Modeling, Analysis, and

Identification of Parallel and

Angular Misalignments in a
Coupled Rotor-Bearing-Active

Siva Srinivas R.
Department of Mechanical Engineering,
Indian Institute of Technology Guwahati,
Guwahati 781039, India
e-mail: siva.rangavajhula@iitg.ac.in
Rajiv Tiwari1
Department of Mechanical Engineering,
Indian Institute of Technology Guwahati,
Guwahati 781039, India
e-mail: rtiwari@iitg.ac.in
Ch Kanna Babu
Hindustan Aeronautics Limited,
Bangalore 560093, India
e-mail: chkannababu@gmail.com
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Magnetic Bearing System
The standard techniques used to detect misalignment in rotor systems are loopy orbits,
multiple harmonics with predominant 2X component, and high axial vibration. This paper
develops a new approach for the identification of misalignment in coupled rotor systems
modeled using two-node Timoshenko beam finite elements. The coupling connecting the
turbine and generator rotor systems is modeled by a stiffness matrix, which has both
static and additive components. While the magnitude of static stiffness component is fixed
during operation, the time-varying additive stiffness component displays a multiharmonic
behavior and exists only in the presence of misalignment. To numerically simulate the
multiharmonic nature coupling force/moment as observed in experiments, a pulse wave is
used as the steering function in the mathematical model of the additive coupling stiffness
(ACS). The representative turbogenerator (TG) system has two rotor systems, each hav-
ing two disks and supported on two flexible bearings—connected by coupling. An active
magnetic bearing (AMB) is used as an auxiliary bearing on each rotor for the purposes
of vibration suppression and fault identification. The formulation of mathematical model
is followed by the development of an identification algorithm based on the model devel-
oped, which is an inverse problem. Least-squares linear regression technique is used to
identify the unbalances, bearing dynamic parameters, AMB constants, and importantly
the coupling static and additive stiffness coefficients. The sensitivity of the identification
algorithm to signal noise and bias errors in modeling parameters has been tested.
The novelty of paper is the representation and identification of misalignment using the
ACS matrix coefficients, which are direct indicators of both type and severity of the
misalignment. [DOI: 10.1115/1.4048352]

Keywords: misalignment, active magnetic bearing, full spectrum, additive coupling

stiffness

1 Introduction rigidly coupled Jeffcott rotors in the presence of parallel misalign-

ment. Parallel misalignment was shown to couple the translational
Condition monitoring (CM) essentially involves identification
and angular displacements through stiffness matrix and force vec-
of various faults in rotating machinery, which is followed by cor-
tor. Rao et al. [13] have performed experiments on the response of
rective measures towards the rectification of the faults [1]. The
coupled Jeffcott rotors to parallel misalignment. Higher vibration
reference books [2–4] are entirely devoted to the present subject
response accompanied by multilobed orbits was found at one-half
of misalignment. Gibbons [5] is one of the first papers to give
and one-third critical speeds. In Monte et al. [14], extended orbits
expressions for coupling forces and moments in rotors with paral-
and full spectra are used to study parallel and angular misalign-
lel misalignment. Sekhar and Prabhu [6] extended the model of
ment in a machinery fault simulator. Xu and Marangoni [15,16]
misalignment by deriving expressions for the case of angular mis-
studied the behavior of motor-coupling-rotor system numerically
alignment. Lal and Tiwari [7,8] have performed the identification
and through experiments using two types of couplings. It is shown
of coupling parameters in a turbogenerator (TG) from the forced
that change of flexible coupling shifts the system natural frequen-
response due to the disk unbalance using least-squares regression
cies, which in turn affects the vibration response due to misalign-
technique in frequency domain. Patel and Darpe [9] measured the
ment. Saavedra and Ramirez [17,18] studied the behavior of
forces and moments under the pedestal of the bearing using a six-
coupled rotor system using three-pin coupling and three-jaw love
axis load cell. The forced response due to the parallel misalign-
joy coupling. It was summarized that the vibration due to mis-
ment and angular misalignment was shown on full spectrum plots.
alignment is caused by change in coupling stiffness during rota-
In Lees [10], the stiffness of rigid coupling in the presence of mis-
tion and is also affected by the load transmitted through the
alignment is modeled as having two components: the static and
coupling. In Chandra and Sekhar [19], it is shown that angular and
the additive. Experiments by Lee and Lee [11] have shown that
parallel misalignments induce variation in the torque transmitted
rotor orbit collapses to a straight line in the presence of angular
through coupling. Various time-frequency techniques applied on
misalignment. Hussain and Redmond [12] studied the behavior of
the run-up data of coupled rotor system were used to monitor this
variation. Sinha [20] uses bispectrum and trispectrum to identify
1
Corresponding author. crack and misalignment in an experimental rotor setup. Srinivas
Contributed by the Dynamic Systems Division of ASME for publication in the
JOURNAL OF DYNAMIC SYSTEMS, MEASUREMENT, AND CONTROL. Manuscript received
et al. [21] have provided a comprehensive review of the applica-
April 2, 2019; final manuscript received August 28, 2020; published online October tions of active magnetic bearing (AMB) in the CM of flexible
1, 2020. Assoc. Editor: Arun Tangirala. rotors. Srinivas et al. [22] have developed a modeling and

Journal of Dynamic Systems, Measurement, and Control JANUARY 2021, Vol. 143 / 011007-1
C 2021 by ASME
Copyright V
identification procedure of additive coupling stiffness (ACS) coef-
ficient in coupled Jeffcott rotors with offset disks in the presence
of angular misalignment. The rocking beam experiments per-
formed by Gerami et al. [23] demonstrate the advantages of con-
troller design that is based on Lur’e description formulation. The
results showed that implementation of this control law can lead to
reliable operation under large external disturbances (nonlinear
region of actuator) and higher dynamic load capacity of AMB
operation without changing the existing hardware.
Except Ref. [10], the authors have not found many works where
cyclical nature of coupling stiffness produced due to misalignment
has been discussed. The authors see scope for further research in
this area. The objective of this work is to model the behavior of
coupled rotor systems integrated with an AMB. The development
of mathematical model of coupling when parallel and/or angular
misalignments exist between bearing centers is an important por-
tion in this paper. The steering function used in the model of mis-
alignment force is chosen such that it produces the multiharmonic
vibration response as reported in various experimental studies:
Refs. [9], [13], and [14]. Under the weight dominance assumption,
the additive forces and moments are written as a product of addi-
tive stiffness coefficients, an appropriate steering function, and the
static deflection at coupling nodes. Assigning values to additive
stiffness coefficients in a direction would physically represent the
existence of fluctuating forces/moments in that direction. This cou-
pling model is then integrated into the finite element model of
coupled rotor. The AMBs used on both rotors serve as auxiliary
supports to reduce rotor vibration and for CM. A SIMULINK model
has been built from the global equation of motion (EOM) to gener-
ate rotor vibration at nodal locations and AMB current responses in
time domain. The full spectrum fast Fourier transform (FFT) plots
of rotors’ vibration and AMB current are analyzed.
The direct problem in time domain is converted to frequency
domain and the identification algorithm is developed in the form
of least-squares regression problem. The system parameters esti-
mated from this inverse problem are unbalance, AMB constants,
bearings’ stiffness, coupling’s static stiffness, and ACS coeffi-
cients. The robustness of algorithm has been tested by introducing
random noise and modeling error before feeding to identification
algorithm, and the estimates are found to be close to the assumed
values. The values of ACS coefficients estimated are the direct
indicators of the nature of misalignment and its magnitude. The
technique developed is a novel deviation from the existing condi-
tion monitoring techniques for identifying misalignment.
2 System Configuration and Mathematical Modeling
The schematic of a typical TG set is shown in Fig. 1. The mod-
eling of the rotor, bearing, coupling and AMB in the element form
is described in the future Secs. 2.2–2.6.
2.1 Notation. Global vectors and matrices in real coordinates
have a superscript re. Since the final EOM is in complex coordi-
nates, no superscript is used to define global vectors and matrices
Fig. 1 A sub 500 kW turbogenerator with integrated AMB
011007-2 / Vol. 143, JANUARY 2021
in complex coordinates. For example, for the case of displace-
ment, the vectors having complex and real coordinates are repre-
sented by ure and u, respectively. Likewise, “rot” and “stat”
denote rotating and stationary frame of references.
2.2 Shaft and Disk Model. Timoshenko beam finite elements
have been used to discretize the rotor system. The elemental mat-
rices with real coefficients of the size 8  8 are given in Chen and
Gunter [24], Nelson and McVaugh [25]. Alternatively, matrices of
size 4  4, corresponding to a complex nodal displacement vector,
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are given in Nelson [26] and Chen [27]. Besides reducing the
computational effort, complex notation helps in identifying the
coefficients of positive and negative harmonics of full spectrum
arising due to multiharmonic forcing from the misalignment. In
Ref. [26], nodal displacements of the left node are arranged in real
domain and those of the right node are arranged in imaginary
domain, as shown in Eq. (1)
T T
ue ¼ uleft þ juright ¼ f x1 ux1 x2 ux2 g þ jf y1 uy1 y2 uy2 g
(1)
In Ref. [27], nodal displacements of x-z plane are arranged in real
domain and those of y-z plane in imaginary domain as shown in
Eq. (2). While the matrices in Ref. [26] have imaginary terms, the
elemental matrices in Ref. [27] have real terms and these are used
in this work
T T
ue ¼ uxz þ juyz ¼ f x1 uy1 x2 uy2 g þ jfy1 ux1 y2 ux2 g (2)
The mass and gyroscopic matrices of rigid disks given in Singh
and Tiwari [28] are used in the present work.
2.3 Coupling Mathematical Model. The model of coupling
and its generalized coordinates are shown in Fig. 2. The conven-
tion followed in this paper for the stationary and rotating frames
of reference is shown in Fig. 3. In the presence of misalignment,
the coupling has static coupling stiffness (SCS) and time-
dependent ACS components [10]. This hypothesis is the basis of
the present mathematical formulation. When the bearing centers
are perfectly aligned, there is only the static stiffness component
f rot rot rot
c ¼ Kc fu0c 1uc ðtÞg (3)
where
urot
0c ¼ f
dnc dgc dugc dunc dncþ1 dgcþ1 dugcþ1 duncþ1 gT (4)
urot n gc ugc un c ncþ1 gcþ1 ugcþ1 uncþ1 gT
c ¼f c (5)
When there is misalignment between bearing centers, then the
additive component comes into play. The product Kc ure 0c is equal
to the self-weight (f st ¼ Mg) of the rotor. In such case,
Transactions of the ASME
 f rot rot rot rot rot rot rot
c ¼ ½Kc þ DKc ðtÞfu0c 1uc ðtÞg ¼ Kc uc ðtÞ þ DKc ðtÞu0c þ DKc ðtÞuc ðtÞ
rot rot
|fflfflfflfflffl{zfflfflfflfflffl} |fflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl{zfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflfflffl} (6)
f rot
SCS f rot
ACS

Equation (6) has two parts, f rot rot

SCS ; f ACS , which are in rotating frame of reference.

2.3.1 Static Coupling Stiffness Force: coordinate Transformation. Coordinate transformation to stationary frame of reference of the
f rot
SCS part of Eq. (6) is performed as shown below:

f stat T stat ~ stat

SCS ¼ ðT Kc TÞuc ðtÞ ¼ K c uc ðtÞ (7)

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where
2 3
A1 0 A1 0
6 7 " # " #
6 0 B1 0 B1 7 k kxy kuy uy 0
Kc ¼ 6 7with A1 ¼ xx ; B1 ¼ (8)
6 A 0 A1 0 7 k kyy 0 kux ux
4 1 5 yx
0 B1 0 B1
 T
ustat
c ¼ xc yc uyc uxc xcþ1 ycþ1 uycþ1 uxcþ1 (9)
2 3
A2 0 0 0  
6 0 0 7
T¼6
A2 0 7with A2 ¼ cos xt sin xt
(10)
4 0 0 A2 0 5 sin xt cos xt
0 0 0 A2

~ c matrix. To convert Eq. (7) into the complex form, column wise operations are performed
Appendix B gives the terms of the K
8 h i 9
  >
< k~xx ðxc  xcþ1 Þ þ k~xy ðyc  ycþ1 Þ þ j k~yx ðxc  xcþ1 Þ þ k~yy ðyc  ycþ1 Þ >
=
h1 h i
f SCS ¼ with h1 ¼ (11)
h1 >
: k~uy uy ðuyc  uycþ1 Þ þ k~uy ux ðuxc  uxcþ1 Þ þ j k~uy ux ðuyc  uycþ1 Þ þ k~ux ux ðuxc  uxcþ1 Þ >;

The complex translational and rotational displacements are denoted by uc ¼ xc þ jyc , ucþ1 ¼ xcþ1 þ jycþ1 , uc ¼ uyc þ juxc ,
ucþ1 ¼ uycþ1 þ juxcþ1 . Equation (11) can be rewritten in the following complex form.* represents the complex conjugate
8 9
>
> ~xx ðuc þ u Þ  ucþ1 þ u

 jk~xy ðuc  u Þ  ucþ1  u

k >
>
>
> c cþ1 c cþ1 >
>
>
> h i >
>
( ) >
> ~

~

>
>
h2 >
< þj k yx ðu c þ u
c Þ  ucþ1 þ u 
cþ1  j k yy ðu c  u
c Þ  u cþ1  u 
cþ1
>
=
f SCS ¼ with h2 ¼

> (12)
h2 >
> k~uy uy ðuc þ uc Þ  ucþ1 þ ucþ1  jk~uy ux ðuc  uc Þ  ucþ1  ucþ1 >
>
> >
>
>
> h >
>
>
>
>

i >
>
>
: þj k~u u ðuc þ u Þ  ucþ1 þ u
y x c
~
cþ1 x

 jk u u ðuc  u Þ  ucþ1  u
x

c
; cþ1

The final form of static coupling force after ignoring cross-coupled coefficients and considering coupling symmetry obtained from
Eq. (12) is

Fig. 2 Generalized coordinates of coupling Fig. 3 Stationary and rotating coordinate references

Journal of Dynamic Systems, Measurement, and Control JANUARY 2021, Vol. 143 / 011007-3
 2 38 9 T
stat
krad 0 krad 0 >
> uc >> f stat rot stat stat
ACS ¼ sðtÞ T DKc T u0c ¼ sðtÞDKc u0c (19)
6 0 < =
kang 0 kang 77 uc
f SCS ¼ 6
4 krad (13)
0 krad 0 5> > u > where 2 3
: cþ1 >;
0 kang 0 kang ucþ1 A4 0 A4 0
6 7
6 0 B4 0 B4 7
DKstat ¼ 6 7 with
c 6 A 0 A4 0 7
2.3.2 Additive Coupling Stiffness Force. Additive stiffness 4 4 5
(20)
force of coupling in Eq. (6) can be expanded as 0 B4 0 B4
" # " #
rot
a b d e
f rot rot rot jixt
ACS ¼ DKc ðtÞ u0c þ uc e (14) A4 ¼ ; B4 ¼

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b c e f
urot rot
0c ; uc defined by Eqs. (4) and (5) denote the static and vibratory
deflections of coupling nodes in rotating coordinate system. Tur- a ¼ Dknn cos 2 xtþDkgg sin 2 xt; b ¼ 0:5sin2xtðDknn Dkgg Þ
bogenerators run up to multiple stages, and each stage generally
weighs upto a few tens of tons [29]. It can be safely assumed that c ¼ Dkgg cos 2 xtþDknn sin 2 xt;d ¼ Dkug ug cos 2 xtþDkun un sin 2 xt
the vibratory displacement at coupling nodes is less than static

deflection due to the self-weight of rotor. If weight dominance cri- e ¼ 0:5 Dkug ug Dkun un sin2xt; f ¼ Dkun un cos 2 xtþDkug ug sin 2 xt
terion is assumed, then

urot rot The vector of static deflections at coupling nodes is given by

c u0c (15)
 T
Equation (14) then becomes ustat
0c ¼ dxc dyc duyc duxc dxcþ1 dycþ1 duycþ1 duxcþ1
(21)
f rot rot rot
ACS ¼ DKc ðtÞu0c (16)
Equation (20) is the subset of global static deflection vector ustat
0 ,
DKrot
c ðtÞ is the additive stiffness of coupling, which varies in time which for a finite element model with n nodes is obtained by
with rotation. Hence, Eq. (16) can be written as solving

1 re

ustat
0 4n1
¼  Kre
4n4n M4n4n fg4n1 g (22)
f rot rot rot
ACS ¼ sðtÞDKc u0c (17)
In Eq. (22), the coordinate system and elemental matrices of size
with 8  8 given in Ref. [25] are used. The global gravity vector g is
2 3 obtained by assembling the gravity vector of each element given
A3 0 A3 0 by
6 7  T
6 0 B3 0 B3 7 ge ¼ 0 9:81 0 0 0 9:81 0 0 (23)
DKrot ¼ 6 7with
c 6 A 0 A3 0 7
4 3 5
(18) Since we consider rolling element bearings in this work, the hori-
0 B3 0 B3
" # " # zontal static deflections, which are produced in journal bearings
Dknn 0 Dkug ug 0 due to oil film, do not exist and can be safely ignored. Hence, as
A3 ¼ ; B3 ¼ per the convention followed in this work (Fig. 3), we have
0 Dkgg 0 Dkun un
dy1 ¼ dy2 ¼ dux1 ¼ dux2 ¼ 0 (24)
The physical meaning of ACS matrix given by Eq. (18) is pictori-
ally represented in Fig. 4.
The remaining coefficients of the vector given by Eq. (21) are the
static deflections and slopes at the coupling nodes due to the self-
2.3.3 Additive Coupling Stiffness: Coordinate Transforma- weight of coupled rotor system.
tion. Coordinate transformation of Eq. (17) to stationary frame of On substituting Eqs. (20) and (22) in Eq. (19) the ACS force
reference is performed as shown below: vector in real coordinates of size 8  1, as
( )
stat stat stat h3
f ACS ¼ sðtÞDKc u0c ¼ sðtÞ with
h3
8 9
>
> aðdxc  dxcþ1 Þ þ bðdyc  dycþ1 Þ >>
>
> >
> (25)
< bðdxc  dxcþ1 Þ þ cðdyc  dycþ1 Þ =
h3 ¼

>
> e duxc  duxcþ1 þ d duyc  duycþ1 > >
>
>

>
>
: f du  du þ e du  du ;
xc xcþ1 yc ycþ1

Rewriting the force vector due to additive coupling stiffness in the

complex form, we have
( )
h4
f ACS ¼ sðtÞ with
h4
( )
ðdxc  dxcþ1 Þða þ jbÞ þ ðdyc  dycþ1 Þðb þ jcÞ
h4 ¼

duxc  duxcþ1 ðe þ jf Þ þ duyc  duycþ1 ðd þ jeÞ

Fig. 4 ACS coefficients for various misalignment conditions
(26)
(a) no misalignment, (b) parallel, (c) angular, and (d) combined

011007-4 / Vol. 143, JANUARY 2021 Transactions of the ASME

where The values of pi and qi in Eq. (29), which denote the participation
factors of the steering function, are tabulated in Table 1. The
  physical interpretation of Eq. (29) is as follows: With weight-
ða þ jbÞ ¼ 0:5 Dknn ð1 þ ej2xt Þ þ Dkgg ð1  ej2xt Þ dominance assumption, ACS forces and moments are written as
the product of additive stiffness coefficients, an appropriate steer-
 
ðd þ jeÞ ¼ 0:5 Dkug ug ð1 þ ej2xt Þ þ Dkun un ð1  ej2xt Þ
Upon substituting Eq. (24) in Eq. (25), the final form of the ACS
force in the complex form is given by
ing function, and the static deflection at the coupling nodes.
Experimental data from real rotors have shown that the maximum
number of predominant positive and negative harmonics i is not
more than five.

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( ) 2.4 Active Magnetic Bearing Force. The lateral force
h5 exerted by the AMB on the rotor has two components: the one
f ACS ¼ 0:5sðtÞ with which is proportional to the rotor vibration at the AMB location
h5
8 n o 9 and the other proportional to the current in the AMB actuator
>
< ðdxc  dxcþ1 Þ Dknn ð1 þ ej2xt Þ þ Dkgg ð1  ej2xt Þ >
= [28,30]
h5 ¼
n o
>
: duyc  duycþ1 Dkun un ð1 þ ej2xt Þ þ Dkug ug ð1  ej2xt Þ >; f AMB ¼ ks uAMB  ki ic (30)

(27) In this work, the complex current ic is obtained as per the

s(t) the steering function is assumed to be rectangular wave with
40% duty cycle as shown in Fig. 5. This waveform causes the cou-
pling force vector f ACS to generate multiple integer harmonics of
rotor vibration in frequency domain plot [9,13,14]. The Fourier
expansion of the wave is as follows:
sðtÞ ¼ 0:5 þ 0:6055 cosðxtÞ þ 0:1871 cosð2xtÞ
 0:1247 cosð3xtÞ  0:1514 cosð4xtÞ
þ0:1009 cosð6xtÞ þ 0:0535 cosð7xtÞ
 0:0468 cosð8xtÞ  0:0673 cosð9xtÞ
proportional-integral-derivative control law [28].
2.5 Unbalance Force. The unbalance force vector due to the
mass eccentricities at the nodal locations of disks is
f unb ¼ md ex2 ejxt ejb (31)
2.6 Bearing Force. The force acting at the bearing node loca-
tions due to the stiffness and damping of bearings is given by
(28) 

f bk ¼ 0:5 kbxx ub þ ub  jkbxy ub  ub þ jkbyx ub þ ub

þ0:055 cosð11xtÞ þ 0:0312 cosð12xtÞ

þ kbyy ub  ub g
 0:0288 cosð13xtÞ  0:0432 cosð14xtÞ
(32)
þ0:0378 cosð16xtÞ þ 0:022 cosð17xtÞ þ   


f bc ¼ 0:5 cbxx u_ b þ u_ b  jcbxy u_ b  u_ b þ jcbyx u_ b þ u_ b

Equation (27) is rearranged as below by taking the steering func-

tion inside and multiplying with exponential terms þ cbyy u_ b  u_ b g

(33)
( )
h6
f ACS ¼ 0:5 with
h6 2.7 Global Equation of Motion and SIMULINK Model. Equa-
8 ! 9 tion (34) is the global EOM in complex form obtained by assem-
>
> X
i¼þn X
i¼þn >
>
>
> ðdxc dxcþ1 Þ Dknn jixt
pi e þDkgg qi e jixt >
> bling the subsystem matrices
>
< >
=
i¼n i¼n
h6 ¼ ! u þ ½Cb þ Cc þ Csh  jxðGsh þ Gd Þu_
ðMsh þ Md Þ€
>
>
X
i¼þn X
i¼þn >
> (34)
>
> pi ejixt þDkun un qi ejixt >>
: duyc duycþ1 Dkug ug
> >
; þ ðKb þ Kscs þ Ksh Þu ¼ f unb þ f AMB  f ACS
i¼n i¼n
(29) Equation (34) can be rewritten as

u þ ½Csh þ Cc  jxðGsh þ Gd Þu_ þ Ksh u

ðMsh þ Md Þ€
¼ f unb þ f AMB  f bk  f bc  f SCS  f ACS (35)

From Eq. (35), it can be noticed that the external forces acting on
the system are (i) unbalance force, (ii) force due to static coupling
stiffness, (iii) force due to the additive coupling stiffness, (iv)
force due to the AMB, and (v) force due to the stiffness and damp-
ing of bearings.

2.8 Dynamic Condensation. Qu [31] has presented various

reduction techniques in finite elements. The nodes where the
external forces act on the rotor system are usually chosen as mas-
ter degrees-of-freedom (DOFs). In the present case, the master
DOFs given by Eq. (36) correspond to the nodal locations of all
identifiable parameters. They include the translational DOFs at
the nodal locations of bearings, disks, coupling, AMBs, and rota-
tional DOFs at coupling nodes. Rest of the DOFs are grouped as
Fig. 5 s(t): rectangular wave with 40% duty cycle slave DOFs.

Journal of Dynamic Systems, Measurement, and Control JANUARY 2021, Vol. 143 / 011007-5
 Table 1 Participation factors of ith harmonic

i 0 1 2 3 4 5 1 2 3 4 5

p 0.25 0.3026 0.2468 0.1203 0.009 0.031 0.1203 0.009 0.031 0.0126 0.0133
q 0.25 0 0.2032 0.1823 0.0846 0.031 0.1823 0.0846 0.031 0.063 0.0133

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Fig. 6 Coupled rotor bearing system integrated with AMBs

Table 2 Geometric properties of rotor-AMB system

Parameters Values Parameters Values Parameters Values

md1, kg 2.25 md3, kg 2.5 d, m 0.017

Id1, kg-m 0.0024 Id3, kg-m2 0.0045 le, m 0.25
Ip1, kg-m2 0.0048 Ip3, kg-m2 0.009 kp, A/m 12,200
md2, kg 1.75 md4, kg 1.6 kI, A/m-s 2000
Id3, kg-m2 0.0035 Id4, kg-m2 0.004 kd, A-s/m 3
Ip3, kg-m2 0.007 Ip4, kg-m2 0.008

Fig. 7 Bearings’ stiffness

Fig. 9 Coupling’s static and additive stiffness coefficients

Fig. 8 Bearings’ damping Fig. 10 SIMULINK model of rotor-bearing-coupling-AMB system

011007-6 / Vol. 143, JANUARY 2021 Transactions of the ASME

  
um ¼ ub1 ud1 uAMB1 ud2 ub2 uc1 uc1 uc2 uc2 ub3 ud3 uAMB2 ud4 ub4 (36)

The derivation of the transformation matrix Td , which links mas- In Eq. (38), x0 is the mean speed at which dynamic condensation
ter DOFs to the total DOFs, is explained in Lal and Tiwari [7] and is performed. Prasad and Tiwari [32] considered the gyroscopic
is expressed as matrix in the derivation of transformation matrix, which resulted
 T in better estimates of AMB and unbalance parameters. However,
u¼ um us ¼ Td um (37) since there are no overhanging disks in the present formulation,
we do not consider G matrix in the derivation of Td . The EOM in

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where terms of reduced coordinates is given by

n € m þ Cd  jxGd u_ m þ Kd um
Md u
1  oT
Td ¼ I  Kss  x20 Mss Ksm  x20 Msm (38) ¼ f dunb þ f dAMB  f dbk  f dbc  f dSCS  f dACS (39)

Fig. 11 Static deflection curve of coupled rotor bearing system

Fig. 12 Analysis and identification flowchart

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Fig. 13 Ramp-up response of rotor-1 and rotor-2 at AMB nodal locations: (a) and (d) individual rotors without
AMB (b) and (e) coupled rotors without AMB (c) and (f) coupled rotors with AMB

Fig. 14 Full spectrum plot at 16 Hz (a) amplitude at disk 1 location, (b) phase at disk 1 location, (c) amplitude of
AMB current, and (d) phase of AMB current

011007-8 / Vol. 143, JANUARY 2021 Transactions of the ASME

where Before pre- and postmultiplying the elemental matrices and exter-
nal force vectors, it is necessary that the matrices be reordered as
T T
Md ¼ ðTd Þ MTd ; f dunb ¼ ðTd Þ f unb shown in the example shown below
 
The other dynamically condensed elemental matrices and force Mmm Mms
M¼ (40)
vectors in Eq. (39) can be obtained similarly. The superscript d Msm Mss
refers to the dynamically reduced form of matrices and vectors.
Likewise, the force vectors too should be rearranged in the below
form
 

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f mm
f¼ (41)
f ss

The assumed solution to Eq. (39) is

X
i¼þ1
um ¼ u m ejixt (42)
i¼1

The complex current vector ic of AMB in Eq. (30) too will have
the same multiharmonic nature as rotor displacement.

X
i¼þ1
ic ¼ i c ejixt (43)
i¼1

Substituting Eqs. (42) and (43) in Eq. (39) converts EOM in time
Fig. 15 Effect of speed on estimates of unbalance domain to frequency domain


2
Md ðixÞ þ jðixÞ Cd  jxGd þ Kd u  m ejixt

¼ f dunb þ f dAMB  jix f dbc  f dbk  f dSCS  f dACS : (44)

2.9 Identification Algorithm for Parameter Estimation.

Equation (44) can be rearranged in the form

Ax 5 b (45)

The elements of matrix A are shown in Appendix A and b matrix

is given by



2
b ¼ Md ðixÞ þ jðixÞ Cd  jxGd þ Kd u  m þ jix f dbc
(46)

where
Fig. 16 Effect of speed on estimates of AMB constants  re þ j
u m ¼ u u im (47)

Fig. 18 Effect of speed on estimates of static and additive stiff-

Fig. 17 Effect of speed on estimates of bearing stiffness ness coefficients of coupling

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Fig. 19 Sensitivity of disk unbalance eccentricity to various levels of noise

Fig. 20 Sensitivity of bearing stiffness coefficients to various levels of noise

Fig. 21 Sensitivity of static and additive stiffness coefficients of coupling to various levels of
noise

011007-10 / Vol. 143, JANUARY 2021 Transactions of the ASME

 In Eq. (45), x is the vector of all unknown system parameters, i.e.,
disk unbalance eccentricities, bearing stiffness’s in x and y direc-
tions, coupling radial and angular stiffness’s, and coupling ACS
coefficients and AMB constants. The solution vector x obtained
from the linear least square’s regression is given by

x ¼ f U1re U1im U2re U2im U3re U3im U4re U4im

k1xx k2xx k3xx k4xx k1yy k2yy k3yy k4yy
ks ki krad kang Dknn Dkgg Dkug ug Dkun un g
(49)

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To improve the condition number of the regression matrix A, the
data from multiple speeds can be advantageously used. Equation
(45) then becomes

AðxÞx ¼ bðxÞ (50)

Fig. 22 Sensitivity of AMB displacement constant to various
levels of noise
where

 T
AðxÞ ¼ A1 ðxÞ A2 ðxÞ … … An ðxÞ
 T
bðxÞ ¼ b1 ðxÞ b2 ðxÞ … … bn ðxÞ

Solution to Eq. (50) is of the form

 21
x 5 AðxÞT AðxÞ AðxÞT bðxÞ (51)

In Sec. 2.9.1, estimation of the real and imaginary parts of the har-
monics of rotor vibration and AMB current is described.

2.9.1 Estimation of the Vibration and Current Harmonics

Using Full Spectrum. From Appendix A and Eq. (46), it can be
noticed that inputs to matrix A and vector b are the real and imag-
inary parts of the positive and negative harmonics of the vibration
at the master DOFs and the current at AMB locations. The coeffi-
cients of harmonics can be obtained from full spectrum plots of
the vibration and current plotted at each master DOF location.
Shrawan and Tiwari [33] have alternatively used time domain
regression for estimating the coefficients.
Fig. 23 Sensitivity of AMB current constant to various levels The full spectrum FFT is widely used in experiments for the
of noise identification of faults from the vibration signature. In all the
above cited papers, the technique was used as a vibration-based
condition monitoring tool. The acquisition of vibration and cur-

rent signals in test setups generally starts and stops at arbitrary
The real and imaginary parts of rotor vibration u  re ; u im and
instants of time. This often results in non-integer number of cycles
re im
AMB current i ; i obtained from the amplitude and phase of in a block of time domain signal. When this truncated signal block
the harmonics of full spectrum FFT plots are fed into A and b. is processed through the full spectrum algorithm, the leakage
Equation (44) is rearranged in the form shown below error is expected in frequency domain. To get around this prob-
lem, subtraction of the phase of a reference signal from that of the
 T vibration/current signal of interest is done. It is imperative that
b¼ bre
0 bim
0  bre
5 bim
5  bre
5 bim
5 (48)
this step be implemented to avoid an incorrect outcome of

Fig. 24 Sensitivity of identifiable parameters obtained from multiple speeds to noise levels

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Fig. 25 Sensitivity of disk unbalance eccentricity to errors in
modeling

estimates of vector x from Eq. (50). Tiwari [1] provides a detailed

discussion on the theory and application of the technique. Fig. 27 Sensitivity of static and additive stiffness coefficients
of coupling to errors in modeling

3 Results and Discussion

Figure 6 shows a simplified model of the TG with integrated
AMB considered in this work. Each rotor system is supported on
rolling element bearings, has two rigid disks mounted on the flexi-
ble shaft, and an AMB between the disks. An intermediate cou-
pling transmits the drive from rotor-1 to rotor-2. The drive-end
coupling is not shown in the schematic and is not considered in
the present formulation. The geometric properties of a laboratory
rotor model data are given in Table 2. It is assumed that rolling
element bearings have no cross-coupled coefficients. The direct
stiffness of bearings is shown in Fig. 7. The damping coefficients
considered are shown in Fig. 8 and are based on the idea that
damping coefficient in antifriction bearings is (0.25–2.5)  105
k-sec where, k is the linear bearing stiffness [29]. The equivalent
viscous damping of coupling is ignored in this work. The static
and additive stiffness coefficients of the coupling are shown in
Fig. 9. The AMB constants used in this work are taken from Bor-
doloi and Tiwari [34]. Figure 10 shows the representative SIMULINK Fig. 28 Sensitivity of AMB displacement constant to errors in
model built from Eq. (35) to generate time domain responses of modeling
the vibration at each node along the length of rotor-bearing-cou-
pling-AMB system and the current at AMB locations. In Fig. 11,

Fig. 26 Sensitivity of bearing stiffness coefficients to errors in modeling

011007-12 / Vol. 143, JANUARY 2021 Transactions of the ASME

the static deflections along the length of coupled rotor system,
including coupling nodes, are pictorially represented. The flow-
chart that shows analysis and identification procedure is shown
in Fig. 12. Numerical simulation was implemented in MATLAB-
SIMULINK environment (ODE15 s variable step stiff solver is used
to solve the system since it is found to be faster than nonstiff solv-
ers such as ODE23 or ODE4). The time domain data are logged at
fixed intervals of 1=216 sec. To study the effect of coupling stiff-
ness and the AMB on the dynamic behavior of system, the system
is ramped up with the angular acceleration of 20p rad/s2 for 10 s.
Figure 13 shows the Hilbert envelope of x-displacement at the
location of 2 AMBs (node 3 and node 10) for rotor-1 and rotor-2
plotted to identify the critical speeds in three different cases.
Figures 13(a) and 13(d) illustrate the case when the rotors are
uncoupled and there is no AMB. The peaks are noticed at 68 rad/s
(108 lm) and 65 rad/s (109 lm). In Figs. 13(b) and 13(e), the
rotors are coupled and the effect of coupling static and additive
stiffness causes the peaks to shift to 81 rad/s (218 lm) and 80 rad/s
(225 lm), respectively. Finally, with the inclusion of AMBs at
nodes 3 and 10, the peaks move further to the right and the
response also increases to 168 rad/s and 174 rad/s as shown in
Figs. 13(c) and 13(f). At both locations, there is a considerable
decrease in response to 75 lm and 80 lm, respectively. This dem-
onstrates the usefulness of AMB in controlling the dynamic
behavior of the system to advantage. In all the plots, there is a
trace of beating phenomenon, which is generally noticed in accel-
erating rotors and coupled rotors whose natural frequencies are in
vicinity of each other. However, because of considerable bearing
damping, the phenomenon is not sustained for longer duration.
For parameter identification, the speeds outside the half-power
points are chosen. Figure 14 shows the full spectrum plot of disk-
1 vibration and AMB-1 current. The amplitude and phase of for-
ward and backward whirl frequencies can be seen. The full
Fig. 29 Sensitivity of AMB current constant to errors in
modeling
Fig. 30 Sensitivity of identifiable parameters obtained from multiple speeds to bias in modeling parameters
Journal of Dynamic Systems, Measurement, and Control
spectrum plots obtained from the simulation look like the plots in
Refs. [9], [13], and [14], which are obtained from real rotors. The
real and imaginary parts of harmonics of the vibration and current
signals at master DOF locations given by Eq. (36) are obtained
from the full spectrum and are subsequently input to A matrix in
Appendix A and b vector in Eq. (48). All the individual speeds in
the range of 45 Hz–55 Hz are considered for parameter identifica-
tion. This range is chosen since it is away from the critical speeds
of the rotor system shown in Fig. 13. The unknown parameters are
first identified at individual speeds in this range using Eq. (45). In
Fig. 15, the percentage error in the unbalance parameter
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(U4re &U4im ) at 50–52 Hz is 4%. Figure 16 shows that the error in
the AMB displacement constant is as high as 50% at 54 Hz and
60% at 55 Hz. The percentage error in the bearing stiffness coeffi-
cients shown in Fig. 17 is in the range 610% up to 53 Hz. At
54 Hz variation in k1yy is as high as 47%. The percentage error in
the estimation of Dkgg in Fig. 18 varies from 4% to 8% between
50 Hz and 54 Hz. The considerable error in the estimation of
parameters in the range of 50 Hz to 54 Hz can be attributed to the
fact that this speed range falls between almost twice the critical
speed values of rotor-1 (168 rad/s) and rotor-2 (174 rad/s) with
AMBs. Next cumulative data from all 11 speeds are considered
for the identification and input into Eq. (50). The comparison of
the absolute values of all identifiable parameters with various
noise levels is shown in Figs. 19–23. In Fig. 24, the percentage
error of estimated parameters against the assumed values is shown
when cumulative data from multiple speeds is considered. For 0%
noisy signal, the maximum deviation from the assumed values is
less than 4.6% for 21 parameters out of 24 parameters. The high-
est deviations are found in k1xx ; k1yy & ks with deviation of 8.2%,
11%, and 10%, respectively. For 1% noisy signals, the highest
deviations from assumed values are shown by U3im ð  16:5%Þ ,
U4im ð  26%Þ, k2yy ð  12:5%Þ, and Dknn ð  23%Þ. Rest of the
parameters deviate by no more than 8%. For 5% noise, the maxi-
mum deviations occur in Dknn ð  51%Þ, Dkgg ð  40%Þ,
U4im ð  40%Þ, U3im ð  28%Þ, and k2xx ð19:3%Þ. Rest of the parame-
ters deviate by no more than 8.2%. Yan et al. [35] describe the
various approaches to model the uncertainties in an engineering
problem such as probabilistic, fuzzy, interval, evidence, and gray
system-based. In this work, instead of modeling the uncertainty in
the formulation, a bias error is introduced in the rotor parameters
to study the sensitivity of identification algorithm. The
parameters that undergo bias are md1 ; md2 ; md3 ; md4 ; dxc ; dxcþ1 ;
duyc ; and duycþ1 . Figures 25–29 compare the absolute values of
assumed and estimated parameters for various levels of bias
errors. The effect of cumulative speeds on estimation is shown in
Fig. 30. The estimates of parameters do not suffer from much
deviation even for 5% error. The maximum deviation is noticed in
k3xx ð8:1%Þ;k3yy ð  11%Þ; and ki ð11:75%Þ. Rest of the estimates
JANUARY 2021, Vol. 143 / 011007-13
fall within 65% of the assumed values. The algorithm is found to (iii) interaction between lateral and torsional vibrations in TG sets
be more sensitive to signal noise comparatively. in the presence of AMB supports.

4 Conclusions Nomenclature
A coupled rotor system representative of a turbine generator is c¼ damping coefficient
modeled with finite elements. A mathematical model of the cou- C¼ damping matrix
pling in the presence of angular and parallel misalignments is devel- e¼ unbalance eccentricity
oped. The multiharmonic component of coupling forces/moments G¼ gyroscopic matrix
depends on the static deflections at the coupling locations and the i¼ index

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additive stiffness coefficients. A SIMULINK model is built from equa- ic ¼ AMB
pffiffiffiffiffiffiffi current in complex form
tions of motion. From the time domain data, the orbits and full j¼ 1
spectrum plots at various nodal locations are plotted. The effect of k¼ stiffness coefficient
incorporating AMB is observed by way of amplitude reduction and ki ¼ AMB current constant
shift in the peaks of coupled rotor system. ks ¼ AMB displacement constant
The modeling of coupling to account for its dynamic behavior
in the presence of parallel and angular misalignments is the nov- Subscripts
elty of this work. The magnitude of additive stiffness of coupling
is proportional to the amount of misalignment in a specific direc- ang ¼ angular
tion. In other words, its magnitude in a given direction indicates b¼ bearing
the severity of misalignment in that direction. Due to unequal bc ¼ bearing damping
ACS coefficients, the coupling’s stiffness is asymmetric during bk ¼ bearing stiffness
operation. This assumption is central in the development of the c¼ coupling
present mathematical formulation. The steering function is chosen d¼ disk
in such a way that full spectra obtained from the numerical simu- K¼ stiffness matrix
lation shall look akin to the experimental spectra. m¼ master DOF
This mathematical model is converted into frequency domain and M¼ mass matrix
has been rearranged in the regression form Ax ¼ b, where A and b rad ¼ radial
are matrix/vector of known quantities and x is the vector of physical s¼ slave DOF
parameters of the rotor, bearing, AMB, and coupling, which are the sh ¼ shaft
unknown quantities. The magnitude and phase of the positive and st/0 ¼ static
negative harmonics of the vibration at the master DOFs and the AMB sðtÞ ¼ steering function
current have been estimated from full spectrum plots. This datum, SCS ¼ stiffness matrix
which simulates the experimental data, is the input to the matrices A t¼ time
and b. To improve the condition number of the regression matrix A, T¼ transformation matrix
cumulative data from multiple speeds have been considered. Linear u¼ unbalance
least-squares regression is used to solve for the values of unknown u¼ vibration displacement vector
identifiable parameters. It has been found that data from multiple u0 ¼ static deflection vector
speeds yield better estimates compared to those obtained from indi- b¼ unbalance phase
vidual speeds. The algorithm yielded reasonably correct estimates DK ¼ coupling additive stiffness matrix
when signal is contaminated with random noise up to 5%. The magni- x¼ angular velocity
tude of the ACS coefficients, which depend on the amount of mis-
alignment present between bearing centers, is identified to accurate Superscripts
degree using the present algorithm. This methodology when applied d ¼ dynamically condensed matrix
to real systems can yield results within the error margin observed in e ¼ element
numerical simulation for the case of uncontaminated signal. im ¼ imaginary part
By denoising the signals using digital filters, as is commonly done in re ¼ real part
experiments, meaningful and accurate results can be obtained. rot ¼ rotational frame of reference
The field engineer should begin by noting initial alignment read- stat ¼ stationary frame of reference
ings in all directions just before the run is made. The ACS coeffi- T ¼ transposes
cients obtained from initial run are mapped against these readings.
As the machine is put in operation, ACS coefficients are calculated
periodically. When higher stiffness coefficients are observed, the Appendix A: Elements of a Matrix
machine is stopped and again checked for alignment. These higher
Disk unbalance and phase
stiffness coefficients are again mapped to these new correction val-
ues. A look-up table/graph prepared from the readings collected
over a period will eventually aid the engineer to directly estimate Að24; 1Þ ¼ Að35; 2Þ ¼ md1 x2 ; Að68; 3Þ ¼ Að79; 4Þ ¼ md2 x2
the misalignment when the machine is running. Að222; 5Þ ¼ Að233; 6Þ ¼ md3 x2 ; Að266; 7Þ ¼ Að277; 8Þ ¼ md4 x2
The estimates can be further improved by the following meth- (A1)
ods (i) by including gyroscopic matrix during the derivation of
transformation matrix [32]. This, however, works better in sys- Bearing stiffness in x and y directions
tems with overhanging disks (ii) by reducing the condition num-
ber of A matrix to the lowest possible value using optimization
techniques such as Refs. [36] and [37] and then applying the least- Að1 þ i; 9Þ ¼ ure re
1i ; Að89 þ i; 10Þ ¼ u5i
squares technique. The scope for future work would be (i)
improvement of the identification algorithm by utilizing measure- Að199 þ i; 11Þ ¼ ure re
10i ; Að287 þ i; 12Þ ¼ u14i
(A2)
ments from lowest possible number of DOFs, (ii) experimental Að12 þ i; 13Þ ¼ uim im
1i ; Að100 þ i; 14Þ ¼ u5i
validation on a test rig along with uncertainty analysis to study the
discrepancies between analytical model and actual system, and Að210 þ i; 15Þ ¼ uim im
10i ; Að298 þ i; 16Þ ¼ u14i

011007-14 / Vol. 143, JANUARY 2021 Transactions of the ASME

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7
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Journal of Dynamic Systems, Measurement, and Control JANUARY 2021, Vol. 143 / 011007-15