1. Introduction
As representative complex systems, rotating systems play a critical role in Industry 5.0 [
1,
2,
3,
4] and serve as the bridge among multiple physical fields to drive industrial processes [
5,
6]. Given the importance of rotating systems, assessing their health status both supports downstream operational decision-making and helps ensure the safety and reliability of industrial scenarios. For example, in applications such as dynamic maintenance scheduling, asset dispatching and industrial process optimisation, health status monitoring within the OODA framework [
7] enables production lines to determine when maintenance should be performed, which assets should be dispatched to industrial sites, and how operating modes should be optimised to sustain longer and more efficient equipment operation. Therefore, health status monitoring for rotating systems is a highly important problem.
Despite its importance, a fundamental barrier lies in health status monitoring of advanced rotating systems [
8,
9,
10]. As a result of their complex construction and multiple components, these advanced rotating systems have become semi-observable systems, in which physical parameters related to health status lack direct sensor measurements due to installation constraints or prohibitive costs. For example, cracks in the blades of gas turbines can only be checked by stopping the rotating system [
11]. Furthermore, the wear reflects the health status of milling tools but can only be measured during machine tool outages. Therefore, vibration, sound, temperature, and force signals are used for online failure detection [
12,
13]. The partial observability of a semi-observable system necessitates hidden-parameter estimation to assess the status of deep degradation using available sensors, which further provides a quantified health level and supports predictive maintenance and process optimisation. For example, Alassery et al. [
14] achieved predictive maintenance of spinning spindles using hidden-parameter estimation with a just-in-time neural network. Meanwhile, it could also be regarded as a factor to determine the macro-level logistics. For example, in the work proposed by Zhang et al. [
15], the engine health state, which is estimated by sensors, is used as an important factor in the dynamic maintenance scheduling of large-scale airline fleets. Generally, hidden-parameter estimation methods predominantly rely on two paradigms, which both can be regarded as building the map between latent health status and observable sensors:
- (1)
Sensor replacement: The representations of faults and failures in industrial systems contain multiple sensorial data [
16]. Therefore, when typical sensors for health status are unavailable or fail, residual sensors can be used as replacements [
17,
18]. For example, Long et al. [
19] proposed a sensor replacement strategy for health status detection of the cutter suction dredger mud pump using available sensors, such as cutter bearing flushing pressure, flow rate, and underwater pump shaft seal water pressure, to replace the shaft seal water pressure sensor when it fails; Han et al. [
20] considered the stator current a health indicator for bearing remaining useful life (RUL) prediction in the control moment gyroscope. Though sensor replacement enables indirect measurement and fault-tolerant monitoring in industrial processes, it s hard to find a perfect, specific sensor or sensor set to replace sensors directly related to the health status of industrial equipment.
- (2)
Hidden-parameter estimation: Compared with sensor replacement, hidden-parameter estimation, also called virtual sensors [
21,
22], is a method of hidden health status monitoring using available data collected in the middle or the end of the industrial process and analysing them using physical models, statistical models and artificial intelligence models [
23,
24]. For instance, Mohammadi et al. [
25] designed a soft sensor using Bayesian network and probabilistic principal component analysis to estimate the
concentration in the sweet gas stream using the feed flow rate, the feed temperature, the sweet gas temperature, the acid gas temperature, the acid gas flow rate, and the
concentration in the acidic gas; Zhang et al. [
26] studied fault-tolerant virtual sensor in industrial processes, which investigated a case of detecting the melt index in polypropylene (PP) production process using the propylene concentration, the hydrogen concentration, the catalyst concentration in the loop reactor R201; the propylene concentration, the hydrogen concentration, the catalyst concentration in the loop reactor R202; and the total macroscopic reaction heat. Parameter estimation is a powerful tool for qualitatively monitoring hidden physical parameters by mapping easy-to-measure process variables to hard-to-measure quality variables [
26].
Despite the widespread adoption, existing parameter estimation approaches still have inherent limitations. On one hand, physical-model-based methods, also called first-principle models [
27], heavily rely on precise physical property knowledge of the target systems. These physical models are also sensitive to the parameter uncertainty and measurement errors in online industrial processes. On the other hand, data-driven methods require a large amount of data for model training, and their performance will be limited when the test data falls outside the range of the training data. Meanwhile, the interpretability of data-driven methods is also worth consideration, as it may lead to unrealistic evaluations. Furthermore, though hybrid methods could improve flexibility and reliability by combining physical-model-based and data-driven approaches, they still suffer from limited flexibility in dynamic working environments and operational stages in industrial processing.
To overcome the limitations of traditional shallow data-driven models, deep learning has been widely applied to health monitoring and hidden-parameter estimation in rotation systems. With their ability to automatically extract deep features from multisource and nonstationary sensor signals, deep learning models can improve the performance of hidden-parameter estimation and health monitoring. For example, Wang et al. [
28] proposed a spatial-channel collaborative multi-scale graph interaction deep transfer learning method to mine deep features from vibration signals and achieved an interpretable representation of fault knowledge across operating conditions without labels.
In recent years, reinforcement learning (RL) has attracted increasing attention in autonomous production planning and control (PPC) due to its advantages in adaptive optimisation, online learning, and handling dynamic environments [
29]. It has been widely applied in industry scenarios, such as port operations [
30] and smart manufacturing [
31]. For example, Dewantara et al. [
32] proposed a learning-assisted hybrid simulation–optimisation model based on an RL framework for resilient freight transportation, aiming to improve the ability of synchromodality systems to cope with uncertain disruptions. Specifically, RL has also received growing attention in the field of parameter estimation [
27,
33]. By integrating real-time sensory feedback with physics-informed reward mechanisms, RL enables adaptive hidden-parameter estimation under uncertain and nonstationary conditions. Dogru et al. [
34] reviewed the applications of RL in process industries and summarised its use in the hidden-parameter estimation, including data selection, regression model training, validation, and maintenance. This research team also mentioned that RL models can be built as parameter estimators to establish a mapping between the observer and hidden parameters [
35], which is becoming a research hot topic. For example, Skordilis et al. [
36] combined a deep reinforcement learning model with a Bayesian filter to estimate lantern degradation states to support maintenance decision-making. Li et al. [
37] proposed a convolutional-transformer reinforcement learning model to monitor the fault states of a rotating system. Tian et al. [
38] proposed an RL-based framework for parameter inference and validated its effectiveness across a set of fault scenarios for turbofan engines.
However, existing RL-based methods still face the challenge of unstable estimation, leading the final estimate to fail to converge to the ground-truth value. This estimation instability stems from the primary cause that the hidden-state estimation is generally treated as an observation–tracking problem, which prioritises ensuring the accuracy between the ground truth and estimated observations at specific time slices. Meanwhile, the hidden-parameter estimation is essentially a system of equations problem, where the dimension of the independent variables exceeds that of the dependent variables. Therefore, there are multiple solutions in mathematics, but they are impossible in the principles of rotation systems in physics. The presence of multiple solutions exacerbates the instability of hidden-parameter estimation.
To address the challenge of stable and accurate hidden-parameter estimation, a tutored reinforcement learning framework is proposed based on the Lyapunov Actor–Critic (LAC), named the Lyapunov Actor–Critic Tutor (LAC-T). The main contribution of the proposed framework is as follows:
- (1)
To enhance the stability of the hidden-parameter estimation, the hidden-parameter estimation is regarded as an observation–trajectory alignment problem instead of an observation–tracking problem. The reward is optimised to account for the consistency of the observation transition across consecutive time slices in the entire trajectory, thereby strengthening the stability of hidden-parameter estimation.
- (2)
To improve the accuracy of hidden-parameter estimation, a tutor component is introduced into the proposed LAC-T framework. The specifically designed tutor component generates guided actions in synchronisation with the actor components to guide the direction of hidden-parameter estimation.
- (3)
To validate the effectiveness of the proposed framework, a case from a high-speed rotating system in the control moment gyroscope (CMG) is studied in this paper. The experimental results show improved hidden-parameter estimation, demonstrating the superiority of the proposed framework.
The rest of this paper is organised as follows.
Section 2 first analyses the problem definition of hidden-parameter estimation.
Section 3 introduces the details of the LAC-T framework. Then,
Section 4 discusses the experimental results. Finally,
Section 5 summarises the LAC-T framework proposed in this paper.
2. Problem Definition of Hidden-Parameter Estimation
Before introducing the proposed LAC-T framework, it is essential to clarify the definition of the hidden-parameter estimation problem. A typical rotating system can be described as a state system, which is represented by the quintuple . In this quintuple, and represent the state and the input vector of the rotating system, respectively. is the observation vector from the rotating system. F represents the map between the state, input, and observation vectors with hidden parameters . Based on the quintuple description of the rotating system, the core objective of estimating hidden parameters is to identify the value of hidden parameters based on collected , and within the physical principle and statistical characteristics.
Inspired by [
38], the hidden-parameter estimation of the rotating system can be described as follows: a rotating system
F consists of the input
and the observation
, where
s and
p represent the dimensions of the input and observation. The goal of identifying the hidden-parameter values
is generally regarded as an observation–tracking problem, which focuses on minimising the error between estimated value
and the ground truth
y of observations at a specific time slice, which are described as Equations (
1) and (
2):
where
and
represent the input and the estimated observation vector at time slice
, respectively.
is the estimated hidden parameter in time slice
.
However, the primary goal of the existing observation–tracking problem is to accurately track the observation vector
at a specific time slice, which ignores the consistency of the observation transition across consecutive time slices in the entire trajectory and thereby decreases the accuracy and stability of the hidden parameters
. An example of the observation–tracking problem is shown in
Figure 1a. In the process of observation tracking, the estimated hidden parameter
at time slice
t will be acceptable as long as the single point of the observation
is accurately tracked. However, the estimated parameter
is difficult to keep stable due to the constant struggle to ensure high-accuracy observation tracking. Therefore, this paper extends the observation–tracking problem to an observation–trajectory alignment problem to overcome the aforementioned limitation and incorporate additional considerations into the estimation goal.
The key principle for extending the problem definition and maintaining stable hidden-parameter estimation is to constrain the accuracy of the observation trajectory rather than that of a single-point estimate. To achieve this principle, as illustrated in
Figure 1b, in the observation–trajectory alignment problem, the observation tracking errors at the start and end points of the trajectory are both considered to help reduce the risk that a wrong tracked observation at the previous time slice will increase the estimation fluctuation of hidden parameters. The estimation goal based on the observation–trajectory alignment problem can be extended as Equation (
3):
Compared with Equation (
1), Equation (
3) considers joint tracking errors at multiple time slices to represent the alignment error of the observation trajectory. Specifically,
, as shown in Equation (
4), represents the tracking error from the previous estimated observation
. As shown in Equation (
5),
represents the tracking error from the ground truth observation
to reduce the impact from large tracking deviations of the previous observation on the hidden-parameter estimation. Finally,
, which is shown in Equation (
6), represents the tracking error of observations at the previous time slice to align the start point of the observation trajectory and ensure the stability of estimated hidden parameters.
3. Methodology of Parameter Estimation Based on LAC-T Framework
3.1. Overview of the LAC-T Framework
Based on the problem definition for hidden-parameter estimation, a Lyapunov Actor–Critic Tutor (LAC-T) framework is proposed. As illustrated in
Figure 2, the proposed LAC-T framework consists of four components: Environment, Actor, Critic, and Tutor. In detail, the environment component is constructed from rotating systems based on state-system principles that describe the mapping between the input, hidden parameters and observations. The actor component is used to estimate hidden parameters to reflect the hidden health status of rotating systems. The critic component evaluates the correctness of the estimated hidden parameters and helps train the actor component. The basic principle of the actor, environment and critic components is described in Equations (
7)–(
9).
where
A,
E,
C, and
T represent map functions of the actor, environment, critic, and tutor components, respectively.
and
represent the action vector and state vector in the reinforcement learning framework at time slice
t.
represents the reward provided by the environment component, and
is the evaluation from the critic component at time slice
t.
From a mathematical perspective, hidden-parameter estimation can be viewed as an equation-solving problem, in which the hidden parameters are treated as dependent variables and the observations as independent variables. However, due to the nonlinear nature of complex rotating systems, the mapping from hidden parameters to observations can admit multiple solutions. Therefore, multiple solutions yield multiple numerical directions that satisfy the requirements of observation tracking but violate the physical principle in rotating systems. To avoid the anti-physical multiple solutions in existing hidden-parameter estimation methods, the proposed framework introduces a tutor component to provide reference directions for the actor component, thereby improving the accuracy of hidden-parameter estimation, whose basic principle is described in Equation (
10).
It is worth noting that the tutor component can be generated either from a pre-trained data-driven model or from a simplified physical model informed by expert knowledge. In the LAC-T framework, the reference from the tutor component is used to release the struggle of the multiple solutions and guide the estimation process of the actor component toward the right direction, and thus improve the accuracy of hidden-parameter estimation.
3.2. Design of RL Elements in the LAC-T Framework
To estimate the hidden parameters of rotating systems using the LAC-T framework, it is necessary to specify the state space
, the action space
and the reward
r. According to the problem definition in
Section 2, hidden-parameter estimation can be viewed as an observation–trajectory alignment problem. Therefore, the actor component needs to consider the observation’s ground truth and its estimation simultaneously across multiple time slices. Therefore, the state space at time slice
in the LAC-T framework is described in Equation (
11)
where
and
represent the observation’s ground truth and estimation at time slice
t. Similarly,
and
represent the observation’s ground truth and estimation at time slice
.
is the input in the LAC-T framework at time slice
.
Under the background of hidden-parameter estimation, the action space generated by the actor component corresponds to the estimated hidden parameter
and drives the environment component to generate the state in the next time slice. Therefore, the action space is designed as Equation (
12):
where
represents the estimated hidden parameters at time slice
.
Except for the action and state spaces, the cost function, which could be specified as the negative of the reward and described as
, also needs a specific design. Based on the background of hidden-parameter estimation and the proposed LAC-T framework, the cost can be divided into two parts, as listed in
Table 1.
The first cost comes from the observation–trajectory alignment error, which keeps the stability of hidden-parameter estimation. As described in
Section 2, the LAC-T framework considers not only observation–tracking accuracy at a single time slice but also the consistency of the observation transition across consecutive time slices in the entire trajectory. Therefore, this part of the cost function is designed as shown in Equation (
13):
Moreover, to ensure that hidden-parameter estimation is physically meaningful, the tutor and actor components estimate the hidden parameters synchronously, guiding the actor towards the correct ones. Therefore, the second part of the cost function is described in Equation (
14):
where
represents the estimated hidden parameter generated from the actor component at time slice
t, while
is the estimated hidden parameter from the tutor component. MSE is the mean squared error function between
and
.
Combined with Equations (
13) and (
14), the integrated cost function is calculated as Equation (
15):
where
is set as the weight to balance the contribution of
and
in the training process.
represents the integrated cost as the input of the Lyapunov critic component, which guides the actor component to estimate hidden parameters with a limited range and improves the accuracy of hidden-parameter estimation.
3.3. The Learning Strategy of Hidden-Parameter Estimation Based on LAC-T
Based on the LAC-T framework’s structure with a specific action space, state space and cost function, the learning strategy also need to be specific. Inspired by [
38], the actor is updated by minimising the following Lyapunov-constrained objective described in Equation (
16):
where
represents the entropy regularisation coefficient that controls the importance of the stability guarantee.
represents the positive Lagrange multiplier for the Lyapunov constraint.
represents the Lyapunov decreasing margin coefficient.
represents the policy smoothness regularisation coefficient.
represent a near state to state
.
The objective function for actor updating comprises three parts. The first term is the policy entropy regularisation term, which is used to enhance the stochasticity and exploration capability of the policy. It prevents the policy from prematurely converging to a suboptimal solution, thereby improving the stability and robustness of the training process. The second term is the stability constraint term based on the Lyapunov function. Its main purpose is to ensure that the policy satisfies the system’s stability requirement while optimising the actor’s performance. Specifically, describes the variation of the Lyapunov function during the system state transition, while provides a cost-related decreasing margin. Therefore, this term constrains the actor to learn actions that are not only effective but also capable of driving the system toward a more stable and safer direction. The third term is a smoothness regularisation term, which is introduced to constrain the difference between the actions generated under neighbouring states. This term reduces the policy’s sensitivity to local perturbations, making the actor-learned hidden-parameter estimation policy smoother and more continuous while also improving its generalisation capability. These three components guide the actor’s training from the perspectives of exploration, stability, and continuity, respectively. As a result, the learned policy can simultaneously account for performance optimisation, safety constraints, and practical implementability.
In the proposed LAC-T framework, the Lyapunov critic is introduced to impose a stability-oriented constraint on the actor update. Specifically, the Lyapunov term encourages the learned policy to generate hidden-parameter estimates such that the Lyapunov value decreases along the sampled estimation trajectory. However, this stability guarantee should be interpreted as local rather than global. The reason is that the state vector , the action , and the tutor-guided action are all defined within the physically admissible operating region of the rotating system. Moreover, the Lyapunov critic and the actor policy are learned from sampled data within the replay buffer, rather than being analytically verified over the entire state-action space. Therefore, the Lyapunov decrease condition is expected to hold within the bounded region defined by the training data, degradation scenarios, and admissible range of hidden parameters. Under ideal conditions where the learned Lyapunov function is exact and the decrease condition is strictly satisfied, the estimation error can be regarded as locally asymptotically stable. In practical cases with neural approximation errors, tutor bias, and observation noise, the stability implication is more appropriately interpreted as local uniform ultimate boundedness. Consequently, the proposed LAC-T framework does not claim global asymptotic stability; instead, the Lyapunov function locally enhances the stability of hidden-parameter estimation within the bounded region of attraction considered in this paper.
Based on the objective function and the training process of LAC-T, the major hyperparameters and their sensitivity to model convergence are listed in
Table 2. These hyperparameters govern both the learning dynamics and the stability-aware policy optimisation process. The actor learning rate
determines the magnitude of policy updates, thereby affecting how quickly the control policy can adapt to sampled transitions. Meanwhile, the Lyapunov critic learning rate
is associated with the Lyapunov function’s approximation accuracy and training efficiency, providing a basis for evaluating the learned policy’s tendency toward stability. The discount factor
controls the trade-off between immediate and future rewards or costs, making it particularly important for capturing long-term degradation trends and stability-related consequences. To maintain sufficient exploration during policy learning, the entropy coefficient
is introduced to regulate the randomness of the policy distribution and reduce the risk of being trapped in local optima. In addition, the Lagrange multiplier
adjusts the relative importance of the Lyapunov constraint in the optimisation objective, thus balancing performance improvement with stability preservation. The coefficient
further determines the required decrease margin of the Lyapunov function by scaling the instantaneous cost, which directly affects the strictness of the stability condition. Finally, the smoothness coefficient
imposes a regularisation effect on the policy outputs for neighbouring states, helping to suppress abrupt variations in action and enhance the robustness of the learned policy. Specifically, following the training strategy of the [
38,
39],
and
can be adjusted through the gradient method by maximising the objective described in Equations (
17) and (
18):
According to the designed reward and learning strategy, the training process of the LAC-T framework is described in Algorithm 1.
| Algorithm 1 The training process of the LAC-T framework. |
Require: Learning rate and , environment component E, tutor component T Ensure: The trained actor component A 1: Initialise Lyapunov network and strategy randomly 2: Sample the initial state vector 3: whiledo 4: while do 5: Estimate hidden parameter as an action based on of actor component; 6: Achieve the tutored parameter estimation as the tutored action based on tutor component; 7: Input the observation into the E and achieve the estimated observation and loss function ; 8: Compare the estimated hidden parameter with tutored hidden parameter to obtain the loss function ; 9: Calculate the integrated loss based on and ; 10: Compose and store it in the data pool D 11: end while 12: while do 13: Sample path from data pool D 14: Update and using sampled path 15: Update the target networks with soft replacement 16: end while 17: end while
|