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A review on spindle thermal error compensation in machine Tools

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DOI: 10.1016/j.ijmachtools.2015.04.008

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 International Journal of Machine Tools & Manufacture 95 (2015) 20–38

Contents lists available at ScienceDirect

International Journal of Machine Tools & Manufacture

journal homepage: www.elsevier.com/locate/ijmactool

A review on spindle thermal error compensation in machine tools

Yang Li a,1, Wanhua Zhao a,n, Shuhuai Lan b, Jun Ni b, Wenwu Wu a, Bingheng Lu a
a
State Key Laboratory for Manufacturing System Engineering, Xi'an Jiaotong University, Xi'an, Shaanxi 710054, China
b
S.M. Wu Manufacturing Research Center, College of Engineering, The University of Michigan, Ann Arbor, MI 48109-2125, USA

art ic l e i nf o a b s t r a c t

Article history: Thermal error caused by the thermal deformation is one of the most significant factors influencing the
Received 21 October 2014 accuracy of the machine tool. Among all the heat sources which lead to the thermal distortions, the
Received in revised form spindle is the main one. This paper presents an overview of the research about the compensation of the
11 April 2015
spindle thermal error. Thermal error compensation is considered as a more convenient, effective and
Accepted 14 April 2015
cost-efficient way to reduce the thermal error compared with other thermal error control and reduction
Available online 24 April 2015
methods. Based on the analytical calculation, numerical analysis and experimental tests of the spindle
Keywords: thermal error, the thermal error models are established and then applied for implementing the thermal
Review error compensation. Different kinds of methods adopted in testing, modeling and compensating are
Spindle thermal error
listed and discussed. In addition, because the thermal key points are vital to the temperature testing,
Temperatures and thermal errors measure-
thermal error modeling, and even influence the effectiveness of compensation, various approaches of
ments
Thermal error modeling selecting thermal key points are introduced as well. This paper aims to give a basic introduction of the
Thermal error compensation whole process of the spindle thermal error compensation and presents a summary of methods applied
Thermal key points on different topics of it.
& 2015 Elsevier Ltd. All rights reserved.

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2. Analysis of the spindle thermal error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.1. Heat source . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.2. Heat dissipation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.3. Analytical calculation for temperature field and thermal error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.4. Numerical analysis for temperature field and thermal error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.4.1. Finite element method (FEM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.4.2. Finite difference method (FDM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.4.3. Finite difference element method (FDEM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.4.4. Thermal resistance network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
3. Temperatures and thermal errors measurements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3.1. Temperature measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
3.2. Thermal key points selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.2.1. Engineering judgment and correlation analysis and step-wise regression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
3.2.2. Grouping searching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.2.3. Gaussian integration points. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.2.4. Grey system and grey correlation theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.2.5. Other methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
3.3. Thermal error measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
4. Thermal error modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.1. Least squares method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

n
Correspondence to: School of Mechanical Engineering, Xi'an Jiaotong University, No. 28 Xianning Road, Beilin District, Xi'an, Shaanxi Province 710049, China.
E-mail addresses: [email protected] (Y. Li), [email protected] (W. Zhao).
1
Room 405, Building 5, State Key Laboratory for Manufacturing System Engineering, Xi'an Jiaotong University, No. 99 Yanxiang Road, Yanta District, Xi'an, Shaanxi
Province 710054, China.

http://dx.doi.org/10.1016/j.ijmachtools.2015.04.008
0890-6955/& 2015 Elsevier Ltd. All rights reserved.
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 21

4.2. Regression analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

4.2.1. Multivariable regression analysis (MRA). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.2.2. Autoregressive model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.2.3. Projection pursuit regression. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.3. Neural network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.3.1. Back propagation (BP) network. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.3.2. Radial basis function (RBF) network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.3.3. Integrated recurrent neural network (IRNN) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.3.4. Elman network (EN) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.4. Grey system theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.5. Support vector machine (SVM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.6. Hybrid model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
5. Implement of thermal error compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
6. Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

1. Introduction invar and the polymer concrete are used to build the spindle parts
instead of metal. Because these advanced materials have low coeffi-
As the demand of high accuracy of the machine tool becomes cient of thermal expansion, they are insensitive to the temperature
higher and higher, thousands of scholars and engineers dedicate to change which means when the temperature rises, less thermal de-
the research of errors. These errors can be broadly divided into formation would be generated [5,9,10].
several groups as follows [1]: (2) Thermal error control
Another method of minimizing the thermal error is to control the
(a) geometric and kinematic errors, amount of heat transferred into the spindle system or to avoid the
(b) thermal errors, generation of the non-uniform temperature distribution. For example,
(c) cutting-force induced errors, and by incorporating the cooling jackets around the spindle bearings, the
(d) other errors such as the tool wear and the errors induced by heat dissipation is enhanced so that there would be less heat left in
assembling and chattering [2,3]. the spindle system leading to the thermal expansion [6]. Temperature
controlled boxes and rooms could be used to reduce the heat trans-
Among these errors, the thermal error, generated at that time ferred from the environment into the spindle system [5]. Also some
on account of deformation or distortion of the machine elements researchers tried to control the heat flows by placing a layer of
caused by the heating and temperature rising, is one of the prin- thermal insulation between the spindle shaft and the inner race of the
cipal causes of the inaccuracy [1,4]. According to Bryan's research spindle bearings [6,11]. In addition, optimizing the machine tool
published in 1990, the thermal error accounts for 40–70% of the structure and applying heat pipes and thermal actuators are other
total error [5]. In general, there are two kinds of heat sources in ways to equalize the temperature distribution and control the ther-
machine tools, namely internal and external heat sources, bringing mal error [5,12,13].
about the temperature rising and thermal errors [4,6]. (3) Thermal error compensation
Thermal error compensation is a process where the error is cor-

Internal heat sources: rected by adjusting the position of the tool and work piece, usually
heat generated from cutting process; using the existing machine axes [6]. Compared with other two types
heat generated from frictions in ball screws, spindle, gear box, of methods, thermal error compensation is more convenient and
guides, etc.; cost-efficient [14]. This is because that on one hand, it needs no extra
heat generated in motor; expensive hardware such as the advanced material and heat pipes,
heating or cooling influences provided by the various cooling and on the other hand it can be implemented at any stage of the
systems. machine tool designing or building, while some tactics above (e.g.

External heat sources: optimization of the structure) cannot be implemented after the ma-
environmental temperature variation; chine tool has been built or the structure has been determined [8].
solar and personal radiations. Generally, there are several main aspects in the real time
thermal error compensation, namely analyzing, testing, modeling
As the core component in machine tool, the spindle would and implement of compensation. Analyzing, testing and modeling
generate large amounts of heat when it is running at a high speed. are the basics and preparatory work of the compensation. The
Among the heat sources listed above, the spindle is considered as general process of the thermal error compensation is
an important one [7]. Therefore, this review focused on the ther-
mal error of the spindle. In order to minimize the influence of ● analyze and study the temperature distribution and the ther-
spindle thermal error on the accuracy of the machine tool, kinds of mal errors of the spindle theoretically, numerically and
methods have been proposed by scholars all over the world. All experimentally;
the methods fall into the following three categories [8]. ● build the thermal error models which are mostly describing the
(1) Thermal error avoidance relationship between temperatures and thermal errors based
This strategy is supposed to reduce the generation of the heat or on the analyzing or testing results;
the thermal deformation in the spindle system. For example, by re- ● predict the thermal error according to the model and based on
placing the metal bearings with the hybrid bearings which have the predicted data the thermal error compensation is com-
ceramic balls, less heat are generated due to less friction. Besides, pleted by incorporating the compensation values in the re-
advanced material, such as carbon fiber reinforced plastics (CFRP), spective axes or adjusting the origins of the coordinates.
22 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

In this paper, all these aspects of the thermal error compensation ⎧ −7 2

⎪ 10 f0 (vn) 3 dm 3 vn ≥ 2000
mentioned above are discussed. Firstly, the spindle thermal error is M2 = ⎨
analyzed in Section 2. The theoretical computations of the heat ⎪ −7 3
⎩160 × 10 f0 dm vn < 2000 (3)
source, heat dissipation, temperature distribution and thermal error
are stated. Various numerical analyses of the spindle thermal char- where f0, f1 are the parameters related to the type, the structure, the
acteristics are discussed as well. In Section 3, measurement set-ups force and the lubrication of bearings; Fβ (N) is the load determined by
for testing the temperature and thermal errors are introduced. As the the magnitude and the direction of the force working on the bearings;
numbers and locations of the temperature sensors are vital to the v (cSt) is the kinematic viscosity of lubricant; dm (m) is the diameter
accuracy of the further thermal error modeling and compensation, of the pitch circle; n (r/min) is the speed of the spindle.
the optimization of thermal key points is also discussed in this sec- Based on the friction torque M and the spindle speed n, the
tion. Then in Section 4, the relationships between the temperatures heat output of bearings (qg (W) in Fig. 1) can be computed ac-
and thermal errors are mapped and the modeling methods are listed. cording to Eq. (4). It is assumed that half of the heat generated in
In Section 5, two basic techniques for implementing the thermal error the bearing system is transferred to races then to the shaft and
compensation, namely the feedback interception method and the other connected parts, while the other half is flowed to the rolling
origin-shift method are studied. Finally, the conclusion of the spindle elements [21].
thermal error compensation research in the past are stated and the
problems and directions which scholars should be worked on in the qg = 1.047 × 10−4 nM. (4)
future are pointed out.

2.2. Heat dissipation

2. Analysis of the spindle thermal error
In this paper, the radiation and environmental effects are ne-
In a certain spindle system, especially when it runs at a high glected when studying the thermal characteristics of the spindle
speed, a great deal of heat (qg) would be generated from heat because the machine tools are usually placed at the constant
sources. Although the cooling system is applied to enhance the temperature workshops. Therefore the major way of heat dis-
heat dissipation, there still is some heat left and transferred (qconv, sipation is heat convection (Hv) between the bearings and sur-
qcond) in the spindle system which would cause the rise of the rounding fluids, lubricant and shaft/housing and the heat con-
temperature (T) [15]. The relationships between the heat gener- vection between the housing and surrounding air [25]. According
ated, transferred by convection and conduction and the tempera- to Eqs. (5)–(7), the heat dissipation in the spindle system can be
ture are shown in Fig. 1. The effects of radiation are ignored here. obtained [16,24].
Based on the relationships, the temperature field can be known
and the thermal error can be further obtained. The computations qconv = hv S (Ts − T∞ ) (5)
of the heat generation, heat dissipation, heat transfer, temperature 2
where hv (W/(m K)) is the coefficient of convective heat transfer;
distribution and the thermal error are introduced as follows.
S (m2) is the area perpendicular to the direction of the heat flux; Ts
and T1 (°C) are the surface temperature of the spindle parts and
2.1. Heat source
the temperature of the cooling fluids.
In the conventional spindle system, a large amount of heat are Nu∙λ
hv =
generated in the bearings contact area due to the frictions between le (6)
the balls and the inner and outer races [17,18]. Different with the
conventional ones, the high-speed motorized spindles are equipped ⎧ 2 1
with built-in motors. And because of the copper loss and iron loss, ⎪ Nu = 0.133 Re 3 Pr 3
⎪ ve le
great heat would be generated when the electrical power flows into ⎪ Re =
the motor. Therefore, both electric motor and bearings are considered ⎪ v
⎪
as the heat sources in motorized spindles [18–21]. Here, we only focus ⎨ n
∑i (di ∙li )
⎪ le = n
on thermal characteristics of the conventional spindles in which the ⎪ ∑i li
bearings are considered as the main heat sources. ⎪
⎪ πle
The frictional heat generation within bearings in the conven- ⎪ ve = ∙n
⎩ 60 (7)
tional spindles can be calculated based on the frictions torque and
other key parameters, such as types of the bearings, the preload, where λ (W/(m K)) is the thermal conductivity; Nu, Re and Pr are
external loads, properties of the lubricant, and structure para- the Nusselt number, Reynolds number and Planck number re-
meters [22,23]. Eqs. (1)–(3) are often used to compute the friction spectively; di and li (m) are the diameter and the length of the ith
torque M (N mm), which depends on the load-related M1 and part of the shaft.
viscosity-related friction torque M2 [16,24].
M = M1 + M2 (1) 2.3. Analytical calculation for temperature field and thermal error

M1 = f1 ∙Fβ ∙dm (2) As it is shown in Fig. 2, the spindle (1-D) is supported by two
sets of bearings at x1 and x2. The heat (q1 and q2) is generated due
Heat Generation q g to the frictions and flows into the spindle. Besides, the spindle is
cooled by the convection (qconv) between cooling fluid around and
itself. As the components in the spindle system have different
Convection Conduction properties, the heats are transferred in different directions at dif-
qconv T qcond ferent rate, which leads to a non-uniform temperature field. Taken
a part of the spindle as a control volume to study, the heat
Fig. 1. Heat transfer in the spindle system [16]. transferred in it obeys the energy conservation law (Eq. (8)).
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 23

qconv qconv

q1 q2
qcond,x qcond,x+dx
Control Volume
x2 Control x x+dx
L Volume
Fig. 2. Heat transfer in the spindle: (a) 1-D spindle model and (b) heat transfer in the control volume.

Based on the equations above and the boundary conditions

shown in Eq. (12), the steady temperature distribution along the
spindle T(x) can be calculated.
⎧ q1 = qg1 ; x = x1
⎪
⎨
⎩ q2 = qg2 ; x = x2
⎪
(12)

In the transient state, the spindle temperature field (T(x,t)) is

changing with the time, which means the heat flows in is no longer
the same with the heat flows out of the control volume. Therefore, the
general equation and boundary conditions turns in to Eqs. (13)–(15),
and according to which the transient temperature distribution could
be obtained.
•
ECV = qcond, x − qcond, x + dx − qconv (13)

dT dT ⎡ dT d2T ⎤
ρVCp = − λS + λS ⎢ + dx⎥ − hPdx (T − T∞ )
dt dx ⎣ dx dx2 ⎦ (14)

⎧ T (x, t ) = Ti t = 0
⎪
⎨ q1 = qg1 x = x1
⎪q = q x = x2
⎩ 2 g2 (15)
3 3
where ρ (kg/m ) is the density, V (m ) is the volume and Cp (J/
(kg K) ) is the specific heat.
In Zhu's [26] paper published in 2007 in China, a two-dimen-
Fig. 3. Two-dimensional thermal model of the spindle [26]. sional thermal model of the spindle was proposed. In the im-
proved model, the heat transfer in both axial and radial directions
were considers. As it is shown in Fig. 3, the disks with shade re-
• • present two bearings placing at z ¼a and z¼ b. Considering the
ECV = Eg + qcond, x − qcond, x + dx − qconv (8) heat generated in these bearings (q1 and q2) and heat convection
• • around the spindle, Zhu built the differential equations and
where ECV (W) and Eg (W) represents the total energy and the en- boundary conditions (Eq. (16)) and tried to investigate the steady
ergy generated in the control volume; qcond, x (W) and qcond, x + dx (W) is temperature field of the spindle.
the energy conducted into the left face and out of the right face In Fig. 3, h (m) is the width of the bearings and L (m) is the
respectively; qconv (W) is the energy transferred by convection. length of the spindle.
In the steady state, the sum of heat flows in and out of the
⎧ ∂ 2T
control volume are equals when there is no internal heat gen- ⎪ 1 ∂T ∂ 2T
+ + =0
⎪ ∂r 2 r ∂r ∂z 2
eration [19]. ⎪
⎪ ∂T
z = 0, z = L; =0
• ⎪ ∂z
ECV = qcond, x − qcond, x + dx − qconv = 0 ⎪
⎪
(9) ⎨ r = r0 , a < z < a + h; λ
∂T
= q1
⎪ ∂r
Based on the Fourier law (Eq. (10)), Newton's cooling law (Eq. ⎪ ∂T
⎪ r = r0 , b < z < b + h; λ = q2
(5)) and Taylor Function, Eq. (9) turns into Eq. (11): ⎪ ∂r
⎪ ∂T
⎪ 0 < z < a , a + h < z < b, b + h < z < L ; λ + hf (T − Tf ) = 0
dT ⎪
⎩ ∂r r = r 0
qcond = − λS (16)
dx (10)
2
where Tf (°C) is the ambient temperature, hf (W/(m K)) is the heat
dT dT d2T convection coefficient of surrounding fluids.
− λS + λS [ + dx] − hPdx (T − T∞ ) = 0 Similarly, Yang [27], Jiang [28] and Xie [29] proposed one-di-
dx dx dx2 (11)
mensional spindle model with one end fixed while the other one
where P(m) is the perimeter of the shaft. could expand freely. Based on the transient heat transfer equation
24 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

and boundary conditions, they also obtained the function of the which makes it very difficult to get the accurate analytical results
temperature distribution. of the temperature field and thermal error.
According to the principle of thermo-elasticity, the thermal
error of the spindle could be determine based on the temperature
2.4. Numerical analysis for temperature field and thermal error
field [30]. For example, commonly by integrating the temperature
distributions according to the Eq. (17), the one-dimensional ther-
2.4.1. Finite element method (FEM)
mal error of the spindle could be obtained.
Besides the analytic method, some scholars [31] applied the
L
finite element method (FEM) to get the numerical solution of
E (t ) = ∫0 αE T (x, t ) dx
(17) temperature field of the spindle based on the differential equa-
tions in the matrix form (Eq. (18)).
where αE (1/°C) is the expansion coefficient (constant), L (m) is the
length of the spindle. ∙
C ∙T + H ∙T = Q (18)
Since the computation process of the transient temperature
distribution is often complex, most researchers focus on the the- where C and H are the matrices of heat capacity and heat con-
oretical study about the thermal characteristics of the spindle in ductivity; T is the temperature vector of discrete nodes; Q is the
the steady state or the one-dimensional transient temperature vector of heat load.
distribution. However, in practice, the structure of the spindle is With the development of the computer technology, some
complex and the temperature is always changing with the time, commercial computation software, such as ANASYS, ABAQUS,

Fig. 4. General processes of numerical simulation.

 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 25

Marc & Mentat etc. are applied for analyzing the thermal char- numerical analysis software, scholars and engineers are able to
acteristics of the spindle numerically [21,32–37]. Compared with easily get the thermal characteristics of the spindle. Unfortunately,
analytical calculation and experimental measurement, numerical the accurate value of heat generation and boundary conditions are
analysis software allows engineers to have the direct and com- usually difficult to determine. Another serious limitation of using
prehensive knowledge about the thermal characteristics of the commercial software is that it is impossible to access to the source
spindle even before it is built, and it save the time and energy cost code and monitor the operation of the solvers [9]. These limita-
of analytical computation and experimental tests [7]. As long as tions would deteriorate the accuracy of the numerical simulation.
the heat load (the heat generation) and the boundary conditions
(heat convection coefficients) are well defined, the accuracy of the 2.4.2. Finite difference method (FDM)
numerical solution can be guaranteed [38]. Fig. 4 shows the gen- Finite difference method is another commonly used numerical
eral processes of numerical simulation using the commercial analysis method for learning the thermal characteristics of the
software [39]. spindle. In Bossmanns and Tu's research [19,20], a power flow
(1) Simplifying the original geometric constructions and model was presented. The model was capable of demonstrating
sending it to the software; the power distribution of the spindle system and showing the flow
(2) Meshing according to the structure of the parts; path of the input power and the heat transfer directions between
(3) Computing the power of heat sources; different spindle parts (Fig. 8). Based on the computation of heat
(4) Computing the convections; generation and heat transfer, a finite difference thermal model was
(5) Applying the thermal load and boundary conditions ob- developed and then decomposed into 56 elements (Fig. 9). These
tained before on the spindle; elements had only one freedom (the average temperature). It was
(6) Computing the steady/ transient temperature field of the assumed that the heat was transferred from one element to the
spindle by FEM; adjacent one via conduction and from the surface to the cooling
(7) Replacing thermal elements with structural elements to fluid via convection. For each element, the temperature can be
acquire the thermal deformation. predicted according to the governing equation (Eq. (19)). Then the
Among the commercial software applying for the numerical steady and transient temperature field of the spindle can be ob-
analysis of the spindle thermal error, ANSYS is used world-widely. tained by programming with MATLAB. In order to verify the cor-
According to the general processes of numerical simulation in- rectness of the model, tests under different spindle speed were
troduced above, Creighton [40] conducted the numerical analysis conducted on a custom-built motorized milling spindle. Similarly,
using ANSYS v11 (workbench module) to get the approximate the proposed approach could also be applied on conventional
temperature distribution and the thermal growth of a NSK NR40- spindle systems.
5100 high-speed micro-milling spindle. The geometrical structure
of the spindle system was first simplified (Fig. 5) then meshed to
∙ ∙ ∙ ∙ ∙ dT
qouttersurface + qinnersurface + qfrontface + qendface + qnode = ct
9973 elements using the mixed meshing configuration. In this dt (19)
spindle system, two sets of bearing supporting the spindle and the
motor attached to the back were considered as the thermal sour- 2.4.3. Finite difference element method (FDEM)
ces and the power of the heat at the spindle speed 50,000 RPM The finite difference element method is an effective method
were calculated. Together with the forced air convection (the which combines the advantages of FEM and FDM [41]. Mayr [42]
spindle body was cooled by air), the heat load were applied to the divided the numerical analysis using FDEM into two separate
numerical model. The temperature simulation results showed that steps. Fig. 10 shows the schematic of FDEM. First of all, the tran-
the spindle-motor junction had the highest temperature (Fig. 6). sient and steady temperature distributions of the system were
The temperature distributions were further sent to the FEA model simulated based on FDM in which the implicit numerical in-
to investigate the thermal deformation of the spindle. According to tegration methods were adopted. It helped to save the computa-
the numerical results, the thermal deformation of the tip of the tion time. In the second step, FEM was applied for solving the
spindle reached up to 6.6 mm in both Z and Y direction (Fig. 7). thermally induced errors.
Chen et al. [39] built a thermo-mechanical model of a vertical
turning spindle in ANSYS software and meshed it. Based on the 2.4.4. Thermal resistance network
heat generation in the spindle elements and the heat convection The temperature field of the spindle can also be obtained by
over the surface outside, the spindle temperature field and ther-
mal error were predicted. The simulation results showed that the
spindle speed and the flow rate of the lubricant fluid have certain
effects on the thermal characteristics of the spindle.
The same simulation process was gone through on a prototype
spindle system of precision boring machine with ABAQUS software
by Han et al. [33]. In the spindle system, the bearings were re-
garded as the main heat source and the heat generations of them
were calculated first. The power of heat generated in the front and
rear bearing was 286 W and 218 W respectively when the spindle
was rotating at 3500 RPM. The heat transfer under the forced
convection condition was then computed. Both the heat load and
boundary conditions were applied on the FE model to analyze the
thermal characteristic of the spindle. According to the simulation
results, it turned out that the front bearing had higher tempera-
ture rise compared to the rear one. When the spindle reached to
the steady state after 11,000 s, the maximum thermal expansion
was 35 μm.
Thanks to the powerful pre- and postprocessors, the fast solver
and the friendly operational interface of those commercial Fig. 5. Schematic of NSK NR40-5100 high-speed micro-milling spindle [40].
26 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

Fig. 6. Temperature field of NSK NR40-5100 spindle (50,000 RPM) [40].

analysis and the numerical simulation, the analytical solutions and

simulation results are still needed to be validated by the experi-
ments [17,19]. Because, on one hand, the theoretical analysis is
based on the simplified models which makes it very hard to obtain
the accurate solutions of the spindle temperature distribution and
the thermal error as in practice the spindle system is 3-D and
complex. On the other hand, the accuracy of numerical simulation
is limited as the reliability of the results depends on whether the
power of heat sources and the heat transfer coefficients (boundary
conditions) are well defined [7,45]. In addition, experimental tests
could provide practical and reliable data about the thermal char-
acteristics of the spindle which can be used for the further thermal
error modeling and compensation. As a result, the direct testing of
temperatures and thermal errors is very important and draws the
attentions of researchers all over the world.

3.1. Temperature measurement

Usually, temperature sensors, such as resistance thermometers

(Pt100, Pt1000) and thermal couples are attached on the surface of
Fig. 7. Thermal deformation of NSK NR40-5100 spindle (50,000 RPM) [40]. the spindle elements to test the temperature [46]. Negative tem-
perature coefficient thermistors (NTC thermistor), positive tem-
using the thermal resistance network. For example, Huang [43] perature coefficient thermistors (PTC thermistor), semiconductor
and Liu [44] used the thermal nodes to represent different parts of thermo elements are also applied for temperature measurement
different elements in the spindle system. The thermal nodes of a [9]. Some of the sensors are so small that they can be installed in
spindle system are shown in Fig. 11. In this system, nodes 2, 6, 10, the spindle system even just closed to the bearings to test the
14, 20 and 26 stood for six pairs of bearings. The shaft was divided temperature of the heat source. However, temperature sensors are
into 7 parts by node 1, 5, 9, 13, 17 21 and 25. According to the heat the contact measuring instruments, which mean that these sen-
transfer theory, the thermal resistances between different nodes sors must be placed on the spindle systems. It would be incon-
were calculated and then the thermal resistance network was venient and dangerous when the spindle is running as the wires
obtained (Fig. 12). Based on the power of heat sources and heat attached to the sensors may interfere with the working process.
transfer discussed in Sections 2.1 and 2.2, thermal balance equa- With the development of infrared imaging, the infrared camera
tions between different nodes were built. Finally, the temperature is becoming a popular method in the field of temperature testing
field was gained with Newton–Raphson method using MATLAB. nowadays. By measuring the intensity of infrared radiation emit-
This method can be used to analyze the both the steady and ted by the studied object, the real-time surface temperature dis-
transient temperature distribution and investigate the influences tribution could be observed directly and rapidly from infrared
of working parameters (e.g. rotational speed, coolant temperature images. These images can be recorded and after the information
and the viscosity of lubricant) on the spindle temperature field. processing and further analysis, temperatures of some specific
points can be obtained [9,47,48]. Different with temperature
sensors, the infrared imaging is a non-contact temperature mea-
3. Temperatures and thermal errors measurements surement method which provides live thermal images and tem-
peratures continuously. Therefore, when the spindle is spinning it
Although a great deal of information about the thermal char- is safer and more suitable to use it to test the spindle temperature
acteristics of the spindle could be provided by the theoretical [49–51].
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 27

Fig. 8. Heat flow power of the spindle system [20].

Fig. 9. The finite difference thermal model of the spindle [19].

Fig. 13 shows the results of spindle temperature measuring

with the infrared camera. Because the surface of spindle is re-
flective, the radiation of external heat source such as human and
lamplight would be reflected to the camera which may influence
the accuracy of testing. In order to diminish the effect, the black
tape could be pasted on the metal reflective surface and it is better
to turn off the light when testing. Although it is safer to obtain the
temperature field of the spindle by the non-contact infrared
imaging, the accuracy of testing by the contact temperature sen-
sors is higher because the radiation from any other heat sources
may also be captured by the infrared camera. Besides, the infrared
image only shows the surface temperature which means it is un-
able to obtain the temperatures of the internal elements of the
spindle system. Therefore, in most factories, engineers prefer to
use the temperature sensors to test the temperatures. Fig. 10. Schematic of FDEM (M¼ FDM model matrix, dT̄ ¼ temperature change,
H̄ ¼ constant vector, C¼ FEA model matrix, F̄ ¼ thermal forces) [42].
3.2. Thermal key points selection
are too many wires attached to the sensors, they would counteract
As mentioned above, mostly temperatures are tested by placing the working process, affect the normal operation of the machine
the temperature sensors on the surface of the studied objects. tool even bring about the safety problems [52,53]. On the other
However, we cannot installed the temperature sensors randomly hand, the numbers and locations of the temperature sensor have
or as many as we want. Because, on one hand, too many sensors influence on the accuracy of the thermal error modeling and
would increase the workload and expense in temperature mea- compensation. For example, if a large number of temperature
suring, data processing and thermal error modeling. Also, if there sensors are placed all over the spindle system and all the data
28 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

Fig. 11. Thermal nodes on the spindle system [43].

temperature sensor selection.

Those optimal points where the temperature sensor supposed
to be located are called thermal key points or key thermal sus-
ceptible points. They are the points of which the temperature
changes have high affecting degree on the spindle thermal error.
The thermal error can also be calculated accurately and compen-
sated satisfactorily according to the thermal error model built on
these thermal key points [7,55]. In general, there are some re-
quirements to decide the thermal key points [55,56]. (1) Some of
the temperature sensors should be installed close to the main heat
sources; (2) The temperature field of the spindle system could be
mainly reflected by the temperature of these points; (3) The
amount and direction of the spindle thermal error should be
decided by the temperature changes of these points which means
that the temperature of the points have close relationship with the
thermal error. Based on these requirements, many methods of
thermal key point selection have been proposed.

3.2.1. Engineering judgment and correlation analysis and step-wise

regression
Fig. 12. Thermal resistance of the spindle system [44]. In the 20th century, engineering judgment, correlation analysis
and stepwise regression were the most commonly used methods
obtained are used for modeling, the accuracy of the thermal error for selecting the thermal key points [27]. Based on the knowledge
model would be low as some temperatures have high correlation of the heat sources, heat dissipation, temperature field and the
to others [54]. Therefore, in order to find the optimal points, more thermal distortions, the engineers chose the preliminary tem-
and more researchers begin to study the methods of the perature variables based on the individual experiences. But it was

Infrared
Camera

Measurement Area
Fig. 13. Spindle temperature measuring with infrared camera.
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 29

hard to determine the best variables because the structures and Assuming the temperature field is a polynomial function of x
heat transfer in the spindle system were complicated. Correlation with the order k (Eq. (23)), and then the thermal error can be
analysis was also used to select the temperature variables. The written as Eq. (24).
temperatures having high correlation coefficients with the spindle
k
thermal error were considered as the thermal key points, because T (x) ≈ a 0 + a1x + a2 x2 + ⋯ + ak x k = ∑ aj x j
the low coefficient indicated that they contribute little to the j=0 (23)
thermal error which should be eliminated [12,57,58]. When there
were more than one temperature variables, however, the re- L k
a1 x 2 a2 x 3 an x (n + 1) a j L(j + 1)
lationships between temperatures were overlooked which would Δx = α (a 0 x + + +⋯+ ) =α ∑
impact the correctness of selection. In stepwise regression analy- 2 3 (n + 1) j=0
(j + 1) (24)
0
sis, the most highly correlated temperature was first used for the
Eqs. (22) and (24) should be equal to each other, so
thermal error model. Then at each step, only one temperature
variable was added or deleted according to the F-test or other k n k
a j L(j + 1)
statistical criteria. The effect of combining two or more tempera- α ∑ a j ∑ [wi xi j ] = α ∑
j=0 i=1 j=0
(j + 1) (25)
ture variables at a time was never considered, which may affect
the accuracy of thermal error model [59–63]. Because the coefficients of polynomial temperature distribu-
tion are selected arbitrarily, the terms in front of each coefficient
3.2.2. Grouping searching on each side of Eq. (25) should be same. It means that there should
Grouping searching is one of the most widely used approaches be k þ1 equations and 2n unknowns, where n is the number of
for determining the best combination of the temperature variables
integration points and k is the order of the polynomial. So the
nowadays. The search flow is shown in Fig. 14.
number of integration points, namely thermal key points is
The whole process of searching is often divided into three
stages: correlation grouping, group searching and variable k+1
n=
searching [64]. In the beginning, the correlation coefficients (rij) 2 (26)
between temperatures (Ti and Tj) are computed according to Eq.
Based on the theoretical analysis and FEA, k can be obtained. To
(20) [54].
make it simpler, k can be directly determined by the number of
∑ (Ti − Ti )(Tj − Tj ) boundary conditions (heat sources and convection) as well. As a
rij =
result, by using the Gaussian integration method, the minimum
∑ (Ti − Ti )2 (Tj − Tj )2 (20)
number of points could be reached and no data are required.
The two temperatures with the smallest correlation coefficient
are assigned in two discrete groups. The others are grouped to- 3.2.4. Grey system and grey correlation theory
gether if the coefficients are larger than the certain threshold (0.9 Grey system theory has advantage in dealing with small sample
for example, which indicates a strong correlation) [61]. The vari- sequences, which makes itself one of the most popular methods
ables in different groups are independent to each other, which used for determining the key thermal points when the measured
could eliminate the problem of collinearity. Then, one of the data containing poor information or noise.
variables in each group is chosen to be the group representative
according the correlation and the partial correlation between the
thermal error and all temperature variables. The group search here
is proposed to suggest the group candidates. In the third stage,
statistical criteria, such as MSE, Rp2 or Mallow's Cp is adopted to
scan all the combinations of temperatures in the candidate groups
and then the optimal variables for thermal error modeling and
compensation are determined [60,65–67]. Another method called
fuzzy clustering analysis has the similar process of selecting
thermal key points [68]. Han conducted the analysis based on
fuzzy c-means algorithm and 4 representatives were screened out
from 32 temperature variables as the thermal key points.

3.2.3. Gaussian integration points

Gaussian integration points can also represent the thermal key
points. In [69,70], the spindle system was regarded as the one-
dimensional. The thermal deformation induced by the tempera-
tures was computed according to Eq. (21).
L L
Δx = ∫0 α (x) T (x) dx=α ∫0 T (x) dx
(21)

where Δx is the spindle thermal error, T(x) is the temperature

distribution, α(x) and L is the thermal expansion coefficient and
the length of the spindle respectively.
Eq. (22) shows the numerical integration of the spindle thermal
error in X direction.
n
Δx = α [w1T (x1) + w2 T (x2 ) + ⋯ + wn T (xn )] = α ∑ wi T (xi )
i=1 (22) Fig. 14. The flow chart of the grouping searching [61].
30 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

According to Li's research [52], the temperature of 16 tem- efforts are still needed in heat transfer and thermo-elastic analysis
perature sensors were taken as the son sequence xi (i¼0…15), to find the proper and effective theoretical basis to prove that the
while the radial thermal error of the spindle was regarded as the selected thermal key points are indeed correct and important to
mother sequence x16. The correlation coefficient and degree of the thermal error.
correlation between the thermal error x16 and each temperature
sequence xi were calculated after three different kinds of trans- 3.3. Thermal error measurement
formations through which the origin data become dimensionless.
Subsequently, three grey correlation sequences were built. The top Among various devices for thermal error testing, displacement
10 factors were taken out to form three new sequences. The sensors including the capacitance sensor, gap sensor, eddy current
common factors in them were chosen as the conclusive factors and sensor etc. are the most widely used instruments. Moriwaki [78]
regarded as the thermal key points. Similarly, Yan [53,71] pro- and Yang [79] used the experimental setup composed of the
posed a synthetic grey correlation theory which combined the master ball and capacitance sensor shown in Fig. 15 to measure the
absolute grey correlation and relative grey correlation theories. spindle thermal error. First of all, a master ball was installed on the
The method used for the thermal key point selection here was spindle tool holder and the capacitance sensor was attached to the
then applied on a CNC turning center. With the grey system and table. As the table was far from heat sources, it was considered as
grey correlation theory, 16 temperature sensors were optimized to non-deformed. Then the spindle began to rotate and it would
4. In Yan's study, a real cutting test was also conducted to verify deform due to the temperature rise caused by heat sources (front
the correctness and effectiveness of the thermal key point selec- bearings and the driving box). The changes of the relative dis-
tion. The models built on 16 and optimized 4 temperature vari- placements between the master ball and the capacitance sensor
ables were compared. The results showed that the accuracy of the represented the thermal errors of the spindle.
latter improved a lot, as the standard deviation of residual of the According to ISO 230-3 [80], the five-DOF thermal error of the
model with 4 temperature variables was only 30.8% of the one spindle could be tested by the typical set-up shown in Fig. 16. The
with 16 temperature inputs. test mandrel was installed on the spindle and the fixture holding
displacement sensors is bolted to the table securely. Displacement
3.2.5. Other methods sensor X1 and X2 were mounted in parallel in one side of the test
There are a few research using other methods for selecting the bar while Y1 and Y2 were fixed on another side. The angles be-
thermal key points. For example, in [7], thermal error sensitivity s tween X1, Y1 and X2, Y2 were 90°. By using this device, the axial
which represent the response speed of the thermal errors to the thermal error (Z direction), two radial thermal error (X and Y di-
temperatures changes (Eq. (27)) was adopted to optimize the rection) and two tilting thermal errors could be obtained [81–84].
temperature variables. In [85,,86], Wu and Sarhan used similar device composed of a test
bar and three capacitance probes clamped with a jig in the or-
ΔE thogonal direction to measure the spindle thermal error.
s = lim
ΔT → 0 ΔT (27)
The laser interferometer is also a device for assessing the
where ΔE and ΔT are the differences between two neighboring spindle thermal error. By subtracting the values measured after
sampled thermal errors and temperatures respectively. the thermal distortion to the original one measured before the
First, the thermal error sensitivity sij for the ith candidate point spindle run, the spindle thermal error can be obtained. Compared
(i¼ 1…M, M was the total number of candidate points) at the jth with other non-contact method, this approach has several ad-
sampling time (j¼1…N, N was the total sampling time) was vantages [87]. For example, high resolution up to 1 nm could be
computed. Then, according to Eq. (28) the difference between two obtained by using laser interferometer for evaluating the spindle
arbitrary candidates' sensitivities was gained. By maximizing the thermal error. The sample rating can reach to 2.5 MHz, which
expression (29) shown below, the thermal key points could be means that even when the spindle is running at a high speed, the
found. thermal error can still be tested. In addition, the measurement
area can be as small as necessary as the laser always focused on a
N
little spot. And the noise can barely affect the testing results.
dlq = ∑ sqj − slj
Besides the non-contact measuring methods, the contact
j=1 (28)
measuring methods can be applied for the thermal error evalu-
where l and q (from 1 to M) represented for the identity numbers ating as well. The touch probe is a commonly used device for
of two arbitrary candidate points. contact testing of the spindle thermal error [88]. Fig. 17 shows the
test set-ups proposed by Li [89] and Yang [90]. Both of them had
dq1q2 + dq1q3 + ⋯ + dq1qn + dq2 q3 + dq2 q4 + ⋯ + dq2 qn + ⋯ same measuring principles. The touch probe was attached to the
+ dqn − 1 qn (29) spindle box or the spindle while the balls (the ball array/two
spherical balls) were fixed on the table. The difference between
where q1…qn ( from 1 to M) were the identity number of the the initial balls' coordinates when the spindle was under cold
demanded thermal key points and the subscript from 1 to n stood condition and the coordinates when temperatures had been raised
for the ordinal number of the thermal key points. after running for a while indicated the thermal error of the
In addition, thermal mode analysis [72–74], information sci- spindle.
ence [75], rough sets theory [76], least absolute shrinkage and The ball bar is another device used for testing the spindle
selection operator (LASSO) [77] were applied for choosing the thermal error [91,92]. The experimental set-up of the ball bar test
thermal key points as well. is shown in Fig. 18(a). One magnetic socket was attached to the
Most methodologies introduced above are mathematical spindle, while three other sockets defined as the base sockets were
modeling and information analysis based on the simulated or attached to the table. The four sockets formed a tetrahedron and
measured data. They are lack of the theoretical proof. By contrast, the initial lengths of which were measured. Next, the spindle be-
Gaussian integration is a theoretical method based on the thermal gan to rotate and moved in a circle. According to the coordinates of
deformation theory. However, the model adopted there is one- the points on the circle, the spindle axis and the spindle center
dimension which can hardly match the complex situation in were computed. Finally, by comparing the initial orientation and
practical (3-D, various working conditions). Therefore, more positions of the spindle with those after working for a while, the
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 31

4. Thermal error modeling

After analyzing and measuring the thermal characteristics of

the spindle, the relationships between the temperatures and
thermal errors are studied by building thermal error models based
on either the numerical simulation results or experimental data.
Over past several decades, scholars have investigated sorts of
strategies to establish the thermal error model. The ideal goal is to
find the optimized thermal error model with high accuracy and
better robustness as the model determines the correctness and
effectiveness of the thermal error compensation subsequently
[93,94]. Most researchers tried to establish the model based on the
temperatures and the spindle thermal deformation, while some
scholars also took multiple variables, such as the spindle speed,
motor current and historical information etc. as the inputs of the
Fig. 15. Experimental setup for spindle thermal error [79]. thermal error model [15,89,95,96].

thermal error can be obtained. Instead of moving the spindle in a 4.1. Least squares method
circle, Yang [91] performed a three-dimensional ball bar test along
a helical path in a hemisphere (Fig. 18(b)). Least squares method is one of the widely used methods of
The thermal error measurement device together with the thermal error modeling as its principle is easy and it is capable of
temperature measurement device, the data processing system and determining the best fit line to the data. The general form of it is
the analysis system composes a whole spindle testing system y = a1 f1 (x) + ⋯ + ak fk (x) (30)
[45,81,82,87]. The former two measurement devices are used for
temperature and thermal deformation data sampling. The signals The goal of the least squares is to find a1 to ak which minimize
acquired are then sent to the processing system which is usually the error between the measured and computed y based on Eq. (30)
[97,98].
consist of the amplifier, the transmitter, A/D converter and com-
By using the least squares method, Li [8] developed a spindle
puter etc. for processing, recording and displaying. Based on the
thermal error model which reflected the relationships between
experimental results, the correlation between temperature rise
the temperatures and the axial thermal errors. Similarly, professor
and the thermal error could be analyzed and the thermal error Yang [99] presented an on-line modified method of thermal error
models could be built. modeling based on the least squares method. The algorithm was
In a word, although temperature and thermal error measuring composed of several simple recursive equations which enabled the
are time and energy-consuming as a large number of sensors model to modify recursively according to the new input data.
should be installed on the system to get enough information, ex- Therefore, the accuracy and the robustness were improved.
perimental testing is a direct and effective way to learn the ther-
mal characteristics of the spindle. The testing results can be used 4.2. Regression analysis
to verify the correctness of the theoretical and numerical analysis.
And according the comparison results, the parameters, equations Regression analysis is another kind of method which is fre-
and boundary conditions could be improved. Based on the mea- quently used for modeling [100]. It is capable of examining the
sured data, the thermal error model which reflects the real ther- relationship between a quantitative response variable and one or
mal characteristics of the spindle in practice can be developed and more quantitative explanatory variables [101]. Here, three com-
mon types of regression methods, namely multivariable regression
the thermal error compensation can be further implemented. In
analysis, autoregressive model and projection pursuit regression
order to guarantee the measurement accuracy, researchers are
applying for the spindle thermal error modeling are introduced.
trying to invent and use the high resolution and high precision
devices. Furthermore, they also pay more attentions on reducing 4.2.1. Multivariable regression analysis (MRA)
the noise interference. Chen [102] tested the temperature rise of the spindle housing
and the thermal growth of the spindle under four different cutting
conditions in 1995. It found out that the accurate thermal error
model cannot be achieved with the single temperature as there
were multiple possibilities relating to the working conditions.
Therefore when there were more than one variable, such as the
temperatures of different points on the spindle system, the spindle
speed and the historical information etc., the multivariable re-
gression analysis were more suitable than the least squares
method for modeling. The most commonly used multivariable
regression model of the spindle thermal error is written as
[81,94,103]
Y = βX + ε (31)

where Y represents the spindle thermal error in a certain direc-

tion; X is the matrix of input data (temperature, spindle speed
etc.); β is the coefficient of the multivariable regression model, and
Fig. 16. Typical testing set-up for 5-DOF spindle thermal error [80]. ε is the error.
32 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

n
By minimizing the function ∑i = 1 (yi − x iT β )2 which weights all the predictors x is a d  1 vector, then the mean of the response y
the residuals equally, the multivariable regression model could be based on PPR is [107]
established. However, when there were some extreme points with p
large residuals in observations, the residuals of the potential out- E [y] = α0 + ∑ fj (α jT x)
liers could be too small to be detected [68,104]. In [68,104] Han j=1 (33)
n n
used ∑i = 1 wi (yi − x iT β )2 replace ∑i = 1 (yi − x iT β )2 to solve the pro-
By using PPR, Guo [108] established a spindle thermal error
blem. With the improvement, a new robust regression model
model based on 15 temperature variables. The testing results
based on the MRA which was capable of assigning larger residuals
showed that the residual error was less than 5 μm. In addition,
to small weights and checking outliers was established. The ex-
cutting experiments were conducted to verify the effectiveness of
perimental results verified that the maximal residual could be
thermal error compensation based on the PPR model. In those
reduced to 1.8μm from 25 μm in Z-axis and to 0.7 μm from 7 μm in
cutting tests, 40 shafts were machined and the diameter errors
Y-axis.
were reduced from 34 to 5 μm after compensation.
The physical meaning of MRA model is easy to understand and
its robustness against conditions can be improved by careful se-
4.3. Neural network
lection of the input variables which has been discussed in Section
3 [102].
The neural network (NN) namely artificial neural network
(ANN) is one of the most useful methods for mapping the re-
4.2.2. Autoregressive model
lationships between multivariable inputs and outputs [15,109,110].
Autoregressive model is another kind of regression model
Because it has good performance on fitting non-linear functions, it
which is popular for time series data modeling [105]. As the
has been used in a variety of research areas [111,112]. Here, tem-
spindle thermal error varies continuously with the time until it
peratures and the spindle thermal errors are taken as the input
reaches to a steady state, some scholars applied the autoregressive
and output respectively for thermal error modeling based on the
method for the spindle thermal error modeling. For example, Li
neural network. The structure of the general one-layer feed for-
[89] found out that the thermal error at a certain moment de-
ward network is shown in Fig. 19, where p represents the input
pended on the thermal error at the last moment and the spindle
vector and a is the outputs [113]. After training based on the
speed. Based on this, the thermal error model was built as follow.
measurement data, the neural network is in a favorable position of
n m
predicting the spindle thermal errors [59,114]. Different from the
Δz (t ) = ∑ −ai Δz (t − i)+ ∑ bi n (t − i) regression model, the spindle thermal error in multiple directions
i=1 i=0 (32)
can be modeled with only one neural network as it has multiple
where Δz(t) and Δz(t  i) represented the spindle thermal error at outputs. This could reduce the tedious task of modeling sig-
time t and t  i; n(t  i) was the spindle rotational speed at t  i; ai nificantly [115].
and bi were coefficients.
In [95], Chen considered the influences of temperatures, the 4.3.1. Back propagation (BP) network
spindle speed and the displacement measured at some locations of BP is the most widely used network for modeling. It has good
the rotating shaft on the thermal error. Based on the auto- performance on mapping and predicting the spindle thermal error.
regressive method, four different models, namely the tempera- It also has good robustness for a long-term use and certain ver-
ture-based model, the temperature/speed-based model, the dis- satility on different machine tools. However, it often takes a long
placement/speed-based model and the hybrid-variables model time to train the BP network as it is slow to converge. Also, the BP
were developed. The testing and modeling results indicated that network could be easily trapped in local minimum value [94,116].
the displacement-based model had better prediction accuracy In order to overcome these drawbacks, Hao [117] and Huang [118]
than the temperature-based model and the fitting accuracy could constructed the thermal error model using the neural network
be further improved if the hybrid-variables model were adopted. based on the genetic algorithm, which improved the convergence
rate and the prediction accuracy.
4.2.3. Projection pursuit regression
Projection pursuit regression (PPR) is a regression analysis 4.3.2. Radial basis function (RBF) network
based on the projection pursuit (PP) method. The original purpose RBF network is a neural network with three layers, namely
of PP is to machine-pick “interesting” low-dimensional projections input, output and hidden layer. One outstanding advantage of the
of a high-dimensional point [106]. PPR is a method for estimating RBF is the high speed of training [116]. When applying BP for the
smooth functions of several variables from noisy scattered data. If spindle thermal error modeling, the fitting and prediction

Fig. 17. (a) Thermal error testing with the ball array [89] and (b) thermal error testing with two spherical balls [90].
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 33

Fig. 18. Spindle thermal error measurement with the ball bar: (a) experimental set-up of the ball bar test [92] and (b) trajectory of hemispherical helix [91].

accuracy depends largely on the neurons, thresholds and weights

and cannot reach the peak simultaneously. However, when re-
placing the BP with RBP and adopting the appropriate basic
function of the network these problems could be solved [94].

4.3.3. Integrated recurrent neural network (IRNN)

BP and RBF networks are all feed forward network, in which
the information flow in only one direction, namely forward, from
input neurons through the hidden layer (if any) finally to output
neurons [119,120]. Different with the feed forward network (static
models), the networks with a feedback loop are called dynamic
neuron network models. They have better robustness in the
spindle thermal error modeling although temperatures are varying
and thermal-elastic process is changing nonlinearly under differ-
ent working conditions.
Based on the recurrent neural network (RNN) which was one of
dynamic neuron networks, Yang [79] developed an IRNN model
for the spindle thermal error modeling. Fig. 20 indicates the
structure of the RNN with a feedback loop. With this loop, the
previous outputs of the context layer could be feedback to the
Fig. 19. Structure of a one-layer network [113].
input layer internally which meant that the information can be
propagated forward and vice versa [121]. By conducting the Re-
4.4. Grey system theory
lative Error-Testing and s-Testing, the modeling accuracy and ro-
bustness of IRNN was compared to the RNN, the multi-layer feed
In 1982, Deng established a new methodology called the grey
forward neural network (MFN) and the multi-variant regression
system theory. It has the advantage in dealing with the uncertain
model (MRA) and the comparison results were shown in Table 1. It
systems with incomplete information and inaccurate data. By
indicated that the IRNN had much better performance than other
generating, excavating and extracting useful information from the
models.
available small samples, the characteristics of the systems could be
studied [125–127]. In other word, modeling based on the grey
4.3.4. Elman network (EN)
system theory is simpler, more convenient and does not depend
Elman network is a typical recurrent network with the feed-
on massive and complete data information as the modeling
back from the output neurons and the hidden layer to the input
foundation. The general form of the grey model GM(n,m) is [93]:
neurons. The structure of the EN is shown in Fig. 21.
In [122], Yang and et al. proposed a modified EN for estimating d nX1(ξ ) (k ) d n − 1X1(ξ ) (k )
+ a1 + ⋯ + an X1(ξ ) (k )
the radial and axial thermal errors of the spindle based on the FEA dt n dt n − 1
simulation results. The residual errors between the simulation
= b1X2(ξ ) (k ) + b2 X 3(ξ ) (k ) + ⋯ + bm − 1 X m(ξ ) (k ) (34)
data and the predicted data got from the model were quite small.
Experiments were also conducted to verify the correctness and where n is the order of the differential equation; m and ξ are the
effectiveness of spindle thermal error modeling based on EN. It number of the different types of data and transformations. In the
turned out that the EN model had higher prediction accuracy field of spindle thermal error modeling, X1 represents the thermal
comparing with the RBF model as its residual error was about 50% error and X2… Xm are temperature data.
of the latter. GM(1,1) is the most common grey system model which has
Besides those widely used neural network models discussed been employed widely in thermal error modeling. Based on the
above, many other neural network [51,59,123,124] were also stu- measurement data of the temperature and the radial spindle
died and applied to establish the spindle thermal error model with thermal error, Li [128] built three kinds of GM(1,1) model, namely
high accuracy and better robustness based on limited data within total data GM(1,1) model, new information GM(1,1) model and
a short training time. metabolic GM(1,1) model. The modeling results indicated that the
34 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

model had higher prediction accuracy even when the working

conditions changed. In [134], Ramesh used the root mean square
error criterion to evaluate the performance of SVM model and
then compared it with the ANN model. It turned out that although
both models had good performance in the case of train-and-test,
when the test data were outside the training data it was faster,
easier to develop the SVM model and it also had higher accuracy.

4.6. Hybrid model

The spindle thermal error is complicated, nonlinear and

changeable under various working conditions, so it is very difficult
to develop a comprehensive thermal error model with good per-
formance based only on one kind of modeling method. In order to
break through the limitations of modeling based on single method,
the hybrid model which combines the advantages of two different
Fig. 20. Recurrent neural network [79].
single approaches has been proposed.
In [137], Ramesh proposed a hybrid SVM–Bayesian Network
Table 1
(BN) model, in which the experimental data were classified ac-
Performances of different models [79].
cording to the specific working condition by using the BN model,
Modeling Testing 1 Testing 2 and then the relationship between the temperatures and thermal
error were mapped based on the SVM model. This hybrid model
s (μm) Relative s (μm) Relative s (μm) Relative was more generalized and capable of precisely predicting the
error (%) error (%) error (%)
spindle thermal error under a variety of operating conditions. Si-
IRNN 0.2890 2.41 3.3623 19.69 3.5472 19.47 milarly, Lin [136] united the SVM with neural network (NN) to
RNN 0.6549 3.54 7.5630 29.66 4.8485 20.32 form a hybrid model. In order to verify the superiority of the hy-
MFN 0.5760 3.51 8.5272 53.20 5.1767 27.73 brid model over the models based on the other two single method
MRA 1.0613 9.95 11.2754 52.62 8.7613 31.15
(SVM and NN), the axial spindle thermal error at 2000 rpm were
predicted by those three models and also measured in practical.
metabolic GM(1,1) model had better accuracy and robustness as its The results showed that the predictive error were all controlled
prediction precision was 7.2% and 15.46% higher than other two within 0.5μm, but the mean absolute percentage error of the hy-
models. brid model was 1.95% while the one of SVM and NN was 2.74% and
Also, GM(1,m) model with AGO (accumulated generating op- 2.63% respectively. In addition, a novel thermal error model, grey
eration) transformation has been used for describing the re- neural network (GNN) composed of the grey system theory and
lationships between the temperature rises and the thermal drift of neural network was introduced by Zhang [125]. The experimental
the spindle [129–131]. According to the research of Wang [131], by results of the axial spindle thermal error in a five-axis machining
using the on-line model based on the grey system theory, about center indicated that GNN had better accuracy and robustness
90% of the spindle thermal error could be compensated. than the traditional grey model or the neural network.
By adopting various kinds of mathematical methods, the re-
4.5. Support vector machine (SVM) lationships between temperatures and the thermal errors are
mapped. But more efforts still needed to find the universal model
SVM is another modeling method which draws as much at- with high accuracy and high robustness. It is also a big concern
tentions recently as the neural network used to do [132,133]. Su- that how to implement thermal error compensation effectively
perior to the principle of the neural network (empirical risk based on the model in practical. Some methods of completing the
minimization (ERM)), another principle named structural risk thermal error compensation are discussed in the following section.
minimization (SRM) is employed in SVM. Based on SRM principle,
SVM tries to minimize the upper bound on the generalization er-
ror, which makes it solve the practical problems better [134–137]. 5. Implement of thermal error compensation
Therefore, more and more scholars try to apply SVM for the
After developing, verifying the thermal error model, next step
spindle thermal error modeling. In [135], Miao tested tempera-
is to use the model to complete the thermal error compensation.
tures and thermal errors at different spindle speeds and found out
Basically, there are two techniques for implementing the thermal
that when there were less data for modeling, the prediction ac-
error compensation: the feedback interception method and the
curacy and robustness of MRA model were poor, but the SVM
origin-shift method. With the former one, the spindle thermal
error compensation is achieved by interjecting the amount of
compensation into the feedback loop of a servo system which
would adjust the position of the tool. While the process of the
latter one is: calculating the amount of compensation according to
the thermal error model, then sending them to the CNC controller
and finally the reference origins of the control system are shifted
and added to the command signals for the servo loop. This com-
pensation technology would not affect either the coordinates or
the part program [138]. For example, in SIMENS 840D system
[139], there is a thermal error compensation module as an addi-
tional unit. With this module, the measured temperature of the
Fig. 21. Elman network [122]. spindle is first used to compute the compensation value according
 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38 35

to the thermal error model by PLC and then sent the value to the
system to complete the thermal error compensation using the
feedback interception method. By comparison, the thermal error
compensations implemented in the FANUC system are always
based on the origin-shift method [140–142].
In the spindle thermal error compensation research, many
scholars adopted the external compensation operators to realize
the compensation. The external compensators refer to those sys-
tems that implement the compensation by reading the compen-
sation signals from external hardware via I/O ports and then use
the CNC controller to adjust the axis position or shift the origin
coordinates. Generally, the external compensator is a PC which is
responsible for developing the thermal error model based on the
experimental or numerical simulation data and calculating the
compensation values from the model. Take the compensation
based on the measured data for example. At first, the tempera-
tures, the spindle thermal error and other related parameters are
measured by kinds of sensors. The gathered signals are processed
with the signal processing unit (composed of amplifier, A/D board,
serial port, parallel port, etc.). Then the data are sent to the PC
through the serial port for establishing the spindle thermal error
model based on proper methods introduced in Section 4. By using
the PC, the thermal errors are predicted and sent to the PLC as the
compensation value through the I/O port [143]. The CNC controller
receives the signals form PLC's I/O ports at every compensation
interval and the compensation is finally achieved by modifying the
motion command of the servo control system [108,138,144,145] or Fig. 22. Flow chart of the PC-based thermal error compensation (origin-shift the-
ory) [146].
shifting the origin coordinates [146–148]. Fig. 22 shows the flow
chart of the PC-based thermal error compensation based on the
origin-shift theory [146]. methods widely used for the selection of thermal key points in the
Although the PC is capable of dealing with large amount of data last century, some new approaches, namely the grouping search-
and complex models, the external hardware and software of the ing, the Gaussian integration, the grey system etc., are introduced
compensator makes it uneconomic. Instead of using the compen- one by one. In addition, with displacement sensors, such as the
sation system outside the CNC system, Yang [8] proposed a ther- capacitance sensor, gap sensor and so on, the spindle thermal er-
mal error compensation strategy which integrated the thermal rors in radial and axial directions could be measured. The results of
error table deriving from the thermal error model into the CNC testing can not only be used to verify the theoretical analysis re-
system of a precision horizontal machining center. The data in the sults and improve the boundary conditions of numerical simula-
thermal error table were sent to the CNC system directly without tion but also can be used to establish the thermal error model.
any other external devices or equipments. When the temperature Commonly, the temperatures and the thermal errors are taken as
was detected and reached to a certain value, the CNC system au- the inputs and the outputs of the thermal error model respec-
tomatically searched for the corresponding values in the table and tively. After the verification of the thermal error models, the pre-
adjusted the position of the axis to compensate the spindle ther- dicted thermal errors got from the models are used for completing
mal error. It was costless but had limit ability in compensation as the thermal error compensation with either the feedback inter-
the compensation table was settled after it was put into the CNC ception method or the origin-shift method. Besides using the
system. This would affect its universality and robustness under compensation system built outside the CNC system, the spindle
different working conditions when the thermal error was chan- thermal error compensation could also be implemented by in-
ging and complex. Therefore, finding an easy, economic, effective tegrating the thermal error table which is derived from the ther-
and universal strategy for compensation has become one of the mal error model into the CNC system.
focuses of the spindle thermal error compensation. Although a lot of work has been done in the area of the spindle
thermal error compensation, much more efforts are needed in the
following aspects:
6. Conclusions
(1) Analyzing the three-dimensional and transient thermal char-
The spindle thermal error which is the main source of the in- acteristics of the spindle system which is accordant with the
accuracy of machine tool can be reduced effectively with the practical situation theoretically and numerically.
thermal error compensation. Thermal error analyzing, testing, (2) Building a versatile thermal error model with high accuracy
modeling and compensation implementing are the main steps to and robustness.
reduce the thermal error and guarantee the machining accuracy. (3) Applying the spindle thermal error compensation on the ma-
Besides the analytical calculation and numerical analysis, ex- chine tool effectively, precisely and economically.
periments are done by researchers to learn the thermal char- (4) Trying to find the theoretical basis and a better strategy for the
acteristics of the spindle. The temperature field of the spindle thermal key point selection.
system is obtained by using kinds of temperature sensors or in-
frared camera. The numbers and locations of temperature sensors This paper apprehends itself as a summary of the research
are chosen wisely because the accuracy and robustness of the about different aspects of the spindle thermal error compensation.
thermal error model and the effectiveness of the thermal error It presents the meaning and the main processes of the theoretical
compensation are depended on them. Together with those and numerical thermal error analysis and experimental testing. It
36 Y. Li et al. / International Journal of Machine Tools & Manufacture 95 (2015) 20–38

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