Author’s Accepted Manuscript

The concept and progress of intelligent spindles: A

review

Hongrui Cao, Xingwu Zhang, Xuefeng Chen

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PII: S0890-6955(16)30391-1
DOI: http://dx.doi.org/10.1016/j.ijmachtools.2016.10.005
Reference: MTM3203
To appear in: International Journal of Machine Tools and Manufacture
Received date: 30 March 2016
Revised date: 9 October 2016
Accepted date: 12 October 2016
Cite this article as: Hongrui Cao, Xingwu Zhang and Xuefeng Chen, The concept
and progress of intelligent spindles: A review, International Journal of Machine
Tools and Manufacture, http://dx.doi.org/10.1016/j.ijmachtools.2016.10.005
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 The concept and progress of intelligent spindles: A review
Hongrui Caoa*, Xingwu Zhanga, Xuefeng Chenb

a
Key Laboratory of Education Ministry for Modern Design and Rotor-Bearing System, Xi’an Jiaotong University, Xi'an 710049, China

b
State Key Laboratory for Manufacturing Systems Engineering, Xi’an Jiaotong University, Xi'an 710049, China

*
Corresponding author. Tel.: +86 29 82663689; fax: +86 29 82663689. chr@mail.xjtu.edu.cn

Abstract

Intelligent spindles are core components of the next-generation of intelligent/smart machine

tools in the Industry 4.0 Era. The purpose of this paper is to clarify the concept of intelligent

spindles and provide an in-depth review of the state-of-the-art of related technologies. A new

integrated concept for intelligent spindles is proposed, followed by descriptions of required

characteristics, key enabling technologies and expected intelligent functions. Relevant research

that may be beneficial to the development of intelligent spindles is reviewed from six thrust areas,

which include monitoring and control of tool condition, chatter, spindle collision,

temperature/thermal error, spindle balance, and spindle health. Finally, current limitations and

challenges are discussed, and future trends of intelligent spindles are prospected from various

perspectives.

Keywords: intelligent spindles; machining process; condition monitoring; control; machine tools

1. Introduction

As the Industry 4.0 Era (i.e., the Fourth Generation Industrial Revolution) builds, machines are

becoming interconnected, forming a collaborative community in smart factories [1]. “Smart

production” is becoming the norm, in a world where intelligent machines, systems and networks

are capable of independently exchanging and responding to information, to manage industrial

production processes. A key to building smart factories is to turn traditional machines into more

intelligent machines.

The concept of “smart machine tools” or “intelligent machine tools” was first introduced about

ten years ago. The basis of this next-generation machine tool is the ability to monitor and control

multiple process modules [2, 3]. As core components of machine tools, spindles have direct effects

1
on the material removal rates and machined quality of workpieces. Spindle technologies have been

developed extensively to improve accuracy and abilities, such as higher speeds, precision and

reliability. In 2010, Abele et al. [4] reviewed the historical development, recent challenges and

future trends of machine tool spindles in detail, noting that further development would be required

to allow sensor/actuator integration to make the spindle unit an inherent quality-insuring system.

In 2012, Nakamura [5] conducted a survey on the technological development of machine tool

spindles over the past 40 years, concluding that the intelligent spindle would be the future

direction of machine tool spindles. In recent years, extensive investigations have been conducted

on intelligent spindles in universities, industries and other organizations, and the demand for

intelligent spindles continues to increase.

Currently, it is almost a standard that all high-speed spindles are equipped with sensors to

measure the temperature of the motor and supported bearings [4]. A few specialized spindles are

also equipped with vibration and/or force sensors. However, most studies have focused on just one

or several intelligent functions of machine tool spindles, and a consensus on the concepts and

characteristics of intelligent spindles has not been reached. Furthermore, to the best of our

knowledge, there has not yet been an intelligent spindle used practically in the industry.

To address this gap in the literature, this work discusses the concept of intelligent spindles and

reviews the recent progress of research and engineering developments in relation to intelligent

spindles. The paper is organized as follows: Section 2 proposes a new integrated concept for

intelligent spindles, describing the required characteristics, key enabling technologies and

expected intelligent functions, in order to distinguish from traditional spindles. Section 3 reviews

previous research works that are relevant to intelligent spindles, from six thrust areas: monitoring

and control of tool condition, chatter, spindle collision, temperature/thermal error, spindle balance,

and spindle health. Current limitations and future trends of intelligent spindles are discussed in

Section 4, and conclusions are presented in Section 5.

2. The concept of intelligent spindles

Intelligent spindles can be described as spindles with the capabilities of sensing, decision making

and control, which guarantee the optimum machining process and reliable operations. Traditional

spindles only have the abilities to passively obey operators’ commands and react to them, even
2
when the assigned task is not suitable for their current conditions. Intelligent spindles should be

able to actively suggest task arrangements and adjust/modify operational parameters to optimize

machining processes and spindle performance. Specially, intelligent spindles will acquire

adjustment/modification knowledge by self-learning, rather than following rules set by the

operators in advance. An integrated concept of intelligent spindles is given in Fig. 1. Compared

with traditional spindles, intelligent spindles need to possess new characteristics, including

autonomy, self-learning, compatibility and openness. In order to design and manufacture

intelligent spindles, there should be a focus on developing the key enabling technologies, which

include sensing, decision making and control. Spindles can then be developed to fulfill customer

requirements, with condition monitoring and control as the core features of intelligent functions.

In this work, six expected functions of intelligent spindles are considered: monitoring and control

of tool condition, chatter, spindle collision, temperature/thermal error, spindle balance, and spindle

health. Undoubtedly, intelligent functions of different spindles may vary, and the functions of

intelligent spindles are open and not limited to these six areas. In short, the required characteristics

are the “personality” of intelligent spindles, while the expected functions are the “work” that

intelligent spindles can accomplish. Ultimately, intelligent spindles are made feasible because of

the enabling technologies.

Fig. 1. An integrated concept of intelligent spindles.

3
 In order to clarify the concept, Fig. 2 presents an illustration of an intelligent spindle prototype.

This prototype is a high-speed motorized spindle, with the intelligent functions of chatter

monitoring and control, which include three modules: sensing (real-time condition monitoring),

decision making (chatter detection/prediction), and control (active chatter control).

In the sensing module, displacement sensors and accelerometers are integrated into the spindle

structure to measure the vibration signals of the tool holder and spindle housing, and

thermocouples are employed to measure the temperature of the motor and all of the bearings.

Afterwards, the measured signals are imported into the decision-making and control modules as

inputs.

In the decision-making module, the measured signals are analyzed by advanced signal

processing techniques. The features that represent the machining process state are extracted and

then input into pattern recognition algorithms, for chatter detection/prediction. If chatter occurs,

the control module is activated.

In the control module, vibration signals are input into the chatter controller as feedback, and

parameters such as spindle speed and temperature are provided to the controller to achieve the

adaptive gain. The output parameters of the controller are amplified with a power amplifier to

control the motion of piezo-actuators. The output forces of the piezo-actuators are applied to the

front bearings, and the vibration responses of the tool tip can be controlled, achieving active

chatter control of the intelligent spindle.

4
 Control
Chatter frequency
Power
Controller
amplifier
Vibration signals
Temperature Speed

Piezo-actuator
Thermal-couples

Tool tip

Eddy current
sensor
Accelerometer

Vibration Signal
signals conditioning
Feature Chatter
extraction detection/prediction

Sensing Decision making

Fig. 2. An intelligent spindle prototype.

The required characteristics, key enabling technologies, and expected intelligent functions are

explained more specifically in the following Sections 2.1-2.3.

2.1 Required characteristics

The required characteristics of intelligent spindles are explained as follows.

Autonomy: Intelligent spindles should have high autonomy to effectively accomplish their

functions. For example, in the preparation stage before cutting, intelligent spindles are required to

automatically minimize set-up time (e.g. precision balancing time) and select process parameters

(i.e., feed rates, depths of cut, speed) to achieve target requirements of quality, productivity and

efficiency. During cutting processes, intelligent spindles can determine a new, optimized set of

cutting parameters, enabling self-optimization of condition-monitoring and control of the cutting

process. Autonomy is also reflected in the self-diagnostics and self-assessment of spindle health.

Intelligent spindles should be able to assess their current degradation state, so running state of the

spindle can be fed back to the machine controller, allowing for real-time maintenance of

operations, to avoid potential issues.

Self-learning: Intelligent spindles should have the ability to update their performance through

self-learning. During the implementation of intelligent spindles, cutting conditions vary frequently,

5
and various events may happen. Intelligent spindles should analyze and learn from these cases,

and then a self-evolution strategy can be implemented through self-learning algorithms. With the

support of databases and knowledge bases, intelligent spindles can discover new knowledge from

in-field data, without the guide of operators. Through seamless interactions with cutting processes

and other spindles, intelligent spindles can continuously improve their performance and

intelligence levels.

Compatibility: Intelligent spindles should have good compatibility with other components,

which means that, their supervisory systems and computer numerical control (CNC) systems need

to seamlessly communicate in real-time. The supervisory system accesses internal signals from the

numerical controller to make necessary decisions, and the decision is input into the CNC system,

to determine the suitability of the CNC machine tools to accomplish a certain task. For example,

in a spindle collision case, the emergency stop decision in the supervisory system has a higher

priority than the numerical control code currently being processed.

Openness: Openness is a general feature of intelligent systems. In order to meet customer needs,

the software/hardware interfaces of intelligent spindles should be open to conveniently configure

new features at any time. Intelligent spindles should be expandable to adapt to technological

development, which is beneficial to the promotion of intelligence levels.

2.2 Key enabling technologies

Key enabling technologies, which include sensing, decision making and control, need to be

developed before the implementation of intelligent spindles can be ensured. The relationships

among these key enabling technologies are shown in Fig. 3.

6
 Sensing Decision-making Control
technologies technologies technologies

· Sensor integration · Signal processing · Vibration/chatter control

· Optimal sensor placement · Feature extraction/selection · Error compensation
· Multi-sensor fusion · Intelligent detection/diagnosis · Predictive maintanance
· ... · ... · ...

System integration

Fig. 3. The relationships among key enabling technologies.

Ÿ Sensing technologies. Sensing technologies are the “eyes/ears/noses” of intelligent spindles.

Various sensors, which are capable of sensing the operating statuses of the spindle and

machining process, are integrated into intelligent spindles. Commonly measured signals

include vibration, force, torque, temperature, motor current/power, displacement, etc. Since

the internal space of intelligent spindles is very limited, the integration and optimal

placement of sensors, actuators and controllers within the spindle structure is necessary.

Meanwhile, intelligent spindles should exchange and share sensing information with CNC

systems and operators.

Ÿ Decision-making technologies. Decision making is the “brain” of intelligent spindles,

consisting of data processing, feature extraction/selection, and intelligent detection/diagnosis.

Due to the complexity of industrial environments, almost all data collected from sensors

needs to be analyzed with appropriate signal processing methods before the various features

representing the state of intelligent spindles can be extracted. The sensitive features are fed

into sophisticated algorithms, such as artificial intelligence (AI), to achieve the aim of the

intelligent detection/diagnosis.

Ÿ Control technologies. Control technologies are the “arms and legs” of intelligent spindles,

which generally include tool deflection compensation, vibration/chatter control, collision

damage prevention, thermal error compensation, active balancing, condition-based

maintenance, etc. The control actions solve the detected problems by the condition

monitoring system, which guarantees reliable operations of the spindle and optimum

7
 machining processes.

After all of the enabling technologies are developed, system integration is the final step to

combine these technologies into the machine tool supervisory system. The intelligent machine tool

has the ability to coordinate among all individual technologies and control systems to deliver an

overall optimal performance.

2.3 Expected intelligent functions

Condition monitoring and control are the core features of intelligent functions. Here, we consider

six expected functions of intelligent spindles, which can be categorized into two groups. The first

group is related to the spindle-process interaction, which treats machining processes and spindle

structures in an integrated way. In this group, expected intelligent functions include the monitoring

and control of tool condition, chatter and spindle collision. The second group is related to the

spindle itself, including functions such as monitoring and controlling temperatures/thermal errors,

spindle balance and spindle health. The expected functions of intelligent spindles are listed in

Table 1.

Table 1. Expected functions of intelligent spindles

Group 1 Aims

Ÿ Tool wear and breakage detection

Tool condition monitoring and control
Ÿ Tool deflection compensation

Ÿ Chatter onset detection

Chatter monitoring and control
Ÿ Chatter suppression/control

Ÿ Collision detection
Spindle collision monitoring and control
Ÿ Collision damage prevention

Group 2 Aims

Ÿ Temperature monitoring
Temperature/thermal error monitoring and control
Ÿ Thermal error compensation

Ÿ Unbalance monitoring
Spindle balance monitoring and control
Ÿ Active balancing control

8
 Ÿ Damages/failure monitoring of spindle components
Spindle health monitoring and control
Ÿ Condition-based maintenance

These expected intelligent functions are not independent modules, but are integrated into one

supervisory system. Fig. 4 shows the system architecture and work process of intelligent spindles.

In the sensing subsystem, various types of signals are monitored with integrated sensors, forming

a sensor network to supervise the spindle performance. Data from the sensor network is processed

by the decision-making subsystem, which makes hierarchical decisions based on a set of

manufacturing rules and logic. If an abnormality is identified, then the control subsystem is

activated, and the embedded actuators, CNC system and operator are the “executors” to achieve

the control purpose.

To avoid conflicting outputs from different controllers and prioritize individual process

adjustments, it is necessary to integrate multiple controllers into one closed-loop supervisory

system. In this way, the spindle performance is optimized with consideration of tool wear rate,

cutting stability, thermal deformation, bearing life, etc. Therefore, intelligent spindles are

characterized by a transformation from independent condition monitoring and control systems

towards one supervisory system that is superior to the single controller in terms of productivity,

part quality and reliability.

The intelligent supervisory system

Tool deflection Thermal error

Decision making

Collision Thermal error compensation compensation

Control

Chatter Unbalance Chatter Active balancing

suppression/control control

Tool Collision damage Condition-based

Damages/failure
wear/breakage prevention maintenance

Temperature

Torque Current Embedded actuators

Sensing

The CNC sytem

Force Displacement

The operator
Vibration Flow rate

Fig. 4. The system architecture and work process of intelligent spindles

9
3. The progress of enabling technologies for intelligent
spindles

We review the progress of enabling technologies for intelligent spindles in six thrust areas, each

corresponding to the expected intelligent function of the spindles, namely, monitoring and control

of tool condition, chatter, spindle collision, temperature/thermal error, spindle balance, and spindle

health. In these areas, a large amount of published literature can be found, however, only the

works that have the potential to promote, intentionally or unintentionally, the development of

intelligent spindles are selected and reviewed from aspects of the three key enabling technologies

(i.e., sensing, decision making, and control). In the end of each section, a short summary is

presented to reveal the challenges and suggest future research to integrate these technologies into

intelligent spindles.

3.1 Tool condition monitoring and control

In milling or drilling processes, the spindle rotates cutting tools to cut workpieces. Cutting tools

are important parts of spindle systems, as they have a decisive influence on achievable machining

performance and accuracy. Tool condition monitoring (TCM) and control are critical functions of

intelligent spindles, which aim at detecting tool wear/breakage and compensating for machining

error caused by tool deflection or wear. In the past decades, TCM has been studied extensively,

and the progress in this area has been reviewed in several scholarly papers [6-10]. This section

primarily includes works in which sensors are installed or integrated into spindles, as well as

sensor-less methods based on motor current/power.

3.1.1 Sensing

It is well known that TCM sensing techniques can be divided into direct and indirect methods.

Direct measuring methods possess higher accuracy, while indirect methods are less complex and

more suitable for integration into intelligent spindles. The most important indirect sensing systems

for tool condition are based on cutting forces or other physical variables derived from cutting

forces (such as motor current/power, bending/ displacement of the tools and torque). All

monitoring systems based on this principle utilize the fact that tool wear causes an increase in
10
cutting force components, and tool breaks manifest themselves in the form of discontinuities or

pulse-like changes in one or several cutting force components [11]. Meanwhile, oscillations of

cutting forces lead to vibrations of the machine structure, which change due to tool wear or

breakage. Vibration sensors have the advantages of low costs and easy installation, and are widely

used in TCM. Furthermore, cutting processes produce a large amount of acoustic emission (AE)

waves, and tool breakage causes peaks in AE signals. This makes AE a very useful signal for tool

breakage detection. In the following parts, TCM systems together with spindle-integrated sensors

are reviewed.

· Cutting force

The cutting force is one of the most important machining process variables related to cutting

performance. A significant amount of investigation has been conducted to monitor tool failure

using cutting force signals, due to their high sensitivity and rapid response to changes in cutting

conditions. In order to avoid the limitations of direct cutting force measurements with the table

dynamometers, several indirect methods have been applied to measure the cutting forces with the

integrated devices in spindle structures. Firstly, cutting forces can be estimated from the

deformations of flexible mechanical parts of the machining system by using strain gauges [12-14].

An integrated strain gauge-based rotating dynamometer is shown in Fig. 5a. The device consists of

a strain gauge based sensor that is mounted on a force sensing element which is then placed in the

rotating tool holder. Alternatively, cutting forces can be derived from spindle vibrations by using

displacement probes [15] (see Fig. 5b) or accelerometers [16]. In [17], the cutting forces were

determined as a function of the measured command voltages of the milling spindle’s magnetic

bearings. However, the major drawback of these indirect approaches is the poor frequency

bandwidth.

11
 Fig. 5. The integrated cutting force measurement system based on: (a) strain gauge [14], (b)

displacement probes [15].

Generally, piezoelectric crystals have a good compromise between stiffness and sensitivity.

Piezoelectric force sensors can be embedded in a ring-like frame to form a piezoelectric force ring.

An alternative method that has become attractive in recent years for cutting forces measurement is

through spindle integrated force rings. Fig. 6a shows the installation of a piezoelectric force ring,

embedded into the spindle housing to capture force signals with minimum time lag [18]. The force

rings (Fig. 6b and 6c) can be also mounted between the spindle flange and the cast spindle housing,

since the cutting force is transmitted to the stationary housing through the sensors. The

piezoelectric force rings possess various advantages and can be used for detecting anomalies that

are related not only to the cutting process but also to the spindle itself, such as bearing condition

and misalignment.

12
Fig. 6. (a) Assembly of piezo-electric force rings in the spindle [18], (b) the force ring composed
of eight uniaxial piezoelectric force sensors [19], (c) the force ring with three pairs of
piezo-electric sensors [20].

Besides, some commercial rotating dynamometers were clamped between the tool and the

spindle for TCM [21-23]. It is reported that rotating dynamometers can operate at speeds of up to

20,000 rpm, and have been used for high-speed milling of aerospace materials [9]. However, the

rotating force sensor has an additional mass and overhang that reduce the dynamic stiffness of the

spindle system.

· Vibration

Vibration signals, which respond quickly to changes of tool states in online monitoring, are

widely used in TCM. As the most common vibration sensors that satisfy the requirements of

applicability and reliability, accelerometers were usually attached to spindle housing for vibration

measurement. The acceleration signals have been used to estimate tool wear states [24-31] and

detect tooth breakage [32, 33] in milling process. The displacement sensor is another way to

measure spindle vibration for TCM. Hsueh and Yang [34] installed two sensors to measure the

displacement signals of the spindle shaft for tool breakage detection in face milling. In short, the

vibration signal is a very important component in multiple-sensor fusion strategies for TCM,

which can detect both tool wear and breakage [35, 36].
13
 · Motor current/power

The major advantage of using motor current/power to detect tool conditions is that they do not

require modification to the original tool structure or interruption to the cutting process.

Furthermore, current signals are perfect sine waves in the process of feeding without cutting [37].

Currents from both the spindle motor and the feed motor can be used for TCM, however, here we

only consider studies using the spindle motor current. The spindle motor current is typically

measured by Hall current sensors. Based on the correlation between tool wear and the spindle

motor current, tool wear in milling process has been estimated [38-40]. Besides tool wear, tool

breakage can also be detected from a spindle motor current [41]. Currently, some CNC systems

can allow access to internal signals, such as motor power and current, providing the possibility of

seamless integration of tool condition monitoring systems as modules into CNC systems.

· Others

Many other sensors have also been used in TCM, including AE sensors, microphones and

rotary encoders. Acoustic emissions can be explained as the transient elastic energy released in

materials undergoing deformation or fracture. Energy contained in AE signals is strongly

dependent on the rate of deformation, the applied stress and the volume of the material. A large

number of sound/acoustic signals are generated during the milling process. Boutros and Liang

[42] collected acoustic signals during the milling process by utilizing a microphone attached to

the milling machine, identifying the tool state (i.e., sharp, worn, or broken) from the acoustic

signals. Similarly, an electric microphone was installed to the side of a tool near a milling area,

which monitored the tool wear state [43].

To overcome the inconvenience of sensor installation, the spindle-integrated rotary encoder

was used in TCM as a sensor-less method, and the tool wear/breakage were detected by

computing the instantaneous variations in rotational frequency [44]. The applicability of this

method still needs more verification in various machining processes.

3.1.2 Decision making

After the data are collected in the sensing module, then data processing is carried out for

decision-making purpose. Various signal processing techniques in time, frequency and

time-frequency domains have been developed to analyze and interpret measured data for feature
14
extraction. The number of features originating from one or more signals can be very large, and

feature selection should be automatically carried out to eliminate redundant and interrelated

features, yielding more accurate predictions. With the extracted features, tool states can be

determined utilizing decision-making strategies based on various algorithms, such as distance

measures, artificial neural network (ANN), support vector machine (SVM), hidden Markov

model (HMM). The schematic of the tool condition recognition system is shown in Fig. 7.

DATA ACQUISITION
(cutting force, vibration, motor
current/power, etc. )

DATA PROCESSING
· Time domain
· Signal processing · Frequency domain
· Feature extraction/selection · Time-frequency domain

DECISION MAKING
· Distance measures
· Threshold criteria · Support vector machine
· Intelligent recognition · Artificial neural network
· Intelligent prediction · Hidden Markov model
· ...

OUTPUT

Tool RUL
Normal Tool wear * RUL: remaining useful life
breakage estimation

Fig. 7. The schematic of the tool condition recognition system.

In the following part, the decision-making strategies are presented from three aspects:

threshold criteria, intelligent recognition and intelligent prediction.

· Threshold criteria
The simplest methods for tool condition monitoring are based on threshold criteria. Tool failure

can be detected when the monitored indexes are out of the pre-defined threshold value ranges [9].

Various statistical indicators have been proposed with experimental verification, such as the

energy magnitude at the tooth passing frequency [24], the average of the mean frequency [26,

33], the sum of absolute values of digitally bandpass-filtered vibration signals [30] and the

Mahalanobis distance of the singular value [41].

15
 In addition to statistical analyses in the time or frequency domains, advanced signal processing

methods have also been widely used to extract features that can reflect tool state. Marinescu and

Axinte [45, 46] analyzed AE signals in the time-frequency domain for monitoring both tool

malfunctions and workpiece surface anomalies in milling. The Wigner-Ville representation has

been employed to detect tool wear and broken teeth in high speed machining [29]. Cao et al [47]

used lifting wavelets to analyze AE signals in milling processes, with a threshold value set to

indicate tool breakage. A review of wavelet transform in TCM can be found in [48]. For

threshold-based TCM methods, however, a strong robustness of thresholds to varied cutting

conditions and noise is needed to avoid missing or false alarms.

· Intelligent recognition

With the application of AI techniques, intelligent spindles integrated with decision-making

systems can automatically recognize and classify tool conditions. The intelligent classifiers are

trained off-line in advance, with both normal samples and tool failure samples. Then, the trained

classifiers can be applied to online identification of tool conditions.

ANN is a representation of the computational architecture of the human brain. ANNs have

been widely used to classify the status of tools, due to their advantages of adaptive learning,

self-organization and fault tolerance. First, measured signals are processed to recognize the

features that are sensitive to tool wear or breakage, and then these features are input into various

ANN models for the classification or identification of tool conditions [25, 31, 49-53]. However,

there are some limitations in the application of ANNs for online TCM, such as the requirements

of sufficient representative samples, the large diversity in training and the long computing time.

The SVM based on the statistical learning theory has also been widely used as a

decision-making method. In comparison with ANNs, the SVM can support smaller samples and

avoid overtraining in favor of the models with better generalization. Hsueh and Yang [34]

extracted features from spindle displacement signals, and input them into an SVM model that

can respond in real-time, automatically detecting tool fractures under varying cutting conditions.

The SVM has been combined with other algorithms, such as wavelets [27] and genetic

algorithms [23], for better performance.

Compared with so-called black box modelling methods (e.g., ANNs), the HMM is easier to

interpret. Due to the progressiveness and irreversibility of tool wear, the most widely used HMM
16
for TCM is the left–right HMM [54-58], which can transit to its current and later states, but not

its former state. Moreover, the state of the tool (i.e., sharp, worn, or broken) was detected

correctly with the discrete HMM method based on the power of interested frequency bands of

acoustic signals [42].

Besides, it’s worth noting that the application of ensemble learning methods is increasing, and

more reliable results can be obtained. Binsaeid et al. [35, 36] extracted features from multiple

sensor signals, obtaining an optimal feature subset with a correlation-based feature selection

technique, then a TCM system was developed via machine learning and machine ensemble

approaches to detect tool wear and breakage.

· Intelligent prediction

Tool wear states and remaining useful life (RUL) can be predicted with data-driven methods.

ANNs [28, 38, 59-66], fuzzy logic [64, 67-69], regression models [40, 63, 70-72] and SVM [73]

have been widely used to model the relationship between tool wear and measured data. For

example, Dutta et al. [28] extracted wear-sensitive features from force and vibration signals, and

utilized a fuzzy-controlled back propagation neural network to predict tool wear in a face milling

process. In order to improve prediction accuracy, features from various signals have been fused

and input into neural network models to estimate the average flank wear of a main cutting edge

[38]. However, tool condition prediction is more difficult than identification of tool state (wear or

breakage). The accuracy of prediction depends on long-history data and accurate AI models,

which still needs more investigation.

3.1.3 Control

Intelligent spindles can utilize decision-making results to adopt corresponding control

strategies and automatically adjust tool positions to reduce or eliminate the influence of tool

failure on machining quality. ‘Control’ herein primarily refers to machining error compensation

caused by tool deflection or tool wear. Compensation methods are classified into two categories:

measurement-based and model-based methods.

· Measurement-based methods

In measurement-based methods, tool deflection or wear is compensated based on cutting forces,

17
obtained directly or indirectly from measured signals. The tool position can be adjusted by tilting,

which reduces machining error due to tool deflection [74]. Denkena et al. [75] developed an

adaptronic spindle system to compensate for tool deflections and vibrations due to process forces,

as shown in Fig. 8. The tool deflection was calculated by the measured process forces and tool

stiffness, and the spindle was positioned by piezoelectric actuators in three axial directions,

enabling an automatic online compensation of tool deflections in the milling process. In addition

to tool deflection, workpiece deflection was also been taken into account, to control

force-induced surface dimensional errors in the peripheral milling of thin-walled structures [76].

Supporting
ring Main spindle
Solid flexure
(membrane)

Piezo actuator
Piezoactuator Prestressing
Clamping
Spindle Wi/40481© IFW
ring
Preload-
springs

Workspace
Cutter
Nominal
position
Force- Linear Part
dynamometer induction motor Without With
compensation compensation

Fig. 8. Tool defection compensation of the adaptronic spindle [75].

Besides tool deflection, machining errors caused by tool wear or other tool malfunctions can

also be controlled. In [77], tool deflection was predicted based on cutting forces, and flank wear

was predicted using cutting conditions and forces in the decision-making system. An

error-compensation module was developed to realize the compensation of surface errors in

machining, caused by tool deflection and wear. Marinescu and Axinte [78] proposed a process

supervision system for the avoidance of surface anomalies or tool malfunctions in milling

operations, which automatically acquires data from AE and cutting forces, adjusts the monitoring

parameters accordingly and transmits decision commands to the machine tool. The structure of

the supervision software is shown in Fig. 9.

18
 Process regulation
CNC
Patterns Signal processing unit Rule-base system
files
Database

Decision
LF board Decision
Onboard making
buffer
buffer

Signal
DAQ Communication
SYNC conditioning
buffer protocol
unit
Signal cond.
LF board
Onboard RS-232protocol
save (1000010111010...)
buffer

Signal Machine
Legend: LF and HF conditioners controller
Data transfer Log files
Copy process
Data access
HDD Sensors Sensors
DAQ (AE) (Dynamo.)

Fig. 9. The structure of the supervision software [78].

· Model-based methods

Model-based methods estimate cutting forces in machining processes using a force model, in

which the tool is modeled as a cantilever beam and tool deflection can then be calculated with

the estimated cutting forces [79-84]. Besides, machining errors caused by tool wear can also be

controlled with model-based methods. In [85], a ball-end milling tool wear model was proposed

to forecast the abrasion loss of a cutting edge, allowing machining errors to be predicted in

advance and programs to be amended before manufacturing, by calculating the tool's actual path.

Nguyen et al. [86] found that surface tilting induced by spindle-cutter deflection was caused by a

cutting-load imbalance between the two sides of the cutter path, and developed a cutter load

balancing algorithm to reduce surface variations by adjusting cutter paths and/or feed rates.

Studies on model-based methods have typically been carried out in simulated environments [87],

and tool paths were calculated and corrected with various compensation schemes, until the

desired contour was obtained. These works may lay a theoretical foundation for machining error

compensation in actual machining.

19
 3.1.4 Summary

Although there is a large number of publications on TCM and tool error compensation, the

integration of tool condition monitoring and control into intelligent spindles still needs further

study. Firstly, intelligent spindles currently require embedded sensors, and sensor-less

measurements based on motor current/power should attract more attention. Multi-sensor fusion is

a trend for TCM, which can provide better and more robust judgments of tool states, independent

of cutting conditions. Secondly, decision-making strategies with the aid of AI techniques have

been studied extensively, however, difficulties still exist in developing a generalized

decision-making strategy with a broad application range for intelligent spindles. If cutting

conditions change, the AI model needs to be updated or modified accordingly. Moreover, the

accuracy of data-driven AI methods depends significantly on trained samples, and the limited

applications of TCM systems in the industry is a bottleneck for improving the robustness of

decision-making strategies. Lastly, most researchers calculated tool deflection based on cutting

force models or measured forces, and then carried out tool deflection compensation. Seamless

communication between intelligent spindles and CNC systems is essential to integrate tool

deflection compensation into intelligent spindles.

3.2 Chatter monitoring and control

Chatter is a self-excited vibration between the tool and the workpiece, accompanied with

unstable, chaotic behavior. Since the late 1950s, a great deal of research has been conducted on

the chatter mechanism in the metal cutting process. Various methods [88-99] have been proposed

to calculate the so-called stability lobe diagram (SLD), which predicts system stability as a

function of the axial depth of cut and the spindle speed. Detailed reviews on the chatter problem

can be found in [100, 101]. In terms of intelligent spindles, chatter monitoring and control are

key functions, aiming to detect and suppress/mitigate chatter in machining processes. Although

extensive publications can be found in the area of chatter monitoring and control, this section

reviews only the works that have potential to be integrated into intelligent spindles.

3.2.1 Sensing

Since the physical essence of chatter is a kind of self-excited vibration, the idea of using
20
vibration signals for chatter monitoring and control is clear. The sound emerging from

mechanical vibrations produced in the cutting zone can also be used to detect and control chatter

occurrence. In addition, regenerative chatter results in excessive machining forces and

subsequently increases the motor current/power, which can be used for chatter monitoring and

control as well. Similar to TCM, this section only reviews sensors that were integrated into

spindles or installed on housing, and discusses sensor-less methods based on motor current or

power.

· Vibrations

Due to the fast responses to chatter occurrence, vibration signals are widely used in chatter

monitoring. Vibration energy, aggregating on a certain natural frequency of the cutting system,

increases abruptly when chatter occurs. With the aid of advanced signal processing methods,

chatter characteristics can be extracted. Since most spindles were not equipped with embedded

vibration sensors, accelerometers were usually attached on the spindle housing for measurement

[22, 29, 102-105]. Owing to the small volume, accelerometers have great potential to be

integrated into intelligent spindles for chatter monitoring and control.

· Sounds

Sound signals can provide valuable information related to the condition of machining processes.

It is demonstrated that the signal from the microphone provides a competitive, and in many

instances a superior, characteristic that can be utilized to identify chatter [106]. A microphone

was placed inside the machine-tool enclosure, and the stability lobe diagram of a milling process

was determined by applying sound mapping methodology [93]. Schmitz et al. [107, 108]

proposed a chatter detection technique based on the statistical variance in the once-per-revolution

milling audio signal. Besides chatter detection, the sound signal was also used as feedback for

real-time chatter prevention [109]. In short, it is possible to place the microphone in reasonable

proximity to the process, which limits the filtering effects of components between the process

and sensor. Meanwhile, the microphone has higher sensitivity to chatter in situations of low force

or radial immersion compared to force-based sensors. Although sound signals are suitable for

chatter detection in most cases, sometimes installation of the sensors is difficult, due to spindle

configurations.

21
 · Motor current/power

Chatter monitoring based on motor current or power is a sensor-less method, and its major

advantage is that the measurement apparatus does not disturb the machining process. Spindle

motor currents have been measured for monitoring chatter instability in milling processes [110,

111]. The motor current/power signals have also been combined with other signals, such as AE

[112], to obtain better results in chatter monitoring. Despite the advantages of current/power

signals, it is difficult to ensure real-time chatter monitoring, due to the slight time lag between the

chatter occurrence and the received signals. Furthermore, increased temperatures inherent in

electrical motors change power consumption of power signals, which may affect the accuracy of

chatter detection.

3.2.2 Decision making

The state of machining processes is determined in the procedure of decision making, and the

schematic of the chatter recognition system is similar with that of tool condition recognition

system (see Fig. 7 in Section 3.1.2). The three decision making strategies are summarized as

follows.

· Threshold criteria

Various signal processing methods have been used to extract features for chatter identification,

including time [110, 113-116], frequency (e.g., fast Fourier transform [93, 110, 117]), and

time-frequency domain analyses (e.g., short Fourier transform, wavelet transform [118-121],

wavelet packet transform [22, 103, 122, 123], and Hilbert-Huang transform [103]). After signal

processing, various features can be extracted to represent the state of the machining process.

Threshold criterion is the simplest method for chatter recognition, as once the index exceeds

the threshold value, chatter is implied to occur [103, 104, 117, 124]. However, threshold values

are often determined with experiments, which are related to cutting conditions and easily

distorted by noise.

· Intelligent recognition

With the development of AI technologies, some sophisticated algorithms, including ANNs and

fuzzy logic, have been used for chatter monitoring and recognition.

22
 ANNs can be used as arbitrary function approximation mechanisms, which learn from observing

data in machining processes. Theoretically, ANNs can approximate any continuous input-output

mapping, to any desired degree of accuracy [125]. Li et al. [51] developed a parallel neural

network, for comprehensive identification of chatter using maximum frequency-band values and

relative weighted frequency-band ratios as the feature indexes. Various ANN models have been

used to predicted chatter in milling [126, 127].

Fuzzy logic is a kind of intelligent reasoning technology that utilizes fuzzy functions to describe

the relationship between monitored variables and chatter. Vibration energy [128] and peak values

of frequency spectra [129] have been used as indicators in fuzzy logic for chatter detection and

suppression in milling. To detect and suppress online chatter, Wang [130] conducted a statistical

analysis of positive wavelet transform modulus maxima, and used a statistical index as the input to

a fuzzy system. Although fuzzy logic approaches have good reasoning abilities, strong robustness

and fault tolerance for encoding structured knowledge directly in a numerical framework, this

technology inevitably has some limitations, such as poor study ability, poor accuracy and

difficulty in selecting suitable membership functions.

In recent years, the applications of SVM with wavelet transform or other advanced signal

process techniques have become popular for chatter identification. The wavelet transform was

employed as a pre-processing method to extract features, and then SVM models were used for

chatter recognition [118, 131, 132].

· Intelligent prediction

In most recognition methods, only fully developed chatter can be detected, thus the damage to

the workpiece and machine tool components might already occur. Experiments showed that a

transition stage exists prior to the burst of machining chatter [133]. In this short time duration,

obvious changes can be found with the characteristics of force and vibration signals, while the

surface quality is not deteriorated evidently. If such a transition stage is detected in time, the

upcoming chatter can be forecasted in advance, so that more time can then be saved for online

chatter suppression/control. In recent years, some investigations on chatter forecast are reported

[133-136]. Features which can indicate cutting state were extracted from the vibration signal based

on fast Fourier transform [134-136] or local mean decomposition method [133], and then imported

23
to HMM models for chatter prediction. However, due to the strong nonlinear characteristics,

chatter forecast/prediction is far from being solved well.

3.2.3 Control

After chatter is detected, the next thing is to suppress or control the chatter. Recently, Munoa et

al. [137] presented a critical review of the different chatter suppression techniques in their keynote

paper. The first kind of method mitigates chatter, by adjusting process parameters (e.g., spindle

speed, feed per tooth, depths of cut, or chip load) [116, 138-140]. Although chatter can be

eliminated by optimizing process parameters, these methods primarily depend on experience, lack

of adaptability and robustness, and cannot enlarge the chatter stability region in the stability lobe

diagram. The second kind (e.g., [141]) disturbs the regenerative effect by continuous spindle speed

modulation. In fact, this kind of method cannot be used in high-speed milling, because the stability

boundary is altered by the spindle speed modulation [142]. Moreover, extremely fast spindle speed

variations are required to mitigate chatter, yet the speed of variation is limited by the inertia and

actuation power of the spindle. The third kind of method includes active/semi-active chatter

control, which alters the spindle dynamics with actuators (e.g., piezoelectric stacks, active

magnetic bearing) or active damping elements (e.g., magnetorheological fluid, electrorheological

fluid). Active chatter control is a promising method for intelligent spindles, because it can

dynamically improve stability regions according to various spindle speeds and depths of cut.

Active chatter control can be categorized into several groups according to actuators, which are

summarized as follows:

· Piezoelectric actuator-based control

Fig. 10 shows a prototype of a classical, active control milling spindle based on piezoelectric

actuators [143]. It shows two piezoelectric elements attached to the outer rings of the front

bearings, working perpendicular to each. A modification of the front bearing generates the radial

movement, and a control scheme is used for driving the actuators to provide additional damping.

Ries et al. [143] demonstrated that the active system reduced about 30% of the amplitudes at the

tool tip of the first bending mode of the shaft, and the lowest critical axial depth of cut could be

increased around 50%.

24
 piezo elements

bushing

angular contact
ball bearings

Fig. 10. The prototype of an active control milling spindle based on piezoelectric actuators [143].

Using the same adaptronic spindle (see Fig. 8), Denkena and Gümmer [144] developed a process

stabilization approach, in which the superposition of vibrations was achieved by an active tilting

of the spindle with a specific frequency and amplitude. The cutting force and workpiece surface

with active process stabilization on and off are shown in Fig. 11.

Fig. 11. The cutting force and workpiece surface with active process stabilization on and off

[144].

25
 Recently, an active structural control concept was proposed for the mitigation of milling chatter

occurrence by Monnin et al. [145, 146]. The concept of an active spindle for chatter mitigation is

shown in Fig. 12, in which the actuating system is formed by two pairs of piezoelectric stack

actuators, working in push–pull configuration and acting on the radial degrees of freedom of the

front bearing support of the spindle shaft. A model of the mechatronic system coupled with the

milling process was proposed to formulate control strategies. It is reported that the minimal critical

axial depth of cut is improved of 55% using disturbance rejecting controller and the chatter-free

productivity is increased up to 91% using stabilizing controller [146].

Fig. 12. The concept of smart spindle for chatter mitigation [145, 146].

· Active magnetic bearing -based control

An active magnetic bearing (AMB) is a noncontact support bearing for rotating machines with

low friction, low maintenance costs, and a long operating life. Control signals applied to AMBs

can both stabilize the supported spindle and also actively suppress chatter in the milling process.

Kern et al. [147] developed a spindle prototype with hybrid bearing support, as shown in Fig. 13.

In this prototype, an AMB was aligned between the tool and rolling bearings of a milling spindle.

It was reported that an increase of 50% in MRR was achieved by adjusting the damping of the

AMB. Meanwhile, process stability was improved by the robust feedback and adaptive feed

forward control, via μ-synthesis. With the same experimental setup, Dijk et al. [148, 149]

developed a control methodology to alter the chatter stability boundary in high-speed milling

processes, in which the controller can change the shape of SLDs, according to customer

26
requirements. Similarly, Denkena et al. [150] developed another milling spindle prototype with an

embedded electromagnetic actuator that was aligned between rolling bearings.

Fig. 13. The spindle prototype with hybrid bearing support [147].

Based on the AMB, Chen and Knospe [151] developed three chatter control strategies, for

speed-independent, speed-specified and speed-interval control. They tailored compliance of the

cutting tool to inhibit the onset of chatter. Experimental results showed significant improvements,

compared to using a conventional PID controller. Other control methods, such as the adaptive

algorithm [152] and active model predictive method [153] have been developed to compensate for

the regenerative effect and enlarge the chatter-free domain of stable operations.

· Active control based on other actuators

Other actuators used in active chatter control include electrostrictive actuators [154, 155] and

hydraulic actuators [156]. Shankar et al. [154, 155] described a smart spindle unit, which provides

active chatter suppression during milling operations. The cross section of a smart spindle unit

based on electrostrictive actuators is shown in Fig. 14, in which the electrostrictive actuators were

embedded within the spindle housing, producing force against a non-rotating portion of the

machine called the cartridge. The spindle moves with the center line of the cartridge and floats on

a hydrostatic bearing, thus, forces on the cartridge produce motions in the tool. At the root of the

tool are strain gages that sense motions corresponding to tool bending, which are fed back into the

27
control system. A model-based digital signal controller was used to drive the actuators, which

stiffened the tool tip motion, thus suppressing chatter during milling operations.

hydrostatic bearing
Z
z
electrostrictive telemetry
actuators pow er supply
y and receiver
antenna
X
(stationary)
x Y

cartridge

ball bearings

spindle
(rotating)
telemetry package
and bridge electronics
(rotating) cutting tool
strain gages cutting
at tool root excitation

Fig. 14. The cross section of smart spindle unit based on electrostrictive actuators [154, 155].

Hydraulic actuators, which can generate higher strokes than piezo actuators, have also been

integrated into spindles [156]. Fig. 15 shows a spindle with hydraulic actuators. The special layout

of the hydraulic actuators results in a high dynamic stiffness, little need for space, and a possible

displacement of half a millimeter. The hydraulic actuators could reduce disturbing vibrations

without reducing the cutting speed or depth, in order to maintain a high material removal rate.

Hydrostatically Position Bearings in CHIRON

balance sensor O-arrangement machine tool
sealing Oil

Active ring Hydrostatic Preload spindle

Piezovalve bearing bearing

Fig. 15. The spindle with hydraulic actuators [156].

28
 3.2.4 Summary

Chatter monitoring and control have been the topic of study for several decades, yielding many

achievements in both theories and experiments. However, there are still some limitations to be

overcome when integrating chatter monitoring and control into intelligent spindles. Firstly,

external sensors have been attached on the spindle structure or a fixed place in the past, and in

order to obtain reliable signals and diminish information dissipation, the selection and integration

of proper sensors into intelligent spindles are essential. Secondly, in the decision-making aspect,

most research has been focused on the accuracy of chatter-identification and the establishment of

new chatter indices that were independent of cutting conditions. The main drawback of the present

monitoring techniques is that they wait for a problem to appear and then take action, thus the

damage to the part and the machine tool components already occurs [101]. Thorough attention has

not been paid to the formation of chatter in various stages, especially the incipient chatter in the

early stage. It is essential that the incipient chatter be identified as soon as possible, to prevent

further development. Lastly, although chatter control has made a great progress over the past years,

the complex dynamic behavior of spindles has been generally simplified. Most researches have

assumed that spindle dynamics were time-invariant, which is not true, since the stiffness and

damping of spindle bearings change with speed and temperature [157-160]. Therefore, integrated

modelling of spindle structures, cutting processes and controllers is necessary.

3.3 Spindle collision monitoring and control

Collisions (or crashes) between the spindle/tool and workpieces can generate a huge impact

force, which is applied on the cutting tool or spindle unit. If the impact force is too high and

exceeds the allowable load, the tool or spindle components may be damaged. Fig. 16 displays the

causes of failure and damages to motor spindles. According to [161], collisions account for 60%

of various failures of motorized spindles.

29
 Fig. 16. Causes of failure and damages to motor spindles [161].

The main causes of collisions include wrong programming (e.g., wrong parts, compensations or

offsets), wrong machine setup (e.g., wrong tools, clamping or raw parts) and inattention or faulty

operation by the operator [162]. Various strategies have been studied to prevent collisions and

minimize damages caused by collisions [163, 164]. In order to improve reliability and reduce

maintenance costs of the next generation of spindle units, collision monitoring and control

strategies should be integrated in intelligent spindles. In the following sections, the progress of

spindle collision monitoring and control will be summarized from three aspects: sensing,

decision making, and control. The possibility of integrating these technologies in intelligent

spindles is also discussed.

3.3.1 Sensing

When a collision occurs, the impact force increases rapidly, as well as the driving current of

feed axes or the spindle. Methods for sensing the spindle collision can be divided into two

categories: sensor-less methods and sensor-based methods.

· Sensor-less methods

Sensor-less methods don’t require external sensors to monitor spindle collision, using only the

driving current signals from feed axes or the spindle [163]. Koike et al. [165] proposed a

sensor-less collision detection method, based on the disturbance observer theory, which used the

servo information of a ball-screw-driven stage to estimate the collision force. Similarly, Tönissen

et al. [166] used the position signal of a screw-driven stage to observe the disturbance force for

collision detection. However, a disadvantage of sensor-less collision detection methods is that the

30
reaction time of the feed drive current to the collision is longer than external sensors.

· Sensor-based methods

The sensor-based signals primarily include displacement and force. Wächter et al. [162] studied

a multi-sensor Doppler radar for machine tool collision detection, installing four Doppler radar

sensors on the motor spindle’s front end to detect the moving object, thus avoiding collision

between the tool and other moving objects. The prototype using the Doppler Effect for collision

detection is shown in Fig. 17, which may serve as the basis for further investigations.

Sensor platform

Movement Sensor
direction platform
Movement
direction

Metal
sphere
4×Radars
4×Radars
Target

(a) (b)

Fig. 17. The prototype using the Doppler Effect for collision detection: (a) The principle, (b)

the test platform [162].

Rudolf et al. [167] studied a contact-based collision detection method, which utilized the

electrical insulation of a tool or spindle to rapidly detect spindle collision. This approach judged

the collision at the first contact between the moving and the static parts, via connecting the

isolated components of the machine tool or spindle to a voltage source. Fig. 18 shows that the

electrical contact is the first to indicate the beginning of the collision and does not need any

threshold.

31
 Collision

Fig. 18. Collision detection with electrical contact signals [167].

As Section 3.1.1 presents, force sensors have been integrated into spindles for measuring

cutting forces [12-15, 18-20]. Although these force sensors have not yet been used in spindle

collision monitoring directly, their potential in this area cannot be ignored. For instance, Byrne

and O’Donnell [168] developed a spindle with integrated force sensors (Fig. 19), in which two

piezoelectric force sensor rings were integrated into a direct driven motor spindle, to monitor

process abnormality including collision.

Spindle suspension
Armoured cable

Bearing sensor ring F x Fy Fz

Fy

Fz Fz
Fx

Thrust bearing
Spindle housing
Flange sensor ring

Fig. 19. A spindle with integrated force sensors [168].

3.3.2 Decision making

Decision making is the brain of spindle collision monitoring and control systems, as it

32
functions to process the measured signals, judge whether a collision occurs, and decide what to

do after the collision. The effectiveness of a collision-detection algorithm can be determined by

its sensitivity and responsiveness [166]. Sensitivity herein is the ability to distinguish a collision

from other events that take place within the machine tool, and responsiveness is the time interval

between the collision and its detection by the monitoring algorithm. If a collision occurs, an

impact force or abrupt change in the motor current will appear, so spindle collision detection

strategies focus on two aspects: that the collision signal is separate from the original signals, and

that a suitable threshold is needed to determine whether a collision occurs. This threshold is a

significant parameter that should be determined properly. Generally speaking, spindle bearings

are the components most susceptible to damage in spindle collisions, and their maximum

permissible load has to be taken into account when determining the collision threshold. Abele et

al. [164] used theoretical and experimental approaches to calculate the allowable load of bearings,

using Hertzian stress in the rolling contacts to calculate the maximum permissible load of the

bearings and determine the threshold for collision detection.

The decision logic of a collision detection system is shown in Fig. 20. If a contact sensor

detects a touch between the tool and another component of the machine, then decision logic

analyzes the signals and determines whether a collision has occurred. In the event of a collision,

the NC emergency stop will immediately activate. If the feed rate is so high that the emergency

stop cannot prevent damages to the machine tool, the overload coupler will work. Finally, an

external brake system decelerates the linear axes, causing an absolute stop in the machine tool.

Contact sensor

NC internal
Decision logic User interface
emergency stop

Active
External brake
overload clutch

Fig. 20. The decision logic of a collision detection system [167].

3.3.3 Control

Control, herein, refers to protection strategies implemented when a collision is detected, which
33
aims at avoiding or reducing damage. Collision control strategies can be divided into several

types, as shown in Fig. 21, in which the emergency stop of the machine tool is usually the first

action when a collision is detected. Distance-based collision monitoring methods may achieve

collision avoidance, for when the monitoring distance is smaller than a certain value, the CNC

system will send a control instruction to stop the machine tool urgently. However, most collision

monitoring approaches are based on contact sensors which do not avoid collisions, so overload

coupler devices may be needed to prevent damages, in addition to the emergency stop system.

Collision control strategies

CNC system Overload

emergency stop coupler devices

Ball-screw Mechanical
clutches decoupling

Fig. 21. The collision control strategies

Overload coupler devices include ball-screw clutches and mechanical decoupling protection

devices. Ball-screw clutches are used in feed drive devices, and when the force acting on the feed

axis gets too high, the ball-screw clutch is triggered and the feed axis is separated from the feed

driver. The mechanical decoupling protection device used for spindle collision protection was

first proposed by Abele et al. [163, 164]. The conceptional design of a mechanical overload

protection system is shown in Fig. 22. The system involves two formfitting rings, an inner ring

and an outer ring, which screw separately onto the spindle’s flange and stock. When the acting

forces on the spindle exceed the holding force, the two rings separate and the force between the

spindle and the machine axis is interrupted. Additionally, three inductive displacement sensor

elements were installed in the inner ring, to detect the relative movement. These signals can be

used to launch CNC-controlled countermeasures, such as emergency stops or retreat movements

of the feed axes [164]. Recently, Berger and Korff [169] proposed an innovative overload

protection system, which can reduce the force of contact in case of a collision.

34
 Fig. 22. Conceptional design of a mechanical overload protection system [164].

3.3.4 Summary

It is difficult to develop a fast, robust and accurate collision prevention system. In the past,

various collision and damage protection systems for spindles have been developed. However,

there is still much work to be conducted when integrating these systems into intelligent spindles.

In sensor-less monitoring systems, the feed drive current has been widely used to calculate feed

drive force. However, collision reaction time of the feed drive current is longer than that of

external sensors. As for external sensor-based collision monitoring systems, which operate

independently from CNC systems, the long-time delay between collision detection and control is

unsuitable for machining processes with high feed rates. Since the information provided by CNC

systems can optimize the collision monitoring system [170], in the future, it is recommended that

the collision monitoring and control systems can seamlessly communicate with the CNC systems

to improve the performance of collision protection.

3.4 Temperature/thermal error monitoring and control

Thermal-induced errors account for 40-70% of the total dimensional and shape errors that arise

from various sources of machine tools [171]. Thermal issues in machine tools have been studied

extensively in the past, and detailed reviews can be found in [171-175]. The increasing demand for

a higher-accuracy of finished parts has increased the importance of temperature/thermal error

35
monitoring and control, which are important to the next generation of spindles. In the following

section, studies that could be beneficial to intelligent spindles are reviewed.

3.4.1 Sensing

Temperature rise and thermal errors are the main thermal issues in spindles, which may cause

degradations in accuracy or seizures in spindle bearings. In order to compensate for thermal errors

and protect the spindle, the temperature of the motor/bearings and thermal errors are monitored in

real time.

· Temperatures

Thermal seizure of rolling bearings can easily occur in high-speed spindles when the high

temperature gradient throughout the bearing assembly induces large thermal preloads between the

rollers and the raceways [176]. This type of thermal failure occurs suddenly in a short time.

Temperature monitoring is the basis for controlling the temperature of spindles, and

thermocouples are widely used. Nowadays, it is common for high-speed spindles to be equipped

with sensors to measure the temperature of the motor and supported bearings.

In order to establish thermal error models, temperature sensors are needed in large numbers, with

small size, sufficient accuracy and high stability. For example, Ohishi and Matsuzaki [177]

measured the temperature of the housing, bush, the interface between the bush and air film, and

even the inlet and outlet air of an air bearing spindle with about 200 thermocouples. In this case,

the selection of optimal locations for thermocouples needs to be taken into consideration [175].

· Thermal errors

There are many existing solutions for the measurement of thermal errors. Usually an adapter

(e.g., master ball [178], two-ball bar [179], laser ball bar [180], hemispherical ball bars [181]) is

mounted in the spindle and a measurement setup with five capacitive or eddy current displacement

sensors is fixed onto the table of the machining center. Since the table is considered to be not

affected by heat sources in the spindle, the changes of the relative displacements between the

adapter and the displacement sensors represent the thermal errors of the spindle. However, these

measurement devices are not integrated into the spindle structure and it is impossible to measure

the thermal error in real-time cutting process.

36
 Recently, there are some reports that integrate displacement sensors into spindle structures to

measure thermal growth or deformations [182-184]. Fig. 23 shows a measurement setup in which

four eddy current sensors are installed near the front bearings to monitor the offset that is mainly

attributed to thermal error motions of a spindle.

Fig. 23. Monitor the offset with integrate displacement sensors [184].

In addition to capacitive and eddy-current sensors, optical sensors are used as a new solution for

measuring the thermal growth of spindles. Yan et al. [185] applied an optical sensor based on a

cat’s eye reflector to measure the axial thermal elongation of high speed spindles, detecting the

thermal deformation online, while the spindle is rotating. From the measurement setup in Fig. 24,

it can be seen that the axial thermal elongation of the spindle is determined by the position change

of the laser spot.

37
 Cat’s eye
system

Spindle

Axial thermal elongation

Laser
spot

Fig. 24. The measurement setup for thermal deformations based on cat’s eye system [185].

3.4.2 Decision making

It is desirable to measure the displacement at the tool centre point (TCP) during machining

process so that the error can be compensated in real time. However, the direct measurement of

TCP displacement requires the interruption of the machining process. Therefore, it is more suitable

to estimate the thermal growth at TCP with indirect methods. Decision making herein mainly

refers to thermal error estimation/prediction, which is based on thermal error models and input

variables (e.g., motor power, ambient temperature, temperature distribution and strain distribution

of the spindle structure).

In order to estimate TCP displacements, either physically-based or data-driven models are

employed. The physically-based models can be represented with computational models or thermal

transfer functions. The finite element method (FEM) and finite difference method are widely used

to model the thermal behavior of machine tools under the influence of heat sources inside the

machine tool structure and in its surroundings. Numerous computational models have been

proposed, as summarized in the previous review papers [174, 175]. However, due to the low

efficiency, the computational models were rarely used in online thermal error compensation. In

some studies, the thermal deformations of a machine tool in steady state with the given load and

boundary conditions were calculated as prior knowledge using FEM. Then, the TCP displacements

38
were corrected with a linear model [186] or natural exponential model [187], which make the

real-time error compensation be possible during operation.

The other kind of physically-based models are based on thermal transfer functions, which

determine the thermo-dependent behavior of a machine tool between the input parameters and the

TCP displacements. The input of the transfer function can be CNC control data of the feed drives

and spindle (e.g., spindle speed, effective power, electric current/torque and feed rate) [178,

188-190], temperatures of the machine structure, or ambient temperatures [178, 191-195]. The

authors [192] confirmed that the generalized transfer function approach can reproduce the

accuracy of the FEM but two orders of magnitude faster. The principle of compensation methods

based on thermal transfer functions is shown in Fig. 25. Using the generalized thermal transfer

functions of the structure, the TCP displacements can be calculated for compensation in parallel to

the machining process (Fig. 25a). The results show that with this method a reduction of the

thermal displacements of more than 80% of the initial value is possible (Fig. 25b) [189].

(a)

39
 (b)

Fig. 25. Thermal error compensation based on transfer functions [189]:

(a) the principle, (b) results.

As for data-driven models, the relationships between temperature and thermal error are studied

based on the measured data. Due to great properties for fitting non-linear functions, ANNs are

widely used for thermal error modelling [196-205]. Thermocouples are attached to various parts of

the spindle, and information on the temperature distribution is input to the neural network to

estimate the thermal deformation. Other modelling methods include regression analysis [179,

206-208], grey system theory [197, 209-211], SVM [198, 212-214], etc. To improve the accuracy

of thermal error prediction, hybrid modelling methods that combine the advantages of two or more

approaches have also been studied extensively [215-218].

3.4.3 Control

The control primarily refers to thermal error compensation, which is a cost-effective way to

improve the accuracy of machine tool spindles.

The thermal error compensation is often realized via re-adjustment of the axes positioning, either

by inserting compensation into the feedback loop of a servo feed system or by shifting the

reference origins of the control system [219-235]. The capability of dealing with large amounts of

data has led to wide implementation of computer-based external compensation operators in error
40
compensation [175]. Fig. 26 shows a flowchart of real-time thermal error compensation, based on

external compensators. During the machining process, machine temperatures and spindle speed

signals are acquired in real-time and the thermal drift are estimated by the external compensators.

Then, compensation signals are sent to the CNC system to adjust the axis position or shift the

origin coordinates [226]. From the studies above, it can be found that the most commonly used

solutions to compensate for thermal errors in machine tools are based on the utilization of

manipulated control to the feed drive system. However, the inherent shortage of these solutions is

its inability to compensate for deformations in the degrees of freedom excluded in the drive

system (e.g., tilt error of the spindle).

THERMAL ERROR MACHINE TOOL

COMPENSATOR (CNC, PLC )

TIME INTERRUPT Spindle rpm

READ DATA

Spindle rpm SERVO ON/OFF

Temperature RESET TOOL CHANGE
USER RESET, etc

CALCULATE
Output END signal
Thermal drift
Static deformation

Shift work origin

Compensation data
coordinate

OUTPUT DATA Saturator

Calculate shift data
Thermal error w.r.t. axis
compensation data

Wait end signal

Fig. 26. Real-time thermal error compensation based on an external compensator [226].

Apart from the compensation methods based on feed drive systems, other approaches have been

rarely reported. In recent years, Uhlmann et al. [236, 237] developed a method to reduce thermally

41
induced angular displacements of spindle housings using carbon fibre reinforced plastic (CRP)

structures. They utilized the negative thermal expansion of CRP-structures in an adaptronic system

(Fig. 27a), which was a combination of thermal sensors, point sensors, controllers and

CRP-actuators. The displacements induced by thermal actuators (Fig. 27b) were employed to

counteract undesirable thermal deformations.

CRP-bandages
with heat foils
(a) Motor spindle (b)
Spindle housing

Actuators
Sensors

Power electronics Signal processing

Controller

Fig. 27. Compensation of thermal deformations using adaptronic CRP-structures: (a) the
principle; (b) a thermal actuator [236, 237].

3.4.4 Summary

Although there are extensive publications on thermal issues of machine tool spindles, there is a

lack of studies that can be directly applied to intelligent spindles. Sensors for measurements of

temperature and thermal error should be integrated directly into the spindle. To date, in order to

measure thermal errors, standard test bars or master balls have been widely used, which are not

practical for the online measurement of thermal errors in the machining process. The space inside

of a spindle is very limited and compact, so the determination of the amount and locations of

temperature sensors needs further investigation. Furthermore, most thermal error compensation

strategies rely on NC zero modification or the compensation by drives, and the intelligent spindles

should compensate for thermal drift using an internal device that is independent of CNC systems.

42
3.5 Spindle balance monitoring and control

Machine tool spindles are usually balanced very accurately by manufacturers before delivery.

However, the balancing states change dramatically when these spindles are equipped with

workpieces or tools in machining processes. In order to improve machining efficiency, high-speed

spindles are popular in machine tools, increasing the requirement of balancing quality. Any slight

mass unbalance, due to unsymmetrical workpieces/tools, asymmetrical mounting of

workpieces/tools or even inhomogeneous materials, can induce vibrations which may result in

dimension errors and poor surface finish of fabricated parts. Therefore, spindle balancing is

essential in the workshop.

At present, the balancing for spindles is often a manual and iterative process, requiring

specialized manpower and a long time. Furthermore, the balancing process has to be carried out

manually whenever the workpiece or tool is changed, which is time-consuming. In order to

improve the machining accuracy and efficiency of spindle units, balance monitoring and active

balance control strategies should be integrated into intelligent spindles as key functions.

3.5.1 Sensing

Sensing detects the balance state of intelligent spindles. The unbalance vibration of a spindle

must be accurately measured before balance methods can be implemented. At present, vibration

signals are primarily measured with accelerometers or displacement sensors. The measured

signals are used for both calculation of the unbalanced mass in decision-making modules, and as

feedback signals in active balance control systems.

Due to the small size, light weight, high sensitivity and wide frequency range, accelerometers

have been widely used for unbalance monitoring [9, 238-243]. Acceleration signals that are

measured on spindle housings can reflect the total vibration of motorized spindles.

Unbalance vibrations are measured on the spindle rotor with non-contact displacement sensors,

which avoid vibration transition and attenuation in the spindle structure. The most commonly used

displacement sensors include eddy current displacement sensors, capacitive sensors and laser

sensors, which tend to possess the advantages of high linearity, constant sensitivity and a wide

43
measuring range. Fig. 28 and Fig. 29 show how displacement sensors are used in balancing tests

of a milling spindle [242] and a grinding spindle [244], respectively.

Fig. 28. Balancing tests on a milling motorized spindle [242].

to 0.3 MPa.

Spindle
Displacement sensor

Wheel

Air pipelines
Balancing disc

Speed sensor

Fig.9 Experimental device of balancing system

Fig. 29. Balancing tests on a cylindrical grinding spindle [244].

3.5.2 Decision making

Decision making determines where the unbalanced mass is, and how to apply the counterweight.

There are four main kinds of methods for calculating the position and amplitude of an unbalanced

mass: modal balancing method, influence coefficient balancing method, unified balancing method

and holo-balancing method.

· The modal balancing method

In the modal balancing method, the spindle mode of vibration at a certain speed is decomposed

into several main mode shapes, and then each mode is balanced to achieve an overall balance of
44
the whole spindle system. In 1953, Grobel [245] decomposed the vibration into several modes,

balancing one mode each time from low to high, which is considered the beginning of the modal

balancing method. Since then, many researchers have worked to improve this method. An

excellent review of this method can be found in [246]. In recent years, Han [247] proposed a new

generalized modal balancing method for non-isotropic systems, based on unbalance modal

responses derived from the complete modal analysis. Similarly, a polynomial curve for

eccentricity distribution was used to quantify the distributed unbalance considering bow [248].

With the aid of the finite element method, Qiao et al. [249] decomposed the mode of a motorized

spindle to establish the modal balance equation. For the modal balancing method, an accurate

dynamic model of the spindle system is required, and the assumptions of planar modes of

vibration may not be valid for machine tool spindles with substantial damping or bearing

cross-coupling effects. Generally, it is difficult to apply this method to the automatic balance of

spindles.

· The influence coefficient balancing method

The influence coefficient method is an experimental method that, unlike the modal method, does

not require theoretical models. Goodman [250] first discussed the influence coefficient method

systematically, providing its theoretical basis. After that, many research works on this method

have been published, as reviewed by Darlow [246]. The influence coefficient method requires

minimal prior knowledge of spindle dynamics, with the algorithm readily computerized and

automated. The application of this method has been expanded to active balancing schemes of

spindles. Lee et al. [251] developed an active balancing approach based on this method and

applied it to a machine tool spindle, and found that the average vibration of the initial unbalance

response decreased by 70% when the spindle switched operation from 2000 r/min to 9000 r/min.

Pan et al. [244] used the influence coefficient method to calculate the location and mass of an

initial unbalance in the target control method of a grinding spindle, with the unbalanced response

reduced by more than 90% within 15 seconds.

· The unified balancing method

Darlow et al. [252-254] proposed a unified balancing method, by combining advantages from

the modal and the influence coefficient balancing methods. This unified balancing method lowers

measurement requirements, and makes full use of the orthogonality between the different modes,
45
improving the accuracy of balance. The unified balancing method has some apparent advantages

over both modal and influence coefficient balancing methods, but the complexity of its

calculations limits the practical use of this method.

· The holo-balancing method

On the basis of three-dimensional holospectrum, a quantitative balancing method named

holo-balancing was proposed by Qu [255]. This method decomposes vibration responses into both

force and moment at each speed, and then balances the responses respectively, to make the whole

rotor system balanced overall. Compared with the conventional methods, holo-balancing can

achieve maximum use of vibration information. The initial phase vector in early holo-balancing

methods made description or evaluation of the balance state unclear, so the initial phase vector

was replaced by a forward precession component vector to describe the balance state [256]. In the

balance of a motorized spindle [242], a modified initial phase vector was used to compensate for

the negative influence of anisotropic stiffness. The holo-balancing method can avoid the trials and

tests at high running or critical speeds, however, the balanced effects of this method depend

largely on the selection of the initial phase vector.

3.5.3 Control

After determining the unbalance state, the next step is to counteract the unbalance mass utilizing

proper control strategies. In 1964, Vegte [257, 258] proposed the online balancing concept, which

could automatically complete balancing without requiring the machine to stop. Online automatic

balancing methods can be divided into passive balance and active balance [259], the latter with

better application effects and stronger adaptability, which has attracted more concerns. Zhou and

Shi [259] reviewed the active balancing methods of rotating machinery in detail.

Fig. 30 is a diagram of active balancing based on the influence coefficients, showing that

vibration signals of the spindle are measured and input into the balancing controller. The influence

coefficient table is obtained by experimental trial runs, before the active balancing process. Under

the current spindle speed, the influence coefficients can be chosen from the table and input into the

controller. Finally, balancing devices based on mechatronic, electromagnetic or hydro-jet

technologies are used to generate forces to counteract the unbalance mass of the spindle.

46
 Balancing devices
(mechatronic, electro-magnetic, Machine tool spindles
hydrojet, etc.)

Vibration signals
Balancing controller Sensing

Spindle speed
Influence coefficients table

Fig. 30. The diagram of active balancing based on the influence coefficient method.

Electromagnetic ring balancers and hydro-jet balancers have great potential to be integrated into

intelligent spindles, which are summarized in the following parts:

· Electromagnetic balancers

Electromagnetic balancers are driven by electromagnetic force, and have the advantages of

compact structure, high accuracy and convenient control. Many studies have focused on active

balancing of rotor systems using electromagnetic balancers [243, 260-263]. These works have

provided a strong basis for developing active balancing devices for spindles.

In recent years, electromagnetic balancers have gradually been integrated into spindles. Moon et

al. [264] designed an electromagnetic ring balancer and applied it to a high-speed spindle. The

active balancing control program was composed of the gain scheduling control algorithm, using

the influence coefficient matrix for each rotating speed of a reference model. Fan et al. [240, 265]

developed an electromagnetic ring balancer consisting of a stator (balancer driver) and a rotor

(balancer regulator), and then integrated this balancer into a motorized spindle (see Fig. 31).

47
 Fig. 31. A motorized spindle integrated with one electromagnetic ring balancer [240].

The electromagnetic ring balancer [266] is a commercial active balancing system that can be

integrated into spindles, as shown in Fig. 32. The measured information includes rotor speed,

angular position of balancing rotors and vibrations, and is captured by a fast controller unit using

adaptive algorithms. If the vibration exceeds pre-set limits, an automatic balancing run is started.

The balancing rotors are moved via non-contact transmissions by activation of the stator coils, so

the drive system is wireless. The software of the balancing system can be directly installed onto

the computer of a machine tool control system.

Excitation stator coils

Stator
with coils Speed and indexing sensors Controller
Vibration sensor
HMI for handling,
service and setup

Grinding wheel Balancing rotors, free rotatable, with balancing weights

1
Fig. 32. A grinding spindle with active balancing unit [266].

· Hydro-jet balancers

For hydro-jet balancers, unbalance compensation is achieved by controlling the injection of

liquid (e.g., water, emulsion) into the container chambers, generating a correction of any size and

direction within the limitations of the container’s capacity. The concept of fluid balancing can be

traced back to 1976, when a multi-chambered fluid balancing apparatus was patented [267]. This

balancing apparatus was designed for a grinding wheel, whereby the wheel had four chambers

disposed around its axis of rotation, with each chamber connected to one face of the ring-shaped

container. The grinding wheel was balanced by injecting cooling fluid into the, temporarily adding

fluid to selected chambers. The main problem with hydro-jet balancers is that, after a period of

running, one or more chambers may become full. If that happens, online balance will be forced to

stop. After shutdown, the liquid will outflow from the opening of the volume in the cavity, and the

48
balance precision is lost. Thus, once the machine restarts it needs to be rebalanced. Gao and Zhang

[268] proposed a continuously-dripping balancing head, which worked for an unlimited time

without becoming full.

Fig. 33 shows the scheme of a hydro-balancer [269]. The fluid is injected into the axial annular

grooves of the container as it rotates. From there, the fluid flows through an opening into the

respective chambers of the container. A fixed nozzle block is positioned directly opposite the

annular grooves, and solenoid valves release the fluid and insure that it is sent through a specific

nozzle, into the required annular groove and ring chamber. The chambers are emptied once the

spindle stops rotating, and the ring containers are integrated into flanges or mounted as a separate

part onto the spindle axis.

1 Grinding wheel, 2 Vibration transducer, 3 Ring container, 4 Nozzle block

5 Speed sensor, 6 Control unit, 7 Coolant , 8 Valve block

Fig. 33. The scheme of a hydro-balancer [269].

3.5.4 Summary

Faster spindle speeds have caused balance monitoring and control to become increasingly

important in spindle operations. Over the past decades, many achievements have been made in this

area. Some active balancing systems based on electromagnetic ring or hydro-jet balancers have

been integrated into spindles, especially in grinding spindles, yet there is still some work that

needs to be carried out in the future. Firstly, active balancing systems need to be integrated into

intelligent spindles in the early design stage, so that integrated design and optimization for

sensor/actuator placement can be achieved. A good balancer position should have large balancing

capacity and low sensitivity to uncertainties in measurements. Secondly, the accuracy of the

imbalance estimation needs to be improved, especially in the ultra-precision machining processes

49
that require high balancing quality. In such cases, the vibration signals caused by a slight

imbalance mass are very small, easily affected by rotating speed fluctuation[270] and noise.

Advanced signal processing methods are needed in this area to develop more efficient methods for

imbalance estimation. Finally, the robustness and reliability of active balancing control systems

should be improved further for industrial applications of intelligent spindles.

3.6 Spindle health monitoring and control

Spindle health is determined by the physical conditions of the main components in spindles.

The degradation of spindle health is caused by the damage or failure of components, which

includes bearing damages, leakage of rotary unions, wear of clamping systems, wear of contact

surfaces, defective hydraulic hoses, rotary encoder defects, broken springs, etc. Health

monitoring and control of main components can largely reduce the costs for downtime and repair.

The following sections present a summary of the current research in this area from the three

aspects of sensing, decision making, and control. The control herein involves not only automatic

intelligent control, but also condition-based maintenance.

3.6.1 Sensing

Sensing techniques are the foundation of spindle health monitoring and control. The main

components that are monitored in spindles are bearings, tool clamping devices and rotary unions.

Fig. 34 shows common sensors for spindle monitoring, and the measured signals are summarized

as follows.

50
 Fig. 34. Common sensors for spindle monitoring [271].

· Vibrations

Health monitoring of spindle bearings based on vibration signals are probably the most

established diagnostic techniques. Vibration signals have been widely used to detect both

localized defects [272-277] and distributed defects [278] on raceways of spindle bearings.

Considering that measured vibrations are often not clearly related to bearing damages, Vogl and

Donmez [279] proposed a method to separate system dynamics from bearing defects. In order to

measure bearing damages more accurately, Holm-Hansen and Gao [280] integrated a

miniaturized force sensor within a slot on the bearing’s outer ring, while Soylemezoglu et al.

[281] measured the vibration of the bearing outer ring directly, utilizing two dual

vibration/temperature sensors.

· Forces

The sensing forces here primarily include bearing preload and tool clamping force. The bearing

preload has a great influence on the performance of spindle systems [282, 283], and preload

monitoring is of great significance to condition monitoring and active preload control of spindles.

A review of spindle preload technologies was presented by Hwang et al. [284]. Here, we only

introduce works that have the possibility of integration into intelligent spindles. Tu et al. [285]

attached low-cost thermocouples to the outer rings of rolling bearings and spindle housing to

estimate the bearing preload. As the preload model was derived from the physical laws of heat

transfer, the bearing preload could be estimated by measuring the temperature at bearing outer

rings. In [286], the authors used the bending stiffness measurement to study the effect of the

bearing preload on the spindle system, using the weight for radial loading and the displacement

indicator. As the preload can influence bearing stiffness significantly, natural frequencies

measured by hammer tests were used to estimate the spindle bearing preload [287].

Tool clamping problems include incorrect adjustment dimensions, broken spring/drawbar,

frictional corrosion/contamination, and worn-out collet chucks [271]. Until now, it has been

possible to measure the internal spring force of the tool clamping device, the pull-in force and

displacement of the drawbar (see Fig. 35). The spring force is measured using strain gages, and

the pull-in force is calculated from the spring force. The pull-in force can be controlled with a

51
power-check device. Joint analysis of these measured variables in the condition monitoring

system allows detection of the cause for the defect in the tool clamping device.

The power-check device

Fig. 35. The pull-in force, spring force, and drawbar displacement when the tool is changed [271].

· Others

Other signals for spindle health monitoring include AE, sound, temperature, position and

leakage flow, etc. AE can be used in early detection of bearing faults due to its ability to measure

the changing friction condition in spindle bearings [288]. It was found that the temperature of

rolling bearings increased with AE energy, so the thermal-mechanical behavior of spindles can

be monitored with AE signals [289]. Li et al. [290] used an acoustic sensor to study the

relationship between a running noise and the state of health of spindle bearings.

The position of the drawbar shaft can be measured with inductive displacement sensors to

guarantee the correct clamping state [291]. Position sensors based on the giant magnetoresistive

(GMR) effect have been specially adapted to measure directly the radial and axial displacement

of the spindle shaft [292]. The sensors were completely integrated within the spindle housing and

tests demonstrated that the resolution was less than 0.5 µm with high repeatability under typical

operating conditions.

52
 In order to monitor the leakage around a rotary union, a calorimetric sensor technology has

been used in combination with temperature sensors to measure the leakage flow rates. In this way,

both the coolant leakage around the sealing bushes and the flooding of the rotary union bearings

were monitored [291].

Since there are many sensors in spindle health monitoring, sensor fusion has been widely

studied. Recently, a sensor fusion method was proposed based on ultrasonic sensors and

thermocouples for the fault detection of spindle bearings, the results revealing that the sensor

fusion technique could provide better results [293]. Neugebauer et al. [271] developed a

condition-based preventive maintenance system of spindles, using acceleration, temperature and

AE signals. Similar spindle health monitoring systems can be found in [294-297].

3.6.2 Decision making

Decision making is the kernel of the spindle health monitoring and control system, whereby the

measured signals in the sensing module are analyzed to identify the running state of spindles.

A lot of attention has been paid to the condition monitoring and fault diagnosis of spindle

bearings. Hoshi [272] introduced a simple method using low-cost equipment to detect surface

damage of spindle bearings, based on the power spectra of acceleration signals. Advanced signal

processing techniques, such as empirical mode decomposition [275, 298], stochastic resonance

[273] and wavelet transform [274, 299, 300], were applied to extract features from the signals

acquired by sensing systems. Moreover, AI algorithms, such as ANNs [290], fuzzy logic [301]

and Bayesian classification [293], have been used for automatic detection of ball bearing faults

in spindles. These AI models aim to automatically recognize the spindle failure, and make the

emergency-stop decision before the catastrophic failure occurs.

In addition to bearings, the health monitoring and diagnosis for the whole spindle system have

been studied as well. For example, the complexity of vibration signals calculated by the

Lempel-Ziv algorithm was used as an index to monitor the degradation status of the spindle

system [297]. Fig. 36 shows an illustration of the hybrid technique for spindle health diagnosis,

which integrated wavelet packet transform, principal feature analysis and ANN [274]. Accurate

modal parameter identification of operating spindles is of great significance for realizing

intelligent spindles with embedded self-diagnosis capabilities. Gao et al. [302, 303] presented a
53
non-intrusive measurement technique to enable in-process model parameter identification of

rotating spindles under varying operation conditions. With the stochastic subspace identification,

this approach extracts spindle modal parameters using measured vibration signals during

operations.

Fig. 36. Illustration of the hybrid technique for spindle health diagnosis [274].

To transfer the theoretical algorithms to practical applications, Zhang et al. [304] designed a

spindle health monitoring and diagnosis system based on open-system architecture, as shown in

Fig. 37. The system was able to determine whether spindle health was degraded or not, and

specify the type and location of the identified degradation.

Fig. 37. The design of spindle health monitoring and diagnosis system [304].

54
 3.6.3 Control

The control herein has a general meaning, which includes both automatic control and

condition-based maintenance. Research works about these two aspects are summarized in the

following parts.

Here, automatic control primarily refers to bearing preload. A feedback signal was used to

actively control lubrication flow rates and spindle speeds, to improve the bearing contact

conditions [305]. Tu et al. [306] controlled the spindle preload by adjusting the cooling capacity

of the spindle housing on the basis of a preload model. Various actuators were used to control the

bearing preload. Piezoelectric actuators have the advantages of high stiffness and high expansion,

however, introduce the problems of nonlinearity, hysteresis and DC drift. In order to overcome these

problems, a load cell using strain gages was integrated into the piezoelectric actuators for the active

bearing preload monitoring/control [307], as shown in Fig. 38. Three piezoelectric actuators were

used to monitor and control the bearing load, and an eddy current displacement sensor was used to

measure the actuator displacement. Recently, Hwang et al. [286, 308] developed a variable preload

control device using an electromagnet (Fig. 39). The bearing preload can be adjusted by

controlling the magnetic attraction force created between the electromagnet and the movable part.

From the literature review, various preload devices were developed in the past; however, the

application of active preload control in practice is uncommon.

55
 Fig. 38. The active bearing preload monitoring/control [307].

Fixed part Electromagnet

Housing

Movable part
Bearing
Bushing
Outer and Inner
Spacer Preload spring

Shaft

Fig. 39. Concept drawing of the variable preload control device using an electromagnet [308] .

56
 Condition-based maintenance can increase the availability and usage life of machinery while

reducing spare parts inventories and breakdown times, making it an important function in

intelligent spindles. Neugebauer et al. [271] presented a condition-based preventive maintenance

system using multi-sensor strategy, as shown in Fig. 40. The data is collected from various

sources, including the control unit, drives, and additional sensors. Based on data analysis and

fault diagnosis, maintenance instructions are issued to operators before deterioration in the

quality of workpieces or major changes in the machine condition have occurred. For example, if

an abnormality of spindle bearings is detected, effective actions are carried out in time, such as

lubricating or replacing bearings. According to [271], by the means of condition-based

preventive maintenance, production losses can be reduced by 36%, downtime reduced by

35%-40%, maintenance costs can drop by 23%-30%, and the return on investment can reach

10:1.

Fig. 40. Condition-based preventive maintenance system using multi-sensor strategy [271].

57
 3.6.4 Summary

In recent years, there has been an increase in research interest, focused on the condition

monitoring and maintenance of machine tool spindles. Various signals, including vibration, force

and temperature, have been measured, and advanced signal processing techniques have been

used to extract features related to spindle health. Decision-making systems based on AI

algorithms have been developed for bearing fault diagnosis, intelligent preload control and

condition-based predictive maintenance. These studies lay a solid foundation for the

development of intelligent spindles, but more work needs to be conducted in the future. In the

past, most sensors were attached on spindle housings to measure signals in a laboratory

environment, and study of the integration of sensors into intelligent spindles has been minor. In

terms of spindle components, most researches have focused on the damage detection of rolling

element bearings, however, other components such as drawbars and tool clamping devices were

insufficiently addressed. Most maintenance strategies were based on the fault diagnosis of

spindle systems, which means that the maintenance was carried out only after the fault occurred.

In the future, prognosis-centered predictive maintenance of intelligent spindles should receive

more attention, to reduce costs due to abrupt breakdowns.

4. Discussion

4.1 Current limitations

Since the first prototype of intelligent spindles was designed ten years ago, there has been

ongoing research and development effort in this area. Until now, the key enabling technologies of

intelligent spindles have improved significantly, and spindles with certain intelligent features have

been developed, such as active balancing, chatter control, and fault diagnosis. However, the

current intelligent spindles are still in the stage where the application of various sensors is being

explored. The characteristics, such as autonomy, self-learning, compatibility and openness, have

not been fully addressed. Their decision-making capacities are limited, and the capabilities of

active control and condition-based maintenance are far from sufficient. In this section, several key

issues in the current research are summarized.

(1) The lack of a top-down design for intelligent spindles. The state-of-the-art, extensive
58
research activities mentioned above were conducted on the condition monitoring and control of

machine tool spindles, however, most of these investigations focused on traditional spindles.

Even though some studies related to the expected functions of intelligent spindles, their aims

were to improve the traditional spindles to be more adaptive or smarter, rather than to develop

brand new intelligent spindles. For example, in order to monitor the tool condition and

compensate for tool deflection, external sensors and actuators are mounted on traditional

spindles, making the software and hardware of the control system very complex, with weak

robustness. This is also a reason why the application of condition monitoring and control is

unsuccessful in industry. The current bottom-up design, i.e., the integration of separately

developed intelligent functions, is not viable for the development of intelligent spindles. To

achieve success, it is advised to start from the initial design phase.

(2) The lack of integration. Here, ‘integration’ has two meanings. On one hand, most previous

investigations in the field of intelligent spindles have focused on local, standalone solutions, and

although some intelligent functions are studied extensively, such as tool condition monitoring,

active chatter control and spindle bearing fault detection, these standalone functions are not

integrated into one supervisory system. There has not yet been a real intelligent spindle with

multiple intelligent functions. On the other hand, most monitoring and control systems have not

been integrated into the smart machine tool supervisory system, and communication between the

monitoring and control systems of intelligent spindles and CNC systems is still unclear.

(3) Databases and knowledge bases are far from sufficient. Intelligent capabilities of

decision-making, self-learning and self-optimizing are usually realized using AI algorithms, such

as ANNs, fuzzy logic systems and HMM. Sophisticated AI models are developed to uncover the

nonlinear relationship between observed variables and the running state of intelligent spindles.

The accuracy and reliability of AI models rely on sufficient data and knowledge, however, due to

the limited application of process monitoring and control systems in the industry, our databases

and knowledge bases are insufficient. Furthermore, there is a need for intelligent spindles to have

the ability to acquire data on machining processes at one process stage and to share it with other

spindles, so that intelligent spindles can continuously improve their performance and intelligence

levels with the increase of data and knowledge.

59
4.2 Future trends

According to the current limitations, the future trends of intelligent spindles are likely to move

toward the following direction: (a) The top-down design of intelligent spindles; (b) integrated

smart sensors and actuators; (c) advanced real-time data processing and decision making; (d)

prognostics-centered control and maintenance; (e) integration into the industrial big data

environment.

4.2.1 The top-down design of intelligent spindles

The intelligent spindle is a typical mechatronic system, based on a range of interdisciplinary

research. In the initial design stage, all of the intelligent functions need to be clearly defined, and

correspondingly, the mechanical structure needs to be designed to adapt to the intelligent functions.

To reduce time and cost in the process of product development, virtual prototyping prior to

constructing physical prototypes is a powerful method. Theoretical modelling is the basis of

virtual prototyping, and in recent years, many theoretical models have been developed to simulate

spindles’ performance, including dynamic [158, 309-323], thermal [215, 324-327], and

mechanical-thermal behaviors [157, 159, 328, 329], which provide proof of chatter prediction

[330-337] and virtual design [338-346] of spindles. Detailed progress of spindle modelling and

model-based design can be found in previous review papers [4, 175, 347] and are not covered in

this article.

In terms of intelligent spindles, model-based design rises to new heights, since several

disciplines are covered in a single simulation model. Virtual prototyping of intelligent spindles

should integrate software and hardware configurations of sensing, decision making, and control

modules in the virtual environment. The challenge is to fully exploit the mechatronic concept and

intelligent capabilities in the earliest design stage. As an example, here we will explain the active

chatter control function of intelligent spindles, which consists of sensors, actuators and controllers.

The behavior of the actuators needs to first be described mathematically, and then be integrated

into the spindle model. The interaction between the spindle dynamics and cutting process can be

modelled as well. Inputs of the intelligent spindle model are actuating forces, cutting parameters

and tool/material properties, while outputs are natural frequencies, dynamic responses, and

60
stability lobes. Vibration responses at each node can be simulated and controlled with the model in

a virtual environment, which can demonstrate the effectiveness of active chatter control.

4.2.2 Integrated smart sensors and actuators

The integration of sensors, actuators and controllers with the spindle structure makes the

intelligent spindle as a cyber-physical module of machine tools [348]. The integrated sensors must

meet certain requirements, which mainly include: (1) no reduction in the static and dynamic

stiffness of the spindle, (2) no limitation on cutting parameters, (3) reliable signal transmission,

and (4) long usage life and easy maintenance. Due to the geometric limitations of traditional

sensors (e.g. thermal couples, accelerometers) and space restrictions in spindle structures, the

integration of sensors and actuators may interfere with the normal operations of the spindle. In

order to achieve “intelligent” structures, an integration of sensor and actuator functionality into the

spindle structures is essential. Fig. 41 shows the differences between mechanical, mechatronic and

adaptronic systems. The mechatronic systems can be updated to adaptronic systems, by directly

integrating smart materials as sensors and actuators into spindle structures.

Mec hanic al S ys tem s Mec hatronic S ys tem s A daptronic S ys tem s

P as s ive
P as s ive S ys tem P as s ive S ys tem S truc ture S ys tem
S truc ture A ns wer S truc ture A ns wer
Actuators A ns wer
Sensors
A c tuators S ens ors
Control Control

Figure 2: Characteristics of mechatronic sy stems.

Fig. 41. Mechanical, mechatronic and adaptronic systems [349]

Smart materials that have the potential to be used in smart spindles include piezoelectric

materials, magnetostrictive materials, shape memory alloys, magneto-rheological and

electro-rheological fluids. These materials are able to transform energy into mechanical motion,

and vice versa, which can provide many new and creative sensing and actuation possibilities.

Some smart materials have been applied in process and machine condition monitoring and in

active influencing of the machine dynamic and thermal behavior, as well as for improving the

process states and adaptive process controls [349-352]. The application of smart materials and

61
structures enables a high degree of functional integration. Considerable efforts are required to

design, install, and calibrate smart sensors and actuators, to fully integrate them into spindles.

With continual advances in smart materials, new sensing and actuation materials and the advent of

new active multifunctional materials will have a large impact on the development of intelligent

spindles.

4.2.3 Advanced real-time data processing and decision making

Data is the basis for condition monitoring and control of intelligent spindles, and can be

categorized into two main types: condition monitoring data and event data. The condition

monitoring data includes force, vibration, sound, temperature and motor current/power, which are

measured with various sensors. Event data includes the information on what happened (e.g., tool

breakage, chatter, bearing damage, collision) and/or what was done (e.g., tool change, chatter

suppression, spindle repair, collision prevention) to the machine tools. Data processing, i.e.,

turning data into information, is extremely important for extracting useful information, which will

then be used for further decision-making purposes. By now, a variety of models, algorithms and

tools are available for better understanding and interpreting data [9, 353]. To achieve the aim of

real-time monitoring and control of intelligent spindles, innovative development of efficient and

fast real-time data processing algorithms are required.

Decision making is based on data analyses that combine both event and condition monitoring

data. Mathematical models are essential for mapping the information obtained in the sensing space,

to the operational state of intelligent spindles in the decision-making space. In the past, AI models

have been widely used to study complex non-linear relationships between measured data and

process performances in machining processes, which include ANNs, fuzzy logic, genetic

algorithms, hybrid systems, etc. [9, 353]. In terms of intelligent spindles, real-time decision

making is essential, which requires AI algorithms with fast computation speeds. Furthermore,

these decision-making models should have the capability of reasoning and self-learning, which

can improve intelligent spindle performance and intelligence levels continuously during

application.

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 4.2.4 Prognostics-centered control and maintenance

Techniques that support condition-based control and maintenance can be divided into two main

categories: diagnostics and prognostics [354]. Diagnostics, as a posterior event analysis, deals

with fault detection, isolation and identification when an abnormality occurs. Prognostics, as a

prior event analysis, deals with fault and degradation prediction before they occur [355].

Prognostics-centered control and maintenance is much more efficient than the diagnostics-based

strategy in achieving zero-downtime performance of intelligent spindles. The example of active

chatter control in high-speed milling, in which chatter usually occurs in less than 100 milliseconds,

shines light on how difficult it can be to detect and control chatter in such a short time. The earlier

chatter can be predicted, the more time there is to control chatter and avoid damage to the

workpiece surface. Another example is the maintenance of spindle bearings, which are the most

easily damaged part of spindles. If a rolling bearing is properly installed, loaded, lubricated and

operated without collision, then the main modes of bearing failure are rolling contact fatigue and

wear [356]. The biggest concern of maintenance engineers is figuring out the time left before the

failure occurs under current running conditions. This problem is also known as the prediction of

remaining useful life, which can significantly reduce maintenance costs by reducing the number of

unnecessary scheduled preventive maintenance operations.

Fig. 42 shows the classification of prognosis methods. With the development of predictive

theories, various prognosis methods, including physics-based, data-driven, and model-based

methods, have been investigated. In the future, prognosis techniques will play increasingly

important roles in control and maintenance of intelligent spindles.

63
 Operation Fatigue Propagation
Physics-Based
Tool-life prediction

Kalman Filtering
Wear
M echanism Model-Based Particle Filtering

Manufacturing 1 Neural Network

System Fuzzy Theory
0.5

Wiener Process
0 Data-Driven
0 20
Frequency
40
Frequency (Hz)
(Hz)
60
Gamma Process
Maintenance M easur ement/ Proportional Hazards Model
Featur es Hidden Markov Model

Fig. 42. The classification of prognosis methods [357].

4.2.5 Integration into industrial big data environment

Integrated sensors have simplified the data-collecting process, and large amounts of data can be

generated within short periods of time. Therefore, data storage becomes a critical issue, which

requires huge storage space. Moreover, the effective processing of big data into valuable

knowledge is a key to the sustainable innovation of intelligent spindles. In order to achieve online

decision-making and control, significant computing resources are required to perform real-time

computations. In the coming Industry 4.0 Era, cloud-based technologies possess enhanced

capabilities in data storage and computation [357].

Cloud computing enables monitoring and control of intelligent spindles to be treated as remote

services, instead of local, centralized capabilities. The conception of intelligent spindles/machine

tools in industrial big data is shown in Fig. 43. Under common data exchanges and

communication protocols, such as MTConnect [358], it is possible to share data between machine

tools and enable interoperability, by allowing access to manufacturing data using standardized

interfaces. In industrial applications, data from the CNC controllers and the external sensors of

intelligent spindles are important sources of industrial big data. These data are input to

MTConnect agents and encoded using eXtensible Markup Language (XML). The XML data are

uploaded to the cloud for distributed storage and delivery of computational services.

Decision-making algorithms (e.g., learning, reasoning) are carried out to process the data,

64
followed by effective transmission of the results back to the machine tools for process control

and/or maintenance. Customers can view results via a web-based application on various receiving

terminals, such as smartphones, tablets, laptops, desktops and servers. Machine builders, machine

users (e.g., operators, managers) and third-party experts can work in a collaborative platform to

provide professional instructions and efficient human interventions. In such a big data

environment, intelligent spindles will be able to learn from in-field data, and accumulate in-field

knowledge that could hardly be gained in a lab environment. The more intelligent spindles are

used, the smarter intelligent spindles will become.

Fig. 43. The conception of intelligent spindles in industrial big data environment.

5. Conclusions

Research on intelligent spindles has been ongoing for about ten years. Advances in sensors,

actuators, data processing algorithms, artificial intelligence technologies, control technologies and
65
maintenance strategies have significantly contributed to the development of intelligent spindles.

This paper presented an integrated concept for intelligent spindles, in which four required

characteristics, three key enabling technologies, and six expected intelligent functions were

described in detail. An overview of the progress of intelligent spindles was conducted in six thrust

areas, corresponding to the expected intelligent functions.

Although there is an overlap between some research areas regarding intelligent spindles and

machining process monitoring and control, there are still gaps in directly applying work of

machining process monitoring and control to intelligent spindles. Development of intelligent

spindles is expected in the future, which could be promoted by several potential technologies,

including top-down design, smart sensors and actuators, real-time data processing and decision

making, prognostics-centered control and maintenance. Furthermore, within the

modular-structured smart factories of Industry 4.0, intelligent machine tools will be connected as a

collaborative community. The integration into a big data environment can greatly enhance the

development of intelligent spindles.

Acknowledgments

This work is supported by the National Natural Science Foundation of China (No. 51575423 and

51421004) and the Fundamental Research Funds for Central University. The first author would

like to thank the Alexander von Humboldt Foundation for sponsorship.

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Ÿ A new integrated concept for intelligent spindles is proposed.

Ÿ Previous research works related with intelligent spindles are reviewed.
Ÿ Future trends of intelligent spindles are prospected.

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Graphical Abstract