Journal of Sound and Vibration 463 (2019) 114972

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Journal of Sound and Vibration

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

Application of augmented Kalman filter to identify unbalance

load of rotor-bearing system: Theory and experiment
Donglin Zou a, Han Zhao a, Gaoyu Liu a, b, Na Ta a, Zhushi Rao a, c, *
a
Institute of Vibration, Shock and Noise, State Key Laboratory of Mechanical System and Vibration, Shanghai Jiao Tong University,
Shanghai, 200240, China
b
Department of Mechanical and Automation Engineering, The Chinese University of Hong Kong, Shatin, 999077, Hong Kong, China
c
Collaborative Innovation Center for Advanced Ship and Deep-Sea Exploration (CISSE), Shanghai, 200240, China

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

Article history: Rotor dynamic balancing technology with online, no start-stop, no trial weights is an
Received 1 February 2019 important research topic in rotor dynamics, and its key problem is how to identify the
Received in revised form 12 September 2019 rotor unbalance state online. Rotor unbalance parameter identification is often ill-
Accepted 16 September 2019
conditioned mathematically, so a small amount of errors such as measurement and
Available online 19 September 2019
Handling Editor: I. Trendafilova
modeling will worsen the identification accuracy. For this reason, a new unbalance loads
identification method using the rotor finite element (FE) model combined with augmented
Kalman filter (AKF) algorithms is proposed. This method is a deterministic-stochastic,
Keywords:
Rotor
time-domain method and is insensitive to measurement and modeling errors. The
Augmented Kalman filter (AKF) research results show that the proposed method can well identify the unbalance param-
Unbalance eters online and in real time. Meanwhile, the errors of dynamic model and measurement
Identification signal could be considered and effectively filtered out in real time, thus the accuracy of
Dynamic balancing unbalance estimation is improved.
No trial weights © 2019 Elsevier Ltd. All rights reserved.

1. Introduction

Rotating machinery, such as turbines, compressors, etc., is widely used in various industries. As the rotor speed becomes
faster and faster and the power is getting higher and higher, the rotor is also facing more severe challenges in design and
manufacture. The most typical problem is how to effectively reduce its residual unbalance caused by machining errors,
uneven materials and so on. The unbalance forces will make the rotor vibrate, which is the main cause of rotor failure.
Therefore, it is very necessary to eliminate rotors’ residual unbalance online, i.e. on-site dynamic balancing.
The on-site dynamic balance of rotor is a very old topic in rotor dynamics. Modal balance method and influence coefficient
(IC) method are two classical methods. In both methods, trial weights are needed to estimate the residual unbalance.
Therefore, the main disadvantage of these two methods is that it needs to start and stop the rotor for several times, which is
very inconvenient and costly. Therefore, researchers have developed some dynamic balancing techniques that require less
start-stops. In summary, these studies can be categorized mainly into frequency domain and time domain.

* Corresponding author. Institute of Vibration, Shock and Noise, State Key Laboratory of Mechanical System and Vibration, Shanghai Jiao Tong University,
Shanghai, 200240, China.
E-mail address: zsrao@sjtu.edu.cn (Z. Rao).

https://doi.org/10.1016/j.jsv.2019.114972
0022-460X/© 2019 Elsevier Ltd. All rights reserved.
2 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Main nomenclature

u displacement vectors
f unbalance vector
nF number of unbalance discs
SF load position matrix
½M mass matrix
½K stiffness matrix
½C damping matrix
½G gyro matrix
me unbalance amplitude (g.mm)
4 unbalance phase (deg)
Eamp amplitude estimation error
Epha phase estimation error
hk load recurrence noise
wk process noise
vk measurement noise
Xk state variables
Xak augmented state variables
ba
X priori estimate of Xak
kjk1
ba
X posteriori estimate of Xak
kjk

Pkjk1 ba
covariance of X kjk1

Pkjk ba
covariance of X kjk
ba
X initial estimate of Xak
0j0

P0j0 ba
covariance of X 0j0
F state transition matrix
H observation matrix
Q covariance of process noise
R covariance of measurement noise
S covariance of load recurrence noise
Kk Kalman filter gain
zk innovation sequence

At present, most of the identification methods for rotor unbalance parameters are frequency domain methods and can be
subdivided into the following categories.
The first one is the frequency response function matrix inversion (FRFI) method [1e5]. This method is similar to the in-
fluence coefficient (IC) method whose difference and relation with IC method have been analyzed by our previous studies
[6,7]. The main drawback of this method is that the coefficient matrix formed by extracting elements from FRF matrix may be
ill-posed [8], thus some regularization techniques [9] or SVD method need to be used. In the second one proposed by Lees and
Friswell, the bearing pedestals vibrations during a single machine run-down together with the rotor FE model are used
[10e14]. Tiwari and his collaborators extended Lees and Friswell's method [15e18]. In addition to these two more typical and
widely used methods, there are some other frequency domain methods, such as using the external exciting force [19], cor-
relation analysis [20] and so on.
Generally speaking, in frequency domain, there is a linear relationship between the input excitation and the output
response. Therefore, most of these methods deal with linear problems. In addition, some scholars have extended it to
nonlinear cases [21,22].
Researchers have also made progresses in time domain method. For example, Shrivastava et al. [23] estimated the un-
balance parameters using a joint input-state estimation technique. Markert et al. [24] proposed a model-based fault iden-
tification by time-domain least squares fitting algorithms. Then this method was used by many scholars [25e27]. There are
some other time domain methods, such as Kalman filter in conjunction with recursive least square method [28,29], a
generalized notch filter [30] and so on [31]. In addition, there is a class of time-domain methods based on optimization
techniques, including genetic algorithm (GA) [32], simulated annealing algorithm (SAA) [33], particle swarm optimization
(PSO) [34] and so on [35].
In summary, regardless of the method in frequency domain or in time domain, the literature described above is all
deterministic methods (References [23,28,29] are of deterministic-stochastic type). For deterministic methods, the estima-
tion accuracy is highly dependent on the accuracy of measurements and dynamic models. However, in practice, the
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 3

measurement noise and model errors are inevitable. Meanwhile, rotor unbalance identification is often an ill-posed problem
[36]. Therefore, a small amount of errors will have a great effect on the estimation results. The criteria for evaluating un-
balance identification methods are that they are insensitive to model errors and test noise, and are also robust enough to be
suitable for field applications.
Kalman filtering algorithm is a deterministic-stochastic method, which is different from normal deterministic algorithms
that model the noise as stochastic processes and assume noise to be present on both the measurements and the dynamic
model. Additionally, Kalman filtering can adjust the prediction accuracy in real time according to the measurement noise and
model errors, thus realizing minimum-variance unbiased estimation. Therefore at present, it is widely used to identify
structural earthquake or wind loads [37]. Compared with the determination methods mentioned above, the Kalman filter
method has the following advantages. (1) It can automatically eliminate noise interference in measurement and model. (2) It
has no delay and can monitor the state of the system in real time. (3) It has strong robustness. However, its disadvantage is
that when the system has large degrees of freedom, the recursive calculation requires large computational resources.
Therefore, some degree-of-freedom reduction techniques, such as modal superposition method [7] can be used first.
However, at present there are few studies on identifying rotor unbalance by Kalman filter except for a limited number of
publications such as References [28,29]. In References [28,29], Kalman filtering only works in combination with recursive
least square method. Therefore, the method in References [28,29] is more complicated to implement than the method
proposed in this article. The purpose of this study is to identify the unbalance parameters using the augmented Kalman
filtering (AKF). This method is proposed by Lourens et al. and used to identify structural earthquake or wind load [37].
However, in Lourens’ study, the recursive process of loads is not accurate which makes it difficult to effectively select Kalman
filter parameters. Because the unbalance loads can be expressed as complex exponentials, the recursive process of them may
be accurately reconstructed by fully utilizing this mathematical feature. Therefore, in this study, the AKF method proposed in
Ref. [37] has been improved to make it particularly suitable for identifying unbalance loads.
The paper is arranged as follows. In Section 2, a dynamic model of a rotor-bearing system is derived by FEM. In Section 3,
the unbalance parameter identification method based on augmented Kalman filter algorithm are described. In Section 4, a
numerical example is studied to verify the correctness of the method. And the influence of measurement errors on the
identification results is discussed in detail. Some important discussions and conclusions are outlined in Section 5 and Section
6.

2. Rotordynamics model

In this study, FEM is used to establish the dynamic model of the rotor-bearing system. The FE modeling method can be
referred to Refs. [38,39]. The FE model of a typical rotor-bearing system is shown in Fig. 1.
The rotor-bearing system is divided into N nodes and the displacement vectors of all nodes are assumed to be:
 T
uy ¼ v1 ; qy1 ; v2 ; qy2 ; /; vN ; qyN ; uz ¼ ½w1 ; qz1 ; w2 ; qz2 ; /; wN ; qzN T (1)

where uy 2ℝndof represents the vertical (y-direction) vibration displacement of all nodes and uz 2ℝndof represents the hori-
zontal (z-direction) vibration displacement of all nodes. ndof ¼ 2N denotes the number of degrees-of-freedom in each
direction.
The dynamical equation of the rotor-bearing system can be expressed as:

€ þ ð½C  iu½GÞuðtÞ
½MuðtÞ _ þ ½KuðtÞ ¼ SF FðtÞ (2)

where ½M, ½K, ½C and ½G2ℝndof ndof stand for mass, stiffness, damping and gyro matrix of the system (see Appendix A for
details). u is the rotational speed of the rotor. uðtÞ ¼ uy ðtÞ þ iuz ðtÞ, i denotes the imaginary number units. FðtÞ ¼ Fy ðtÞ þ iFz ðtÞ,

Fig. 1. Schematic diagram of FE model of rotor-bearing system.

4 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Fy ðtÞ and Fz ðtÞ2ℝnF are horizontal and vertical external loads. nF is the number of unbalance load. SF 2ℝndof nF is load position
matrix and the components on the nodes with unbalance are one while the rest are zero.
Assuming that the rotor is only subjected to unbalance loads, as shown in Fig. 2. If it is assumed that ðmeÞ ¼ m, e, then the
unbalance vector can be expressed as:
h iT
if
f ¼ ðmeÞ1 eif1 ; ðmeÞ2 eif2 ; /; ðmeÞnF e nf (3)

where ðmeÞj and 4j represent the amplitude and phase of the jth unbalance load.
Therefore, the unbalance load FðtÞ can be expressed as:

FðtÞ ¼ u2 cosðutÞf þ iu2 sinðutÞf ¼ u2 eiut f (4)

3. Identification of unbalance loads

3.1. Augmented state space model

Kalman filtering theory can be referred to Ref. [40]. When Kalman filtering (KF) is used, Eq. (2) must be written as a state
space model first. In this study, the unknown input FðtÞ is also treated as a state variable, so an augmented state space model is
introduced. Next, how to convert Eq. (2) into an augmented state space model will be described in detail.
In Refs. [37,41], an augmented state space model is obtained by adding a time recurrence process of unknown input force
FðtÞ. It is assumed that the unknown input force has the following recurrence relation within the time interval ½k; k þ 1Dt.

Fkþ1 ¼ Fk þ hk (5)

where hk represents random noise in the process of load recurrence.

Eq. (5) means that the loads do not change with time. In the actual situation, Eq. (5) is only a hypothesis and does not
accurately reflect the recurrence process of the loads. Therefore, the calculation error may be reduced by selecting the best
covariance matrix of noise hk . However, there is still no good standard for the selection of covariance matrix of hk , which
makes this method difficult to use.
For unbalance loads, as shown in Eq. (4), since it has the form of sine or cosine functions, this feature can be fully utilized to
obtain a more accurate augmented state space model. Therefore, this study improves the methods in References [37,41] and
reconstructs the time recurrence process of unknown input forces FðtÞ, thus proposing a new load identification method. This
method is particularly suitable for identifying these loads whose mathematical forms are similar to unbalance forces. Next,
this method is described in detail.
_
Let XðtÞ ¼ ½uðtÞ; uðtÞT
, Eq. (2) can be expressed as:

_
XðtÞ ¼ AXðtÞ þ BFðtÞ (6)

where the matrix A2ℝ2ndof 2ndof ,B2ℝ2ndof nF are defined as:

Fig. 2. Schematic diagram of rotor unbalance.

 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 5

   
O I OF
A¼ 1 1 ; B¼ (7)
M K M ð½C  iu½GÞ M1 SF

where O2ℝndof ndof , OF 2ℝndof nF are zero matrices,I2ℝndof ndof is identity matrix.
Let the discrete time step be Dt. Multiply both sides of Eq. (6) by eAt and integrate them within the time interval ½k; k þ
1Dt, one obtains:

Z Dt
ðkþ1Þ
  Z Dt
ðkþ1Þ
At
e _
XðtÞ  eAt AXðtÞ dt ¼ B eAt FðtÞdt (8)
kD t kD t

Substitute Eq. (4) into Eq. (8), and integrate them. After adding the influence of process noise wðkDtÞ2ℝ2ndof , which can
reflect the model errors, we can obtain:

Xððk þ 1ÞDtÞ ¼ eADt XðkDtÞ þ Gf þ wðkDtÞ (9)

G can be expressed as:

Z Dt
ðkþ1Þ

G ¼ u2 eAðkþ1ÞDt B eðAþiuÞt dt (10)

kDt

For convenience, Eq. (9) could be abbreviated as:

Xkþ1 ¼ eADt Xk þ Gf þ wk (11)

In some References [37,41], FðtÞ is also taken as a state variable so that the original state variable is augmented. In this
study, we use the similar approach. However, we only let f be a state variable. Then the augmented state vector can be
expressed as:

Xa ðtÞ ¼ ðXðtÞ; fÞT (12)

Eqs. (3) and (4) show that in the recurrence process of state vector, f is always constant and can be regarded as the
amplitude of FðtÞ. Therefore, considering the influence of noise, a load supplementary equation is obtained:

f kþ1 ¼ f k þ hk (13)

where hk is the process noise, reflecting the errors of the load recurrence process.
Furthermore, Eq. (11) can be written as:

Xakþ1 ¼ FXak þ ½ wk hk  T (14)

The state transition matrix F2ℝð2ndof þnF Þð2ndof þnF Þ is defined as


F¼ eADt G (15)
O2F IF

IF 2ℝnF nF is identity matrix. O2F 2ℝnF 2ndof is zero matrix. For time-invariant systems, G in Eq. (10) has an analytical solution:
 
G ¼ u2 eiuðkþ1ÞDt eðAiuÞDt  I ðA  iuÞ1 B (16)

In practical calculation, because the condition number of matrix ðA  iuÞ is sometimes very large, direct inversion will
produce errors. In this study, it is not recommended to obtain the analytic solution of Eq. (10). On the contrary, better results
can be achieved by numerical integration, such as Cotes formula or fourth-order Runge-Kutta integration (see Appendix B for
details).
For the load recursive process in References [37,41] (given by Eq. (5)), the whole load is taken as a state variable. In this
study, only the amplitude of the load which is always a constant is set as a state variable, and the load recursive process is
given by Eq. (13). Compared with Eq. (5), Eq. (13) is accurate and strictly satisfied, which is derived using the characteristic of
6 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

unbalance load in the form of sine or cosine functions. In fact, if the whole load is taken as a state variable which is similar to
References [37,41], then the following formula can be deduced from Eqs. (13) and (4).

Fkþ1 ¼ eiuDt Fk þ u2 eiuðkþ1ÞDt hk (17)

Eq. (17) is different from Eq. (5) and implies that:

_
FðtÞ ¼ iuFðtÞ (18)

And for loads of sine or cosine function types, Eq. (18) is always satisfied. Therefore, compared with references [37,41], the
algorithm of this study has low requirements for the covariance matrix selection of noise hk . The selection principle is the
same as wk . When the model errors are not large, it can be taken as a small order of magnitude.
To summarize, the augmented state space model (Eq. (14)) has been obtained, which is a key equation for implementing
Kalman filtering algorithm. Next, how to identify unbalance loads using Kalman filtering method will be described.

3.2. Identification of unbalance loads based on AKF method

Kalman filtering can be defined as a recursive linear state estimator designed to be optimal in a minimum-variance un-
biased sense. The state and observation equations defining the augmented state-space model are formulated as follows:

Xakþ1 ¼ FXak þ ½ wk hk T (19)

yk ¼ HXak þ vk (20)

where yk 2ℝnd is the observation vector (nd is the number of measured sections). And H2ℝnd ð2ndof þnF Þ is the observation
matrix. In rotating machineries, the observed signals are usually displacement signals. Therefore in H, the components on the
nodes with displacement sensors are one while the rest are zero. vk is the measurement noise, which indicates the effect of
errors in the measurement process.
The noise processes wk , vk and hk are assumed to be Gaussian white noise which is zero mean, mutually uncorrelated
stochastic process. Their covariance matrices are represented by Q 2ℝ2ndof 2ndof , R2ℝnd nd , S2ℝnF nF .

wk  ð0; Q Þ; v  ð0; RÞ; hk  ð0; SÞ

n o nk o n o
Е wk wl ¼ Q dkl ; Е vk vl ¼ Rdkl ; Е hk hTl ¼ Sdkl
T T
(21)
n o n o n o
Е vk wTl ¼ 0; Е hk vTl ¼ 0; Е wk hTl ¼ 0

where dkl is the Kronecker delta function.

Some definitions are given. Xba a a
kjk1 is defined as a priori estimate of Xk (estimate of Xk before we process the measurement
b a is defined as a posteriori estimate of Xa (estimate of Xa after we process the measurement at time k). P
at time kDt). X kjk k k kjk1
ba
denotes the covariance of the estimation error of X ba
kjk1 . Pkjk denotes the covariance of the estimation error of X kjk

  T 
Pkjk1 ¼ Е ba
Xak  X X a
 ba
X
kjk1 k kjk1

  T  (22)
Pkjk ¼ Е Xak  Xba X a
 ba
X
kjk k kjk

b a denotes the initial estimate of Xa and P

X 0j0 k 0j0 denotes the covariance of the initial estimation error. The Kalman filter
algorithm is as follows [37,40]:
b a and P with time.
At time kDt (k ¼ 1; /; Nt ), the first thing is to update X

ba ba
X kjk1 ¼ F X k1jk1 (23)

Pkjk1 ¼ FPk1jk1 FT þ Q a (24)

 
Q 0
where Q a ¼
0 S
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 7

b a and P with measurement.

Then update X
 1
Kk ¼ Pkjk1 HT HPkjk1 HT þ R (25)

ba ¼ Xba ba
X kjk kjk1 þ Kk zk ; zk ¼ y k  H X kjk1 (26)

Pkjk ¼ ðI  Kk HÞPkjk1 (27)

where Kk is Kalman filter gain. zk is the innovation sequence.

As can be seen from the above description, the goal of Kalman filtering algorithm is to estimate the system state variable Xak
optimally when the system state equation (Eq. (19)), observation equation (Eq. (20)), covariance matrix of process noise and
observation noise (Eq. (21)) are known. From Eq. (12), it is known that the augmented state variable Xak contains unbalance
variables f. Once Xak is estimated, f is also known. And the unbalance amplitude me and phase f are also known form Eq. (3).
The complete execution process is shown in Fig. 3.
In the calculation, the initial estimate Xb a does not have to be known exactly and can be set as any value. At this point, the
0j0
covariance P0j0 should be set as a large number at the diagonal which could treat the initial errors as large and make the filter
ignore the initial estimations.

4. Numerical simulation

In this section, a numerical example is considered to verify the correctness of the method proposed in this study. A simple
double-disk and single-span rotor system is taken as the research object, which is shown in Fig. 4.
The diameter of the rotating shaft is 10 mm, the detailed geometric parameters are shown in Fig. 4, and the physical
parameters are shown in Table 1.
The rotor is divided into 19 FE nodes. After considering the gyroscopic effect, the results of the first two order critical
speeds of the rotor are shown in Table 2. As can be seen from the table, the first-order critical speed is about 1900 rpm.
It is assumed that there are unbalance parameters on the two disks, which can be expressed in amplitude and phase, as
shown in Table 3 respectively.
It can be seen from the calculation process in Fig. 3 that when estimating the rotor unbalance parameters with AKF, it is
necessary to obtain Kalman filtering parameters, such as noise covariance matrix and initial state estimation.
The noise covariance matrix R and Q a which respectively reflect the measurement and the model errors also need to be
known. When the measurement and the model errors are large, the values of R and Q a are also large. However, in most cases,
such as field experiments, the exact values of R and Q a are unknown. At present, methods to determine them are provided in
many studies and one of the widely used methods is as follows [40,42].

Fig. 3. Flow chart of augmented Kalman filtering (AKF) algorithm.

8 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Fig. 4. Schematic diagram of double-disk rotor system.

Table 1
The physical parameters of the rotor system.

Shaft Disk1 or Disk 2 Bearings

Young's modulus (GPa) 210 Mass (kg) 0.8 Stiffness (N/m) Damping (Ns/m)
Poisson's ratio 0.30 Diameter moment of inertia (kg.mm2) 286.3 1.2  106 0.7  102
Density (kg.m3) 7800 Polar moment of inertia (kg.mm2) 572.5

Table 2
The first two order critical speeds of the rotor system.

The first The second

Forward whirl Backward whirl Forward whirl Backward whirl
1991.7 rpm 1953.1 rpm 5931.4 rpm 5921.3 rpm

Table 3
The unbalance parameters on the two disks of the rotor.

Disk1 Disk2
Amplitude me Phase f Amplitude me Phase f
120 g mm 30 deg 160 g mm 144 deg

R ¼ Ck  HPkjk1 HT ; Q a ¼ Kk Ck KTk

(28)
1 X k
T 1X i
Ck ¼ ðz  zi Þðzi  zi Þ ; zi ¼ z
k  1 i¼1 i i j¼1 j

where zi is the innovation sequence, which is defined in Eq. (26).

b a is taken as zero. Since X
The initial state estimate X b a is arbitrarily taken, the covariance matrix P needs to be a large
0j0 0j0 0j0
number, indicating that the influence of the initial state estimate on subsequent calculations can be ignored. In this study, P0j0
is taken as 1e15 (As long as the values are set large enough, the final calculation results will not be affected [40]).
In the simulation analysis, the simulated displacement responses which are obtained by Newmark method are taken as
the observation vector. In Newmark method, the time step is set as 0.001 s, and totally 20000 steps are calculated. In order to
investigate the influence of measurement noise on the identification results, the Gaussian white noise is artificially added to
the observation vector. A variable of signal-to-noise ratio reflecting noise energy is defined.

SNR ¼ 10logðPs =Pn Þ (29)

where Ps is the power of the signal. Pn is the power of the noise.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 9

Fig. 5. Displacement estimation results when SNR is 70 dB.

Fig. 6. The unbalance parameters estimation results on disk 1 when SNR is 70 dB.

Fig. 7. The unbalance parameters estimation results on disk 2 when SNR is 70 dB.
10 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Table 4
The estimated unbalance parameters of two disks when SNR is 70 dB.

me (g.mm) f (deg) Eamp Epha (deg)

Exact Estimated Exact Estimated

Disk 1 120 120.68 30 30.39 0.57% 0.39
Disk 2 160 160.82 144 143.73 0.51% 0.27

Fig. 8. Displacement estimation results when SNR is 20 dB.

Fig. 9. The unbalance parameters estimation results on disk 1 when SNR is 20 dB.

4.1. Results under 1500 rpm

Firstly, the effectiveness of the proposed algorithm under different signal-to-noise ratios at 1500 rpm is studied.

(1)SNR ¼ 70 dB

When signal-to-noise ratio (SNR) is 70 dB, it means that the noise energy in the signal is small and can be ignored. Fig. 5
shows the displacement estimation results at two measurement points. As can be seen from the figure, the estimated
displacement response completely coincides with the true displacement response. This shows that AKF algorithm can
accurately estimate the vibration state of rotor system.
Fig. 6 and Fig. 7 show the estimation results of unbalance parameters on the two disks using the AKF algorithm. It can also
be seen that there is little difference between the estimated and true unbalance parameters given in Table 3.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 11

Fig. 10. The unbalance parameters estimation results on disk 2 when SNR is 20 dB.

Table 5
The estimated unbalance parameters of two disks when SNR is 20 dB.

me (g.mm) f (deg) Eamp Epha (deg)

Exact Estimated Exact Estimated

Disk 1 120 119.45 30 30.22 0.46% 0.22
Disk 2 160 160.77 144 143.40 0.48% 0.60

Fig. 11. Displacement estimation results when SNR is 10 dB.

Furthermore, the average value of identification results is taken as the estimated value. Then the identification errors are
defined as follows:
 
ðmeÞestimation mean  ðmeÞexact   
Eamp ¼    100%; E


pha ¼ festimation mean  fexact  (30)
ðmeÞexact

where Eamp is the relative errors of amplitude and Epha is the absolute errors of phase.
The results of the estimation errors are shown in Table 4. It can be seen that the errors are very small in both amplitude and
phase.
All these results show that the unbalance parameter identification method constructed by AKF algorithm is effective.

(2) SNR ¼ 20 dB
12 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Fig. 12. The unbalance parameters estimation results on disk 1 when SNR is 10 dB.

Fig. 13. The unbalance parameters estimation results on disk 2 when SNR is 10 dB.

Table 6
The estimated unbalance parameters of two disks when SNR is 10 dB.

me (g.mm) f (deg) Eamp Epha (deg)

Exact Estimated Exact Estimated

Disk 1 120 103.65 30 34.01 13.62% 4.01
Disk 2 160 142.30 144 137.54 11.06% 6.46

When SNR is 20 dB, the noise component in the signal cannot be ignored. Fig. 8 is the displacement estimation results at
two measuring points. As can be seen from the figure, the estimated response completely coincides with the displacement
response without noise. This shows that AKF algorithm can effectively filter out the interference of measurement noise and
accurately estimate the vibration state of rotor system.
Fig. 9 and Fig. 10 are identification results of unbalance parameters on two disks. It can be seen that the identification
results are quite different from those in Figs. 6 and 7. The estimated unbalance parameters fluctuate continuously in the
process of time recurrence due to the influence of measurement noise. Nevertheless, the estimated values are always close to
the exact values, and the difference between the identified values and the accurate unbalance parameters is still very small.
Furthermore, Table 5 gives the identification errors. From this table, it is known that the amplitude errors at the two disks
are only 0.46% and 0.48% respectively. And the phase errors at the two disks are only 0.22 and 0.60 , respectively. And the
estimation errors are also very small.
Therefore, these results show that even in the presence of noise interference, the unbalance parameter identification
algorithm constructed in this study is still effective and can filter out noise interference very well.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 13

Fig. 14. The identification errors of unbalance parameters of disc 1.

Fig. 15. The identification errors of unbalance parameters of disc 2.

Fig. 16. Single-span double-disk rotor experiment bench.

(3) SNR ¼ ¡10 dB

The signal-to-noise ratio (SNR) is further reduced to 10 dB. At this point the noise energy is much larger than the signal
energy. Fig. 11 shows the displacement estimation results at two measuring points. It can be seen from the figure that
although the measurement signal with noise is very messy, the displacement response estimated by AKF algorithm can still
14 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Table 7
Comparisons of the critical speeds between experiment and theory.

The first The second

Experiment fe /rpm 1912.6 5723.5

Calculation fc /rpm  1953.1 5931.4
fc  fe 
Relative errors    100%/Hz 2.12% 3.63%
fe 

Table 8
The unbalance parameters on the two disks of the rotor.

Disk1 Disk2
Amplitude me Phase f Amplitude me Phase f
87.8 g mm 135 deg 87.8 g mm 60 deg

Fig. 17. Comparison of measured and estimated displacements at measuring point 1.

Fig. 18. Comparison of measured and estimated displacements at measuring point 2.

be consistent with the real displacement response. As a result, AKF algorithm can effectively filter out the interference of
measurement noise.
Fig. 12 and Fig. 13 are the estimation results of unbalance parameters on two disks by AKF algorithm. It can be seen that,
compared with the results of Figs. 9 and 10, the estimated unbalance parameters obviously show more severe fluctuations in
the recursive process over time due to strong noise interference. However, the estimated unbalance parameters are always
close to the true values and do not diverge.
Table 6 further gives the identification errors. As can be seen from the table, even if the SNR is 10 dB, the amplitude errors
at the two disks are only 13.62% and 11.06% respectively. And the phase errors at the two disks are only 4.01 and 6.46 ,
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 15

Fig. 19. Comparison of theoretical and estimated unbalance forces on disk 1.

Fig. 20. Comparison of theoretical and estimated unbalance forces on disk 2.

respectively. This shows that the unbalance identification algorithm based on AKF could filter out noises and is therefore
strongly robust.

4.2. Results under different speeds and SNRs

Next, the identification results of the AKF under different SNRs and rotating speeds are analyzed. SNR is taken as 70 dB,
60 dB, 40 dB, 30 dB, 20 dB, 10 dB, 0 dB, 10 dB respectively. The rotation speed is 1000 rpm, 1500 rpm and 3000 rpm
respectively.
Fig. 14 and Fig. 15 show the identification errors of unbalance parameters of disc 1 and disc 2 under different rotating
speeds and different SNRs. The following conclusions can be drawn from these figures.

(1) At different rotational speeds, even if SNR is very low (reach up to 10 dB), the AKF still shows high estimation ac-
curacy. When the rotation speed is 1000 rpm, the maximum amplitude identification error on the disc 1 is 23.9% and

Table 9
The estimated unbalance parameters of two disks.

me (g.mm) f (deg) Eamp Epha (deg)

Exact Estimated Exact Estimated

Disk 1 87.8 79.2 135 149.3 9.79% 14.3
Disk 2 87.8 79.7 60 47.6 9.23% 12.4
16 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Fig. 21. Comparison of axis orbit at two measured sections before and after balancing.

Table 10
Comparison of efficiency and accuracy between the AKF and FRFI.

Efficiency Accuracy

Amplitude errors Phase errors (deg)

AKF FRFI AKF FRFI AKF FRFI

SNR ¼ 70 dB 2s 5s 0.57% 0.49% 0.39 0.32
SNR ¼ 20 dB 2.5 s 5s 0.46% 1.23% 0.22 1.13
SNR ¼ -10 dB 4s 5s 13.62% 75.76% 4.01 39.64

Fig. 22. The identification time of AKF method when the SNR is 70 dB.

the maximum phase identification error is 11.8 . The maximum amplitude identification error on disc 2 is 18.3% and the
maximum phase identification error is 12.2 .
(2) The lower the SNR is, the greater the estimated errors are.
(3) When the SNR is greater than a critical value (about 10 dB), the estimated errors are almost unchanged with the in-
crease of SNR, indicating that the AKF algorithm can basically eliminate noise interference at this time.

In a word, all the previous simulation calculations can fully show that the unbalance parameter identification method
based on AKF algorithm has high identification accuracy. Even when the SNR is very low, the interference of measurement
noise can be effectively filtered out. Therefore, it has strong robustness and is very suitable for field applications.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 17

Table 11
Identification accuracy under different unbalance configurations.

Configuration number Disk 1 Disk 2

Eamp Epha (deg) Eamp Epha (deg)

C1 0.46% 0.22 0.48% 0.60
C2 0.36% 0.11 e e
C3 e e 0.37% 0.05

Fig. 23. Different configurations of measuring points.

Table 12
Identification accuracy under different measuring point configurations.

Configuration number Disk 1 Disk 2

Eamp Epha (deg) Eamp Epha (deg)

M1 0.46% 0.22 0.48% 0.60
M2 0.34% 0.24 0.37% 0.55
M3 2.62% 0.71 1.18% 1.25
M4 415% 98 544% 113
M5 0.16% 0.26 0.39% 0.59
M6 0.13% 0.19 0.19% 0.47
M7 0.42% 0.31 0.44% 0.63
M8 0.54% 0.35 0.41% 0.79

5. Experimental verification

In this section, the effectiveness of the unbalance identification algorithm will be verified on a rotor test bench which is
shown in Fig. 16. Table 7 shows the first two order critical speeds obtained by experiment and theoretical calculation. It can be
seen that the maximum relative error is 3.63%, which indicates the correctness of the dynamic model.
The experimental speed is 1400 rpm. First, the rotor is balanced so that the vibration displacements at the two measuring
points shown in Fig. 16 do not exceed 8 mm. At this moment, it can be approximately considered that there is no residual
unbalance in the rotor. Then the unbalance parameters shown in Table 8 are applied to the disks 1 and 2. The vibration
displacements at the two measuring points are taken as the observation vector in the AKF algorithm. The sampling frequency
is 1000 Hz.
Fig. 17 and Fig. 18 are comparisons between measured responses and estimation responses by AKF algorithm. It can be seen
from these figures that the two curves are highly consistent, which indicates the effectiveness of the algorithm.
Fig. 19 and Fig. 20 are unbalance parameter identification results by the AKF algorithm. It can be seen that, at the
beginning, the identified unbalance parameters fluctuate greatly. This is because the initial state estimate X b a and the
0j0
covariance matrix P0j0 are arbitrary when Kalman filtering is performed, which affects the identification results. However,
after about 1 s, the identification results quickly tend to a stable state, indicating that Kalman filtering has high efficiency.
18 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

Furthermore, in Figs. 19 and 20, the average value after stabilization is taken as the estimated value. Then the unbalance
amplitude and phase identification errors defined by Eq. (30) are shown in Table 9. As can be seen, the maximum amplitude
error is 9.79%, and the maximum phase error is 14.3 .
There are many reasons for the errors. (1) Firstly, although the rotor is balanced before the experiment, there is still a small
amount of residual unbalance response (about 8 mm), which will generate errors in the identification results. (2) Secondly, in
the measurement response, besides the shaft frequency component, there are also a small amount of other frequency
components, such as double frequency. These off-shaft frequency components will interfere with the identification results.
(3) In addition, there are systematic errors, including dynamic model errors and experimental instruments errors. Although
Kalman filtering method has the function of filtering noise, it is impossible to eliminate all noise completely [40].
The identified unbalance parameters are applied to the two disks in reverse phase, so that the rotor is balanced. Fig. 21
shows the axis orbit at two measuring points before and after balance. As can be seen from the figure, the responses after
balancing are all no more than 15 mm.
In summary, from the experimental results, the proposed unbalance identification method based on AKF algorithm is
effective.

6. Discussion

At present, augmented Kalman filter (AKF) method is widely used to identify earthquake and wind loads on structures
[37,41]. In this study, based on the AKF, a new online identification method for unbalance loads of rotors is proposed, in which
the recursive process of load is reconstructed using the complex exponential form of the unbalance loads. Therefore, the
proposed method is an extension of the method in Reference [37]. From the simulation and experiment results, the AKF
method proposed in this study is effective.
In this section, the characteristics of AKF method will be further discussed, including the calculation accuracy and effi-
ciency, its adaptability under different unbalance configurations and different measuring point configurations, etc.

6.1. Comparison of calculation efficiency and accuracy

First, the efficiency and calculation accuracy of the AKF method and the frequency response function matrix inversion
(FRFI) method are compared. At present, the FRFI method is commonly used to identify unbalance loads [1e5], which has
been investigated in depth in our previous studies [4,7,43]. Table 10 shows the results of unbalance identification on disk 1
using these two methods. The definition of amplitude errors and phase errors are shown in Eq (30).
It can be seen that the AKF method proposed in this study is more efficient. The main reason is that the FRFI method is a
frequency domain method, so the collected time domain displacement signals need to be converted to the frequency domain
by fast Fourier transform (FFT). Therefore, the time consumed by the FRFI method is mainly the sampling time (the computer
calculation time is very little and negligible). This study assumes that the sampling frequency is 1000 Hz, the sampling time is
5 s, and the corresponding frequency resolution is 0.2 Hz. The AKF method is an online time domain method. The sensor takes
signals while the computer processes them in real time. As can be seen from Fig. 22, when the SNR is 70 dB, the AKF method
only needs about 2 s to identify unbalance parameters. In addition, the AKF method is better in identification accuracy. This is
because in the FRFI method, the condition number of its coefficient matrix formed by extracting elements from FRF matrix is
very large, which is often an ill-posed problem [8]. Therefore, when the measurement noise is large, the error of identification
result is also large. However, AKF method does not have the trouble of large number of conditions, hence it can effectively
filter out the measurement noise and model error, realizing minimum-variance unbiased estimation.

6.2. The effect of different configurations

6.2.1. Different unbalance configurations

This section will discuss the identification accuracy of AKF method under different unbalance configurations. Since there
are only two unbalance discs in the rotor model, there are three possible unbalance combinations. The first is that both discs
are unbalanced and is denoted as C1. The second is that disk 1 has unbalance, while disk 2 has no unbalance, which is denoted
as C2. The third is that there is no unbalance in disk 1, while disk 2 has unbalance, which is denoted as C3. Once a disc has
unbalance, its unbalance parameters are the same as the case in Table 3.
Table 11 shows the identification errors at 1500 rpm and SNR of 20 dB. The definition of errors is shown in Eq. (30). It can
be seen that the AKF algorithm can effectively identify the unbalance of the rotor at different unbalance configurations, which
indicates that AKF method has good adaptability.

6.2.2. Different measuring point configurations

Next, the identification accuracy of AKF method under different measuring point locations, numbers, and types will be
discussed. However, this is not to optimize the configurations of measuring points, which is not the scope of present work.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 19

In this study, eight different measuring point configurations are assumed, which are denoted from M1 to M8 respectively.
As shown in Fig. 23, M1 to M3 can reflect the influence of different measuring point locations. M1 and M4 to M6 can explain
the influence of different measuring point numbers. M1, M7 and M8 can indicate the influence of different measuring point
types, including displacement, velocity and acceleration response. The velocity response can be realized by a laser velocity
sensor. When measuring acceleration, because the rotor is rotating, the method of data wireless transmission can be adopted.
At present, there are many wireless transmission methods, such as transmitting signals to computers through wireless
networks, which is described in detail in Ref. [44].
Table 12 shows the unbalance identification accuracy of AKF under different configurations at 1500 rpm and SNR of 20 dB.
It can be seen that AKF method can effectively identify rotor unbalance under these configurations except M4, indicating that
AKF method has good adaptability. For configuration of M4, when there is only one measuring point and there are two
unbalance disks to be identified, the AKF algorithm fails because it is an ill-posed problem. The rule of identification results in
Table 12 is not obvious, but it can be roughly seen that the identification accuracy of AKF is high when the number of
measurement points is large (indicating a lot of available information) or when the measurement points are close to the disk
(indicating a large response at the measurement points). In a word, the unbalance identification accuracy can be improved by
optimizing the configuration of measuring points, which needs further in-depth research in the future.
In summary, from the above discussion, we can see that the unbalance algorithm proposed in this study has good ad-
vantages. However, the simulation model in this study is simple. For complex rotor systems on site, in which nonlinear factors
are involved, the effective of AKF method needs further research in the future.

7. Conclusions

In this study, a new, time-domain unbalance load identification method is constructed using finite element method (FEM)
combined with the augmented Kalman filter (AKF) algorithms. Its identification accuracy is studied by simulation and
experiment. Some conclusions can be obtained.

(1) Simulation results show that the proposed method is effective for different rotational speeds, different unbalance
configurations and different measuring point configurations.
(2) The error of the first-order natural frequency between experiment and simulation is 2.12%, and the error of the second-
order natural frequency is 3.63%, which indicates the correctness of the dynamic model established in this study.
(3) Simulation results show that when the signal-to-noise is 0 dB, the maximum amplitude identification error is 7.9% and
the maximum phase identification error is 3.6 . And experimental results show that the maximum amplitude iden-
tification error is 9.79% and the maximum phase identification error is 14.3 . Therefore, the simulation and experiment
all prove the correctness of the proposed method.

Acknowledgement

This work was supported by the National Natural Science Foundation of China (grant numbers 11802175) and special
funding of China Postdoctoral Science Foundation (grant numbers2019T120339). The authors express their gratitude.

Appendix A

1. Lumped mass element

The disk-like structure (such as impellers, flywheels, etc.) is simplified as lumped mass elements considering mass and
moment of inertia. It is assume that the mass, polar moment of inertia and diameter moment of inertia of the disk are m, Jp
and Jd , respectively. Then the mass matrix ½Md  and gyro matrix ½Gd  of the disc can be expressed as:
   
m 0 0 0
½Md  ¼ ; ½Gd  ¼ (A.1)
0 Jd 0 Jp

2. Timoshenko beam element

The rotating shaft can be simplified to Timoshenko beam element, considering the influence of shear deformation and
moment of inertia. The mass matrix ½Ms , stiffness matrix ½Ks  and gyro matrix ½Gs  of the shaft section can be expressed as
(they are all symmetrical matrix and only half of the elements are given):
20 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972

2 3 2 3
m1 m2
m4 m3 m7 m8 m7 m8
rAl 6 6 m5 7
m6 7 m4 rI 66 m9 m8 m10 7
7
½Ms  ¼ 4 þ (A.2)
ð1 þ kÞ2 m2 5 lð1 þ kÞ2 4
m1 m7 m8 5
Sym m5 Sym m9
2 3
m7 m8 m7 m8
2rI 6 6 m9 m8 m10 7 7
½Gs  ¼ 4 (A.3)
lð1 þ kÞ2 m7 m8 5
Sym m9
2 3
12 6l 12 6l
EI 6 ð4 þ kÞl2 6l ð2  kÞl2 7
½Ks  ¼ 3 6 7 (A.4)
l ð1 þ kÞ 4 12 6l 5
Sym ð4 þ kÞl2

where I is section moment of inertia. k ¼ m12EI

AGl2
is shear deformation coefficient. m is between 0.45 and 0.9. For a solid circular
E
section, it is 0.9. G ¼ 2ð1þ nÞ is shear modulus. m1 to m10 can be expressed as:

13 7k k2 11 11k k2 9 3k k2
m1 ¼ þ þ ; m2 ¼ l þ þ ; m3 ¼ þ þ
35 10 3 210 120 24 70 10 6
 
13 3k k2 1 k k2
m4 ¼ l þ þ ; m5 ¼ l2 þ þ
420 40 24 105 60 120
 2 
1 k k 6 1 k
m6 ¼ l2 þ þ ; m7 ¼ ; m8 ¼ l 
140 60 120 5 10 2
 2 
2 k k 1 k k2
m9 ¼ l2 þ þ ; m10 ¼ l2   þ
15 6 3 30 6 6

Appendix B

Z Dt
ðkþ1Þ

G ¼ u2 eAðkþ1ÞDt B eðAþiuÞt dt (B.1)

kDt

Eq. (B.1) is calculated by numerical integration.

Method 1: fourth-order Newton-Cotes formula
Eq. (B.2) is an integral of an arbitrary function.

tZk þT

x¼ f ðtÞdt (B.2)
tk

The fourth-order Newton-Cotes formula can be expressed as:

T
xz ½7f ðx0 Þ þ 32f ðx1 Þ þ 12f ðx2 Þ þ 32f ðx3 Þ þ 7f ðx4 Þ (B.3)
90

where xn ¼ tk þ T4 n; n ¼ 0; 1; 2; 3; 4
Therefore, it can be known that the solution of Eq. (B.1) can be written as:
0 1
u2 eiuðkþ1ÞDt Dt @ 3ðAiuÞDt ðAiuÞDt ðAiuÞDt
G¼ 7eðAiuÞDt þ 32e 4 þ 12e 2 þ 32e 4 þ 7IAB (B.4)
90

Method 2: fourth-order Runge-Kutta integration

Eq. (B.5) is an integral of an arbitrary function.
 D. Zou et al. / Journal of Sound and Vibration 463 (2019) 114972 21

tZk þT

x¼ f ½xðtÞ; tdt (B.5)

tk

The fourth-order Runge-Kutta integration can be expressed as:

Dx1 ¼ f ½xðtk Þ; tk ,T; Dx2 ¼ f ½xðtk Þ þ Dx1 =2; tk þ T=2,T

Dx3 ¼ f ½xðtk Þ þ Dx2 =2; tk þ T=2,T; Dx4 ¼ f ½xðtk Þ þ Dx3 ; tk þ T,T (B.6)
xzðDx1 þ 2Dx2 þ 2Dx3 þ Dx4 Þ=6

Therefore, it can be known that the solution of Eq. (B.1) can be written as:
0 1
u2 eiuðkþ1ÞDt Dt @ ðAiuÞDt
G¼ eðAiuÞDt þ 4e 2 þ IAB (B.7)
6

Compared with the fourth-order Runge-Kutta integration method, the Cotes formula is more computational, and its ac-
curacy is also higher.

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