Applied Energy 275 (2020) 115402

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Applied Energy
journal homepage: www.elsevier.com/locate/apenergy

A generic energy prediction model of machine tools using deep learning T

algorithms
⁎
Yan Hea, Pengcheng Wua, Yufeng Lia, , Yulin Wangb, Fei Taoc, Yan Wangd
a
State Key Laboratory of Mechanical Transmission, Chongqing University, Chongqing 400030, China
b
School of Mechanical Engineering, Nanjing University of Science and Technology, Nanjing 210094, China
c
School of Automation Science and Electrical Engineering, Beihang University, Beijing 100191, China
d
Department of Computing, Engineering and Mathematics, University of Brighton, Brighton BN2 4GJ, United Kingdom

H I GH L IG H T S

• AEnergy
practical and effective method is presented for energy prediction of machine tool.
• Supervised
consumption features are extracted by using unsupervised deep learning.
• This methoddeep learning is used to develop energy prediction model of machine tool.
• The results show
is a generalized way for identifying energy of different machine tools.
• that the method could improve the energy prediction performance.

A R T I C LE I N FO A B S T R A C T

Keywords: Energy prediction of machine tools plays an irreplaceable role in energy planning, management, and con-
Energy consumption servation in the manufacturing industry. In the era of big machinery data, data-driven energy prediction models
Machine tools of machine tools have achieved remarkable results in the identification of energy consumption patterns and
Deep learning prediction of energy consumption conditions. However, existing data-driven studies towards the energy con-
Data-driven
sumption of machine tools focus on the utilization of handcrafted-feature learning methods, which are inefficient
Energy consumption features
and exhibit poor generalization. Moreover, considering variations in energy consumption characteristics among
different machine tools, it is impractical to identify energy consumption features manually for energy model
development. Therefore, this paper proposes a novel data-driven energy prediction approach using deep learning
algorithms. Here, deep learning is used in an unsupervised manner to extract sensitive energy consumption
features from raw machinery data, and in a supervised manner to develop the prediction model between the
extracted features and the energy consumption of machine tools. The experiments conducted on a milling
machine and a grinding machine are exploited and compared with those conducted in conventional studies. The
results show that the proposed method can improve the energy prediction performance from 19.14% to 74.13%
for the grinding machine and from 64.89% to 85.61% for the milling machine, and it achieves a better per-
formance than the conventional methods in terms of effectiveness and generalization.

1. Introduction
Continuous aggravation of the greenhouse effect and the depletion
of natural resources have pressurized many fields towards sustainable
development [1]. The International Energy Agency (IEA) investigation
showed that the energy consumption in manufacturing systems ex-
perienced a rapid upward trend from 2000 [2]. Especially in the
manufacturing industry, which consumes more than 30% of the total
energy and releases 36% of the total greenhouse gases [3,4]. This
situation, together with the depletion of natural resources, has pres-
surized the manufacturing field to achieve a sustainable development
[5]. Machine tools are regarded as the core and largest energy con-
sumer in the manufacturing industry [6]. Energy consumed by the
machine tools is responsible for 74.7% of the total energy consumption
in the manufacturing industry [7]. Considering the wide distribution
and great energy consumption in low-efficiency of machine tools, the
improvement in energy efficiency of machine tools has considerable
energy-saving potential for the industry to realize the sustainable

⁎
Corresponding author at: State Key Laboratory of Mechanical Transmission, Chongqing University, Chongqing 400030, China.
E-mail address: liyufengcqu@cqu.edu.cn (Y. Li).

https://doi.org/10.1016/j.apenergy.2020.115402
Received 13 April 2020; Received in revised form 30 May 2020; Accepted 12 June 2020
0306-2619/ © 2020 Elsevier Ltd. All rights reserved.
Y. He, et al.
development [8,9]. To predict the energy consumption of machine tools
accurately, extensive studies have been conducted to investigate the
correlation between energy usage and machinery data of machine tools.
Several studies have been conducted to predict the energy con-
sumption of machine tools based on physical laws. The physics-based
models rely on the physical principles and detailed information on
machine tools, for characterizing the energy consumption behavior.
Based on the active mechanisms of energy conversion within a machine
tool, Asrai et al. presented a mechanistic model that can map the energy
flow to compute the energy consumed in the milling processes [10]. Lv
et.al modeled the spindle acceleration energy consumption of computer
numerical control (CNC) lathes, which is based on the calculation of
moment of inertia for the spindle drive system [11]. Avram presented a
methodology that can estimate the mechanical energy requirements of
the spindle and feed axes with respect to 2.5D machining strategies, by
taking into account steady-state and transient regimes [12]. Un-
fortunately, the physical-model based methods are hard to be im-
plemented in the actual applications due to a large number of physical
parameters are required in these models, which are difficult to compute
or estimate. Furthermore, the stochastic nature of the machining pro-
cess (e.g., tool wear) is difficult to be properly incorporated into the
physics-based models [13].
Experimental studies have been conducted to address the challenges
faced by physics-based models. Lv et al. conducted an experimental
study to investigated the energy characteristics required for obtaining
the power models of computer numerical control (CNC) machine tools
through an experimental study [14]. Martin Kolar et al. describes
analytical approach for modelling of energy consumption of auxiliary
units of the CNC machine with corresponding activity management
[15]. However, the experimental studies, which are developed based on
a stationary assumption (i.e., constant speed), are only suitable for
energy prediction under constant operating conditions and have limited
applicability in actual applications. While the actual working condi-
tions vary frequently, such variations make the experimental studies
ineffective. In conclusion, considerable detailed information about
machine tools is required by physics-based models or experimental
studies, and the model performance may not be consistent if the in-
formation of the machine tools is not fulfilled.
Advances in the sensors-related technology, machining data ac-
companied with the resultant energy consumption data can be collected
continuously, which enables rich data availability in machine tools
[16,17]. The enrichment of data motivates the research of a data-driven
energy prediction model for machine tools [18]. The main advantage of
the data-driven energy prediction model of machine tools lies in its the
flexibility during the modeling process [19]. Data-driven approaches
train the prediction model of machine tools based on historically col-
lected machinery data and power data, and make predictions upon the
online data [20]. By using the Gaussian Process-based data-driven ap-
proaches, Bhinge et al. constructed an energy prediction function for
machine tools with a confidence bound [21]. Liu et al. developed a
data-driven energy prediction model by incorporating process me-
chanics for the a specific cutting energy, using a tree-based gradient
boosting method [22]. It can be drawn that the performance of the
data-driven energy prediction model of machine tools is mainly affected
by three factors: the prediction techniques used for model development,
the features used as model inputs and the quality of raw data [23,24].
The energy consumption features are extracted from the collected time-
series data, and fed into the prediction models to make predictions
regarding the energy consumption of machine tools. To develop a re-
liable energy prediction model, the most important step is to design a
complete set of energy consumption features that can represent the
energy consumption condition of machine tools. Regarding the energy
consumption feature learning process, handcrafted feature learning
methods are employed. Handcrafted features refers to properties, such
as maximum value, minimum value and average, derived using various
algorithms to present energy consumption itself [25,26]. They are often
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Applied Energy 275 (2020) 115402
designed or extracted by experts or experienced workers, and optimum
feature representation of raw data with domain knowledge. In addition,
three types of feature extraction methods developed in existing data-
driven studies on energy consumption of machine tools: engineering,
statistical and principal component analysis.
By using the abovementioned energy consumption feature extrac-
tion methods, the number of input variables can be reduced and the
problem of multicollinearity among input variables can be addressed.
However, the energy consumption features of the developed machine
tools are essentially linear transformations of the raw machinery data.
Consequently, they cannot represent high-level interactions of the raw
machinery data. During the machining process, the energy consumption
of machine tools is affected by various parameters; hence, the energy
consumption feature of machine tools presents the characteristic of a
high dimension. Moreover, the data collected from machine tools are
always sampled by sensors and expressed in a sequential form during
the actual machining process. Therefore, the energy consumption fea-
tures hidden in the time-series machinery data are usually weakened
and disturbed by the problem of corrupted and noisy information
during the machining process. This means the aforementioned feature
extraction methods are not capable of mining sensitive energy con-
sumption features from the machinery data, which would lower the
energy prediction accuracy of the developed energy prediction model.
Furthermore, given that different machine tools have unique energy
consumption characteristics, it is neither practical nor efficient to
identify features for model developments manually for different ma-
chine tools, which would limit the generalization of the energy pre-
diction model of machine tools. Moreover, much detailed information
related to the energy consumption of machine tools is required in the
conventional feature learning and energy prediction models, which
would limit the actual application in industry.
The originality of this paper mainly manifests in three aspects. First,
this paper introduces a novel method aimed at extracting the sensitive
energy consumption features of machine tools from the raw machinery
data. Specially, little effort and expert knowledge are required during
the feature learning process of energy consumption. Second, the pro-
posed method can be used to understand energy use in machine tools
without the use of additional hardware measurements. It can serve as a
generalized approach to identify the current energy usage for various
machine tools, which ensures that it can be practically applied to
manufacturing companies. Third, both the conventional and presented
energy prediction techniques and energy consumption feature extrac-
tion methods are established for machine tools. The prediction perfor-
mances of the various machine learning models with different feature
sets are compared. Especially, a detailed investigation of the various
machine learning models is conducted.
The remainder of this paper is organized as follows. Section 2 first
presents the general framework of the proposed model, and provides an
introduction to the data used for the energy prediction model. The data
collection and the data processing method are presented in Section 3.
Section 4 describes the deep learning based energy prediction method
in detail. Case study is given in Section 5, then the result and discussion
are provided in section 6. Finally, conclusions are drawn in Section 7
2. General framework of the proposed method and machining
data analysis
2.1. General framework of the proposed method
As shown in Fig. 1, the proposed method involves two phases:
learning and exploitation. In the learning phase, the energy prediction
model of the machine tool is trained by the historical data collected by
the data acquisition systems. In the exploitation phase, the constructed
energy prediction model is applied to predict the energy consumption
of the machine tool directly using the machinery data from the CNC
system, without using additional hardware measurements (e.g.,
Y. He, et al.
Fig. 1. The general framwork of the energy prediction method based on deep learning.
sensors).
The learning phase is conducted off-line, and is aimed at generating
the energy consumption prediction model of machine tools using
training data. As shown in Fig. 1, this phase comprises three modules:
data acquisition and processing, unsupervised deep learning feature
extraction, and supervised energy prediction modeling. First, raw ma-
chinery data and energy data are collected by the proposed data ac-
quisition system, and the outliers hidden in the originally collected
dataset are detected by employing the LOF algorithm. Later, un-
supervised deep learning is employed for mining sensitive energy
consumption features from the purified data, which represent the his-
torical collected data that have been eliminated from the anomalies.
The sensitive energy consumption features, which have much relevance
with energy prediction, are mined from the purified data using un-
supervised deep learning. Then, supervised deep learning is used to
bridge the extracted energy consumption features and energy con-
sumption of machine tools.
In the second phase, the energy consumption model generated in
the learning phase is utilized to identify the current energy consump-
tion of the machine tool, which is performed on live real-time data. The
collected machinery data are thus continuously fed into the generated
model in order to predict the instantaneous energy consumption of
machine tools.
The output variable of the proposed model is an instantaneous
phase power, designated as P (i) , i = 1, ⋯, Np . Using such a variable, the
total energy required for machining the part is computed as
Np
Etotal = ∑ P (i) × tk
1 (1)
where Np indicates the number of data points, depending on the time
spent on the corresponding machining process and sampling rate of the
control parameters. tk is the time duration for which the power is pre-
sent in the instantaneous phase, and Etotal represents the total energy
consumed by machine tools.
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Applied Energy 275 (2020) 115402
2.2. Data used for the energy prediction model
The proposed data-driven energy consumption prediction model
based on deep learning algorithms for different operations is con-
structed using various combinations of control parameters. The ma-
chinery data, which are collected from the machine tool and taken as
the input of unsupervised deep learning, include the instantaneous feed
rate, spindle speed, instantaneous loads on each axis, and depth of cut.
The instantaneous loads on each axis and depth of cut are employed to
identify the cutting operations during the machining process (e.g., air
cutting and feed in a specific direction). By using a combination of
instantaneous loads on each axis and depth of cut, the variation in
cutting direction and cutting strategy can be represented. Moreover, the
instantaneous power consumption of the machine tool represents the
energy consumed by the machine tool in the instantaneous phase. To
form the temporal data, the collected power data and machinery data
are synchronizeed using the timestamp.
3. Data collection and processing
Data collection with the minimum noises from machine tool is a
primary step in the construction of the data-driven energy prediction
model. This section shows the overall data acquisition system, which
aims to acquire the input machining data and corresponding output
energy data from the machine. Then, the designed data processing
technique to remove the misinformation existing in the obtained data is
also presented.
3.1. Data acquisition system
The collection of historical data with minimum noise is crucial for
accurately developing a data-driven energy prediction model of ma-
chine tools. Fig. 2 shows the overall data acquisition system employed
to collect both the energy consumption and corresponding machining
data in this paper. The input data, as mentioned before, are collected by
the OPC UA client. The OPC UA client is developed based on OPC UA,
which has a strong ability in information exchange for industrial
equipment [27,28]. The developed client ensures that the machinery
Y. He, et al.
Fig. 2. The schematic diagram of the data acquisition system.
(a) conventional data-driven model
(b) deep learning based data-driven model
Fig. 3. Comparison of the modeling procedure between conventional data-driven model and deep learning model.
data could be collected from machine tools continuously. Especially,
the instantaneous power is obtained by using an additional externally
measured power meter. The power data collection module is described
in greater detail in the previous work [29]. Then, the collected power
data points are synchronized with machining data in the personal
computer according to the timestamp in the data acquisition agent. The
data collection time interval is the same as as that for the data acqui-
sition agent
3.2. Data processing
The local outlier factor (LOF) is employed to purify the collected
data in this study. It is a typical nearest-neighbor-based outlier detec-
tion method that belongs to the unsupervised learning algorithm
[30,31]. LOF calculates an outlier point for each point in the dataset
according to the relative density of data points in the local neighbor-
hood, and determines whether the data point is normal or an anomaly.
If the outlier point of the data is close to the optimal parameter, the data
are regarded as normal, and otherwise, as anomaly. For the collected
machining data and power data, d(p, o) means the distance between
two power data points o and p in a raw dataset. k − distance is the
k − th smallest distance among all distances measured from p to the
other power observations. Nk (p) indicates the k-distance neighborhood
of p, and |Nk (p)| indicates the quantity of power observations in the k-
distance neighborhood of p [32]. All distances are adopted in Euclidean
distance.
The reach _distk (p , o) means the reachability distance of a power
observations p with respect to o, and can be calculated as follows:
reach _distk (p , o) = max{kdistance (o) , d (p , o)}
Based on the above result, the local reachability density, lrdk (p) , is
defined as
Applied Energy 275 (2020) 115402
⎛ ∑0 ∈ Nk (p) reach _distk (p , o) ⎞
lrdk (p) = 1/ ⎜ ⎟
|Nk (p)| (3)
⎝ ⎠
Thus, the LOF of observation p, LOFk (p) , can be obtained as
lrd (o)
k
⎛ ∑0 ∈ Nk (p) lrdk (p) ⎞ ⎛ ∑0 ∈ Nk (p) lrdk (o) ⎞
LOFk (p) = ⎜ ⎟=⎜ ⎟/ lrdk (p)
⎜ |Nk (p)| ⎟ |Nk (p)|
⎝ ⎠ ⎝ ⎠ (4)
As stated above, the anomaly data are identified using the outlier
point. LOFk (p) is used to describe the degree of a given observation p,
namely the outlier point. The obtained data are separated into various
clusters. The datapoints within each cluster are taken as normal, while
those that do not belong to any cluster are regarded as anomaly and
eliminated.
4. Deep learning based data-driven energy prediction model
Fig. 3 compares the conventional data-driven and proposed deep
learning-based data-driven prediction models. The conventional data-
driven energy prediction model is developed based on handcrafted
features (hand-designed and hand-extracted). The handcrafted features
are first extracted by transforming raw data into a different domain to
take the representative information, such as maximum and minimum,
which is designed by experts. The handcrafted feature set is often de-
signed by experts or experienced operators, using optimum feature
representation of raw data with domain knowledge. In actual manu-
facturing industries, experienced operators are not always available.
Moreover, a consistent performance cannot be maintained when de-
(2)
signing and extracting features. In general, the handcrafted feature
learning processes are time-consuming and have a high uncertainty in
actual applications. Meanwhile, the feature learning process and model
4
Y. He, et al.
Fig. 4. The overall structure of the proposed one-dimensional convolutional neural network architecture.
construction are undertaken in two different modules [33]. While the
feature learning module and model construction module are integrated
into one model in the deep learning-based model, the features in the
deep learning-based model are abstracted automatically and directly
from the samples. The extracted features are taken as input to su-
pervised deep learning, to fulfill the regression tasks [34]. In conclu-
sion, the deep learning approach has an end-to-end learning structure
with minimum human interference, which ensures that the hidden
feature can be extracted objectively and effectively [35].
The energy consumed by machine tools is affected by various at-
tributes (i.e., cutting speed, depth of cut, and feed rate), and the impact
of each attribute on energy consumption varies significantly. As a re-
sult, the relation between the energy consumption and machinery data
is represented in high-dimensional space [36]. Hence, a convolutional
neural network (CNN) can be employed to extract the energy con-
sumption features (see Fig. 4).
The energy prediction of machine tools in this paper is a time-series
problem. A sequential characteristic should be considered during the
feature learning process. Besides, the working condition of machine
tools may change within a short time, which indicates that some energy
consumption feature would be hidden in a very short segment. To this
end, this study employs 1-D CNN to classify the temporal sequences by
convolution operations over the time dimension and capture energy
consumption features in short segments, based on its large receptive
field by stacking more layers. Besides, 1-D CNN can achieve a better
result by conducting a more compact model, which shows a faster
computational speed compared to the other types of CNN structures
[37]. Multilevel raw data are input into the input layer for processing in
the following neural network. Convolution operation is usually per-
formed to extract features from the previous input in the convolution
layer [38]. The filter in the convolution layer would slide over the input
during the convolution operation. The size of the output feature after
the convolution operation can be calculated using the the following
formula:
win + 2p − k
wout = +1
s (5)
where win and wout indicate the sizes of the previous input layer and the
latter output layer, respectively; k denotes the filter size; and filter
denotes the weight matrix employed for feature detection. A filter is
represented by a vector of weights with which we convolve the input.
The filter, similar to that encountered in signal processing, provides a
measure of how closely an input patch resembles a feature. s denotes
the size of the stride, which denotes the number of pixels moving over
the previous input. p denotes the padding size; the padding is referred
to as an appropriate addition of a selected number for the width and
height on each side of the previous input, which is used to ensure that
the dimensions of the input and output are the same.
The pooling layers are employed to decrease the level of the feature
map while preserving the information hidden in the previous input.
Pooling layers are also used to reduce the data level through a combi-
nation of outputs of neuron clusters at one layer into a single neuron in
5
Applied Energy 275 (2020) 115402
the following layer. This can improve the computation load by de-
creasing the number of parameters, and thus, prevent overfitting. This
study employs maxpooling, which aims to detect the maximum value in
the pooled field. The activation functions in the hidden layers (con-
volutional and pooling) are the rectified linear units (ReLUs), which
belong to a type of activation function that aims to transform the
summed and weighted input from the node into the activation of the
node or output for that input. This can be represented as follows:
f (x ) = max (0, x ) (6)
where x denotes the input of the previous layer. If x > 0, f (x ) = x ;
otherwise, it would be 0. The flatten layer aims to convert the output,
which has multilevel data, from the previous layer into one level. After
the flattening operation, the fully connected layer is then appended to
obtain the output one-dimensional vector from the previous layer as
input. The fully connected layer comprises many neurons that are
congregated with all nodes in the previous layers. Usually, the activa-
tion function is utilized in the output layer to fulfill the task of re-
gression or classification. Considering that the prediction problem be-
longs to the regression task, the linear activation function is employed.
5. Case study
5.1. Descriptions of datasets
The details about the experiments conducted on the milling and
grinding machines in real machining workshop for machining the ball
crew are introduced in this paper. The data acquisition system pre-
sented in the previous section aims to collect the historical data for the
training process in this study. The sampling frequency for both ma-
chines is 1 kHz.
5.1.1. Milling machine
A ball screw CNC machine operated under milling operations is
designed to generate the dataset. The on-site diagram of the experiment
is shown in Fig. 5, and the detailed specification of the experiment is
shown in Table 1. The data acquisition system shown in Fig. 2 is
adopted in this part to acquire the machinery data and energy data. The
process parameters selected for the experiment are shown in Table 2.
The observations collected from OPC UA, including feed rate, spindle
speed, depth of cut, and load on each axis, are summarized and grouped
in Table 3. The corresponding energy data of the milling machine,
which is the target value, is measured using the power meter. The
collected machinery data and energy data are synchronized using the
common timestamp.
5.1.2. Grinding machine
This experiment is conducted on a grinding machine, which is used
to realize the finished machining of the ball screw. A schematic of the
experiment is shown in Fig. 6, and detailed information of the grinding
machine is shown in Table 4. In the experiment, the feed rate, load of
each axis, spindle speed, and depth of grinding are collected through
Y. He, et al. Applied Energy 275 (2020) 115402

Fig. 5. Experimental setups for the milling energy prediction.

Table 1 5.2. Construction of features sets as model inputs

Detailed specification of the milling machine.
Parameters Information
As stated previously, the influencing factors of the milling and
grinding machines are summarized in Tables 3 and 6, respectively.
Machine make HJ SK6010 These factors are highly correlated variables with the energy con-
Type CNC Milling machine tool sumption of machine tools and readily available from the OPC UA in
Tool material PCBN
nearly real time. Therefore, these variables at time T are denoted as
NU type Siemens SINUMERIK 840D
BASIC, which is taken as the model inputs for directly identifying the
energy usage of machine tools at the corresponding time T.
Table 2 Considering that the machining process is continuous, the predic-
Process parameters of the milling machine. tion performance can be increased using the operational data in the
previous time. Thus, additional information regarding the above-
Parameters Information Unit
mentioned variables during the previous minute is added to generate a
Cutting speed 40/60/100/120/140/180 r/min new feature set, either in the form of raw data or after feature extrac-
Depth of cut 0.04/0.06/0.08/0.1 mm tion. If in their raw form, each time series of variables will have six
Lead 10/15/20 mm more variables (owing to a 10 s duration). Hence, the obtained feature
Chamfer angle 0.1*20/0.15*25 (°)
set includes 56 (i.e., 6*8 + 8) variables, and is represented as the RAW
feature set.
Table 3
To investigate the performance of the proposed feature extraction
Influence factor summary of energy consumption of milling machine. method, three typical feature methods are selected for comparison:
engineering methods, statistical methods, and principal component
Parameters content unit
analysis (PCA). The details of the adopted feature extraction methods
Feed rate Feed rate on X axis mm/r are briefly introduced below. According to engineering expertise, the
Feed rate on Y axis mm/r feed rate, depth of cut (grinding), and spindle speed at time T-1 have
Feed rate on Z axis mm/r the largest effect on the energy consumption of machine tools at time T
Loads loads rate on X axis
[39]. Thus, a new feature set (represented as EST) is generated by
loads rate on X axis
loads rate on X axis
adding three more features that represent these variables at the pre-
Spindle speed r/min vious time.
Depth of cut mm A calculation of the minimum, maximum, mean, and standard de-
viation of the measured data in the past minute is performed to obtain
the statistical features. Thus, 32 more features (four features for each
the aforementioned machinery data acquisition system, and the corre- variable in BASIC) are added to BASIC. The newly generated feature set
sponding energy data are collected using the power meter. The process statistically is denoted as STAT. The proportion of PCA used in this
parameters chosen for the grinding machine are listed in Table 5. The study is 95%. The generated new feature set is denoted as PCA, which is
sampling frequency of the acquisition system is 1 KHz, and the collected directly fed into the prediction models. Further details of the PCA-based
machinery data and energy data are synchronized using the common method can be found in [40] and [41].
timestamp. The collected observations are summarized and grouped in As introduced in Section 4, CNN is adopted in this study to construct
Table 6. In this study, 922 observations are obtained. an unsupervised deep learning energy consumption feature set (CNN-
F). In CNN, the convolutional and pooling layers are employed to

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Y. He, et al. Applied Energy 275 (2020) 115402

Fig. 6. Experimental setups for the grinding energy prediction.

Table 4 aim to decrease the number of elements to process, to fulfill the average
Detailed specification of the grinding machine. or maximum operation for reducing the computation load of the net-
Parameters Information work.

Machine make HJ SK7432X15

5.3. Construction of prediction models
Type CNC screw grinding machine
Wheel material WA60KV
Computer Dell inspiration In this study, four prediction techniques are used to construct the
NU type Siemens SINUMERIK 828D energy prediction model: support vector regression (SVR), Gaussian
process regression (GPR), extreme learning machine (ELM), and the
proposed supervised deep learning using 1-D CNN. The first three
Table 5 prediction techniques are determined according to their popularity in
Process parameters of the grinding machine. previous studies. Meanwhile, they are employed as a comparison with
Parameters Information Unit the proposed supervised deep learning prediction techniques in terms of
performance. The entire dataset is divided into three parts, which are
Rotational speed 30 r/min
used for training, validation, and testing, with proportions of 70%,
Linear speed 40 m/s
Feed rate 0.025 m/min 15%, and 15%, respectively. To optimize the parameters in the four
prediction techniques, cross-validation combined with a parameter grid
search is employed in this paper. The parameters that require optimi-
Table 6 zation in the four prediction techniques are presented below.
Influence factor summary of energy consumption of grinding machine. The Gaussian radial basis function (G-RBF) which has been used by
Parameters content unit
many researchers to combined with SVR, is employed in this study. In
terms of the complexity parameter C and smoothing parameter sigma,
Feed rate Feed rate on X axis mm/min the optimization strategy is conducted. Generally, a larger C indicates
Feed rate on Y axis mm/min that the developed model has a higher tendency for overfitting. In
Feed rate on Z axis mm/min
Loads Loads rate on X axis
contrast, a smaller C indicates that the developed model is more prone
Loads rate on X axis for causing underfitting. The shape of the decision boundary is con-
Loads rate on X axis trolled by parameter sigma. Generally, a larger sigma indicates that the
Rotational speed r/min decision boundary is less likely to be complicated and sharp. In con-
Depth of grinding mm
trast, a smaller sigma indicates that the decision boundary has a higher
tendency to be complicated and sharp. The values of the complexity
parameter C and smoothing parameter sigma are in the form of 2 x ,
extract the internal features from the raw machinery data. First, the
where x denotes integers that have a scope. In terms of C, the x ranges
collected data are converted into a matrix. Then, the convolutional
from 1 to 15, while for sigma, x ranges from −10 to 0.
layers are used to extract multilevel features from the matrix to form
GPR, combined with a squared exponential kernel function, is used
high-level domain-specific motifs by using convolutional operations,
in this study. By using the hyperparameters θ = {δs, σ∊, λ} , the kernel
which are kernel-based. In essence, a kernel refers to a collection of
function can be described. Optimization is performed on these para-
adjustable weights, which convolves with vectors for mining a parti-
meters. The overall magnitude that is related to the covariance value is
cular feature and forms a new feature map that includes the feature
quantified using δs . σ∊ aims to quantify the dimension of noise, which is
locations. Pooling layers are followed by convolutional layers, which
assumed to have existed in the obtained output response. The vector

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Y. He, et al. Applied Energy 275 (2020) 115402

λ = (λ1, ⋯, λr ⋯,λn ) refers to the length scales of the characteristic, the milling machine, which indicates a lower dropout rate and more
which is aimed to evaluate the relevance of the input features and filters.
output energy. The hyperparameters in the model are dominated by
maximizing the log-likelihood of the used data [21]. 6. Results and discussion
The sigmoid function serves as an activation function in ELM, for
which the connection weight wi between the input layer and the hidden 6.1. Prediction performance
layer and the threshold bi of the hidden layer are randomly selected.
The range optimization method is employed in this paper to obtain the The following three evaluation metrics are used to evaluate the
number of hidden layer nodes, owing to a lack of an effective method. models’ performance in this study: root mean-squared error (RMSE),
The selection range, which is related to the number of hidden layer mean absolute error (MAE), and coefficient of variation of the root
nodes, is roughly determined using the mentioned method, based on squared error (CV-RMSE). MAE and RMSE, which can evaluate the
engineering knowledge and experience. The prediction model is de- performance in their original scales, are scale-dependent. In contrast,
veloped by each number of hidden layer nodes using the initial selec- CV-RMSE is a scale-independent metric, which aims to evaluate the
tion of the range. The number of hidden layer nodes, which exhibit performance using a similar dataset.
better prediction performance over the other parameters, is employed
n
in this paper for comparison. ∑k = 1 |yk − ya |
MAE =
Compared to the conventional machine learning methods, the pro- n (6)
posed deep learning has a much more hidden layer and the training
n
process is much more complicated. Four parameters of the CNN model ∑k = 1 (yk − ya )2
RMSE =
are required to be optimized: (1) number of convolutional and pooling n (7)
layers; (2) dropout ratio before the connected layer; (3) number and
size of filters at each convolutional layer; and (4) the activation func- ∑nk = 1 (yk − ya )2

tion at each convolutional layer. The stride as one and zero paddings is
used in the energy prediction task for the milling and grinding ma-
chines. The training methodology used is back-propagation, whose
further details can be found in [42] and [43]. In this paper, the CNN for
prediction techniques only is denoted as CNN-R.
The optimized results of the proposed deep learning model for
milling and grinding machines (including energy consumption feature
extraction and energy prediction) are shown in Table 7. This network
comprises seven trainable layers, including four convolutional layers
and three pooling layers. Weight sharing is Yes in the trainable layers
that help to reduce the total number of trainable parameters. To pre-
vent overfitting, a batch normalization technique is used to normalize
the hidden layers in the network and a dropout regulation strategy is
used to randomly remove the network neurons from the tuning process
by preventing complex co-adaptations on the training data. There are
two overfitting processes which are indicated as Dropout and Dropout
(0.2). Besides, the final output derived from the last pooling layer is
flattened and taken as an input to the fully connected layers, to realize
the function of regression. Especially, the number of filters in the mil-
ling machine is larger than that in the grinding machine, while the
dropout rate in the milling machine is lower. This is because the energy
consumption condition in the grinding machine is relatively constant.
In other words, the relation between the raw machinery data and
output energy consumption in a milling machine is more complex than
that in a grinding machine. Thus, more training epochs are required in
n
CV − RMSE = ∗ 100%
∑nk = 1 yk
(8)
n
where yk and ya denote the predicted and measured values at time T,
respectively, and n indicates the number of observations.
Table 8 shows the RMSE, CV-RMSE, and MAE for different methods,
where most of the conventional feature extraction and energy predic-
tion methods can decrease the machinery data dimensionality and
improve the energy prediction performance. Among the conventional
methods, the most effective feature extraction method is PCA, which
can decrease the CV-RMSE from 4.98% to 26.7% in the grinding ma-
chine and from 49.71% to 59.9% in the milling machine, when com-
pared to the conventional feature extraction. By using the proposed
energy prediction method based on deep learning, the improvement of
74.13–19.14% in energy prediction performance can be achieved for
the grinding machine and 64.89–85.61% for the milling machine. This
demonstrates the effectiveness of the proposed energy prediction
method.
Regarding the prediction techniques, GRP shows the worst perfor-
mance in the grinding and milling machine energy prediction task, and
the resulting CV-RMSE is mostly above 30%. This follows expectations,
as the GRP is not capable of discovering such a relation, where the
variables do not strictly follow a joint Gaussian distribution. Obviously,
the best energy prediction performance in the grinding and milling
machines is achieved by CNN-R. In addition, the best prediction results
are achieved with CNN-R combined with CNN-F, where the resulting

Table 7
Detailed parameters in the developed 1-D CNN.
Type Weight sharing Filter size #Filters Activation

Milling Grinding Milling Grinding Milling Grinding Milling Grinding

Convolutional Yes Yes 20 20 32 21 ReLU ReLU

Max-pooling Yes Yes 2 2 – – – –
Convolutional Yes Yes 20 20 64 42 ReLU ReLU
Max-pooling Yes Yes 5 5 – – – –
Convolutional Yes Yes 20 20 128 84 ReLU ReLU
Max-pooling Yes Yes 5 5 – – – –
Convolutional Yes Yes 20 20 256 168 – –
Max-pooling Yes Yes 5 5 – – – –
Dropout Yes Yes Grinding: 0.6; Milling:0.4
Flatten Yes Yes – – – – – –
Fully-connected Yes Yes – – −100 −100 ReLU ReLU
Dropout (0.2) No No Grinding: 0.3; Milling: 0.2
Fully-connected No No – – −1 −1 Linear Linear

8
Y. He, et al. Applied Energy 275 (2020) 115402

Table 8
Prediction performance for the milling machine and grinding machine.
Features Metrics SVR ELM GRP CNN-R

Grinding Milling Grinding Milling Grinding Milling Grinding Milling

BASIC RMSE (W) 1654.61 1255.39 1692.98 1341.57 1877.68 1604.34 1406.85 1206.77
MAE (W) 1641.17 1239.34 1677.96 1326.65 1852.72 1579.38 1401.62 1191.66
CV-RMSE 32.07 26.54 31.97 27.81 35.42 33.21 26.50 25.07
RAW RMSE(W) 1636.14 1157.04 1649.46 1124.48 2077.42 1819.06 1552.43 1010.62
MAE(W) 1628.12 1147.32 1643.15 1113.65 2057.09 1802.47 1541.57 991.70
CV-RMSE 30.84 23.98 31.14 23.27 39.21 37.53 29.34 20.91
RMSE (W) 1288.26 1202.68 1377.91 1466.55 1995.20 1636.46 1350.33 1144.08
EST MAE (W) 1281.01 1189.85 1363.18 1434.80 1989.75 1588.16 1337.50 1130.93
CV-RMSE 24.32 24.58 25.95 30.33 37.62 33.86 25.59 23.62
STAT RMSE (W) 1402.69 994.31 1538.86 1392.57 1622.95 1024.90 1306.73 770.96
MAE (W) 1397.36 974.35 1530.36 1378.92 1613.44 1011.97 1306.28 761.86
CV-RMSE 26.43 20.67 29.04 28.89 30.62 21.27 24.62 16.04
PCA RMSE (W) 1003.03 755.08 1133.67 932.11 1982.29 1417.33 667.99 949.11
MAE (W) 995.98 736.94 1119.29 899.95 1975.33 1387.79 650.28 925.05
CV-RMSE 18.90 15.77 21.48 19.33 37.36 29.41 12.63 19.60
CNN-F RMSE (W) 958.52 504.3 937.38 689.10 1406.79 744.36 533.84 273.52
MAE (W) 966.22 496.75 929.59 681.25 1397.68 731.56 513.97 260.60
CV-RMSE 18.27 10.44 17.67 14.23 26.52 15.38 10.14 5.40

CV-RMSE is 0.054 for the milling machine and 0.101 for the grinding
machine. In conclusion, CNN-R has a performance edge over other
prediction techniques.
The results in Table 8 also show that the prediction performance can
be improved using the conventional feature extraction methods. How-
ever, such improvement is not sufficiently reliable. In terms of con-
ventional methods, both ELM and SVR achieve the best prediction
performance for the milling machine when using PCA. In contrast, GRP
achieves the best prediction performance when using STAT. This in-
dicates that different prediction techniques have their own optimal
feature sets in the conventional prediction techniques. This is because
traditional feature extraction relies heavily on experience and may re-
sult in totally different results for a unique machine tool or prediction
techniques. However, in the actual applications, it is inefficient in de-
signing the best feature set for conventional prediction techniques.
Besides, the engineering method does not improve the prediction ac-
curacy when compared to RAW. This denotes some meaningful feature
that is hidden in the previous minute.
It can be seen that the prediction performance in the grinding ma-
chine is slightly worse than that in the milling machine. This is because
some energy consumer parts in the grinding machine used in this ex-
periment cannot be directly reflected using the machinery data. For the
cooling system in the grinding machine, they are controlled by human
behaviors without using any numerical control system. In contrast,
these variables are not recorded in the collected data. As a result, the
energy consumption patterns cannot be reflected using the collected
machinery data. Besides, under the same CV-RMSE, the RMSE and MAE
in the grinding machine are larger than those n the milling machine.
This is due to the difference in the power rating, which is larger for the
grinding machine than that for the milling machine.
Table 8 shows that the best prediction performance is obtained
using CNN-R combined with CNN-F, which further proves the effec-
tiveness of the proposed deep learning method, with minimum human
interference. It is observed that most of the prediction techniques ex-
hibit better performance when using CNN-F, which demonstrates the
effectiveness of the proposed method in feature extraction. Besides, it
can always guarantee a constant performance boost in grinding and
milling machines. This is because the proposed feature extraction
method is purely data-driven, with minimum human interference, and
can extract the sensitive energy consumption hidden in the machinery
data in an objective and efficient manner. In particular, little effort is
required during the energy consumption feature set construction pro-
cess. Considering the abovementioned unique advantage, the proposed
unsupervised deep learning feature extraction method can be used as a
generalized method for extracting useful information from energy
consumption data.
6.2. Computation load
The computation load of the different models is evaluated in two
ways: (1) the time spent in modeling during the training process and (2)
the time spent in generating a sample. All of the computation is con-
ducted using four Nvidia GTX GPUs 2080Ti on a Windows Server with a
3.60 GHz Intel CPU. Each model is run 30 times, the average of which
serves as the final result. Regarding the prediction techniques, the re-
sults show that SVR consumes the least computation time for devel-
oping the model in the milling and grinding machines. By contrast, the
proposed CNN-R accounts for the most computationally expensive ones,
as CNN-R spends much time in constructing the deep network to bridge
the feature with energy consumption.
Clearly, the computation time increases with the number of fea-
tures. As shown in Table 9, the time spent in the modeling process

Table 9
Computation time for model development in milling machine and grinding machine.
Time (s) SVR ELM GPR CNN-R

Grinding Milling Grinding Milling Grinding Milling Grinding Milling

BASIC 12.471 14.852 15.843 16.079 16.721 16.663 117.754 120.638

RAW 36.090 45.681 35.477 38.621 45.491 58.624 142.472 147.525
EST 14.412 13.715 16.123 17.839 16.882 17.714 121.617 137.481
STAT 17.317 19.128 20.322 19.224 25.862 26.434 127.743 129.042
PCA 15.763 16.327 14.341 16.893 19.344 21.223 114.643 119.724
CNN-F 31.252 34.124 33.807 37.212 31.845 39.119 125.891 121.438

9
Y. He, et al. Applied Energy 275 (2020) 115402

Table 10
Computation time for sample generation in milling machine and grinding machine.
Time(s) SVR ELM GPR CNN-R

Grinding Milling Grinding Milling Grinding Milling Grinding Milling

RAW 0.038 0.040 0.0113 0.016 0.022 0.026 0.058 0.079

BASIC 0.086 0.096 0.0272 0.032 0.103 0.112 0.070 0.821
EST 0.088 0.102 0.0185 0.014 0.027 0.044 0.043 0.517
STAT 0.128 0.093 0.0141 0.014 0.022 0.024 0.053 0.523
PCA 0.030 0.031 0.0414 0.046 0.029 0.025 0.091 0.117
CNN-F 0.221 0.217 0.103 0.115 0.184 0.105 0.162 0.177

reaches a maximum when the RAW feature set is used. The RAW fea-
ture set contains 56 features, which is obviously larger than those in the
other 6 feature sets. It is obvious that CNN-F is the second most ex-
pensive, as it spends much time in the convolutional and pooling op-
erations.
Table 10 summarizes the average computation time of the algo-
rithms for generating a sample, unlike the time spent in the modeling
process. The largest time for the prediction techniques to predict the
energy consumption is taken by CNN-R, and the computation reaches
the maximum when CNN-R is combined with CNN-F. This is because
the proposed deep learning method spends much time on updating the
features.
According to Tables 9 and 10, both the computation time for model
development and sample generation in the milling machine are larger
than those in the grinding machine. Especially, the computation time
for model development in the milling machine is much longer than that
in the grinding machine when CNN-R is combined with CNN-F. This is
because the power profile in the grinding machine is relatively con-
stant, and the energy consumption characteristic is not as complex as
that in the milling machine. It is easy for feature methods to find ap-
proximate features to represent energy consumption behaviors. Al-
though the proposed method spends maximum time in model genera-
tion and modeling, it is still acceptable for energy consumption
prediction in an actual machining process. Besides, during the modeling
training process, the energy prediction function of machine tools is
developed automatically, which enables the proposed model to be used
for real applications without experienced operators.
The proposed method can be used to predict the energy consump-
tion of the machine tool in case of the absence of domain expert
knowledge for real machining workshop. The energy modeling results
can be employed by engineers, specifiers and researchers to monitor the
energy consumption of machine tool and further achieve a refined en-
ergy management for manufacturing industry in a cost-efficient way.
Besides, the method proposed in this paper can be easily adapted
globally to identify and analyze the energy usage for different types of
machine tools.
7. Conclusions and future work
Machine tools are widely used in industrial fields and consume a
considerable amount of energy. The energy prediction model of ma-
chine tools is significant for energy management in the manufacturing
industry. Moreover, an accurate energy consumption prediction of
machine tools is helpful in energy planning, management, and con-
servation of the manufacturing industry. This paper presents an in-
novative energy prediction method for the energy consumption of
machine tools. An experiment is conducted on a milling machine and
grinding machine and the results are compared with those of the con-
ventional data-driven energy consumption studies in terms of predic-
tion performance and computation load. It confirms that the proposed
method is advantageous for machine tool energy modeling. The unique
advantage of the proposed method for feature extraction arises from the
fact that the energy consumption feature of machine tools can be
extracted with little effort and expert knowledge. It can be represented
as a generalized approach for obtaining insights into the energy con-
sumption condition on the machine level. Moreover, by using the
proposed method, the energy consumption features can be extracted in
a more comprehensive manner, which helps in increasing the predic-
tion accuracy. The unique advantage of the proposed method over the
conventional prediction techniques is that it is effective for bridging the
energy consumption feature and the energy consumption of machine
tools. In conclusion, the proposed method provides a practical and ef-
fective way for manufacturing companies to achieve a refined energy
management.
The proposed method shows great potential in practical application,
and can be used to obtain insights into the energy demand for various
machine tools. During the machining process, energy consumption is
divided into cutting energy and non-cutting energy of machine tools.
However, some attributes that influence the prediction performance of
non-cutting energy consumption of machine tools are not considered in
this paper. In future studies, comprehensive research will be conducted
to decouple these attributes and integrate them into the model, to im-
prove the prediction performance of the proposed method further over
non-cutting operations.
CRediT authorship contribution statement
Yan He: Conceptualization, Visualization, Funding acquisition,
Supervision. Pengcheng Wu: Conceptualization, Writing - review &
editing, Methodology. Yufeng Li: Data curation, Visualization. Yulin
Wang: Validation, Formal analysis. Fei Tao: Validation. Yan Wang:
Validation, Writing - review & editing.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influ-
ence the work reported in this paper.
Acknowledgements
The authors would like to thank the support from the National Key
R&D Program of China (Grant No. 2018YFB2002100), the Technology
Innovation and Application Demonstration Project of Chongqing (Grant
No. cstc2018jszx-cyzdx0147), the Fundamental Research Funds for the
Central Universities, China (Grant No. 2020CDCGJX020.
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