Review of Rotor Balancing Methods
Review of Rotor Balancing Methods
Review of Rotor Balancing Methods
Review
Review of Rotor Balancing Methods
Liqing Li 1 , Shuqian Cao 2, * , Jing Li 2 , Rimin Nie 2 and Lanlan Hou 2
Abstract: This review is dedicated to balancing methods that are used to solve the rotor-balancing
problem. To ensure a stable operation over an operating speed range, it is necessary to balance a
rotor. The traditional methods, including the influence coefficient method (ICM) and the modal
balancing method (MBM) are introduced, and the research progress, operation steps, advantages
and disadvantages of these methods are elaborated. The classification of new balancing methods is
reviewed. Readers are expected to obtain an overview of the research progress of existing balancing
methods and the directions for future studies.
Keywords: rotor balancing; influence coefficient method; modal balancing method; new balanc-
ing method
1. Introduction
Rotor unbalance is one of the main reasons for the vibration of rotating machinery [1].
A rotor unbalance can be induced by defective materials, errors during processing and
assembling, an asymmetric structure, rotor wearing, temperature changes during operation,
and so on [2]. The unbalance of a rotor is inherent that the rotor’s rotation axis is not
Citation: Li, L.; Cao, S.; Li, J.; Nie, R.; coincident with the geometric axis, resulting in rotational inertial force motivated when
Hou, L. Review of Rotor Balancing rotating (shown in Figure 1). The unbalance can be eliminated by making the inertia
Methods. Machines 2021, 9, 89. principal axis coincide with the rotor’s rotational axis using redistribution. However, the
https://doi.org/10.3390/ ideal balance is hard to achieve in practice. Generally, the rotor balance is considered to
machines9050089 have been reached in engineering if a rotor is operating steadily, namely, when the vibration
amplitude of a rotor is reduced to an allowable range [3].
Received: 15 March 2021 In the early 1930s, researchers began to study rotor-balancing methods, including
Accepted: 26 April 2021 the ICM, the MBM, and other methods. Currently, the demand for precision balancing
Published: 29 April 2021 methods is increasing, particular for heavy-load and high-speed rotating machinery. Since
the existing balancing methods still have significant limitations, more research is needed to
Publisher’s Note: MDPI stays neutral improve these methods or develop new methods [4].
with regard to jurisdictional claims in
In 1991, Parkinson [5] gave a review of rotating machinery. Balancing procedures for
published maps and institutional affil-
both rigid and flexible shafts were discussed, but emphasis was on balancing flexible shafts
iations.
that run in high speed. Foiles [6] surveyed the methods in balancing rotating machinery
including ones that use influence coefficient, modal, unified, no phase, and no amplitude to
balance. Computational algorithms and physical concepts in rotor balancing were involved.
Zhou [4] presented the research work on dynamic modeling and analysis techniques of
Copyright: © 2021 by the authors. rotor systems and reviewed the research work performed in real-time active balancing and
Licensee MDPI, Basel, Switzerland. active vibration control for rotating machinery as well.
This article is an open access article
This review is dedicated to balancing methods, and it is organized as follows. With regard
distributed under the terms and
to the development process, operation steps, advantages and disadvantages, Sections 2 and 3
conditions of the Creative Commons
deal with the ICM and the MBM, respectively. Section 4 emphasizes the classification of new
Attribution (CC BY) license (https://
balancing methods. Nonlinear rotor-balancing methods, transient rotor-balancing methods,
creativecommons.org/licenses/by/
homologous information fusion rotor-balancing methods and balancing methods for specific
4.0/).
rotors are discussed emphatically in this section. In Section 5, future research directions
regarding new rotor-balancing methods are proposed.
Figure 1. A rotating rotor whose axis is not coincident with the geometric axis. (x-the rotor’s rotation axis, o-the disk’s
rotation center, o’-the disk’s geometric center, e-the disk’s eccentric distance, ϕ-the disk’s rotation phase angle.)
vibration of large rotors. The experimental speed passes through three critical speeds: two
rigid critical speeds and one bending critical speed. As the sliding bearing is located near
the node of the rotating shaft, the damping at the bending critical speed is very small, which
causes significant vibration at the bending critical speed. The researchers also discovered
that the balancing results also depend on the accuracy of experimental instruments and the
experience of the operators. If the dynamic response of the unbalanced rotor is known, the
accuracy of balance process can be greatly improved.
Since 1971, American scholars have paid more attention to the balance theory and
experiment of flexible rotors. As a typical example, Tessarzik [11] investigated four distinct
practical aspects of the flexible rotor balancing: (1) the balance of rotors operating through
multiple bending critical speeds; (2) the balance of rotors supported by both rigid and
flexible bearings, where the latter had significantly different stiffness in the horizontal
and vertical directions causing severe ellipticity in vibration orbits; (3) the balance of
rotors with various amounts of measured vibration response information (e.g., numbers
of vibration data sets and numbers and types of vibration sensors) and with different
numbers of correction planes; (4) the balance of rotors with different (though arbitrary)
initial unbalanced configurations. The balancing method was in every instance effective,
practical, and economical and it permitted safe rotor operation over the full-speed range.
Gu [12] and Zhong et al. [13] described the ICM for flexible rotors and a method that
combined the least squares method with the ICM. Then Deng [14] proposed a high-speed
rotor-balancing method with multiple speeds, multiple balance planes and multiple balance
steps. Bin et al. [15] established a finite element model of rotor and calculated the influence
coefficients through added trial weights. However, due to nonlinearity, the stiffness and
damping could not be estimated accurately, and thus the results had inevitable errors.
Aijh − Ai0
h
aijh = (1)
mtj r j cos ϕ j + i sin ϕ j
where aijh denotes the influence coefficient, Aijh is the vibration amplitude at the ith
measurement points and jth balance plane, Ai0 h is the initial vibration amplitude, m
tj
denotes the mass of the trial weights, the radius r j and the phase angle ϕ j are used to
√
locate the trial weight, and i = −1.
Machines 2021, 9, 89 4 of 16
where w is the number of measurement points, v is the number of speeds and q is the
number of balance planes.
Therefore, the balance corrections are defined by:
h iT
(1) (1) (1) (h) (h) (v) (v) (v)
A10 A20 . . . Aw0 . . . A10 . . . Aw0 . . . A10 A20 . . . Aw0
h iT (3)
= − aij · U1∗ U2∗ U3∗ U4∗ . . . . . . Uj∗ . . . . . . . . . . . . . . . Uq∗
( v ) −1
h i h i h i
(v)
Uj∗ = − aij Ai0 (4)
Machines 2021, 9, 89 5 of 16
plane and ξ j is the phase angle of the balance correction on the rotor.
(iii) q < wv.
The number of balance planes is less than the number of balance conditions. In
this case, Equation (3) becomes incompatible. This is a common problem in the practical
balancing process, and it can be solved using the least square method.
5. Balancing the rotor according to the calculated results. Due to the inevitable errors
in the principle, measurement and operation, it is necessary to repeat the balancing
process until the required precision is reached.
In order to obtain the balanced mode of the rotor, appropriate modal analysis methods
should be used. Urbikain et al. [16,17] presented vibration and oscillation equations in
turning. New ways of solving the equations were raised such as Chebyshev method and the
ode23 algorithm. Experiments show that these methods are effective to obtain the vibration
modes of machine tools, and useful in machine tool designing and tool machining.
Grobel [18] proposed a balancing method for the turbine rotor that was related to
the earliest MBM. Kellenberger et al. [19,20] undertook an in-depth study of the MBM,
where the N and (N+2) plane balancing methods for the flexible rotor were proposed. An
experiment on a 650-MW turbo-alternator was performed by N and (N+2) plane balancing
methods. The results show that the N+2 method was able to achieve better accuracy but
needed additional effort and time compared with N method.
Palazzolo et al. [21] developed a method for determining the unbalance distribution
of a flexible rotor without trial weights and verified it by experiments. By knowing the
rotor modal mass and the mode shape, a modal balancing distribution can be calculated.
This relationship provides a quick procedure to estimate the first mode balance correction
weight for both the magnitude and the angular location. However, there are several
limitations to this procedure. The rotor should be capable of operating through the critical
speed region, and also the rotor should be lightly damped.
Meacham [22] presented a balancing procedure utilizing the Complex Modal Method
for a linear flexible rotor having a residual bow. The method does not require trial runs.
However, a valid mathematical model is required to obtain the rotor’s modal parameters,
which are used to relate the balance corrections to the measured responses. Several
balancing strategies based on the extension of previous work were suggested for single-
speed balancing. Two applications were presented, a gas turbine system and an operating
steam turbine-generator system.
In the 21st century, the MBM has been improved both in theory and by experiment.
Bucher [23] summarized the differences between the mathematical models used for the
dynamic analysis of nonrotating and rotating structures and verified it by experiments.
Different types of rotating structures should use different models. The paper made a
classification of different models and pointed out their preconditions and characteristics.
Then relevant modal experiments were carried out to validate the proposed theory.
From the phase angle position of the trial weight turns, ∠ BAO is the position of the
balance correction.
According to the calculation results, the first mode shape can be balanced. In order to
reduce the unbalanced vibration to an allowable value, the steps must be repeated.
(d) Repeat the aforementioned operations and balance other vibration modes within
the working speed range.
4. Modal balancing is not usually automated and it does not easily lend itself to produc-
tion applications.
5. The trimming of lower modes while balancing higher modes is liable to affect the
higher modes (although, in theory, this can be avoided with the addition of extra
balancing planes).
statistical accuracy was analyzed. Through the example of the unbalance estimation of a
separator, the nonlinear approach was shown to give superior performance.
Green et al. [33] presented a nonlinear bifurcation analysis of the dynamics of an
automatic dynamic balancing mechanism for rotating machines. The results revealed
the broad trends on the existence of a stable, dynamically balanced steady-state solution
for specific rotation speeds and eccentricities. However, the analysis also revealed other
potentially attracting states: nontrivial steady states, limit cycles, and chaotic motion, which
were not in balance.
Xu et al. [47] developed a new rotor balancing method by using the balancing objective of
the ICM and the initial phase point of Holospectrum technology. A simple flexible rotor
with continuous mass distribution, as shown in Figure 4, was chosen as the numerical
example. The theoretical model of the rotor is shown in Figure 5. Both the simulation and
experimental results show that this method can reduce the residual vibrations effectively.
Figure 4. Configuration of the numerical example [47]. (A,B,C,D-four disks on the shaft, Kx- stiffness
of bearing, Cx- damping of bearing, S,T- measuring plane locations.)
Figure 5. Theoretical model of the numerical example [47]. (1-10-ten lumped masses, Kx-stiffness of
bearing, Cx-damping of bearing.)
differences and the phase of the unbalance. Therefore, the unbalance response becomes
more complicated.
However, few studies on the balance of dual-rotor system have been performed. The
main difficulties of these studies involve identifying the unbalance response of the two
rotors from the complex vibration signal and accounting for the interaction of the unbalance
vibrations between the two rotors.
Zhang et al. [55] proposed the use eight ICM to achieve a balance of the dual-rotor
system with a very small speed difference. The theoretical analysis and the experimental
study showed that the vibrations of the inner and outer rotors had little effect on each other.
Thus, the eight ICM could balance the dual-rotor system quickly and efficiently.
Yang et al. [56] proposed a new method for separating the vibration signals of a
dual-rotor system with a small speed difference. The magnitude and phase values of the
unbalanced weights were obtained directly by sampling the vibration signal synchronized
with a reference signal. The balance process was accomplished using an ICM. This method
was successfully applied to balance the dual-rotor systems such as centrifuges.
In practice, when balancing a dual-rotor system in an aeroengine, a suitable treatment
is still to balance the two rotors separately. However, due to the coupling effect of the inter-
shaft bearing, the clearance of the bearings and the nonlinear interaction of the rotors, the
system unbalance can occur even when the single rotor has been well balanced individually.
Thus, the balancing methods for a dual-rotor system are worthy of further research.
and quickly. However, because of the limitation of the rotor tester, this method can
only balance the first mode shape. Liu et al. [72] used a similar method, but it had
the disadvantage of the dependence of the balance accuracy on the finite element
calculation.
3. The local balancing method, including the vector analytical method and the three-
shooting method [73]. These methods have been used in practice [74,75]. How-
ever, the disadvantage of these methods is that they require multiple start–stop
actions [76,77], which can cost a lot of money and time.
4. Online balancing method. Zhang [78] reviewed the online balancing research
achievement, proposed a new type of pure mechanical balancing head and achieved
online balancing. Wang et al. [79] presented the electromagnetic online automatic
balancing system and discussed its principle, structure and balancing method.
5. Balancing method by using a specific device. For aeroengines, engineers often used
the Multiplane/Multispeed Balancing Method or the Exact Point-Speed ICM. This
method is based on the ICM and it is generally carried out on a special balancing
device. For this method, multiple planes and multiple speeds are needed to obtain
enough influence coefficients. For a slender shaft, it is usually necessary to attach a
precision collar. By using this method, NASA had successfully balanced the engines
of a T700 [80,81], T53/T55 [82,83], and so on. In China, Deng et al. [84] adopted a
similar method to balance engines.
6. Using slow-speed data to balance high-speed rotors. Tresser et al. [85] proposed
that by using slow-speed data via parametric excitation can achieve balance for
super-critical rotating structures. Analytical, numerical and experimental results were
shown to validate this method.
7. New methods that combine emerging technologies with traditional balancing meth-
ods. Untaroiu et al. [86] combined the convex optimization technology with the ICM
to balance flexible rotors. Mohammadi et al. [87] combined the Imperialist Competi-
tive Algorithm with the ICM to balance flexible rotors. Saldarriaga et al. [88] used an
inverse problem approach to balance flexible rotating machines.
5. Conclusions
This paper provided a detailed discussion of the rotor-balancing methods, including
traditional methods and some new methods. Based on the discussion, future research
directions are proposed as follows.
1. The nonlinearity cannot be ignored for the system containing non-smooth factors such
as collision, shock and dry friction. Therefore, the conventional balancing method
based on linear assumption should be modified using nonlinear theory.
2. For high-speed rotor systems, such as aeroengine rotor systems and large thermal
power-generation unit rotor systems, it is harmful if starting and stopping the rotor
multiple times. Therefore, further research needs to be done in order to improve the
balancing efficiency. The transient rotor balancing method and the method of using
slow-speed data to balance the high-speed rotor system may solve this problem.
3. Balancing methods should be improved by use of the multisource information fu-
sion technologies. The signals of the unbalanced vibration of the rotor are not only
determined by the dynamics of the rotor, but also closely related to test and analysis
technology. Multi-information fusion and integration technologies will play a certain
role in improving the accuracy and speed of rotor dynamic balance.
4. For special rotor systems, different kinds of methods should be applied. For example,
when balancing the dual-rotor system of an aeroengine, if balancing the inner and
outer rotors separately, the system unbalance would occur even if a single rotor
has been balanced. Therefore, a specific balancing method should be developed for
dual-rotor systems.
Machines 2021, 9, 89 14 of 16
5. More and more methods such as transfer function method, no trial weights methods,
online balancing methods will be developed to make rotor dynamic balance more
convenient, more accurate, more energy saving and faster.
Author Contributions: The author contributions are as follows: S.C. was in charge of the whole trial;
L.L. wrote the manuscript; J.L., R.N. and L.H. assisted with consulting literature. All authors have
read and agreed to the published version of the manuscript.
Funding: Supported by National Natural Science Foundation of China (Grant No. 11872045).
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Informed consent was obtained from all subjects.
Data Availability Statement: Not applicable.
Acknowledgments: The authors sincerely thank Shiyu Wang of Tianjin University for his critical
discussion and reading during manuscript preparation.
Conflicts of Interest: The authors declare no conflict of interest.
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