Journal of Cleaner Production 135 (2016) 263e275

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Journal of Cleaner Production

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

A method integrating Taguchi, RSM and MOPSO to CNC machining

parameters optimization for energy saving
Congbo Li a, *, Qinge Xiao a, Ying Tang b, Li Li c
a
State Key Laboratory of Mechanical Transmission, Chongqing University, Chongqing 400044, China
b
Department of Electrical and Computer Engineering, Rowan University, Glassboro, NJ 08028, USA
c
College of Engineering and Technology, Southwest University, Chongqing 400715, China

a r t i c l e i n f o a b s t r a c t

Article history: Choosing the optimum cutting parameters is regarded as one of the important energy saving technol-
Received 1 September 2015 ogies. This paper presents a method for complex optimization of cutting parameters with the objectives
Received in revised form of energy efficiency and processing time, which integrates Taguchi method, response surface method
14 May 2016
(RSM) and multi-objective particle swarm optimization algorithm (MOPSO). In this study, specific energy
Accepted 17 June 2016
Available online 18 June 2016
consumption (SEC) is selected to evaluate energy efficiency and the calculation model is introduced
firstly. Then the method is described in detail. Taguchi is used to design the experiment, signal-to-noise
(S/N) ratio is subsequently employed to analyze the performance of parameters on SEC and processing
Keywords:
Machining parameters
time, and the significant contributions of parameters can be determined by use of range analysis method.
Multi-objective optimization RSM is conducted to develop regression models for the responses based on the experimental data, and
Energy saving the optimal machining parameters for minimizing energy and time are determined through the modified
Taguchi MOPSO algorithm. Finally, four machining parameters schemes with different optimization objectives
RSM are compared, and the results show that a trade-off point can be drawn between the low processing time
MOPSO and high energy efficiency.
© 2016 Elsevier Ltd. All rights reserved.

1. Introduction can be saved together with the optimization of cutting parameters,

The manufacturing sector is one of the key growth drivers in
many countries, while it becomes a major energy consumer as well
(Aramcharoen and Mativenga, 2014). With the increase of energy
cost and the associated carbon emissions, reducing energy demand
turns to be an urgent challenge in recent years. Machine tool as the
major component in mechanical machining is a dominant con-
sumer of electrical energy. Given that only 14.8% of the total energy
can be actually used for material removal on machine tool
(Gutowski et al., 2006), energy consumption for machining has to
be planned more sustainably.
With the effort to reduce energy consumption in CNC
machining, selecting the optimum cutting parameters is consid-
ered as one of the most significant energy saving strategies.
Newman et al. (2012) pointed that changing cutting parameters
leads to a large difference in energy consumption during machining
processes. Approximately 6e40% of the total energy consumption
* Corresponding author.
E-mail address: congboli@cqu.edu.cn (C. Li).
tools and tool path. As demonstrated by Denkena et al. (2015),
energy of the spindle motor can be saved to more than 40% by
changing the process parameters at the same material removal rate.
Therefore, it is imperative to have a thorough study of the depen-
dence of energy efficiency on machining parameters, and some
feasible and reliable optimization methods for energy saving are
required to be systematically developed.
A perusal of current literature provided a number of studies
focusing on optimization of cutting parameters for energy saving.
For the first research group, experiments were conducted to
analyze energy characteristics, and some strategies were given
accordingly. Mori et al. (2011) suggested an energy evaluation
function of machine tools and got the conclusion that modifying
cutting conditions reduces energy consumption. Kara and Li (2011)
developed an empirical SEC model for material removal processes,
and the model was tested on a number of turning and milling
machine tools. The study conducted by Diaz et al. (2011) had a
resemblance to Kara and Li. It investigated the relations between
process parameters and SEC under different machine tools by
modeling SEC equations based on material removal rate (MRR).The
results suggested a fact that higher MRR results less energy

http://dx.doi.org/10.1016/j.jclepro.2016.06.097
0959-6526/© 2016 Elsevier Ltd. All rights reserved.
264 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275
consumption during the cutting period.
A second line of works focused on the performance of cutting
parameters for energy minimization through parametric models.
This group only concerned about energy. Velchev et al. (2014)
proposed an improved parametric model to research the relation-
ship between the specific energy consumption and parameters
during CNC turning. In order to achieve lower energy consumption,
an insert grade with higher wear resistance was recommended,
and maximum possible values of feed and depth of cut were chosen
as well. Campatelli et al. (2014) applied RSM to obtain the regres-
sion model so as to explore the effect of cutting speed, feed rate,
radial and axial depth of cut on energy consumption during a
milling process. The results showed that increasing cutting condi-
tions obtains a lower environmental footprint.
The efforts for the third group were made toward multi-
objective problems. Due to the complicated mechanisms of en-
ergy consumption in CNC machining, numerical and experimental
methods were widely used. Several works used Taguchi method to
design and analyze experiments. Fratila and Caizar (2011) applied
Taguchi method to select optimal process parameters for minimum
surface roughness and minimum cutting power demand respec-
tively under semi-finishing conditions. The selected parameters
combinations showed the different optimization tendency of pro-
cess parameters for minimizing surface roughness and power de-
mand. Camposeco-Negrete (2013) focused on the surface
roughness and cutting power consumption in a turning condition
and Taguchi technique was introduced to identify the main effects.
The results obtained through studying performance characteristics
of each objective indicated that feed rate is the most significant
factor. Although the aforementioned papers presented the opti-
mum parameters combination of each objective, it is not a real
solution for multi-objective optimization as the two objectives
were considered in isolation to each other.
Obtaining satisfied solutions for multiple-objective machining
optimization problems is much difficult, especially when energy
objectives need to be considered (Zhang et al., 2015). Some re-
searchers employed weighting factors to associate individual ob-
jectives into a multiple one, and finally, a single optimum
experimental combination was selected. This kind of research was
often carried out using Grey relational analysis (GRA) to calculate
weight factors. Grey-based Taguchi method was used by Hanafi and
Khamlichi (2012) in dealing with optimization of turning parame-
ters for minimization of surface roughness and cutting power. In-
teractions between cutting parameters were also surveyed in this
paper. The obtained results revealed that depth of cut is a more
influential parameter compared with cutting speed and feed rate.
The recommended levels of the observed values showed that
setting the parameters as high as possible benefits surface rough-
ness and cutting power. A similar result can be found in the study
conducted by Kant and Sangwan (2014), where they used GRA
coupled with RSM to minimize power consumption and surface
roughness. Interestingly, there are several related work conducted
by other researchers who came out slightly different conclusions.
For instance, in the multi-objective optimization method proposed
by Yan and Li (2013), weighted GRA and RSM were used to deal
with the trade-off between energy, production rate and cutting
quality. They found that the smaller spindle speed and the higher
feed rate, cutting depth and width, the better chance to achieve the
targets. In the work conducted by Raykar et al. (2015), parameters
optimization of the high speed turning Al 7075 process was stud-
ied. Taguchi and GRA were simultaneously used to achieve mini-
mizing surface roughness, power and time with low cutting speed,
feed rate and depth of cut. Camposeco-Negrete (2015) adopted RSM
to acquire the regression models of energy and surface roughness,
and then weighted the two target to derive a satisfied result with
low feed rate, high cutting speed and cutting depth.
Summarizing the findings of a thorough literature review above,
it can be claimed that the current works on parametric optimiza-
tion for energy saving present the following limitation and
challenges:

Given that optimal parameters are selected directly from
experimental combinations, the result is highly dependent on
experimental settings of the parameters, and has a high risk of
being trapped into local optimal points (Lin et al., 2014).

The complex interplay of energy consumption and other ob-
jectives (e.g. cutting force, surface roughness, production rate)
with respect to process parameters are not clearly understood
yet, which makes the optimization process rather inefficient and
insufficient.
For most of the aforementioned studies, selecting best param-
eters among all possible combinations seems equivalent to a
discrete optimization process. In fact, parameter optimization can
be formulated as a constrained problem within continuous space.
Thus, the optimization process can start with an initial feasible
solution, and continuously refine it via a global optimization algo-
rithm, through which more precise and reasonable results can be
achieved.
Motivated by the discussions above, a new method for cutting
parameter optimization considering energy saving is proposed,
which focuses on the multi-objective optimization with continuous
parameters by means of Taguchi coupled with RSM and MOPSO.
Taguchi method is carried out to measure the performance char-
acteristics of parameters with a less amount of experiments. In
particular, it helps determine the necessity of multi-objective
optimization by looking at conflicting features of all objectives.
The regression models of energy efficiency and processing time are
developed based on RSM. A modified multi-objective particle
swarm optimization algorithm is then proposed to find a most
satisfactory solution. Through the proposed approaches, it is
possible to reach a trade-off point between the low processing time
and high energy efficiency taking into account the given constraints
of the machining process.
The rest of the paper is organized as follows. The calculation
model of SEC is formulated after analyzing the energy consumption
in a milling process in Section 2. The framework of the method is
proposed in Section 3. The application process of the method is
illustrated through machining experiments on a CNC machining
center in Section 4. The optimization results with different opti-
mization objectives are analyzed and comparison between our
method and the existing ones are conducted in Section 5, followed
by conclusions and further work in Section 6.
2. Energy efficiency of CNC machining process
2.1. Calculation model for specific energy consumption
There are usually two evaluation models of energy efficiency in
CNC machining, i.e. energy utilization radio and specific energy
consumption (SEC). In this paper, SEC model is selected to represent
energy efficiency, and it can be defined as the energy consumption
of machine tool during a process of removing a unit volume of
material. The evaluation function of SEC is expressed as Eq. (1):
Z
Pin ðtÞdt
Etotal
SEC ¼ ¼ (1)
MRV MRV
where Etotal is the total electrical energy consumption in a
 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275
machining process (J), Pin(t) is the input power loss of a machine
tool at a certain instant(W), MRV is the material removal volume
(mm3).
2.2. Analysis of energy consumption in CNC milling process
In this section, a CNC milling process on a machining center
shown in Fig. 1 is taken as an example to illustrate the power profile
of the machining process. Although the power is changing
continuously, the whole process can be split into several distin-
guishable sub-processes. So the energy consumption, i.e., the
curvilinear integral of power in Eq. (1) can be divided into several
definite integrals through piecewise-integration method. Thus, the
total energy consumption can be easily acquired with direct mea-
surements of the power consumption and time at each period.
Considering that the durations of spikes occurring in the ac-
celeration and deceleration of the motor are extremely short and
have little impact on optimization of process parameters, the
analysis mainly focuses on the standby period, air-cutting period,
and cutting period. Besides, the energy consumption of tool
changing is taken into account in this paper. Five main kinds of
energy are consumed in the operation of machine tool: basic en-
ergy Ebasic, idle energy Eidle, cutting energy Ecut, Additional load loss
Ead, and the energy caused by machining associated auxiliary sys-
tem Eaux. The total energy consumption of milling process is
decomposed into four elements: Est-p representing the energy
consumed for standby period, Eac-p for air-cutting period, Ec-p for
cutting period, and Ect-p for tool changing period. These five kinds of
energy stand alone or collectively among four processing periods as
detailed below:

The standby period: it represents the stable state that starts
from turning on the machine and stops by rotating the spindle.
During this time, the machine tool consumes the lowest energy,
i.e. Ebasic, and the power loss is only determined by the machine
type. The standby time is more closely related to the working
proficiency of labor instead of the process parameters.

The air-cutting period: air-cutting is a state with spindle rotation
but no material removal. Two periods are considered in this
paper. One is defined as a stable state between the state of rapid
feed and the cutting state, the other is caused during the period
Fig. 1. Power profile of a milling process.
265
of cutting when cutter beyond the contour line. Eidle and Ebasic
are together constituted Eac-p. Air-cutting time under the former
condition is always regarded as a constant, while the other is
related to tool path and the process parameters.

The cutting period: it refers to the steady state for material
removing. In this time, almost all the components of machine
tool are involved, and effective output can only be produced at
this state. So, Ec-p contains Ebasic, Eidle, Ecut, Ead and Eaux. The time
at this state is also related to tool path and the process
parameters.

The tool changing period: it is defined as a period for tool
changing. Tool change can be divided into two types, the worn
tool change and the automatic tool change. In general, worn tool
changing time includes tool releasing time, tool installing time
and tool setting time. Machine tool is in standby state over the
worn tool changing time, and only basic components consume
energy consumption. Given that the period for automatic tool
changing is fairly short, the impact on energy and time of
machining is not considered. So, the tool changing time is
calculated based on the cutting time of the part to the tool life, as
shown in Eq. (2).
tc
tct ¼ tpct (2)
T
where tool changing time tct in Eq. (2) can be calculated by per tool
changing time tpct, cutting time tc and tool life. For a CNC tool, tool
life can be calculated as cutter lifespan multiplying number of teeth
N as Eq. (3).
1000NCT
T¼ (3)
pm Dm nmþr fzr zr akP
where ap ¼ depth of cut, n ¼ spindle speed, m, r, k, ¼ exponents,
CT ¼ process constant, D ¼ tool diameter.
2.3. Calculation models for specific energy consumption and
processing time
From the discussion above, an equation of energy consumption
in a milling process is shown in Eq. (4), where Pst-p, Pac-p, Pc-p and Pct-
266 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275

p represent the power loss of standby period, air-cutting period,

cutting period and tool changing period respectively.

Etotal ¼ Estp þ Eacp þ Ecp þ Ectp

Ztst Ztac Ztc
¼ Pstp ðtÞdt þ Pacp ðtÞdt þ Pcp ðtÞdt
0 0 0
Ztct
þ Pctp ðtÞdt (4)
0

Besides, the whole processing time Tp can be calculated by Eq.

(5), where tst is the time of standby period, tac is the time of air-
cutting period, tc is the time of cutting period, tct is tool changing
time.

Tp ¼ tst þ tac þ tc þ tct (5)

For the overall energy consumption in a single pass milling
operation, SEC can be expressed as:
Z tst Z tac Z tc Z tct
Pstp ðtÞdtþ Pacp ðtÞdtþ Pcp ðtÞdtþ Pctp ðtÞdt
0 0 0 0
SEC¼
MRV
(6)

where MRV can be calculated by MRR and cutting time as shown in

Eq. (7).

MRV ¼ MRR  tc ¼ n$fz $ap $ae $tc (7)

Fig. 2. The framework of integrated method.

3. The integrated method

Energy-conscious optimization of process parameters is a NP- save time and cost of experiments. S/N ratio is utilized to measure
hard problem with nonlinear, multivariable, multi-objective, con- the deviation of quality characteristics from desired values,
strained and coupled properties. In view of this, this paper in- including the higher-the-better (HTB), the nominal-the-better
tegrates three methods-Taguchi method, response surface (NTB) and the lower-the-better (LTB). We are aiming at opti-
methodology (RSM), and modified multi-objective particle swarm mizing the SEC and processing time, so slower-the-better type of
optimization algorithm to efficiently analyze experimental data objective function has been used. The exact relation between S/N
and search for the satisfactory solutions. At the first stage, Taguchi ratio and the signal is given by the following equation:
method is used to collect experimental data and preliminarily
!
study the relationship between objectives and parameters. As 1X n
stated in Introduction, the multi-objective optimization is mean- S=N ¼ 10lg y2 (8)
n i¼1 i
ingful only when looking for trade-off between conflicting objec-
tives. In this case, RSM models are built to approximate target
where n is the number of experiments, and yi is the value of SEC or
functions, so a multi-objective model is easy to acquire. To solve the
processing time.
complex problem, a modified optimization algorithm with faster
speed and high accurate is introduced. Fig. 2 illustrates the
framework of the integrated method in this paper. 3.2. Response surface methodology

3.1. Taguchi method
The Taguchi method proposed by Taguchi (1993) has been
extensively applied in experimental design and analysis. Compared
to full factorial experiments, the method only requires a smaller
number of orthogonal experimental combinations significantly
improving the design efficiency. In addition, it is an integrated
method that considers the full spectrum of material and process
variabilities at the design stage. In view of these characteristics, this
paper employs it to study the correlation between optimization
objectives and parameters.
Two core tools in Taguchi's technique are orthogonal array (OA)
and signal-to-noise (S/N) ratio. OA is used in Taguchi method to
Given the complex energy characteristics of milling processes
and indecomposable air cutting time within cutting period, this
paper seeks a suitable approximation method to analyze the rela-
tionship of SEC and processing time with respect to independent
parameters.
The response surface method (RSM) proposed by Box and
Wilson (1951) in the early 1950s, has received considerable atten-
tion due to its good empirical performance in modeling. It is a set of
mathematical and statistical techniques that provide well-fitting
models between input parameters and responses without taking
complex interactions of variables into consideration.
Since the energy consumption of machine tools is a non-liner
process, a second-order polynomial response surface
 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275
mathematical equation is utilized as shown in Eq. (9), coefficients of
the function can be obtained by least squares method.
X XX X Secondly, to avoid the algorithm being trapped into local
y ¼ b0 þ bi xi þ bij xi xj þ bii x2i þ ε
i i<j i i
where y denotes SEC or process time, x represents the parameters
of milling (spindle speed, feed per tooth, depth of cut and width of
cut), b is the coefficients of each term, ε is a residual error.
3.3. Modified multi-objective particle swarm optimization
To solve the multivariable and nonlinear optimization problem,
an effective algorithm is necessary. The particle swarm optimiza-
tion algorithm (PSO) is a stochastic computation algorithm pro-
posed by Kennedy and Eberhart (1995). PSO is widely applied in
industrial optimization for its simple arithmetic, good robustness
and high dependability. In this paper, we propose a modified
MOPSO to analyze the trade-off between multiple objective
functions.
3.3.1. Basic concepts of PSO
In PSO, three attributes are used to express a particle i, position
Xki , velocity Vik and fitness. Each position in the search space is a
potential solution for the problem. The next position Xkþ1 i is
updated according to its velocity. To optimize the milling parame-
ters, we define each particle as a process scheme for parameters
combination Xi ¼ (ni, fzi, api, aei) and the corresponding velocity is
Vi ¼ (vi1, vi2, vi3, vi4). At each time, the particles are adjusted as Eq.
(10) and Eq. (11). In practice, the spindle speed is always set as an
integer, so the first dimension of initial position and velocity should
be rounded, and the updated solution should be assured not
beyond the constraints as well.
   
Vikþ1 ¼ u  Vik þ c1 r1 Pik  Xik þ c2 r2 Pgb
k
 Xik
Xikþ1 ¼ Xik þ Vikþ1
In Eq. (10), u is the inertia weight, r1 and r2 are two random
variables generated uniformly in the range (from 0 to 1), c1 and c2
are two constant coefficients balancing the influence of the best
personal position of the particle Pki and the best global position Pkgb.
3.3.2. The modified MOPSO algorithm
PSO is known to have a quick converging speed and strong
promotional value. However, PSO performs well in the early itera-
tions but becomes ineffective in reaching a near-optimal solution
with the risk of being trapped into local optimum (Esmin and
Matwin, 2012).For these two issues, a new modified MOPSO algo-
rithm is presented, depicted in Fig. 3.
Firstly, adaptive control of the inertia weight is employed to
solve the stagnation problem of PSO algorithm. The inertia weight
is first introduced by Shi and Eberhart (1998). It plays a significant
role in balancing the ability of global search and local search from
the get-go, allowing the particles to achieve a better approximation
of the global optimum. In our research, the inertia weight is given
by:
ðlid  lmin Þðustart  uend Þk
uðkÞ ¼ ustart þ
ðlmax  lmin ÞTmax
where ustart and uend represent the inertia weight decreases from
ustart to uend over the running, k is the current iteration number, lid
is the Mahalanobis distance between particle i and the current
267
global optima. lmin and lmax is the minimum and maximum
distance.
(9) minima, the crossover operator, which is often used in Genetic
Algorithms, is introduced into MOPSO (Lovbjerg and Rasmuwsen,
2001). This operator works as follows:
Step 0, compare the fitness of particles with each other in the
current population. This is done by iterating through all the parti-
cles, and then categorizes them into several different non-
dominated fronts.
Step 1, calculate the crowding distance of each particle under
the same dominance hierarchy.
Step 2, sort the population, namely that select specified quantity
of the particles which are in a more inside front and possess larger
crowding distance, thus the particle population can be divided into
two groups.
Step 3, let the more optimized half group directly enter the next
generation. Then substitute for position and velocity of the rest
particles with the better ones while keeping the best personal value
of them unchanged.
Step 4, randomly select two particles within the rest group for
breeding. Compare the fitness values of the offspring particles with
their parents'. Choose the dominant one to enter the next genera-
tion. This is done until the quantity of particles reaches half group
of that, thereby keeping the population size fixed. Each new gen-
eration should verify all the machining constraints. The positions
and velocity vectors for each dimension of the offspring are
calculated by crossover operator on the position and velocity vec-
tors of the parents, given by Eq. (13) and Eq. (14).
childi ðXÞ ¼ r  parenti ðXÞ þ ð1:0  rÞ  parent3i ðXÞ (13)
parenti ðVÞ þ parent3i ðVÞ
childi ðVÞ ¼  jparenti ðVÞj (14)
jparenti ðVÞ þ parent3i ðVÞj
(10)
where childi and parenti represent the offspring and its parents, r is
a uniformly distributed random value between 0 and 1, i is equal to
(11) 1 or 2, representing the two particles which execute crossover
operator.
4. Experiments and modeling
The Section 4 is to employ experimental investigations for
illustrating the application of the proposed methodology. Section
4.1 shows the experimental conditions in this work. Section 4.2
uses Taguchi method for both designing experiments as well as
measuring the performance characteristics of milling parameters.
RSM models of energy and time are obtained based on the exper-
imental data in Section 4.3. And in order to conduct the multi-
objective optimization with the modified MOPSO, an optimiza-
tion model involved in machining constraints is established in
Section 4.4.
4.1. Experiment details
The machining experiments were carried out on a CNC
machining center (PL700 Vertical Machining Center), with a
maximum spindle power of 5.5 KW, a maximum spindle speed of
6000 r/min, and a maximum feed speed of 15000 mm/min. An
integral-type end milling cutter made of High-Speed Steel was used
(12)
as cutting tool with 4 cutting edges and a tool diameter of 4 mm.
Rake angle and dorsal horn of the cutting tool are 10 and 15 ,
respectively. Three-view drawings of the workpiece made by AISI
1045 steel is shown in Fig. 4. Aqueous cutting fluid was selected
mainly according to the material of tool and workpiece.
268 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275

Fig. 3. Flow chart of the modified MOPSO algorithm.

Considering the automatic and intermittent start-stop of the air-

conditioning in the machining center, the cutting period with air-
conditioning off was assured to keep the power steady. The
experimental setup is presented in Fig. 5. The power consumption
of machine tool in this paper is recorded by power sensor in Fig. 6. It
can continuously capture power with an interval of 0.05 s sample.

4.2. Taguchi method for experiments design and analysis

4.2.1. Selecting parameter levels and the responses

Four control factors including spindle speed (n), feed per tooth
(fz), cutting depth (ap) and cutting width (ae) of investigation for
SEC and processing time have been selected. The allowed range of
system stiffness for semi-finishing of AISI 1045 steel forms the basis
of setting the three levels per parameter, as listed in Table 1.
To ensure the precision of experiment, an L27 (313) orthogonal

Fig. 5. Milling process.

array was selected in this research. Under the same experimental

environment, the power and time of standby period as well as the
per tool changing time which have little relation to process pa-
rameters are regarded as fixed values. The fixed values of co-
efficients are listed in Table 2. Although the instantaneous power
varies a lot, the average power of each period keeps constant.
Hence, the calculus in Eq. (6) can be replaced with a production of
the average power and the specified time shown in Eq. (15). The
responses of SEC and processing time shown in Table 3 were
average values measured three times for all conducted
experiments.

Fig. 4. Three-view drawing of workpiece.

 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275 269

The responses shown in Table 4 and Table 5 include contribution

degrees based on range statistics. The range value is calculated by
subtracting the lowest average S/N ratios from the highest average
S/N ratios for each factor. A first rank of contribution is assigned to
the highest range value. Among the factors affecting both SEC and
processing time, width of cut seems to be the most dominant.
Cutting width improves both of the two objects when it increases in
value. Besides that, there is a small effect on improving processing
efficiency and energy efficiency by only controlling spindle speeds
and feed per tooth in a milling process. It is supposed to choose
parameters that cutting width as large as possible and simulta-
neously ensure spindle speeds and feed per tooth at relatively high
levels, and the cutting depth at a median level.
Fig. 9 is obtained from the experimental data and expresses the
variation of specific energy consumption and processing time along
with the increasing MRR. Note that, the two objectives decrease
with the increase of MRR within region I. However, small cutting
parameters lead to large SEC and processing time. It shows a
continuous decrease in SEC but a sharp increase in processing time
affected by tool changing time in region III. An optimum solution to
satisfy both specific energy consumption and processing time can
be found in region II.

Fig. 6. Power monitoring. 4.3. Development of RSM models

Based on the experimental data in Table 3, the second-order

Table 1
RSM factors and levels.
RSM models for objectives, specific energy consumption and pro-
cessing time, are formulated. Coding can make the controlled fac-
Level n (r/min) fz (mm/z) ap (mm) ae (mm) tors to affect the responses more evenly (Baş and Boyacı, 2007),
1 2200 0.015 0.3 2 thereby improve the precision of the models and accelerate the
2 3200 0.021 0.4 3 convergence speed of follow-up optimization algorithm. To that
3 4200 0.027 0.5 4
end, the cutting parameters are coded and calculated using Eqs.
(16) (17) (18) and (19) respectively. After coded, the values of var-
iables are normalized to the range of 1 to 1. Eq. (20) represents the
regression function for specific energy consumption, and Eq. (21)
Pstp tst þ Pacp tac þ Pc tc þ Pct tpct tTc represents the regression function for processing time.
SEC ¼ (15)
MRV
n  3200
A¼ (16)
1000
4.2.2. Factor effect analysis
The S/N ratio at each level for various factors is plotted in Figs. 7 fz  0:021
B¼ (17)
and 8. From the main effect plots, most dominant parameters and 0:006
the optimal levels can be determined.
As shown in Fig. 7, the condition at a spindle speeds n ¼ 4200 r/ ap  0:4
C¼ (18)
min, feed per tooth fz ¼ 0.027 mm/z, cutting depth ap ¼ 0.5 mm and 0:1
cutting width ae ¼ 4 mm can be considered as the highest energy
efficiency level, and displays that higher cutting parameters reduce ae  3
D¼ (19)
energy consumption per volume. Fig. 8 reveals that the optimal 1
level for time saving is the condition at spindle speeds n ¼ 3200 r/
min, feed per tooth fz ¼ 0.027 mm/z, cutting depth ap ¼ 0.3 mm and SEC ¼ 229:21  41:48A  48:58B  61:30C  91:66D
cutting width ae ¼ 4 mm. It indicates that higher cutting speed and
smaller cutting depth are beneficial for prolonging tool life so as to
þ 27:82A2 þ 35:17D2 þ 31:06AB þ 22:48BC þ 24:01BD
reduce tool changing time and improve production efficiency. It can þ 25:52CD
be also observed that as shown in Fig. 8 when the value of spindle (20)
speed beyond the middle level, variation trend of processing time's
S/N ratios goes down. This is mainly due to the large contribution of
the spindle speed for tool life compared to other parameters, and
Tp ¼ 188:922  8:683A  12:517B þ 3:128C  37:728D
therefore affects the processing time. þ 9:817A2 þ 12:750D2 þ 13:283AB þ 3:650AD
(21)
Table 2
Fixed values of coefficients in models. The analysis of variance (ANOVA) is used to evaluate the
Pst-p tst tpct CT m r k
developed models, as shown in Table 6. F-value, a ratio of the
regression mean square to the mean square error, is used to prove
468 W 30 s 5 min 4.85e9 1.85 1.23 0.63
the significance of each factor. For all the F-values in regression
270 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275

Table 3
The experimental design and output responses.

No. n fz ap ae tac (s) tc (s) Tp (s) Pac-p (W) Pc-p (W) SEC (J/mm3)

1 2200 0.015 0.3 2 40.0 190.9 302.2 1037.3 1117.7 711.3

2 3200 0.015 0.3 3 36.9 87.5 198.2 978.6 1060.0 348.6
3 4200 0.015 0.3 4 35.2 50.0 162.9 936.9 1021.0 227.7
4 2200 0.021 0.3 4 37.1 68.2 172.6 1037.4 1124.3 268.7
5 3200 0.021 0.3 2 34.9 93.8 225.6 978.4 1062.7 408.6
6 4200 0.021 0.3 3 33.7 47.6 182.5 936.3 1029.0 261.4
7 2200 0.027 0.3 3 35.6 70.7 181.1 1037.2 1124.3 283.7
8 3200 0.027 0.3 4 33.8 36.5 160.9 978.4 1070.7 181.3
9 4200 0.027 0.3 2 32.9 55.6 227.8 936.1 1022.3 360.1
10 2200 0.015 0.4 4 40.0 95.5 199.4 1037.0 1123.0 269.3
11 3200 0.015 0.4 2 36.9 131.3 254.7 978.6 1068.0 396.0
12 4200 0.015 0.4 3 35.2 66.7 191.0 936.5 1033.0 233.9
13 2200 0.021 0.4 3 37.1 90.9 201.3 1037.6 1129.7 271.4
14 3200 0.021 0.4 4 34.9 46.9 162.1 978.0 1068.0 163.3
15 4200 0.021 0.4 2 33.7 71.4 238.1 936.2 1030.3 309.1
16 2200 0.027 0.4 2 35.6 106.1 229.7 1037.3 1129.7 330.3
17 3200 0.027 0.4 3 33.8 48.6 179.1 978.3 1080.0 191.5
18 4200 0.027 0.4 4 32.9 27.8 167.8 936.4 1043.7 158.2
19 2200 0.015 0.5 3 40.0 127.3 235.6 1037.4 1132.0 289.5
20 3200 0.015 0.5 4 36.9 65.6 175.7 978.5 1080.0 165.9
21 4200 0.015 0.5 2 35.2 100.0 246.3 936.6 1031.7 288.5
22 2200 0.021 0.5 2 37.1 136.4 258.4 1037.6 1138.0 329.3
23 3200 0.021 0.5 3 34.9 62.5 189.8 978.7 1089.3 180.7
24 4200 0.021 0.5 4 33.7 35.7 174.3 936.4 1055.0 152.9
25 2200 0.027 0.5 4 35.6 53.0 163.0 1037.4 1144.7 154.1
26 3200 0.027 0.5 2 33.8 72.9 230.7 978.2 1085.3 238.0
27 4200 0.027 0.5 3 32.9 37.0 200.6 936.2 1061.3 169.1

Table 4
Response table of S/N ratios for SEC.

Levels n fz ap ae

1 49.52 49.53 49.95 51.07

2 47.46 47.90 47.85 47.65
3 47.25 46.80 46.43 45.51
Max-Min 2.27 2.73 3.52 5.56
Rank 4 3 2 1

Table 5
Response table of S/N ratios for Tp.

Levels n fz ap ae

1 46.53 46.63 45.92 47.78

2 45.80 45.94 46.04 45.79
3 45.89 45.64 46.26 44.64
Max-Min 0.72 0.99 0.34 3.14
Fig. 7. Main effects plot for SEC. Rank 3 2 4 1

models exceed the F0.05 value, the contribution of each term is

proved to be significant. The other important coefficient is R-sq. R-
sq, which is defined as the ratio of the explained variation to the
total variation, indicates the accuracy of the model. The coefficient
of determination R-sq reaches to 95.71% for specific energy
consumed model and 97.09% for processing time model. F-value
and R-sq all indicate that the RSM models could be successfully
applied as prediction models.
The influence and importance of the input process parameters
on the two objectives can be observed from the contour plots
shown in Figs. 10 and 11. For the specific energy consumption of the
machine tool during milling, the greater the values of the cutting
parameters are, the greater the value of this response variable is
(Fig. 10). So the minimum value of this objective is achieved when
the levels of the spindle speed, the feed per tooth, the depth of cut
and the width of cut are at their highest levels. Based on contour
Fig. 8. Main effects plot for Tp. plots, the value of the spindle speed was the least significant in
 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275 271

region I region II region III optimal parameters, a multi-objective optimization model is

800 400
established in this section, including the variables, objectives and
700 350 constraints.
Specific energy[J/mm ]
3

Processing time[s]
600 300

500 250 4.4.1. Optimization variables and objective functions

The RSM models obtained in Section 4.3 are used in further
400 200
optimization as objective functions. Considering that each cutting
300 150 parameter plays a significant role in specific energy consumption
and processing time, the decision variables considered in this
200 100
model are spindle speed, feed per tooth, depth of cut, width of cut.
100 50

0 0 4.4.2. Constraints
79 184 213 272 369 414 480 705
Decision variables should meet constraints in CNC milling. Ac-
MRR[mm3/min]
SEC
SEC Processing time
processing time cording to practical situation, the following three main constraints
Curve estimation(SEC) Curve estimation(Tp) are considered, machine tool, tool and surface roughness.

Fig. 9. Specific energy consumption and processing time in terms of MRR. 1) Machine tool: Cutting operation needs to be within an allowable

Table 6
ANOVA for SEC and processing time.

Factor Specific energy consumption Processing time

DOF MS A F DOF MS A F

Model 20 34680 49.22 8 34817.8 75.11

Error 16 958 e 18 1012.7 e
Total 26 e e 18 1012.7 e
R-Sq ¼ 95.71% R-Sq (adj) ¼ 93.04% F0.05 ¼ 4.49 R-Sq ¼ 97.09% R-Sq (adj) ¼ 95.80% F0.05 ¼ 4.41

Fig. 10. Contour plots of specific energy consumption.

reducing the specific energy consumption of the machining range of machine tool, which is the main constraint for pro-
process. cessing showing in Eq. (22).
The value of the processing time is minimized when the spindle
8
speed, the feed per tooth, the width of cut were at their highest > xmin < xi < xmax ði ¼ 1; …; 4Þ
>
>
values, and the depth of cut as at its lowest value (Fig. 11). More- >
>
< CF axpF fzyF aue F z
over, as stated in the graphs, increase of cutting width sharply Fc ¼ KF < Fmax
dqF nwF (22)
decreases processing time in the milling process. Due to the fact >
>
>
>
that the cutting width has a strong influence on the length of >
: P ¼ Fc Dn < hP
c max
processing path for machining of flat surfaces, it is considered as 318
the dominant factor.
where xi represents the cutting parameter. The optimum spindle
speed, feed per tooth, depth of cut and width of cut should be in the
4.4. Multi-objective optimization model range of the maximum and minimum value of each one. Fmax is
maximum cutting force. For the end milling case, CF, KF, xF, yF, uF, qF,
In order to employ the modified MOPSO to search for the wF are the coefficients and exponents of cutting force Fc given by
272 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275

Fig. 11. Contour plots of processing time.

Stephenson and Agapiou (2005). Pmax is the nominal motor power are shown in Table 7. MATLAB R2012b software was used for the
and h is the overall efficiency of machine tool. optimization work. To prevent poor convergence rate and prema-
ture convergence, the adaptive inertia weight and crossover
2) Tool: Changing tools frequently will disturb the continuity and method have coherently been introduced to the standard MOPSO
accuracy of machining, so the tool life is subject to Eq. (23), algorithm. Therefore, the introduced method is tested against
where Tmin ¼ the minimum tool life. standard MOPSO.
Convergence curves of standard MOPSO and modified MOPSO at
Tmin < T (23) the seventieth iteration are shown in Fig. 12. It reveals that
compared with standard MOPSO, the modified MOPSO algorithm
has a better and faster global convergence ability.
3) Surface roughness: It is a common indicator of quality charac-
In addition, to demonstrate the benefits of multi-objective
teristics for machining process. All the optimization should take
optimization, single-objective optimizations for SEC and process-
the quality requirements as premise.The surface finish in end
ing time are conducted respectively. For multi-objective optimi-
milling is ensured by Eq. (24).
zation, the final result is selected from the Pareto front with a
318fz preference of high energy efficiency. Comparisons among the re-
Ra ¼ < Rmax (24) sults of single-objective optimization, multi-objective optimiza-
tgðLa Þ þ ctgðCa Þ
tion, and empirical milling are summarized in Table 8.
where La is the lead angle of the tool and Ca is clearance angle of Model I: the multi-objective optimization model for minimizing
tool. Rmax is the maximum allowed surface roughness value. both specific energy consumption and processing time.
Model II: the optimization model only considering the objective
of processing time.
4.4.3. Optimization model Model III: the optimization model only for specific energy
Above all, the multi-objective optimization model of cutting consumption.
parameters for a single CNC milling process is established as The parameter values in empirical milling are determined by
follows: personal experience and intuition (of the manufacturing engineer,
    machine operator, etc.).
minF8 n; fv ; ap ; ae ¼ minTp ; minSEC The results presented in Table 8 make it clear that a compromise
>
> xmin < xi < xmax ði ¼ 1; …; 4Þ
>
> could be arrived through the multi-objective optimization method.
< Fc  Fcmax
The results of multi-objective optimization in Model I show that the
s:t: P < hPmax
>
> specific energy consumption could be reduced by 14.1% while the
>
> T <T
: min processing time increased by 2.2% compared with single-objective
Ra < Rmax
optimization for minimization of the processing time in Model II.
Meanwhile, selection of cutting parameters based on multi-
objective optimization results in 0.7% rise in specific energy con-
sumption while 10.2% reduction in processing time compared with
5. Results analysis and discussions

5.1. Optimization results and analysis

Table 7
The modified MOPSO algorithm parameters are set as follows: Calculation coefficients of constraints.
two constant coefficients c1 and c2 are both set to 1, inertia weight CF KF xF yF uF qF wF Fmax Rmax Pmax h
decreased from 0.9 to 0.4, the population size is 60 and velocity
196 1 1 0.72 0.86 0.86 0 215 kN 10.5 mm 5.5 kW 0.8
ranges from 1.5 to 1.5. The calculation coefficients of constraints
 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275 273

Fig. 13. Comparison of SEC and Tp in different machining schemes.

machining. Since the air-cutting time makes up an insignificant

portion of the total time, the processing time is much related to
cutting time and tool changing time. As the value of MRR increases
Fig. 12. Search behavior of the standard MOPSO and modified MOPSO.

Table 8
Optimal process parameters results.

Type n (r/min) fz (mm/t) ap (mm) ae (mm) MRR (mm3/min) Tp (s) SEC (J/mm3)

Model I 3488 0.0268 0.386 3.969 572.848 154.24 150.03

Model II 3159 0.0259 0.295 3.903 376.816 150.95 174.75
Model III 4194 0.0263 0.495 3.984 870.097 171.77 149.04
Empirical milling 2500 0.03 0.25 3 225 182.0 186.7

single-objective optimization for minimization of the specific en-
ergy consumption in Model III. The comparisons suggest the su-
periority of multi-objective optimization over pursuit of a single
objective. Additionally, the empirical milling leads to 24.4% and
17.9% rise in specific energy consumption and processing time
respectively compared with the results of Model I. It can be seen
that empirical machining does not satisfy the requirement for
sustainable machining, as selection of cutting parameters in
empirical is relatively conservative.
The optimum results listed in Table 8 are summarized in Fig. 13
for a comparison among four different schemes. In the permitted
range of the optimization parameters, the model III gets the highest
MRR and results the minimum SEC. This is explained that
increasing MRR without a limit would lead to a dramatic decrease
to tool life, and thereby a sacrifice of processing time. The MRR of
Model II is lower than that of model I and model III. It shows that if
the objective is to minimize the processing time, a smaller material
removal rate should be selected. But the low MRR results higher
specific energy. To simultaneously optimize the processing time
and SEC, the trade-off points have been acquired in model I, which
are between the values of model II and model III. Considering the
tool wear overly, the empirical scheme gives the lowest MRR
among these models, and the lowest MRR results in a maximum
specific energy and a highest processing time.
from point A to point B (inflection point), the cutting time de-
creases substantially while the tool changing time increases at a
moderate rate. The phenomena suggests that the cutting time
plays a more significant role than the tool changing time in this
range. Although the cutting time continues to decrease beyond
point B, the tool changing time turns to be sharply increased
associated with the increase in processing time. This trend can be
explained by a dramatic increase in tool wear when MRR exceeds a
certain value.
Fig. 15 shows the variation of specific energy consumption, total
energy consumption, energy consumption of tool changing period
and cutting period with respect to MRR. Similar to the analysis of
the processing time, although the power demand and the time of
air-cutting period vary under different values of parameters, the
variation of air-cutting energy is not remarkable. So the total energy
consumption is greatly related to the cutting energy and the tool

6. Discussions

Figs. 14 and 15 are plotted based on the experimental data in our

case to give insights into the relative influence of the MRR on time
and energy.
Fig. 14 shows the variation of cutting time, air-cutting time, tool
changing time and processing time with the increase of MRR. It
should be noted that the air-cutting time shows a slow tendency of
downward (from 40 s to 32.9 s) with the increment of MRR. This
phenomena is due to the short air-cutting length in actual Fig. 14. Time as a function of MRR.
274 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275

7. Conclusion and future work

Since resources and environment problems are becoming

Fig. 15. Energy consumption as a function of MRR.
increasingly serious, strategies for reducing energy consumption of
machine tool must be employed. In this work, a method of CNC
milling parameters optimization for energy efficiency improve-
ment is presented, the conclusions from experimental analysis and
optimization results are drawn as follows:
The optimal milling parameters setting enables to achieve
collaborative minimization of processing time and specific energy
consumption through the proposed methodology. When the opti-
mization criterion is only concerned about SEC, bigger cutting pa-
rameters should be selected. When optimization is to minimize
processing time only, the cutting speed and cutting output should
be smaller relatively considering that higher cutting conditions
increase tool changing times, and thereby decrease the production
efficiency.

Table 9
Results for optimization with different approach.

Items The optimization results in original papers The optimization results using proposed methodology

Hanafi et al. (2012) vc (m/min) f (mm/rev) ap (mm) vc (m/min) f (mm/rev) ap (mm)

100 0.05 0.25 101.514 0.052 0.298
Raa (mm) CPa (KW) Ra (mm) CP (KW)
1.14 7.3 0.983 7.002
Kant and Sangwan (2014) vc (m/min) f (mm/rev) ap (mm) vc (m/min) f (mm/rev) ap (mm)
134.30 0.12 0.5 133.812 0.126 0.522
Ra (mm) PCa (KW) Ra (mm) PC (KW)
1.284 0.574 1.228 0.531
Yan and Li (2013) n (r/min) fv (mm/min) ap (mm) ae (mm) n (r/min) fv (mm/min) ap (mm) ae (mm)
1000 300 0.4 15 1530 262.074 0.297 13.929
Ra (mm) CEa (KJ) Ra (mm) CE (KJ)
2.83 73.99 1.68 67.70
a
Ra for surface roughness, CP for cutting power, PC for power consumption, CE for cutting energy.

changing energy. When the value of MRR increases from point C to
point D (inflection point), the tool changing energy is quite low
owing to a small tool wear. Since the decrease of cutting time
effectively dominants over the increase of power demand, less
cutting energy is needed to perform the operation (Diaz et al.,
2011). Consequently, the total energy consumption is proved to
be in a downtrend. However, beyond point D, a sharp increase of
the tool changing energy is measured concomitant with an obvious
upward tendency in total energy. Unlike the total energy, the spe-
cific energy consumption is observed to be consistently decreased.
It means that the increase of MRR outgrows that of total energy
within this range. This result is consistent with the experimental
results reported in Kara and Li (2011) and Diaz et al. (2011).
6.1. Comparative advantages of the proposed methodology
To demonstrate the efficacy of our method, this set of experi-
ments applies our method to the same cases presented in Hanafi
et al. (2012), Yan and Li (2013) and Kant and Sangwan (2014),
respectively. Table 9 provides the comparison results. It is clear to
see that our method outperforms all of them in terms of smaller
surface roughness and cutting power. For instance, the optimal
values of Ra and CP derived through the proposed method are
decreased by 13.7% and 4.08%, respectively, in comparison to the
ones presented in Hanafi et al. (2012). Similar improvement can be
found by comparing our work with the ones in Kant and Sangwan
(2014) (i.e., 4.36% decrease in Ra and 5.74% decrease in PC) and Yan
and Li (2013) (i.e., 40.6% decrease in Ra and 8.5% decrease in CE.
Within the scope of this experiment, width of cut is the major
process parameter affecting SEC followed by depth of cut, feed per
tooth and spindle speed. For processing time, the main factor is also
width of cut since it is closely related to the length of processing
path. The experimental results suggest that to acquire the optimal
machining scheme for minimization of time and energy, cutting
width is supposed to be as large as possible and the spindle speeds,
and feed per tooth should be at relatively high levels
simultaneously.
The optimum results show that the proposed method can solve
the trade-offs well when objectives are generally conflicting to each
other. It also reveals the benefits emerging from the use of sus-
tainable optimization methods, making that multiple responses
such as energy saving and production efficiency simultaneously
improved.
Compared to empirical parameters, the processing time and SEC
can be declined to 19.6% and 15.2% respectively. It shows that pa-
rameters selection by experience, which exists widely in engi-
neering practice, cannot meet the green manufacturing demands.
The results provide strong evidence that the proposed method is
promising and quite effective for energy-oriented optimization of
CNC machining parameters.
This paper only considered electricity consumption in
machining, while the embodied energy generated by tools, cutting
fluids for instance can also be considered in machining process.
Hence the future work will toward extending the current work to
study parameters optimization with a comprehensive consider-
ation of resource consumption and their environmental impacts.
 C. Li et al. / Journal of Cleaner Production 135 (2016) 263e275
Acknowledgements
This work was supported in part by the National High-Tech R&D
Program of China (863 Program) (No. 2014AA041506); and National
Natural Science Foundation of China (No. 51475059).
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