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Anda di halaman 1dari 17

Zhu Kunpeng

Department of Mechanical Engineering, National University of Singapore, Singapore 119260, Singapore

a r t i c l e i n f o

Article history:

Received 9 May 2008

Received in revised form

10 February 2009

Accepted 12 February 2009

Available online 27 February 2009

Keywords:

Wavelet

Tool condition monitoring

a b s t r a c t

This paper reviews the state-of-the-art of wavelet analysis for tool condition monitoring (TCM).

Wavelet analysis has been the most important non-stationary signal processing tool today, and

popular in machining sensor signal analysis. Based on the nature of monitored signals, wavelet

approaches are introduced and the superiorities of wavelet analysis to Fourier methods

are discussed for TCM. According to the multiresolution, sparsity and localization properties of wavelet

transform, literatures are reviewed in ve categories in TCM: timefrequency analysis of machining

signal, signal denoising, feature extraction, singularity analysis for tool state estimation, and

density estimation for tool wear classication. This review provides a comprehensive survey of the

current work on wavelet approaches to TCM and also proposes two new prospects for future studies in

this area.

& 2009 Elsevier Ltd. All rights reserved.

Contents

1. Overview of tool condition monitoring. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537

1.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537

1.2. TCM as a pattern recognition problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 538

2. Wavelet, wavelet transform, and properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539

2.1. Limitation of timefrequency resolutions of Fourier methods. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539

2.2. Wavelet and continuous wavelet analysis (CWT). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540

2.3. Discrete wavelet transform (DWT) and wavelet packet decomposition (WPD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541

2.4. Useful properties of wavelet transform for TCM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541

3. Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541

3.1. Timefrequency analysis of TCM sensor signals with wavelet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542

3.2. Wavelet denoising in TCM. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 544

3.3. Feature extraction and dimension reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545

3.4. Singularity analysis for tool wear detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547

3.5. Wavelet probability density estimation for tool

state classication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549

4. Conclusion and future studies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550

1. Overview of tool condition monitoring

1.1. Introduction

During machining, the contact between the cutting tool,

workpiece, and the chips imposes pressure on the tool and

causes the shape of the tool to change, either gradually as

tool wear or abruptly as tool fracture or breakage [1]. In

tool condition monitoring, the aim is to apply appropriate

sensor signal processing and pattern recognition techniques to

identify and predict the cutting tool state, so as to reduce

loss brought about by tool wear or tool failure. An effective

tool condition monitoring (TCM) system can improve productivity

and ensure workpiece quality, and hence, has a major inuence

on machining efciency [2]. Tool condition monitoring has

been extensively studied by many researchers since the late

1980s. Many of the reported research works are reviewed in

[35].

ARTICLE IN PRESS

Contents lists available at ScienceDirect

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

International Journal of Machine Tools & Manufacture

0890-6955/$ - see front matter & 2009 Elsevier Ltd. All rights reserved.

doi:10.1016/j.ijmachtools.2009.02.003

Corresponding author.

E-mail address: mpezhuk@nus.edu.sg (K.P. Zhu).

International Journal of Machine Tools & Manufacture 49 (2009) 537553

Since tool condition is typically dened according to the

geometrical changes in the tool, direct monitoring methods such

as vision and optical approaches, which measure the geometric

parameters of the cutting tool, have been developed [68]. The

direct methods have advantages of capturing actual geometric

changes arising from wear of tool. However, direct measurements

are very difcult to implement because of the continuous contact

between the tool and the workpiece, and almost impossible due to

the presence of coolant uids. The difculties severely limit the

application of direct approach. The indirect approaches are

achieved by correlating or deducing suitable sensor signals to

tool wear states. They have the advantages of less complicated

setup and suitability for practical application. This paper focuses

on indirect approaches. For indirect approaches, tool condition is

not captured directly, but estimated from the measurable signal

feature. This signal feature is extracted through signal processing

steps (Fig. 1) for sensitive and robust representation of its

corresponding state.

Indirect methods such as those based on sensing of the cutting

forces [915], vibrations [1620], acoustic emission (AE) [2126],

and motor/feed current [2732] have been the most employed

and reported for TCM. Detailed works on the design and

implementation of these indirect approaches for TCM have been

reported in [3335].

1.2. TCM as a pattern recognition problem

The problem of TCM can be considered as a typical

pattern recognition problem. The objectives of TCM

can be formally specied to be a search for the most probable

state C

i

given the extracted measurable signal feature y(t)

at time t. This is a dynamic inference problem since the

tool state is not estimated only with prior knowledge, but also

adapt to the current features. This is somewhat of Bayesian

inference [36].

Hence, as the pattern recognition problem, the aim of TCM is to

nd,

TCM : arg max

i

pC

i

jy (1)

ARTICLE IN PRESS

Nomenclature

AE acoustic emission

AR autoregressive

ART adaptive resonance theory

CQF conjugate quadratic lters

CWD ChoiWilliams distribution

CWT continuous wavelet transform

DFT discrete Fourier transform

DWT discrete wavelet transform

EMD empirical mode decomposition

FDR Fishers discriminant ratio

FFT fast Fourier transform

FWT fast wavelet transform

GMM Gaussian mixture models

HMM hidden Markov models

ICA independent component analysis

KLT KarhunenLoeve transform

LE Lipschitz exponent

LDA linear discriminant analysis

MLP multilayer perceptron

MRA multiresolution

NN neural networks

PCA principal component analysis

pdf probability density function

PSD power spectrum density

SNR signal-to-noise ratio

SOM self-organizing map

STFT short-time Fourier transform

TCM tool condition monitoring

WPD wavelet packet decomposition

WT wavelet transform

WTMM wavelet transform modulus maxima

WVD WignerVille distribution

Symbols

f(t) any mathematical signal f(t)AL

R

2

x(t) any sensory signal from machining

y(t) extracted features

^

f o Fourier transform of f(t)

T

s

sampling interval

f

s

sampling frequency

C

i

class i

/x(t),y(t)S inner product of signal x(t) and y(t)

u position parameter of wavelet function

s scale parameter of wavelet function

s

t

the resolution of time

s

o

the resolution of frequency

c(t) wavelet function

j(t) scaling function

h(n) low-pass lter

g(n) high-pass lter

c

j,k

scaling coefcient

d

j,k

wavelet coefcient

W

j,n,k

wavelet packet

d

n

j;k

wavelet packet coefcient

Q quality factor

a Lipschitz exponent

S

i

the covariance matrix of class i

S

W

within-class covariance matrix

S

B

between-class covariance matrix

Machining

Setup

Signals

Force

AE

Vibration

Current

Image

Signal Processing

Amplitude analysis

Fourier analysis

Wavelet analysis

Statistical moments

Time series

Tool State

Wear

Chipping

Breakage

Failure

Chatter

Sensors

Classifier

Time series

LDA

NN

Clustering

HMM

features estimation

Fig. 1. The framework of TCM.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 538

or in the physical form

TCM : arg max

tool state i

ptool statejsignal features (2)

The TCM system can be achieved in a three-step procedure as

pattern recognition (Fig. 2). The sensor signal x(t) is rstly pre-

processed to remove the noise and prepare the data for feature

extraction. Then the information relevant to pattern classication

is extracted from x(t) to a feature vector y(t). The task of feature

extraction is to enhance the characteristics of the various tool

wear classes and suppress or lter off the normal background. The

nal stage is state classication. Feature vector y(t) is assigned to

one of the K tool wear state, C

1

,C

2

,y,C

K

, by the classier based on

a certain type of classication criteria.

Earlier study on TCM classier is mainly carried out with time-

series analysis [9,37,38]. With these methods, a threshold value

needs to be set between the normal and abnormal tool states.

However, the threshold value varies with cutting conditions and is

difcult to determine. To improve the performance of TCM, more

advanced methods have been developed. Neural networks (NNs)

are most studied and gained most success in practical applications

[3944], due to its capability in learning and non-linear mapping

of features and tool state. Besides NNs, other pattern recognition

methods, such as fuzzy clustering approaches [45,46], linear

discriminant analysis (LDA) [37], Gaussian mixture models

(GMMs) [47], combination of regression and neuro-fuzzy techni-

ques [48], self-organizing feature maps (SOM) [8,49], hidden

Markov models (HMMs) [50,51], support vector machine (SVM)

[52], and rough set [53] have also been studied and applied to

TCM by many researchers.

Table 1 lists them according to their classication approaches.

Note that the list is not totally exhaustive but serves to be

representative of known TCM approaches, where most of them

also involve wavelet applications to one of the three stages of TCM

(Fig. 2).

2. Wavelet, wavelet transform, and properties

2.1. Limitation of timefrequency resolutions of Fourier methods

We call any square integrable real function f(t)AL

2

(R) a signal.

For the signal f(t), the Fourier transform

^

f o is obtained by the

inner product of f(t) with a sinusoidal wave e

jot

,

^

f o f t; e

jot

_ _

_

1

1

f te

jot

dt (3)

It transforms the signal f(t) from the time domain to the

frequency domain o and is viewed as the basis of modern signal

processing. The fast Fourier transform (FFT) [54] is the standard

method for observing signals in the frequency domain and has

been widely studied in TCM, such as those [11,55,56]. In spite of its

earlier popularity, Fourier transform has certain serious theore-

tical drawbacks in processing machining signals. This is because

the

^

f o is the integration of f(t) for all times tA(N,+N)

(function 3), and this globally inclusive of information makes it

difcult to analyze any local property of f(t) from

^

f o. To

overcome this limitation, Gabor [57] introduced a sliding window

function g(t) to the Fourier transform and obtains a localized

ARTICLE IN PRESS

Table 1

Tool condition estimation scopes.

Approaches References Comments

Time series AR, ARMA [9,37,38,127] Linear, physical meaning, good for stationary machining like

turning, not good for non-stationary machining like milling, need

set threshold for classication

Neural networks MLP [1214,19,4144,120,126,130] Iterative MSE optimization, sensitive to network structure, non-

linear classication, slow training

SOM [8,40,49,128] Non-linear and iterative clustering, suitable for low-dimension

feature space

ART [24,40,67,68,83,131] Based on competitive learning: fast incremental learning ability,

good self-adaptive ability

SVM [52] Maximizing the margin between classes with minimum number

of support vectors, metric dependent, non-linear, good

generalization, slow training

Others [122,123] Sensitive to training parameters, non-linear classication, robust

to outliers

Pattern recognition k-means [12,13] K-clusters, the nearest mean decides the cluster, good for

Gaussian signal with equal covariance

Fuzzy methods [12,13,45,46,76,132] Need initializing clusters and class membership

Gaussian mixture models [47,148] Each state is assumed to be drawn number of underlying

Gaussian distributions, soft membership, better than k-means

clustering, need estimate components

PCA/KLT [91,92,96,126] Linear, second-order statistics based on eigenvector

decomposition, good for Gaussian signal

LDA [12,13,23,37,38,61,96,124] Supervised linear classier, using MSE for optimization, better

than PCA for classication, need Gaussian assumption of signal

Stochastic models Hidden Markov models [50,51,129] Simple structure, good in generalization, good in non-linear and

non-stationary machining signals, need to train many small

models

Fig. 2. TCM as a pattern recognition system.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 539

timefrequency atom f:

f

u;o

t e

jot

gt u (4)

The resultant transform is named short-time Fourier transform

(STFT):

STFTf t f t; f

u;o

_

_

1

1

f tgt ue

jot

dt (5)

The corresponding energy density |STFT(f(t))|

2

is called a

spectrogram, which is widely used for timefrequency analysis

before wavelet, and applied to TCM [49,58].

However, the frequency resolution s

2

o

and time resolution s

2

t

are constant for both time and frequency (Fig. 3(c)), and according

to Heisenberg uncertainty principle [59],

s

2

t

s

2

o

X

1

4

(6)

equality holds if f(t) is a Gaussian. It states that high resolution

both in frequency and time cannot be attained at the same time.

As shown in Fig. 3, while the original time signal f(t) has innite

time resolution (Fig. 3(a)) but no frequency information, the

Fourier transform

^

f o has innite frequency resolution (Fig. 3(b))

but provides no time information. The timefrequency resolution

of STFT is constant (Fig. 3(c)).

On the other hand, the above-mentioned approaches assume

that the sensor signals are stationary. However, due to the nature

of manufacturing processes, the signals are usually non-stationary

[12,60]. Constant time and frequency resolutions of STFT are not

suitable for the analysis of non-stationary signal. For example,

Mori et al. [61] took the FFT of the thrust force signal and found

that the spectra cannot capture the localized aspect of the saw-

tooth signal, but instead it spread the information across the

transformed signal. Wavelet analysis overcomes the drawbacks of

Fourier methods and permits adaptive timefrequency represen-

tation. Gong et al. [62] have shown that the wavelet analysis is

more sensitive and reliable than the Fourier analysis for

recognizing the tool wear states in turning. Yoon and Chin [63]

also veried the reliability of the wavelet transform method

compared the spectra method of FFT. The signal processing

approaches that deal with non-stationary signals are more

appropriate for process monitoring.

2.2. Wavelet and continuous wavelet analysis (CWT)

To meet the needs for adaptive timefrequency analysis in

applied mathematics, physics, and engineering, the wavelet

theory was developed in the late 1980s by Mallat [64,59], and

Daubechies [65,66]. It has been widely used to analyze machining

signals for tool wear monitoring since Tansel et al. [67,68].

Let c

s,u

(t), s,uAR,s40, be a family of functions dened as

translations and re-scales of a single function c

s;u

t 2 L

2

R [59],

c

s;u

t

1

s

p c

t u

s

_ _

(7)

where s is the scaling parameter and u the position parameter.

The wavelet c

s,u

(t) has the following basic properties:

_

1

1

ct dt 0;

_

1

1

c

2

t dt 1 (8)

These properties indicate that the wavelet is a small wave:

oscillate around zero (zero mean) and has limited support area

(nite energy), as shown in Fig. 4(a). The wavelet c

s,u

(t) has to

meet the admissibility condition for the transformation to be

invertible [65].

Continuous wavelet transform of signal f(t) is dened as

W

c

f s; u f t; c

s;u

t

_

1

s

p

_

1

1

f tc

t u

s

_ _

dt (9)

The timefrequency resolution of wavelet transform is illu-

strated in Fig. 4(b). The signal is localized in the area with time

width D

t

: u

0

1=2a

0

s

t

; u

0

1=2a

0

s

t

and frequency width

D

o

: Z=a

0

s

o

=2a

0

; Z=Z s

o

=2a

0

. Compared with the

STFT, whose timefrequency resolution is constant Fig. 3(c), the

timefrequency resolution of the wavelet transform (WT) de-

pends on the frequency of the signal. At high frequencies, the

wavelet reaches at a high time resolution but at a low-frequency

resolution; whereas at low frequencies, high-frequency resolution

and low time resolution can be obtained.

On the other side, the quality factor of WT is kept constant

in the timefrequency plane. For mother c(t/a), the quality

ARTICLE IN PRESS

t

t

1

u

2

u t 0

0 2 4

-2

-1

0

1

2

Daubechies Wavelet

u

(

u

,

s

)

-50 0 50

-1

-0.5

0

0.5

1

u

Morlet Wavelet

(

u

,

s

)

t

a

a

0 t

a

0

a

u

0

u t 0

0

a

Fig. 4. Typical wavelets and adaptive timefrequency resolution of WT: u is position of the wavelet and s the scale of the wavelet.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 540

factor dened,

Q

a

Central frequency=bandwidth Z=a=s

o

=a Z=s

o

and for c(t/a

0

),

Q

a

0

Central frequency=bandwidth Z=a

0

=s

o

=a

0

Q

a

As a result, no matter what u is (u40), c(t/a), and c(t/a

0

)

are constant with quality factor. Fig. 4(d) illustrates the

bandwidth and central frequency varies with the different scale

u. Such adaptability of timefrequency analysis is called math-

ematical micro-scope and benets the signal analysis crossing

scales. This multiscale analysis is preferred in TCM to get both

coarse global information and ne localized details when

necessary.

In physical interpretation, the coefcients of the wavelet

transform indicate the variation of energy of the signal with time

and frequency. In engineering applications, the square of the

coefcients of the CWT is often called as scalogram, dened

as Eq. (10), which has been used for machinery fault diagnostics,

and TCM.

SC

t

s; u; c W

c

f s; u

2

(10)

2.3. Discrete wavelet transform (DWT) and wavelet packet

decomposition (WPD)

Continuous wavelet transforms are recognized as effective

tools for both stationary and non-stationary signals. However, it

involves much redundant information and is computationally

very slow. Discrete wavelet transform was developed by Mallat

with fast algorithm based on the conjugate quadratic lters (CQF)

[64]. Wavelet and scaling functions at different scales are

generated from a single scaling function f(t) with two-scale

difference equations [59]:

ft

2

p

k

hkf2t k (11)

ct

2

p

k

gkf2t k (12)

where g(k) (1)

k

h(1k), and the h(k) and g(k) are viewed as

lter coefcients of low-pass and high-pass lters, and l is the

lter length. f(t) And c(t) are scaling and wavelet functions at

scale j 1, respectively. In an orthogonal wavelet expansion, a set

of recursive relationships governs scaling and wavelet coefcients

at different scales and translations as follows:

c

j;k

l

h

l2k

c

j1;l

(13)

d

j;k

l

g

l2k

c

j1;l

(14)

where c

j,k

, d

j,k

are scaling and wavelet coefcients derived from

the projection of the signal onto the space of scaling f

j,k

(t) and

wavelet functions c

j,k

(t), respectively.

Fig. 5(a) illustrates the 5-level MRA analysis of a cutting force

signal sampled at 6000Hz. With a 5-level MRA analysis, the

corresponding frequency bands are separated as illustrated in

Fig. 5(b). By DWT, the signal f(t) is decomposes into two parts:

low-pass approximation coefcients and high-pass detail coef-

cients. The next step then decomposes the new approximation

coefcients.

The DWT lead to a loss of useful information at high frequency

because successive details are no longer analyzed. We need to

double the sampling rate for higher frequency analysis, which

however involves more data and computation. Wavelet packet

decomposition [69] is a generalization of wavelet decomposition

at higher frequencies. In the wavelet packet decomposition, each

approximate and detail coefcients are recursively decomposed.

The library of wavelet packet basis functions fW

n

g

1

n0

can be

obtained from a given W

0

as follows:

W

j

2n

2

p

k

hkW

n

2t k (15)

W

j

2n1

2

p

k

gkW

n

2t k (16)

where the functions W

0

and W

1

are set to the scaling function f(x)

and the mother wavelet function c(x), respectively. The imple-

mentation of the wavelet packets leads to a tree-structured

decomposition, thereby implying that both the outputs of the

low-pass and high-pass lters are recursively decomposed.

The wavelet packet coefcients are then produced from the

integral:

d

j

n;k

_

W

j;n;k

tf t dt (17)

It should be emphasized that Eq. (18) allows many possible

combinations of wavelet packet functions to be selected in order

to optimally characterize the signal. Several criteria have been

developed to select the best basis for these purposes [59,70].

Due to the benets of wavelet decomposition, wavelet

methods have been studied in all aspects in TCM, such as

timefrequency analysis, signal denoising, feature extraction and

compression, or directly used as classier for TCM. Basic theories

of these approaches are introduced and literatures are reviewed

in Section 3.

2.4. Useful properties of wavelet transform for TCM

The most important property of wavelet useful in tool

condition monitoring is its sparse representation of signal. The

wavelet expansion coefcients c

j,k

and d

j,k

decay rapidly with

increase in j and k, and only a few large coefcients exist

while the others are small. By setting a suitable threshold, the

undesired noise is ltered. This is the essence of wavelet

denoising, and compression [71,72]. Another important property

of wavelet transform that determines its applications is its

localization property, as discussed in Section 2.1. Unlike Fourier

transform that spans the entire time period, wavelet transform

localize the time and frequency description of the signal, and

reveals the signal behavior in certain time and its corresponding

frequency property, which is generally useful for uncovering

different localized features associated with various different tool

states.

3. Applications

We rst presents a review of the timefrequency analysis of

machining signals, signal denoising, and feature extraction of

wavelet applications for TCM. These three applications are

studied in most of the literature reviewed. Two new approaches,

called singular detection and density estimation with wavelet

for TCM, are also introduced with real experiments and

discussed for TCM. Though few papers are found on these two

approaches on TCM, papers related to machinery condition

monitoring and fault diagnosis are reviewed to show the

prospect of these applications in TCM. Table 2 lists the references

reviewed according to different wavelet features used for TCM in

this paper.

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K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 541

3.1. Timefrequency analysis of TCM sensor signals with wavelet

In the timefrequency analysis of TCM sensor signals, the

scalogram SC

t

(a,b;c), wavelet coefcient d

j,k

, scaling coefcient

c

j,k

, wavelet packet coefcients d

j

k

, and their wavelet domain

statistics (i.e.: mean, variance, etc.) are used as criterion in

condition discrimination in TCM after some manipulation. The

corresponding literatures reviewed in this section are summar-

ized in Table 3.

Yesilyurt [73] uses the scalogram and mean frequency of

scalogram of vibration signals in milling breakage detection.

The mean frequency of scalogram characterized the energy

density of the signal in a certain period. It was found that the

feed rate was highly correlated to the mean frequency of

scalogram, and the mean frequency variation is quite sensitive

to the presence of fault. Khraisheh et al. [74] found that CWT is

suitable for analyzing the transient in primary chatter. The

transient boundary and the built-up edge were successfully

identied by wavelet transform. With CWT, as discussed earlier,

it is a redundant transform. We generally encounter the problem

of overlapping, as a large amount of redundant information exists

after CWT; the overlapping may have the effect of smearing the

localized features for TCM. Minimizing the effect of overlapping

and improving the localization are still problems in CWT. These

are partially studied in [75] with an exact WT for gear fault

detection.

DWT is preferable in the timefrequency analysis because of

no redundancy and fast computation. Gong et al. [62] applied

DWT to monitor the ank wear states in turning. It was found that

the 5-level coefcients were sensitive to the ank wear and

cutting conditions. The normalized 5-level mean wavelet coef-

cients were used as parameters of the ank wear state recogni-

tion. The experimental results showed that it was more reliable

than FFT analysis in turning TCM. Li et al. [76] discussed a tool

breakage monitoring system based on DWT of acoustic emission

and feed current signals. The experimental results show overall

98.5% reliability and the good real-time monitoring capability of

the DWT for detecting tool breakage during drilling. Fu et al. [77]

identied saw tooth and screeching behavior in the thrust force

signal by using convolution masks to extract various features from

the DWT coefcients. The drawback of this method is that the

proles of the convolution masks are derived from idealized

simulated signals, and the shapes of the simulated signals

signicantly inuence the output results. Suh et al. [78] developed

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-5

0

5

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Detail level 4

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0

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0

5

10

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-5

0

5

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V

0

V

1

V

2

V

3

V

4

W

4

W

3

W

2

W

1

0 47Hz 94Hz 188Hz 750Hz 3000Hz

W

5

V

5

1500Hz 375Hz

Fig. 5. (a) Five-level MRA analysis of cutting force: abscissa is the location of sampled cutting force, and ordinate is the force amplitude in Newton. (b) Frequency band

separation of 5-level MRA analysis.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 542

a DWT-based algorithm to capture the variations of periodicity,

scaling coefcients, and wavelet coefcients. The three para-

meters were used to characterize stable, conditionally stable, and

unstable milling conditions. It was claimed that this approach can

accurately detect the transition of the system from one state to

the other.

Yoon and Chin [63] applied with the standard deviation ratio of

DWT coefcients of cutting force to detect chatter. It was found

that the detail coefcient parameters of the third or fourth level

were desirable for detection of chatter with spindle speed of

5001300rpm in end milling. The identication of chatter

through wavelet was also investigated by Berger et al. [79] who

analyzed the ratios of the mean absolute deviations of detail

coefcients of cutting forces. Similar study was also reported in

[80], which claimed that the variance of wavelet coefcients are

sensitive to tool wear and little inuenced by the variation of

working conditions, and thus provide a robust description of tool

wear in milling. It is reasonable to use the deviation as standard to

detect chatter because the signal amplitude varies largely before

and after the chatter period, but how to generate a robust decision

measure (i.e. threshold) is still challenging. Luis Alfonso et al. [81]

described a method using current signals to estimate the tool

conditions by using the DWT of cutting force, and through an

autocorrelation algorithm to evaluate the tool wear in the form of

an asymmetry weighting function. The authors reported that the

asymmetry value increases according to the states of the tool

wear. This approach is promising since it uses the current signals,

which is easy to implement and do not interrupt the machining.

ARTICLE IN PRESS

Table 2

Overview of the selected references with wavelet applications.

Wavelet Wavelet features Tool condition Monitored signal Reference

CWT Scalegram: SC

t

(a,b,c) mean, variance of Scalegram Drill breakage Current [29]

Drill wear Current [29]

Mill breakage Vibration [73]

Milling chatter Vibration [74]

DWT c

j,k

, d

j,k

, Mean, variance moments, and cumulants of DWT Drill breakage Current [29]

Force [61,67,68,77]

AE [76,132]

Drill wear Force [47,81]

Vibration [130]

AE [132]

Curremt [29]

Milling chatter Force [63,78,79]

Milling tool wear Force [80,125]

Milling fracture Current [111]

Turning tool wear AE [122,123]

Force [62,124,126]

Vibration [120,129]

Turning failure Force [110]

Grinding too wear Force [109]

WPD d

n

j;k

, Mean, variance moments, and cumulants of WPD Drilling wear Vibration [60]

Drilling breakage Current [46]

Turning chatter Force [60]

Turning chipping/breakage AE [24,82]

Turning wear AE [24,82]

Current [121]

Vibration [128]

Force [128,131]

MP

f

m1

n0

R

n

; f

g

n

_ _

f

g

n

R

m Drilling failure Force [85]

Table 3

Timefrequency properties of the transforms.

Wavelet Reference Transform Suitability Comments

CWT [7375] Linear Stationary, non-stationary Redundant transform, computationally slow

DWT [62,7681] Linear Stationary, non-stationary No redundancy, computationally fast, only low-

frequency components iteratively decomposed

WPD [24,60,82,83,121,127,131] Linear Stationary, non-stationary Redundant transform, both low- and high-frequency

components iteratively decomposed

MP [85] Linear Stationary, non-stationary No need to be orthogonal basis, acted also as a classier

STFT [49,58,62,63] Linear Stationary Can not adaptively change time and frequency resolution

WVD/CWD [8689] Quadratic Stationary, non-stationary Accurate timefrequency distribution, but involves

cross-interference terms

KLT [91,92] Linear Stationary A PCA approach, can not capture signals non-Gaussian

property

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 543

The problem is that the current signal may not be sensitive in all

conditions.

Wavelet transform can be very helpful if it is used as a signal

separation tool in TCM. Niu et al. [24] and Niu [82] separate the

acoustic emission signal into burst and continuous components

by WPD. The burst signal is suitable for the detection of transient

tool conditions, such as chipping and tool fracture, etc., and the

continuous signal is suitable for determination of tool wear. This

approach is much alike the one presented in [83]. This is

promising as only one signal is used to carry different monitoring

tasks.

The above WT approaches generally need feature extractors

followed by classiers for TCM. A modied WPD analysis, the

matching pursuit (MP) [84], handles both of the problems in an

integrated manner. It decomposes the signal into a linear

expansion of waveforms that are selected from a dictionary of

basis functions. It chooses waveforms that best match the signal

structure iteratively. As a pattern recognition method, MP adapts

to specic machining monitoring tasks and do not need feature

extraction or classication. Fu et al. [85] applied the MP to predict

small drill bit failure, with different types of drilling behavior from

the thrust force. It was revealed that the MP approach performed

satisfactorily with Gaussian, Haar, and Gabor wavelet dictionaries

in detecting small drill bit pre-failure. This approach simplies the

structure of TCM. The problem is that the threshold selection

scheme in the wear detector is hard to generalize.

In some cases, the energy variation of non-stationary signal is

examined for TCM. Quadratic timefrequency methods such as

the WignerVille distribution (WVD) and the ChoiWilliams

distribution (CWD) [86] are more precisely in representation of

the energy distribution. Gillespie and Atlas [87] stated that WVD

provides good stationary and non-stationary representation, and

provide alternatives for timefrequency analysis in TCM. These

methods are widely applied to mechanical signal analysis for

machinery condition monitoring [88,89], and shows good time

frequency energy distribution for fault detection. But in practice

these methods are limited by the existence of interference terms,

even if they are attenuated by some approaches [59]. Another

transform similar to WT is the KarhunenLoeve transform (KLT)

[90]. Tumer et al. [91,92] proposed the KLT to decompose

vibration signals from milling into fundamental eigenvectors,

and use the eigenvectors to indicate the changes in the fault

patterns. This is an improvement over methods which project the

data onto pre-determined wave functions, such as FT with sines

and cosines. But this approach is in essence the principal

component analysis (PCA), and it only uses the second-order

statistics and de-correlates the signals with eigenvector decom-

position. It cannot capture non-Gaussian properties (high-order

statistics), which is very important in characterizing signals used

in machining monitoring.

3.2. Wavelet denoising in TCM

Noise always exists in machining, especially encountered in

high precision machining [9395]. Denoising is a practical

problem in TCM. Houshmand and Elijah Kannatey-Asibu [96]

found that the spectra of the AE signal are highly contaminated by

noise. This noise is so high that the rst principal component of

spectra has no discriminatory power at all. But denoising is

generally not concerned in TCM area. This may due to the high

signal to noise ratio (SNR) in conventional machining, and the

noise imposes little effect on the nal decision. On the other hand,

in statistical analysis such as mean or moving average [97], the

noise is diminished by the averaging. But in high precision and

micro machining, the machining signal is typically very small, and

as a result the SNR is relatively low [93,95,98]. The noise has to be

removed before further analysis for TCM.

The model of signal with noise is [99]

yt

i

f t

i

t

i

(18)

where the function f(t) represents the desired signal, while the

remaining part e

i

is the noise. For the wavelet denoising, applying

DWT to the noisy data, we obtain the wavelet coefcients,

d Wyt

i

Wf t

i

Wt

i

(19)

Because smaller coefcients are usually contributed by data

noise, thresholding out these coefcients has the effect of

removing the data noise. In wavelet thresholding, after setting

some coefcients to zeros, the reconstructed (denoised) signal is

obtained by inverse transformation:

^

f t W

1 ^

d (20)

Fig. 6 illustrates the thresholding and reconstruction process.

Donoho [71] Donoho and Johnstone [72] developed several

wavelet-based thresholding techniques such as hard thresholding

and soft thresholding to nd an optimal estimate

^

f t from the

noisy data. The choice of threshold l is crucial: small/large

threshold values will produce estimates that tend to overt/

undert the data. They proposed a universal threshold

l ^ s

2logn

_

, where n is the number of observations and ^ s is

an estimate of the noise variance, which is unknown and needs to

be estimated from noisy samples. Despite the triviality of such a

threshold, they showed that the resulting wavelet estimator is

asymptotically near-minimax among all estimators within the

whole range of the Besov space [100]. Fig. 7 illustrated the

thresholding approaches. The hard thresholding employs a keep-

or-kill rule (Fig. 7(a)), while the soft thresholding is a shrink-or-

kill rule (Fig. 7(b)).

Mathematically speaking, both thresholding approaches have

drawbacks: hard thresholding is unstable, and sensitive to small

changes, while soft thresholding is a bias estimate rule. To

overcome these drawbacks, Gao and Bruce [101] developed the

rm threshold thresholding. The resulting wavelet thresholding

ARTICLE IN PRESS

Fig. 6. Wavelet denoising scheme.

Fig. 7. (a) Hard thresholding. (b) Soft thresholding. Wavelet denoising.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 544

offers a balance between the two approaches. Other ways to

overcome this problem is to estimate level-dependent thresholds

with generalized cross-validation [102], or utilize a prior informa-

tion with Bayes shrinkage [103,104] for signal denoising, which

are exclusively studied in statistics literature and not applied to

mechanical domain however. (See Jansen [105] for a comprehen-

sive study on wavelet denoising.)

Menon et al. [106] used the wavelet-based method to eliminate

the background noise, which was a problem when using the AE to

detect small fatigue cracks in rotor head components. Bukkapat-

nam et al. [107] modied Donohos thresholding method for

chaotic signal with multiplicative noise. It was found that the

method can separate chaotic signal from worn tool in machining,

and suitable for on-line implementation. The DWT was formerly

applied by the authors as signal separation approach for the

denoising [108], which was not thresholding, but as a matched

lter with MRA decomposition. Kwak and Ha [109] described the

use of the grinding force signal with noise reduction to detect the

dressing time based on DWT. As a result of denoising, the grinding

force signal was successfully used to detect the need for dressing.

The wavelet denoising method was found to be more effective

than the FFT ltering technique. Kwak [110] furthered this

approach in turning. DWT is used in both denoising and detecting

tool failure. The DWT coefcients of the cutting force signal

showed that the onset time of tool failure and chatter vibration

was successfully detected. Li and Guan [111] proposed a wavelet-

based denoising to extract marked features from the feed-motor

current signals to indicate the minor cutting edge fracture. It was

found that the best denoising approach was to utilize a third

Symmlet mother wavelet function in combination with cross-

validation threshold determination and soft thresholding.

Wavelet denoising approaches are also studied in mechanical

system condition monitoring, which is quite similar to the TCM

approach. Qiu et al. [112] compared the performance of wavelet

decomposition-based denoising and wavelet lter-based denois-

ing methods on signals from mechanical defects. The comparison

result demonstrates that wavelet lter is more suitable and

reliable to detect a weak signature of mechanical impulse-like

defect signal, whereas the wavelet decomposition denoising

method can achieve satisfactory results on smooth signal

detection. Lin and Qu [113], and Lin et al. [114] improved the

soft-thresholding method by utilizing a prior information on the

probability density of the impulse, which matched with Morlet

wavelet. The timefrequency resolution can be adapted to

different signals of interest. It was claimed that the method

performed excellently when applied to denoise gear and bearing

vibration signals with a low SNR.

However, the existing wavelet denoising methods reported in

the literature rely heavily on white Gaussian noise and relative

energy levels of wavelet coefcients [115]. In practical machining,

the noise is generally not Gaussian. This is because the noise is not

purely random but correlated with working conditions. Fig. 8

shows the residue of the denoised force after soft thresholding.

The PSD is nearly evenly distributed in all frequencies, and a

Gaussian signal ts it quite well. The wavelet denoising methods

meet problems in denoising non-Gaussian noise, which is

discussed in details in [98]. It was found that the thresholds

dened by Donoho [71] Donoho and Johnstone [72] are too small

when we met super-Gaussian (normalized kurtosis40) noise

[116,117]. In this condition, the noise can be regarded as a certain

signal and the wavelet decomposition coefcients are not evenly

distributed among all scales as Gaussian noise, and as a result

some of the noise coefcients are not small. Under this condition,

independent component analysis (ICA) [118,119] for noise separa-

tion is more effective than wavelet denoising as shown in [98].

Fig. 9 is the recorded real noise during the interval of machining.

Apparently, it is quite different from the estimated noise in Fig. 8

both in time and frequency domain, and is super-Gaussian.

3.3. Feature extraction and dimension reduction

Apart from the original intention of the WT for timefrequency

analysis, the important and successful application of wavelet in

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e

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N

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S

D

v

a

l

u

e

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step

a

u

t

o

c

o

r

r

e

l

a

t

i

o

n

v

a

l

u

e

Fig. 8. Illustrative of the residue of wavelet denoised force. (a) Estimated noise, (b) noise distribution compared with Gaussian distribution, (c) the corresponding power

spectrum density and (d) the autocorrelation coefcients.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 545

TCM is feature extraction and dimension reduction. The wavelet

coefcients usually need to be extracted for robust and effective

representation of different tool states in TCM. The extraction

approaches are generally based on some statistical measurements

(i.e. mean, variance, Euclidian distance, etc.) to maximize the

discriminability or classication among different tool states.

Related literatures are summarized in Table 4 according to their

approaches.

Moria et al. [61] developed a method for extracting pre-failure

features from the cutting force to predict breakage of a small drill

bit to discriminate different tool states. The DWT coefcients are

reduced to three indices: energy, waviness, and irregularity. The

problem is it is difcult to determine the index function for

classication. Tansel et al. [67] used the DWT coefcients of the

thrust force as an input to (ART-2) to predict micro drill bit

breakage in peck drilling. The authors later enhanced this

technique by encoding the raw data before inputting it to the

ART-2 [68]. However, the encoding technique relies excessively on

statistical abstractions that cannot be explained in terms of the

machining system behavior during failure. Thus, the drilling

monitoring method lacks a basis for generalization to other types

of drilling processes. Hong et al. [120] decomposed dynamic

cutting force signal into different frequency bands by DWT, and

two features, mean values and variances of the local maxima,

were extracted from the decomposed signal for each frequency

band. These features are input to MLP for the tool state

classication. It was shown that the features extracted by wavelet

transform are less sensitive to changing cutting conditions and

the MLP has high classication rate. Similar study has also been

reported in [121]. Kamarthi and Pittner [122], and Pittner and

Kamarthi [123] investigate a ank wear estimation technique in

turning through wavelet representation of acoustic emission

signals. The energies of DWT coefcients are used for ank wear

estimation. The ank wear estimation from the recurrent neural

network is fairly accurate and indicates that the FWT representa-

tion of AE signals is more effective and sensitive than Fourier

transform representation. Kamarti et al. [124] extended this study

with a new feature extraction method based on the FWT. The

features of AE signal are calculated by the Euclidean norms of the

frequency clusters. They showed that the proposed method can

efciently extract important features related to progressive ank

wear. Choi et al. [125] studied cutting force trends and tool wear

effects in ramp cut machining. This study is challenging because

the depth of cut is continuously changing in ramp cuts. Wavelet

analysis is applied to cutting forces from a progressively worn

tool. The root mean square value of the approximation coefcients

extracted as features and linear regression are used for tool wear

estimation. It is reported that for small depth of cut, the linear

regression can estimate the tool wear with error below 6%.

A typical example of wavelet feature extraction was presented

by Wu and Du [60]. They introduced an automatic feature

extraction and assessment procedure using a wavelet packet

transform in TCM. To identify the effectiveness of the selected

features in both time and frequency domains, four criteria such as

cross-correlation and cross-coherence of signal and reconstructed

signal, correlation of the residue, and power spectrum of the

residue, are proposed. The proposed method is tested for chatter

monitoring in turning and tool wear monitoring in drilling.

It was found that WPD can capture important features of signal

that are sensitive to the machining conditions, e.g. chatter and

different states of tool wear, but is insensitive to the variation of

working conditions and noises. Accordingly, accurate and reliable

on-line monitoring decisions can be made. Wu et al. [126]

furthered the study with a real-time implementation of WPD

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p

d

f

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P

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D

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a

u

t

o

c

o

r

r

e

l

a

t

i

o

n

v

a

l

u

e

autocorrelation

Fig. 9. Recorded real noise. (a) Noise signal, (b) noise distribution compared to Gaussian distribution, (c) the corresponding power spectrum density and (d) the

autocorrelation coefcients.

Table 4

Feature extraction with wavelet analysis.

Features Reference Comments

DWT [61,67,68,120,122125,129,130,132] Statistics of DWT coefcients, need

succeeding classier or set a

threshold for classication

WPD [24,60,83,121,126128,131,133136] Statistics of WPD coefcients, need

succeeding classier or set a

threshold for classication

MP [85] Acted as both feature extraction and

classication

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 546

to motor current signal. The wavelet packet features were

obtained under normal tool condition. Based on the principal

components analysis the alarm thresholds are then constructed

for decision making. WPD approach for the feature extraction is

also studied in [127], while the classication is based on a MLP

neural network.

Scheffer and Heyns [128] adapted the approach of [60] and

used the correlation coefcient with an ideal trend function to

select features during machining. The monitoring system auto-

matically selected features displaying the most consistent trend

towards tool wear. The time and frequency domains, time-series

coefcients and wavelet packet features were extracted. The WPD

features consist 5 of 13 features nally selected. Wang et al. [129]

extracted DWT coefcients and designed a codebook vector to

convert the feature vectors into a symbolic sequence. The

effectiveness of the approach was evaluated under different

conditions. The problem of this approach is that the vector

quantization is targeted for HMM modeling, and may largely

degrade the sensitivity of the wavelet features, since it is averaged

over a long period. Abu-Mahfouz [130] found that the average

harmonic wavelet coefcients and the maximum entropy spec-

trum peaks are more efcient in training the MLP than the time

domain features in monitoring of twist drill wear. Other features,

such as normalized mean wavelet packet coefcients of the feed

force, which is affected not only by the ank wear but also by the

severe crater wear observed in high-speed machining, are tried by

Obikawa and Shinozuka [131]. Li et al. [132] applied DWT to

decompose turning AE signals into uncorrelated components.

These components were treated as features and thresholded with

Shewhart control charts for TCM. The case study demonstrated

that the new method is able to detect serious tool wear or

breakage in the machining process. However, the threshold

selection is not mentioned and it is difcult to decide the range

limit.

The following case study shows a feature extraction approach

for milling TCM [133]. Milling force is highly non-stationary and

WT is more appropriate than FT approaches. The features are

extracted with wavelet packet coefcients. It is decomposed into 5

levels for the signal representation. There are overall 62 wavelet

packets in this decomposition. These high-dimension features

need to be reduced for less computation and robust representa-

tion. A feature selection algorithm is adapted as Fishers

discriminant ratio (FDR) [134] to discriminate features from

different classes:

FDR

c

i

c

jai

m

i

m

j

2

s

2

i

s

2

j

(21)

where the subscripts i, j refer to the mean (m

i

,m

j

) and scatter

matrix (s

i

,s

j

) corresponding to the features under investigation for

the classes o

i

, o

j

, respectively. Features are then ranked with their

class discriminating ability according to their FRD. Their FDR

score is demonstrated in Fig. 10 under different tool wear level.

The features are normalized between [0,1] and classied by a

succeeding classier.

Besides TCM, interesting and efcient wavelet feature extrac-

tion approaches are also studied widely in machinery condition

monitoring, which are valuable references to TCM. Wang and Gao

[135] selected wavelet packet feature with principal component

analysis in machine defect detection. Liu and Ling [136]

introduced mutual information to search redundant wavelet

packets. This algorithm extracts those informative wavelets which

carry important but less redundant information about machinery

faults. It was found that the proposed feature extraction method

performed much better than the PCA in detecting diesel engine

malfunctions.

3.4. Singularity analysis for tool wear detection

In signal analysis, singularity is thought of as either an abrupt

change or a sudden shift of the signals value to a different level.

This corresponds to the phenomenon happened in machining

such as chipping and tool breakage. The original goal of

singularity analysis is to estimate the localization and degrees of

a signals abrupt changes or image edges [137,138]. It is estimated

from wavelet coefcient regularity at certain point and the rate of

decay of the coefcients near this point. It has been studied in

machinery condition monitoring lately [139147], but little is

studied in TCM. Because it is robust and stable in capturing signal

changes, it can be expected that these singularity-based features

will provide valuable study in TCM. We introduce the idea of

wavelet singular analysis rst and then reviewed some papers

related to machinery condition monitoring, and then illustrate the

application to milling TCM.

The singularity of the signal is measured by the Lipschitz

exponent (LE) [137]. Assume the signal f(t) has the following

property at the vicinity of t

0

:

f t

0

h P

n

h

pA h

a

; noaon 1 (22)

where P

n

(t) is an n-order polynomial and pass the point f(t

0

), and h

is small enough, the LE of f(t) at t

0

is the superemum of the a for

which function (23) holds. It follows directly that a determines

f(t)s continuously differentiable times (regular) at t

0

: the higher

the a, the more regular the function f(t). Mallat and Hwang [137]

have shown that the local regularity of a function (signal) is

related to the propagation across scale of its wavelet maxima and

the decay of the wavelet transform modulus in the time-scale

plane. A modulus maxima line connects all these local maxima

points.

With the WT of f(t), and in the vicinity of t,

Wf

s

t

pAs

a

or log Wf

s

t

where A is a constant related to the wavelet c(t). This function

connects the wavelet scale j and the Holder exponent a. The A and

a can be computed by setting the equality in function (24). The

function also shows the relationship between log wavelet trans-

form modulus maxima (WTMM) and the wavelet scale j (or a in

CWT). The Holder exponent a indicates the degree of singularity

and is often used as a feature in machine condition monitoring.

The singularity analysis with wavelet for TCM was attempted

by Chen and Li in [139]. The authors discussed the WTMM

approach but it was not implemented as they claimed that the

WTMM was easily inuenced by the environment noise and

varying cutting conditions; it could not represent the cutting tool

conditions accurately. Therefore, the WTMM approach was not

preferred but chose the wavelet coefcient norm and their

ARTICLE IN PRESS

0 5 10 15 20 25 30 35

0

5

10

15

20

25

the number of wavelet packet features

d

i

s

c

r

i

m

i

n

a

t

e

v

a

l

u

e

slight wear

medium wear

severe wear

Fig. 10. Discriminant properties of different wavelet packets.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 547

statistics as features to indicate the tool condition instead. This

approach is more robust in case of noise but it is also subject to

the limitation in choosing threshold, which also varies with

working conditions. Besides, the AE signal can be denoised rst to

apply the WTMM scheme.

Most applications of wavelet for singularity detection were

applied such as change point analysis [140], and non-linear

system identication [141], which are similar to the TCM in

machining. Hambaba and Hu [142] used wavelet transform to

determine the Holder exponent value of a gear response at

different scale levels. By tting an autoregressive moving average

(ARMA) model to the wavelet-transformed data, analysis of the

residual error was used to indicate the presence of damage in the

gear. Sun et al. [143] proposed singularity analysis for bearing

defect diagnosis. Through modifying the intensity of the wavelet

transform modulus maxima, defect-related vibration signature

was highlighted and could be easily associated with the bearing

defect characteristic frequencies. Loutridis and Trochidis [144]

employed the Lipschitz exponent to investigate gear faults. It was

shown that the Hoelder exponent for each type of fault exhibits a

constant value, not affected by changing working conditions, and

can be used as a stable indication of different gear faults. It was

also showed that the Holder exponent was effective in capturing

non-stationary nature of signals and sensitive for identifying

structure damage [145]. Peng et al. [146] examined shaft orbits

using the wavelet modulus maxima. Four LE-based features are

extracted to classify the shaft orbit. Peng et al. [147] furthered

this study and presented a novel singularity-based fault feature

extraction from vibration signals. The data are collected

under different machine health conditions that show different

patterns of singularities measured quantitatively by the

Lipschitz exponents. The number of Lipschitz exponents per

rotation, the mean value and the relative standard deviation

of the Lipschitz exponents that are obtained from the extracted

features for singularity representation. The results show that the

three parameters are excellent fault features for fault pattern

recognition.

Fig. 11 shows an example study with modulus maxima for

detection of milling tool at different wear state. Fig. 11a shows a

cutting force signal from a fresh tool and severe worn tool.

Lipschitz exponent extracted from the WTMM (Fig. 11(b)). Though

they do not change much, Lipschitz exponents offer a stable tool

ARTICLE IN PRESS

0 500 1000 1500 2000 2500 3000 3500 4000 4500

-2

-1

0

1

2

force sample

f

o

r

c

e

a

m

p

l

i

t

u

d

e

(

N

)

Slight wear

0 500 1000 1500 2000 2500 3000 3500 4000 4500

-2

0

2

4

force sample

f

o

r

c

e

a

m

p

l

i

t

u

d

e

(

N

)

Severe wear

0 500 1000 1500 2000 2500 3000 3500 4000 4500

-1.5

-1

-0.5

0

0.5

Holder estimates at time instants T

sample

H

E

v

a

l

u

e

0 500 1000 1500 2000 2500 3000 3500 4000 4500

-1

-0.5

0

0.5

1

Holder estimates at time instants T

force sample

H

E

v

a

l

u

e

-0.85 -0.8 -0.75 -0.7 -0.65

0.8

0.85

0.9

0.95

1

Singularity Spectrum

Singularity Singularity

s

p

e

c

t

r

u

m

v

a

l

u

e

-0.3 -0.25 -0.2 -0.15 -0.1 -0.05 0 0.05 0.1

0.5

0.55

0.6

0.65

0.7

0.75

0.8

0.85

0.9

0.95

1

Singularity Spectrum

s

p

e

c

t

r

u

m

v

a

l

u

e

Fig. 11. (a) Cutting forces of fresh tool and severe ank wear tool. (b) Lipschitz exponent of slight wear tool and severe wear tool. (c) The singular spectrum of the slight

wear tool and severe wear tool. Modulus maxima for slight wear tool and severe wear tool.

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 548

to detect the degrees of tool wear level as shown. The spectrum of

LEs from two tool states is illustrated in Fig. 11(c). It is observed

that with the fault severity increasing, the milling force signals

singularities and singularity ranges will increase as well, and

therefore we can evaluate the fault severity through measuring

the force signals singularities and singularity ranges.

Carefully attention should also be made upon choosing wavelet

in the WTMM approach. Not all wavelets WTMM location

corresponds to the abrupt change points, and it happens only

when the applied wavelet is the rst-order differentiation of a

certain smooth function (i.e. Gaussian). If it is the second-order

differentiation of a smooth function, the change point will be the

WTs zero crossing position, not the WTMM position. As in this

study it applies the rst-order differentiation of Gaussian function

in this study of Fig. 11. The regularity is another important

criterion in the selection wavelet. Usually, the selected wavelet

must be sufciently regular, which means a larger vanish moment

(see [65] for details about vanish moment); otherwise some

singularities would be overlooked. Additionally, the noise will

inuence the performance of the wavelet greatly, therefore before

the singularity is detected, the signal preprocessing must be

carried out.

3.5. Wavelet probability density estimation for tool

state classication

Probability density estimation is a classic problem in statistics.

The density estimation problem in statistics is in fact the pattern

recognition problem in engineering as discussed in Section 1.2:

assigning classes to higher probability density groups. There is

little study of probability density application to TCM except

[47,148]. Heck and Chou [47], and Chou and Heck [148] reported

studies of wavelet density estimation for TCM. They use a

Gaussian mixture model to approximate the wavelet coefcients

from machining signals. Different tool states are represented with

different GMM, and then choose the maximum class conditional

probability for state decision when feature extracted for classi-

cation. In other area as chemical process monitoring, Safavi et al.

[149] present an application of wavelets analysis to density

estimation and process monitoring. The resulting density function

was used to dene a normal operating region for the process so

that any future abnormal changes in the process can be

monitored. Results of applying these techniques to chemical

process are also presented to be effective in monitoring the states.

In the structural health monitoring, Krishnan and Kiremidjian

[150] applied a time-series-based detection algorithm with

GMMs. The structural vibration signals are modeled with ARMA

rst, and then the rst three AR coefcients are chosen as feature

vectors. A Gaussian mixture model is used to model the feature

vector. Damage is detected by comparing the Mahalanobis

distance of the extracted AR coefcients and those of the

undamaged. This approach provides a useful framework for data

fusion, where different measurements such as strains, tempera-

ture, and humidity could be used for a more robust damage

decision.

The most important and popular density estimation approach

before wavelet density estimation is kernel density estimation

[151]. Wavelet is brought attention in density estimation lately

[152]. The differences between kernel and wavelet estimates are

mainly explained by the ability of the wavelet method to take into

account local gaps in the data distribution. This new approach is

very promising, since smaller structures superimposed onto a

larger one are detected by this technique, especially when small

samples are investigated. Thus, wavelet solutions appear to be

better suited for classication studies.

Wavelet density estimation is developed from non-parametric

regression problem in statistics example [153,154]. Wavelet

density estimation opens the problem of density estimation for

dependent observations, while almost all other density estimators

fail in dealing. Let X

1

,X

1

,y,X

n

be a sequence of independently and

identically distributed random variables, with density: h h(x).

This density is unknown and to be estimate. Suppose

_

h(x)

2

dx is

nite, and approximated in wavelet series:

hx

k2Z

c

j;k

f

j;k

t

J

j1

k2Z

d

J;k

c

J;k

t (24)

ARTICLE IN PRESS

-1 -0.5 0 0.5 1 1.5

-2

0

2

4

6

8

10

x

p

(

x

)

-1 -0.5 0 0.5 1 1.5 2

-2

0

2

4

6

x

p

(

x

)

-2 -1 0 1 2 3 4

-1

0

1

2

x

p

(

x

)

0 5 10 15 20 25

0

0.1

0.2

0.3

0.4

0.5

Pmax

Pmin

Fig. 12. Density estimation with wavelet and state estimation. (a) slight wear pdf, (b) medium wear pdf, (c) severe wear pdf and (d) Bayesian classier (MAP).

K.P. Zhu et al. / International Journal of Machine Tools & Manufacture 49 (2009) 537553 549

To estimate h, it is sufcient to estimate the coordinates c

j,k

and

d

J,k

by the sample mean:

^ c

j;k

1

n

n

i1

f

j;k

X

i

;

^

d

J;k

1

n

n

i1

c

J;k

X

i

(25)

Inserting this estimate to the wavelet series expansion of h, we

get an estimate

^

hx

k2Z

^ c

j;k

f

j;k

t

J

j1

k2Z

^

d

J;k

c

J;k

t (26)

The estimate

^

hx is then used as real probability density for

application.

The idea can be easily adapt to tool wear classication with the

following steps:

(1) Estimate the respective density distributions of tool wear

levels provided by the machining data and measured tool

wear, like the supervised neural network training.

(2) Match the present estimated signal density to the known

density.

(3) Select the maximum posterior probability density as tool

condition with Bayes classier.

Fig. 12(a)(c) is the learned density from the measurement,

representing three possible tool state. The estimated density is

matched to these tree conditions, and the likelihood of these

matching is found in Fig. 12(d). We conclude that the state highest

probability is what we estimate.

The wavelet density estimation generally applied together with

GMM because this approach is more exible since it can

approximate wider densities. This idea is similar to those of NN,

HMM, and PR approaches in nature, where the approaches nd

the most probable state by the pdfs they belong to. Wavelet

density estimation is more powerful as it can approximate wider

densities while PR approaches such as LDA assume Gaussian

density as a prior, the later is generally not true of machining

sensory signals however. More studies can be expected in TCM

with this approach.

4. Conclusion and future studies

It is shown that WT is competitive to other signal analysis

approaches because of its MRA, sparsity, and localization proper-

ties. It is effective in analyzing non-stationary machining sensor

signals. Based on the benets of WT discussed, applications of

wavelet in TCM are reviewed in timefrequency analysis, denois-

ing, feature extraction, singularity analysis, and density estima-

tion. It achieves a lot of success in TCM overall but many more

need to be further studied.

As discussed, the WT presents a natural MRA analysis and

keeps the quality factor constant under different scales. These are

to the benet of characterizing signals crossing scales properties

with WT. These advantages of WT should be taken over other

methods such as FT and PCA in the applications but not only use

WT as lter banks and decompose the signal into various

frequency bands. For the wavelet denoising, the general thresh-

olding approaches are not preferred in TCM because of its

Gaussian noise assumption, because in TCM the noise is generally

correlated to machining conditions and not Gaussian. As reference

noise signal can always be collected during TCM, apply Bayesian

approaches that incorporate this a prior information will be quite

helpful in signal denoising. WT has great potential in detecting

abrupt changes of tool conditions in TCM. It is very robust as the

LE component is insensitive to changing working conditions and is

be very helpful in TCM. For future studies, the wavelet density

estimation can approximate wider densities than other density

estimation approaches. The density estimation actually incorpo-

rates both feature extraction and classication steps in the TCM

and is concise and easy to implement. More studies can be

expected in these areas.

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