Proc. of 21st IMAC, Paper no. 230, Feb.

2003

MULTI PLANE BALANCING OF A ROTATING MACHINE

USING RUN-DOWN DATA

A. W. Lees, J. K. Sinha and M. I. Friswell*

Department of Mechanical Engineering, University of Wales Swansea, Swansea SA2 8PP, UK
(a.w.lees@swansea.ac.uk, mesinhjk@swansea.ac.uk)
*Department of Aerospace Engineering, University of Bristol, Bristol BS8 1TR, UK
(m.i.friswell@bristol.ac.uk)
ABSTRACT
Earlier studies have suggested a reliable estimation of the
state of the rotor unbalance (both amplitude and phase) at
multi plane of a flexibly supported machine from measured
vibration data on a machine during a single machine rundown. Now a method has been proposed that can reliably
estimate both the rotor unbalance and misalignment from
measured vibration during a single machine run-down. For
this identification, it has been assumed that the source of
misalignment in the rotor is the coupling of the multi-rotor
system, and that will generate constant forces and
moments at the couplings depending upon the extent of the
off-set between the two rotors irrespective of the machine
rotating speed. The theoretical concept, and the complete
computational implementation used are presented in this
paper. The method is demonstrated using experimental
data from a machine with 2 journal bearings and a flexible
coupling to the motor.
1. INTRODUCTION
Power station turbogenerators may be considered to
consist of three major parts; the rotor, the fluid journal
bearings and the foundations. In many modern plants,
these foundation structures are flexible and have a
substantial influence on the dynamic behaviour of the
machine. These machines have a high capital cost and
hence the development of condition monitoring techniques
for such rotating machines is important. Perhaps the
vibration-based identification of faults such as rotor
unbalance, rotor bent, crack, rub, misalignment, fluid
induced instability is well-developed [1] and widely used in
practice, however the quantification parts the extent of
identified faults and their locations - have been active areas
of research for many years. Over the past thirty years,
theoretical models have played an increasing role in the
rapid resolution of problems in rotating machinery. Doebling
et al. [2] gave an extensive survey on the crack detection
methods. Parkinson [3] and Foiles et al. [4] give some
comprehensive reviews on the rotor balancing. Muszynska
[5] gave a thorough review of the rubbing phenomenon.
Edwards et al. [6] gave a brief review of the wider field of
fault diagnosis. However the study on the rotor

misalignment is limited to understanding this phenomenon

[7-13] but none of them have suggested any method for the
direct quantification of misalignment.
In spite of the success of model based estimation of faults,
the construction of a reliable mathematical model is still
impossible. Often a good finite element (FE) model of the
rotor and an adequate model of the fluid bearing [14] may
be constructed. Indeed several FE based software
packages are available for such modelling. However a
reliable FE model for the foundation is difficult, if not
impossible, to construct due to a number of practical
difficulties [15]. Inclusion of the foundation model is very
important as it is observed that the dynamics of the flexible
foundation also contributes significantly to the dynamics of
the complete machine. Many research studies [16-22] have
been carried out to derive the foundation models directly
from the measured machine responses but more research
is needed on their practical application. Hence a complete
mathematical model of a machine is still not available for
condition monitoring in many cases.
Considering the above limitations, an alternate method has
been suggested by Lees and Friswell [23] for the reliable
estimation of the multi plane rotor unbalance using a priori
rotor and bearing models along with the measured
response at bearing pedestals from a single machine rundown. They estimated the foundation parameters as a byproduct to account for the foundation dynamics. Lees and
Friswell [23] demonstrated the method on a simple
simulated example. The method has been further validated
on a small simple experimental rig [24]. In both the cases
the number of modes of the system were less than the
measured DoF in the run-down frequency range. However
for systems like TG sets the number of modes excited may
be more than the measured DoF in the run-down frequency
range. Thus the estimated unbalance may not account for
all the critical speeds. Hence the method has been modified
further to reliably estimate the rotor unbalance by splitting
the whole frequency range into bands for the foundation so
that the band dependent foundation models account for all
critical speeds. The advantages of the suggested approach

 Z R,ii
Z
R,bi
0

have been demonstrated on a complex simulated example

and on an experimental rig [25-27].
However in a multi-rotor system there is always the
possibility of rotor misalignment and it may influence the
machine response and hence the unbalance estimation.
The above method has been further modified to estimate
both the rotor unbalance and misalignment. The general
perception and observation is that the misalignment in
multi-coupled rotors generates a 2X (twice the rotating
speed) component in the response of the machine [8-9] and
the effect on the 1X component is assumed to be small.
These features are usually used for the detection of the
presence of rotor misalignment [28]. Many simple analytical
simulations have been carried out to understand this
phenomena [7, 10]. However in the present paper the
identification of rotor unbalance and misalignment has been
carried out using the 1X response at the bearing pedestals
of the machine from a single run-down, even though the
direct influence on the 1X response due to misalignment
may be small.

Z R ,ib

Z R ,bb + Z B
- ZB

rR,i f u

- Z B rR ,b = 0
Z B + Z F rF ,b 0
0

(1)

where Z is the dynamic stiffness matrix, the subscripts b

and i refer to internal and bearing (connection) degrees of
freedom respectively, and the subscripts F, R, and B refer
to the foundation, the rotor and the bearings. r are the
responses and fu are the force vectors, which are
assumed to be applied only at the rotor internal degrees of
freedom. The dynamic stiffness matrix of the foundation,
Z F , is defined only at the degrees of freedom connecting
the bearings and the foundation. In practice this will be a
reduced order model, where the internal foundation degrees
of freedom have been eliminated [1]. The dynamic stiffness
matrix of the bearings is given by Z B . It has been assumed
that the inertia effects within the bearings are negligible,
although these could be included if required.
Solving equation (1) to eliminate the unknown response of
the rotor gives,

For the current identification, it has been assumed that the

source of misalignment in the rotor is the coupling of the
multi-rotor system. Such a misalignment will generate
constant forces and moments at the couplings depending
upon the extent of the off-set between the two rotors and
irrespective of the machine rotating speed [7]. The force
vector in the equation of motion was assumed to consist of
both the unbalance forces and the constant forces and
moments at the couplings, and these parameters were
estimated along with the foundation model. The theoretical
concept, and the complete computational implementation
used are presented in this paper. The method is
demonstrated using experimental data from a machine with
two bearings and a flexible coupling to the motor.

Z F rF ,b + Z B P

where

1
Z R,bi Z R,ii
fu

= Z B P

Z B - I rF ,b

(2)

1
P = Z R,bb + Z B - Z R,bi Z R,ii
Z R,ib . It is assumed

that good models for the rotor and the bearings, Z R and
Z B , are known a priori and rF ,b is measured. Thus, the
only unknown quantities in equation (2) are the foundation
model, Z F , and the force vectors, f u .
2.1. PARAMETER ESTIMATION
The force vectors can be defined as

f u = f un + f m ,

(3)

where f un is the vectors of the unbalance forces and f m is

the vectors of forces and moments at the couplings.
Unbalance Forces: Although the unbalance will be
distributed throughout the rotor, this is equivalent to a
discrete distribution of unbalance, provided there are as
many balance planes as active modes. Suppose the
unbalance planes are located at nodes n1 , n2 , K, n p ,
where p is the number of planes. The associated amplitude
of unbalance (defined as the unbalance mass multiplied by
distance between the mass and geometric centres) and

Figure 1. The abstract representation of a turbogenerator

system

[un1 , un2 , K, un p ]T and

2. THEORY

phase

Figure 1 shows the abstract representation of a

turbogenerator, where a rotor is connected to a flexible
foundation via oil-film journal bearings. The equations of
motion of the system may be written [1, 26] as

[qn1 , qn2 ,K, qn p ]T respectively. These amplitudes and

angles

are

phase angles can be expressed, for the i th balance plane,

as the complex quantity

uni exp jqni = er ,ni + j ei ,ni .

f un ,

Hence, the unbalance forces,

To identify the foundation parameters and forces in a least

squares sense, the foundation parameters are grouped into
a vector v. We will assume that the foundation dynamic
stiffness matrix, Z F , is written in terms of mass, damping
and stiffness matrices. If there are n measured degrees of
freedom at the foundation-bearing interface, then v will take
the form,

in the horizontal and

vertical directions, can be written as [26]

f un = w 2 Te ,

(4)

where e = er ,n1 er , n2 er , n p ei , n1 ei ,n2 ei , n p and

v = k F ,11 k F ,12 K k F ,nn cF ,11 cF ,12 K

T is a selection matrix indicating the location of the balance

planes.

K cF ,nn mF ,11 mF ,12 K mF ,nn

(7)

where the elements in v are individual elements of the

structural matrices. With this definition of v, there is a linear
transformation such that

z


Z F rF ,b = W v ,

Parallel Misalignment

(8)

where W contains the response terms at each measured

frequency [1]. For the q th measured frequency


( )

Angular Misalignment

( )

Wk (wq ) = jwq

Combined Misalignment

Figure 2 Schematic of rotor with misalignment at a coupling

Tm

[
[P

= ZB

ZB

(12)

R m (w q ) = Z B (w q )P 1 (w q )Z R,bi (w q )Z R1,ii (w q )Tm (14)



(5)

]
- I] r

(11)

Clearly there is an equation of the form of (11) at every

frequency. The equations generated may be solved in a
least squares sense directly, although the solution via the
singular value decomposition (SVD) is more robust. Such
an equation error approach does not optimise the error in
the response directly, and thus the accuracy of the
predicted response is not assured. The great advantage is
that the equations are linear in the parameters. However a
non-linear optimisation (output error) may be performed,
starting with linear estimated parameters, if a more accurate
prediction of the response is required [1, 22]. In the present

location of the couplings. Substituting equations (4) and (5)

into equation (2) produces,


( )

Q(w q ) = Z B (w q ) P 1 (w q ) Z B (w q ) - I rF ,b (w q ) (13)

is the transformation matrix indicating the

( )]

Rm wq

v

e = Q wq ,
e
m

1
R (w q ) = w 2q Z B P 1 (w q ) Z R,bi (w q ) Z R,ii
(w q ) T

f y , mc , M y ,mc , M z , mc , where the subscripts

e
Z F rF ,b + Z B P 1 Z R ,bi Z R1,ii w 2 T Tm
e m

where the form of R, R m and Q may be obtained by

comparing equations (6), (10) and (11), as

y and z represent the horizontal and vertical directions and f

and M are forces and moments respectively. Hence, the
misalignment force, f m , can be written as [1]

where

(9)

rFT,b (wq )
0
L
0

0
rFT,b (wq )
0

, (10)

M
M
O
M

0
0
L rFT,b (wq )

[W(w q ) R(w q )

f m = Tm e m ,

( )

W2 w q ,

for k = 0, 1, 2 . Equation (6) then becomes

Misalignment Forces and Moments: It has been assumed

that the misalignment in the rotor exists at the couplings
between the multi-rotors. The nature of the rotor
misalignment could be parallel, angular or combined as
shown in Figure 2, but all of them would generate forces
and moments. Let us assumed that there are c couplings
in the rotor located at nodes
m1 , m2 , , mc . The
associated amplitude of the forces and moments are
e m = f z , m1 , f y , m1 , M y , m1 , M z , m1 , f z , m2 , f y , m2 , K

f z , mc ,

( )

W1 w q

where, if all elements of the foundation mass, damping and

stiffness matrices are identified,

( )

W w q = W0 w q

(6)

F ,b

misalignment magnitudes expected. Truncated SVD was

used to solve the equations [30].

paper, only the equation error approach has been

considered in order to concentrate on the influence of
frequency range subdivision. Furthermore, the unbalance
and misalignment seems to be estimated robustly by the
equation error approach, even if the foundation is relatively
inaccurate [24].

Other physically based constraints may be applied to the

foundation model to improve the conditioning. For example,
the mass, damping and stiffness matrices of the foundation
may be assumed to be symmetric, therefore reducing the
number of unknown foundation parameters. Other
constraints could be introduced, such as a diagonal mass or
damping matrix, or block diagonal matrices if bearing
pedestals do not interact dynamically.

2.2. SPLITTING THE FREQUENCY RANGE

Suppose that the frequencies at which the response is
measured are w q , q = 1, K , N . Let us assume that the
run-down frequency range is split into b frequency bands.
The vectors of the foundation parameters are identified in
each frequency band, and are denoted v1 , v 2 ,, vb .
Hence combining the frequency band dependent foundation
models and the global unbalance and misalignment similar
to the unbalance estimation [26], gives from equation (11),
v1


Wband_1
0


0
0


Wband_2


R band _ 1
R band _ 2

R m, band _ 1
R m, band _ 2

Wband_ b

R band _ b

R m, band _ b

Q band_ 1
Q band_2


v2

Figure 3 shows a photograph of the rig. Each foundation of

this rig, shown in Figure 3, consists of a horizontal beam
(500mm x 25.5mm x 6.4 mm) and a vertical beam (322mm
x 25.5mm x 6.4mm) made of steel. The horizontal beam is
bolted to the base plate and the vertical beam to the
bearing assembly as seen in the photograph. A layer of
acrylic foam (315mm x 19mm x 1mm) was bonded between
the vertical beam and thin layers of metal sheet (315mm
x19mm x 350mm) to increase the damping. In fact the
modal experiment confirms that the damping of the
foundation increased to 1.4% from a value of 0.6% at the
first lateral mode. A 12mm OD (d) steel shaft of 980mm
length is connected to these flexible supports and is
coupled to the motor through a flexible coupler. One flexible
foundation is connected at 15 mm and other at 765 mm
from the right end of the shaft through self-lubricating ball
bearings. The shaft also carries two identical balancing
disks of 75mm OD and 15mm thickness and placed at 140
mm and 640 mm from the right end of the shaft. Disk A is
near to the Motor.

3. THE EXPERIMENTAL EXAMPLE

vb
e
em

Q band_ b

(15)
Let us assume that the stiffness of an ith coupling is K c,i
then the linear misalignment, Dyi &

An FE model was created for the rotor using two-noded

Timoshenko beam elements, each with two translational
and two rotational degrees of freedom. Sinha [1] gives
details of the dynamic characterization of the rig by modal
tests and FE analysis.

zi , and the angular

misalignment, Dq y,i & Dq z,i at the i th coupling in the

horizontal and the vertical directions can be calculated as
[7]

Dz i

Dy i

= [K c ,i ]
Dq y , i
Dq z , i

f z ,i

1 f y ,i

M y ,i
M z ,i

(16)

2.3. REGULARISATION
Equation (15) is a least-squares problem, and its solution is
likely to be ill-conditioned [21]. Generally two types of
scaling, namely row scaling and column scaling, may be
applied to least squares problems [29]. Column scaling is
necessary because of the different magnitudes of the
elements of the M F , C F and K F matrices, and the

Figure 3 Photograph of the rig in Swansea (UK)

scaling factors used here were 1, w and w 2 respectively,

where w is the mean value of the frequency range. The
scaling of the columns of R and R m depend upon
engineering judgement based on the unbalance and

Different run-down experiments were performed with the

rotor speed reducing from 2500 RPM to 300 RPM for
different combinations of added masses to the balance
disks A and B listed in Table 1. Runs 1 and 4 were the

single run-down or run-up of the machine. The method also

estimates the frequency band dependent foundation
parameters to account for the dynamics of the foundation.
The suggested method has been applied to a small
experimental rig and the estimated results were excellent.
Hence the suggested method seems to be reliable for the
estimation of both rotor unbalance and misalignment and
needs to be tested on real machines, such as a TG set, to
further enhance the confidence level in the approach.

residual runs-down i.e., without any added mass to the

disks. The order tracking was performed such that each set
of the run-down data consisted of the 1X component of the
displacement responses in the frequency range from
5.094Hz to 40.969Hz in steps of 0.125Hz.
Four critical speeds (two in the horizontal and one each in
the vertical and axial directions) of the machine were
present in the run-down frequency range of 5.094Hz to
40.969Hz. The unbalance and misalignment estimation was
carried out by the suggested method for individual runs
assuming misalignment forces and moments at the coupling
of the rotor with the motor. The frequency range was split
into three bands; 5.094Hz to 12.094Hz, 12.094Hz to
27.469Hz, and 27.469Hz to 40.969Hz based on the
observation that the estimated responses were a close fit to
the measured responses. The estimated results are listed in
Table 1 and Figure 4 compares typical measured and
estimated responses.

5. ACKNOWLEDGEMENTS
The authors acknowledge the support of EPSRC through
grant number GR/M52939. Jyoti K. Sinha acknowledges
Mr R. K. Sinha, Associate Director, RD & DG of his parent
organization B.A.R.C., India for consistent support and
encouragement.
6. REFERENCES
1.

Figure 4 shows that the fit of the estimated response is

close to the measured. Table 1 also shows that the
estimated unbalance is excellent and close to the actual
values and the estimated misalignment in the rotor at the
coupling is quite consistent for each run. The order of the
estimated misalignment (approximately 0.1 and 0.2 mm in
the horizontal and vertical directions and their related
angular misalignment is 0.4 and 0.2 degrees respectively) is
very small and such a misalignment is quite possible during
the rig assembly. The small deviation in the estimation may
be because of noise in the measurements, however the
estimation seems to be quite robust. Hence this
experimental example confirms that an accurate estimation
of both the rotor unbalance and misalignment is possible
using measured responses from a single run-down of a
machine.

2.

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10

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Figure 4 Measured and estimated responses at bearing A,

for run 2 for the experimental rig
4. CONCLUSION
An estimation method for both the state of rotor unbalance
(amplitude and phase) and the misalignment of a rotorbearing-foundation system has been presented. The
estimation uses a priori rotor and bearing models along with
measured vibration data at the bearing pedestals from a

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Table 1 Estimation of both the rotor unbalance and misalignment from the experimental run-down data

Run

1
4
2
3
5

Disk

Actual
Unbalance
(g @ deg.)

Estimated
Unbalance
(g @ deg.)

Residual

1.84 @ 130

Residual

1.46 @ 350

Residual

1.99 @ 127

Residual

1.44 @ 341

0.76 @ 180

2.48 @ 144

0.76 @ 0

2.33 @ 354

1.52 @ 180

2.75 @ 158

1.52 @ 0

2.96 @ 1

0.76 @ 45

2.54 @ 114

0.76 @ 225

1.34 @ 323

Hori., Dy

Estimated Misalignment
Hori. Angle
Vert., Dz

Added Unbalance (g@ deg.)

With respect With respect
to Run 1
to Run 4

(mm)

(mm)

Dq z (deg.)

Dq y (deg.)

0.10

0.21

0.40

0.69

-----

-----

0.09

0.18

0.32

0.20

-----

-----

0.14

0.20

0.75

0.45

0.82 @ 181

0.82 @ 190

0.88 @ -4

0.98 @ 14

1.41 @ 191

1.46 @ 202

1.55 @ 11

1.67 @ 18

0.14
0.08

0.18
0.21

0.42
0.24

Ver. Angle

0.16
0.17

0.95 @ 79

0.76 @ 76

0.66 @ 236

0.45 @ 228