðq;qi Þ ¼ 0
esj
q
Ai þ 0
esj
q
Bi þ 0
e
Ci þ 0
e
Di þ 0
e uðq  qi Þ ðA:12Þ
j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ
0
where f ðsÞ is expressed as Eq. (A.13); uðq  qi Þ is the Heaviside function; and sj ðj ¼ 1  8Þ denotes the solutions of equation
f ðsÞ ¼ 0.

0 @f ðsÞ
f ðsÞ ¼ ¼ 8s7 þ 12s5 þ 4ðL21  P2  2KÞs3  4L1 Ks ðA:13Þ
@s
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2L1 þ 2P þ 2 L21  2L1 P þ P2 þ 4K
s1;2 ¼  ;
2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2L1 þ 2P  2 L21  2L1 P þ P2 þ 4K
s3;4 ¼  ;
2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2L1  2P þ 2 L21 þ 2L1 P þ P2 þ 4K
s5;6 ¼  ;
2
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2L1  2P  2 L21 þ 2L1 P þ P2 þ 4K
s7;8 ¼  :
2
Eqs. (A.14)–(A.17) are obtained according to Eq. (A.7):

@ 2 Gu X 8 f ðs Þs2
1 j j
X8 f ðs Þs2
2 j j
X8
i
KPs3j s
q X8
i
KPs2j s
q X8 f ðs Þs2
3 j j
¼ 0
esj
q
Ai þ 0
esj
q
Bi þ 0
e j
Ci þ 0
e j
Di þ 0
eðqqi Þ
sj ¼ 0 ðA:14Þ
@q 2
j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðsj Þ j¼1
f ðs j Þ

@ 3 Gu X 8 f ðs Þs3
1 j j sj
q
X8 f ðs Þs3
2 j j sj
q
X8
i
KPs4j s
q X8
i
KPs3j s
q X8 f ðs Þs3
3 j j
¼ 0
e
A i þ 0
e
Bi þ 0
e j

C i þ 0
e j

Di þ 0
eðqqi Þ
sj ¼ 0 ðA:15Þ
@q3 j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðs j Þ j¼1
f ðsj Þ j¼1
f ðsj Þ
342 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

@ 2 Gv X 8 i
KP
s3
j
X8
i
KPs2j s
q X8 f ðs Þs2
1 j j
X8 f ðs Þs2
2 j j
X8 f ðs Þs2
4 j j
¼ 0
esj
q
Ai þ 0
e j
Bi þ 0
esj
q
C i þ 0
esj
q
Di þ 0
eðqqi Þ
sj ¼ 0 ðA:16Þ
@q 2
j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ

@ 3 Gv X 8
i
KP
s4j s
q X8
i
KPs3j s
q X8
f 1 ðsj Þs3j s
q X8
f 2 ðsj Þs3j s
q X8
f 4 ðsj Þs3j ðqq Þ
s
¼ 0
e j
Ai þ 0
e j
Bi þ 0
e j
Ci þ 0
e j
Di þ 0
e i j ¼0 ðA:17Þ
@q 3
j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ j¼1
f ðsj Þ

where Ai , Bi , C i and Di are unknown variables, and i = 1–3.

The following equation is obtained according to Eqs. (A.14)–(A.17):
2 3 2 3
0 Ai
607 6B 7
6 7 6 i7
6 7 ¼ ½H11 
6 7 þ ½H12  ðA:18Þ
405 4 Ci 5
0 Di
where,
2 3
X
8
f 3 ðsj Þs2
6 0
eð1qi Þ
sj 7
j

6 j¼1 f ðsj Þ 7
6 7
6 7
6X 8 7
6 f 3 ðsj Þsj 3
ð1qi Þ
sj 7
6
e 7
6 f 0 ðsj Þ 7
6 j¼1 7
H12 ¼6
6 8
7
7
6 X f 4 ðsj Þs2j 7
6
e ð1qi Þ
sj 7
6 f 0 ðsj Þ 7
6 j¼1 7
6 7
6 7
6X 8 7
4 f 4 ðsj Þsj 3
ð1qi Þ
sj 5
f 0 ðs Þ

e
j
j¼1

2 3
X 8
f 1 ðsj Þs2j X
8
f 2 ðsj Þs2 X
8
i
KPs3 X
8
i
KPs2
6 0
esj 0
j

esj 0
j

esj 0
j

esj 7
6 j¼1 f ðsj Þ f ðsj Þ f ðsj Þ f ðsj Þ
7
6 j¼1 j¼1 j¼1 7
6 7
6X 8 X
8 X
8 X 8 7
6 f 1 ðsj Þs3j f 2 ðsj Þs3 i
KPs4 i
KPsj 3
sj 7
6
esj j

esj j

esj
e 7
6 f 0 ðsj Þ f 0 ðsj Þ f 0 ðsj Þ 0
f ðsj Þ 7
6 j¼1 j¼1 j¼1 j¼1 7
H11 ¼6
6 8
7
7
6 X i
KP
s3j X
8
i
KPs2 X
8
f 1 ðsj Þs2 X8
f 2 ðsj Þs2j 7
6
esj j

esj j

esj
e sj 7
6 0
f 0 ðsj Þ f 0 ðsj Þ 0 7
6 j¼1 f ðsj Þ f ðsj Þ
7
6 j¼1 j¼1 j¼1
7
6 7
6X 8 X
8 X
8 X8 7
4 i
KP
s4j i
KPs3 f 1 ðsj Þs3 f 2 ðsj Þsj 3
sj 5
f 0 ðs Þ

esj f 0 ðsj Þ
j

esj f 0 ðsj Þ
j

esj f 0 ðs Þ

e
j j
j¼1 j¼1 j¼1 j¼1

Thus,
2 3
Ai
6B 7
6 i7 1
6 7 ¼ ½H11 
½H12  ðA:19Þ
4 Ci 5
Di
Six equations can be obtained by substituting q ¼ q1 , q ¼ q2 and q ¼ q3 in Eqs. (A.5) and (A.6), respectively. These equa-
tions are expressed in a matrix form as follows:
H1 ¼ H2
H3 ðA:20Þ
2 3
pmu w eðsin a  i cos aÞGu ðq1 ; q2 Þ
2

6 pmu w2 eðsin a  i cos aÞGu ðq2 ; q2 Þ 7

6 7
6 pmu w2 eðsin a  i cos aÞGu ðq ; q Þ 7
where, H1 ¼ 6 3 2 7,
6 pmu w2 eðcos a þ i sin aÞGv ðq ; q Þ 7
6 1 2 7
4 pmu w2 eðcos a þ i sin aÞGv ðq ; q Þ 5
2 2
pmu w eðcos a þ i sin aÞGv ðq3 ; q2 Þ
2

H3 ¼ ½U 1 U 2 U 3 V 1 V 2 V 3 T ;
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 343

2 EI
L2
þ Lðk1
yy þ iwc1
yy ÞGu ðq1 ; q1 Þ w2 md LGu ðq1 ; q2 Þ Lðk2
yy þ iwc2
yy ÞGu ðq1 ; q3 Þ
6
6 Lðk1
yy þ iwc1
yy ÞGu ðq2 ; q1 Þ EI
 w md LGu ðq2 ; q2 Þ
2
Lðk2
yy þ iwc2
yy ÞGu ðq2 ; q3 Þ
6 L2
6
6
6 Lðk1
yy þ iwc1
yy ÞGu ðq3 ; q1 Þ w md LGu ðq3 ; q2 Þ
2 EI
þ Lðk2
yy þ iwc2
yy ÞGu ðq3 ; q3 Þ
H2 ¼ 6
6
L2
6 Lðk1
xy þ iwc1
xy ÞGv ðq1 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq1 ; q3 Þ
6
6
6 Lðk1
xy þ iwc1
xy ÞGv ðq2 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq2 ; q3 Þ
4
Lðk1
xy þ iwc1
xy ÞGv ðq3 ; q1 Þ 0 Lðk2
xy þ iwc2
xy ÞGv ðq2 ; q3 Þ
3
Lðk1
yx þ iwc1
yx ÞGu ðq1 ; q1 Þ 0 Lðk2
yx þ iwc2
yx ÞGu ðq1 ; q3 Þ
7
Lðk1
yx þ iwc1
yx ÞGu ðq2 ; q1 Þ 0 Lðk2
yx þ iwc2
yx ÞGu ðq2 ; q3 Þ 7
7
7
Lðk1
yx þ iwc1
yx ÞGu ðq3 ; q1 Þ 0 Lðk2
yx þ iwc2
yx ÞGu ðq3 ; q3 Þ 7
7
7
EI
þ Lðk1
xx þ iwc1
xx ÞGv ðq1 ; q1 Þ w md LGv ðq1 ; q2 Þ
2
Lðk2
xx þ iwc2
xx ÞGv ðq1 ; q3 Þ 7
L2 7
7
7
Lðk1
xx þ iwc1
xx ÞGv ðq2 ; q1 Þ EI
 w md LGv ðq2 ; q2 Þ
2
Lðk2
xx þ iwc2
xx ÞGv ðq2 ; q3 Þ 7
L2 5
Lðk1
xx þ iwc1
xx ÞGv ðq3 ; q1 Þ w2 md LGv ðq3 ; q2 Þ EI
L2
þ Lðk2
xx þ iwc2
xx ÞGv ðq3 ; q3 Þ

Thus,

H3 ¼ H1
2
H1 ðA:21Þ

Until this step, ½U 1 U 2 U 3 V 1 V 2 V 3 T , Gu ðq; qi Þ and Gv ðq; qi Þ have been solved. UðqÞ and VðqÞ can be obtained in a matrix form
as follows by substituting them in Eqs. (A.5) and (A.6), respectively:
8 2 3T 2 39
>
> Lðk1
yy þ i
w
c1
yy ÞGu ðq; q1 Þ U1 > >
>
> >
>
> 6 7 6 U 7> >
>
> 6 w2
md LGu ðq; q2 Þ 7 6 2 7> >
>
< 6 7 6 7> >
6 Lðk2
yy þ i
w
c2
yy ÞGu ðq; q3 Þ 7 6 U 3 7= L2
UðqÞ ¼ p
mu
w
e
ðsin a  i
cos aÞGu ðq; q2 Þ þ 6
2
6 Lðk þ i
w
c ÞG ðq; q Þ 7
7
6 7

6 V 7> EI ðA:22Þ
>
> 6 1 7 6 1 7>
>
> 6
1
yx 1
yx u
7 6 7> >
>
> 4 5 4 V 2 5>
>
>
> 0 >
>
>
: >
Lðk þ i
w
c ÞG ðq; q Þ 2
yx 2
yx u 3 V ; 3

8 2 3T 2 39
>
> Lðk1
xy þ i
w
c1
xy ÞGv ðq; q1 Þ U1 > >
>
> >
>
> 6 7 6 U 7> >
>
> 6 0 7 6 2 7> >
>
< 6 7 6 7> >
6 Lðk þ i
w
c ÞGv ðq; q Þ 7 6 U 3 7= L2
VðqÞ ¼ p
mu
w
e
ðcos a þ i
sin aÞGv ðq; q2 Þ þ 6 7
6 7

2
xy 2
xy 3
2
6 Lðk þ i
w
c ÞG ðq; q Þ 7 6 V 7> EI ðA:23Þ
>
> 6 v 1 7 6 1 7>
>
> 6
1
xx 1
xx
7 6 7> >
>
> 4 w2
md LGv ðq; q2 Þ 5 4 V 2 5>
>
>
> >
>
>
: >
Lðk2
xx þ i
w
c2
xx ÞGv ðq; q3 Þ V3 ;

Let
k1
xx þ i
w
c1
xx ¼ ks1
xx k2
xx þ i
w
c2
xx ¼ ks2
xx
sin a ¼ cx k1
xy þ i
w
c1
xy ¼ ks1
xy k2
xy þ i
w
c2
xy ¼ ks2
xy
; ;
cos a ¼ cy k1
yx þ i
w
c1
yx ¼ ks1
yx k2
yx þ i
w
c2
yx ¼ ks2
yx
k1
yy þ i
w
c1
yy ¼ ks1
yy k2
yy þ i
w
c2
yy ¼ ks2
yy
Eqs. (A.22) and (A.23) are presented as follows:
L3 ks
2 3T
 1
yy Gu ðqs1 ; q1 Þ 2 3
6 3 2E
I 7 U1
6 L w
md 7 6U 7
6 E
I Gu ðqs1 ; q2 Þ 7 6 27
6 3 7 6 7
p
mu
w
e
ðcx  i
cyÞL
2 2 6 7 6 U3 7
6  L ksE
I2
yy Gu ðqs1 ; q3 Þ 7
UðqÞ ¼ Gu ðq; q2 Þ þ 6 7
6
6V 7
7 ðA:24Þ
E
I 6 L3 ks1
yx 7 6 17
6 G ðqs ; q Þ 7 6 7
6 E
I u 1 1 7 4 V2 5
6 7
4 0 5
L3 ks2
yx V3
 E
I
Gu ðqs1 ; q3 Þ
344 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346

2 3T
L3 ks
 E
I1
xy Gv ðqs1 ; q1 Þ 2 3
6 7 U1
6 7 6 7
6 0 7 6 U2 7
6 7 6 7
6 L3 ks 7 6 7
6  2
xy G ðqs ; q Þ 7 6U 7
p
mu
w
e
ðcy þ i
cxÞL
2 2 6 v 1 3 7 6 37
6 E
I
7
VðqÞ ¼ Gv ðq; q2 Þ þ 6 3 7
6
6 7
7 ðA:25Þ
E
I 6  L ks1
xx G ðqs ; q Þ 7 6 V1 7
6 E
I v 1 1 7 6 7
6 7 6 7
6 L3 w2
m 7 6 V2 7
6 G ðqs ; q Þ 7 4 5
6 E
I 2 7
d
v 1
4 5
3 V3
 L ksE
I
2
xx
G v ðqs 1 ; q 3 Þ
Uðqs1 Þ; Uðqs2 Þ, Uðqs3 Þ,Vðqs1 Þ; Vðqs2 Þ and Vðqs3 Þ are the dimensionless forms of the unbalance responses at the three positions
zs1 , zs2 and zs3 on the shaft. qs1 ,qs2 and qs3 are their dimensionless values. qs1 ¼ zs1 =L; qs2 ¼ zs2 =L; and qs3 ¼ zs3 =L.
Six equations can be obtained by substituting Uðqs1 Þ, Uðqs2 Þ, Uðqs3 Þ, Vðqs1 Þ; Vðqs2 Þ, Vðqs3 Þ, qs1 , qs2 and qs3 in Eqs. (A.24)
and (A.25). Eqs. (A.26)–(A.31) are obtained by solving these equations with U 1 , U 2 , U 3 , V 1 , V 2 and V 3 as unknown variables.
V 1 ¼ fE
I
½gxn32
gxn23
Vðqs1Þ þ gxn32
gxn13
Vðqs2Þ þ gxn12
gxn23
Vðqs3Þ  gxn13
gxn22
Vðqs3Þ
 gxn33
gxn12
Vðqs2Þ þ gxn33
gxn22
Vðqs1Þ þ L3
U 1
ks1
xy
½gxn11
gxn33
gxn22
þ gxn13
gxn21
gxn32  gxn11
gxn32
gxn23 þ gxn31
gxn12
gxn23  gxn31
gxn13
gxn22
 gxn12
gxn21
gxn33g=½ðgxn11
gxn33
gxn22  gxn13
gxn21
gxn32 þ gxn13
gxn31
gxn22
i
þ gxn11
gxn32
gxn23 þ gxn12
gxn21
gxn33  gxn12
gxn31
gxn23Þ
ks1
xx
L3 ðA:26Þ

V 2 ¼ fE
I
½gxn31
gxn23
Vðqs1Þ  gxn13
gxn31
Vðqs2Þ  gxn11
gxn23
Vðqs3Þ þ gxn11
gxn33
Vðqs2Þ
 gxn33
gxn21
Vðqs1Þ þ gxn13
gxn21
Vðqs3Þ þ mu
e
ðcy þ i
cxÞ
L2
p
w2

½gxn12
gxn31
gxn23  gxn11
gxn33
gxn22 þ gxn12
gxn21
gxn33 þ gxn11
gxn32
gxn23
þ gxn13
gxn31
gxn22gxn13
gxn21
gxn32g=½ðgxn11
gxn33
gxn22 þ gxn13
gxn21
gxn32
 gxn13
gxn31
gxn22  gxn11
gxn32
gxn23  gxn12
gxn21
i

gxn33þgxn12
gxn31
gxn23Þ
w2
md
L3 ðA:27Þ

V 3 ¼ fE
I
½gxn21
gxn12
Vðqs3Þ þ gxn21
gxn32
Vðqs1Þ  gxn22
gxn31
Vðqs1Þ þ gxn11
gxn22

Vðqs3Þ þ gxn31
gxn12
Vðqs2Þ  gxn32
gxn11
Vðqs2Þ þ L3
U 3
ks2
xy
½gxn21
gxn12
gxn33
þ gxn21
gxn13
gxn32 þ gxn11
gxn22
gxn33  gxn13
gxn31
gxn22 þ gxn12
gxn31
gxn23
 gxn11
gxn32
gxn23g=½ðgxn11
gxn33
gxn22  gxn13
gxn21
gxn32 þ gxn13
gxn31
gxn22
i
þ gxn11
gxn32
gxn23 þ gxn12
gxn21
gxn33gxn12
gxn31
gxn23Þ
ks2
xx
L3 ðA:28Þ

U 1 ¼ fE
I
½gyn32
gyn13
Uðqs2Þ  gyn32
gyn23
Uðqs1Þ  gyn12
gyn33
Uðqs2Þ þ gyn22
gyn33

Uðqs1Þ  gyn22
gyn13
Uðqs3Þ þ gyn12
gyn23
Uðqs3Þ þ L3
V 1
ks1
yx

½gyn32
gyn13
gyn21  gyn32
gyn11
gyn23  gyn12
gyn33
gyn21 þ gyn12
gyn31
gyn23
 gyn22
gyn31
gyn13 þ gyn11
gyn22
gyn33g=½ðgyn13
gyn22
gyn31  gyn13
gyn21
gyn32
 gyn12
gyn31
gyn23  gyn11
gyn22
gyn33 þ gyn11
gyn32
i

gyn23þgyn12
gyn33
gyn21Þ
ks1
yy
L3 ðA:29Þ

U 2 ¼ fE
I
½gyn33
gyn21
Uðqs1Þ  gyn33
gyn11
Uðqs2Þ þ gyn31
gyn13
Uðqs2Þ  gyn31
gyn23
Uðqs1Þ
 gyn13
gyn21
Uðqs3Þ þ gyn11
gyn23
Uðqs3Þ þ mu
e
ðcx  i
cyÞ
L2
p
w2

½gyn13
gyn22
gyn31 þ gyn32
gyn13
gyn21 þ gyn12
gyn31
gyn23 þ gyn11
gyn22
gyn33
 gyn32
gyn11
gyn23gyn12
gyn33
gyn21=½ðgyn13
gyn22
gyn31  gyn13
gyn21
gyn32
 gyn12
gyn31
gyn23  gyn11
gyn22
gyn33 þ gyn11
gyn32
i

gyn23þgyn12
gyn33
gyn21Þ
w2
md
L3 ðA:30Þ
 A. Wang et al. / Mechanical Systems and Signal Processing 116 (2019) 322–346 345

U 3 ¼ fE
I
½gyn22
gyn31
Uðqs1Þ  gyn12
gyn21
Uðqs3Þ þ gyn12
gyn31
Uðqs2Þ þ gyn11
gyn22

Uðqs3Þ  gyn11
gyn32
Uðqs2Þ þ gyn32
gyn21
Uðqs1Þ þ L3
V 3
ks2
yx

½gyn13
gyn22
gyn31 þ gyn13
gyn32
gyn21  gyn12
gyn33
gyn21 þ gyn12
gyn31
gyn23
þ gyn11
gyn22
gyn33  gyn11
gyn32
gyn23g=½ðgyn13
gyn22
gyn31  gyn13
gyn21
gyn32
 gyn12
gyn31
gyn23  gyn11
gyn22
gyn33 þ gyn11
gyn32
i

gyn23þgyn12
gyn33
gyn21Þ
ks2
yy
L3 ðA:31Þ

According to Eqs. (A.26)–(A.31), U 1 and V 1 are related only to the first bearing dynamic coefficients; U 3 and V 3 are related
only to the second bearing dynamic coefficients; and U 2 and V 2 are related only to mu
e, cx and cy. Hence, Eqs. (22)–(27) can
be obtained, and the unbalance and bearing dynamic coefficients can be identified.

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