straightness and flatness evaluation using data envelopment analysis
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ORIGINAL ARTICLE
Straightness and flatness evaluation using data
envelopment analysis
Sohyung Cho &Joon-Young Kim
Received: 17 May 2011 /Accepted: 10 January 2012 /Published online: 11 February 2012# Springer-Verlag London Limited 2012
Abstract In today's world of precision engineering, ro-
bustness and accuracy in the evaluation of the formtolerances are considered as competitive advantages for
manufacturing enterprises. Amongst various methods for
accurate and robust evaluation, which have been stud-
ied, nonlinear optimization methods based on operation-
al research have proved to be successful as far as they
can ensure unique and global convergence in practical
applications. However, it is well known that ensuring
the convergence is the most difficult thing to deal with
for a nonlinear optimization technique because the per-
formance is in general highly sensitive to parameter
setting. Therefore, this paper introduces a robust linear
programming formulation-based algorithm in which the
performance is not dependent on the quality of param-
eters. Interestingly, in this algorithm, the data envelop-
ment analysis technique is used to form a convex hull
that decides the minimum enclosed zone in a robust
manner. From the computational experiments, it is
shown that the proposed algorithm can be a promising
alternative to the traditional nonlinear optimization
method for straightness and flatness evaluation.
Keywords Form tolerance . Robust algorithm . Data
envelopment analysis
1 Introduction
The geometric form of manufactured components deviates
from its nominal design to a certain extent due to errors in
manufacturing, wear, etc. that can be confirmed by measure-
ment and evaluation. While uncertainty in measurement has
been significantly reduced by recent technological advance-
ment in inspection methods, evaluation of geometric toler-
ances is still considered as a major challenge because of its
nonlinear nature. There are numerous algorithms that can
evaluate various geometric tolerances by modeling the eval-
uation of geometric tolerances as nonlinear optimization
problems and then solving the problems optimally (or close
to optimal). However, it is known that the convergence of
nonlinear optimization techniques is highly sensitive to set-
ting of parameters such as starting conditions. It should be
pointed out that in today's world of precision engineering,
enhancing robustness as well as accuracy in the evaluation
of the tolerances is greatly required as important competitive
advantages for manufacturing enterprises.
The purpose of geometric tolerance evaluation is to pro-
vide the exact value of the error in measured data points
from manufactured parts conforming to a standard, for ex-
ample, ANSI Y14.5M [1]. Specifically, ANSI and ISO
promote the use of the minimum zone form tolerance that
is based on minimizing the maximum deviation of the
inspected surface from a reference feature. The objective
of the minimum zone criterion is to fit the data points with
minimum peak-to-valley deviation to the fitting line. The
studies show that the minimum zone criterion yields more
accurate fitting results because: (1) it yields a zone value
S. Cho (*)
Industrial and Manufacturing Engineering,
Southern Illinois University,
Edwardsville, IL 62026-1805, USA
e-mail: [email protected]
J.-Y. Kim
Division of Marine Equipment Engineering,
Korea Maritime University,
Youngdo-gu,
Busan 606-791, South Korea
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smaller than other criteria, and (2) it is more consistent with
the standard definition of physical fittings [2]. The mini-
mum zone form tolerance can be evaluated either using
specific computational geometry techniques [3, 4] or by
solving non-linear optimization problems [57]. However,
this optimization function has numerous local minima, and
most solution methods need a set of good starting points to
obtain the global minimum solution. In addition, the formu-lation for the tolerance zone is typically non-differentiable,
which limits the use of conventional gradient-based optimi-
zation techniques. Recently, evolution or machine-learning
algorithm-based evaluation methods have been studied in
order to solve nonlinear optimization problems more effi-
ciently [810]. Examples of evolution algorithms include
particle swarm, genetic algorithm, simulated annealing, and
support vector machine learning. It has been reported that
these methods can solve the problems faster than conven-
tional nonlinear optimization methods [10]. However, it is
known that the performance of these methods in terms of
computational efficiency and accuracy depends on the qual-ity of initial conditions and other parameters such as specific
kernel functions in the case of support vector machine
learning.
Straightness is a condition where an element of a surface or
an axis is a straight line. A straightness tolerance specifies a
tolerance zone within which the considered element or axis
must lie. Each element of the surface must lie between two
parallel lines separated by the amount of the prescribed
straightness tolerance [1]. For discrete measurement, the
straightness error is defined as the minimum separation be-
tween two parallel lines within which all the data points must
lie. The region bounded by two parallel lines with minimum
separation is defined as the minimum zone of the data points.
The definition that confines the straightness error to the min-
imum zone is called minimum zone criterion. Flatness is the
condition of a surface having all elements in one plane. A
flatness tolerance specifies a tolerance zone defined by two
parallel planes within which the surface must lie [1]. Similar to
the straightness problems, evaluation of flatness under the
minimum zone criterion is to find two parallel planes that
bound all measured data with minimum separation.
Focusing on the aforementioned issue of computational
efficiency and accuracy in the evaluation of form tolerances,
this paper introduces a novel algorithm to evaluate straight-
ness and flatness using the data envelopment analysis (DEA)
approach, which is based on the linear programming (LP)
model and used to assess an organization's operational effi-
ciency. Due to its nature of LP model, the algorithm intro-
duced in this paper expects to be robust (stable) in terms of
computational time and efficiency. Interestingly, the first ap-
proach to find the minimum zone using not only efficient
frontiers that are typical output of DEA but also inefficient
frontiers obtained from modified DEA is introduced and
tested. This paper is organized as follows: Section 2 reviews
related research works. An overview of DEA is provided in
Section 3. In Section 4, traditional DEA is modified to be used
for evaluation of form tolerances, particularly straightness and
flatness. In Section5, performance of the proposed algorithm
in this paper is compared to other algorithms such as least
square, nonlinear programming, and other LP-based algo-
rithm, respectively. The robustness of the proposed algorithmis addressed in the same section, and the conclusion of this
paper is provided in Section6.
2 Literature review
Research works for the evaluation of form tolerances, par-
ticularly straightness and flatness, focus on one of the fol-
lowing techniques:
1. Least squares method (LSM): Among several techni-
ques existing for evaluation of straightness and flatnesstolerances, LSM is a widely accepted technique used in
industry for the evaluation of form errors. This tech-
nique finds the minimum sum of squared errors of the
measured points from the nominal feature and thus
provides only an approximation solution quickly [11].
More specifically, LSM does not ensure precise values
of straightness and flatness errors due to a different
objective function from the minimum zone criterion.
2. Computational geometric approach (CGA): Lai and
Wang [12] and Traband et al. [3] proposed computa-
tional geometry-based techniques for calculating exact
values of the minimum zone straightness and flatness.
More specifically, these research works proposed the
minimum solution for straightness and flatness prob-
lems in accord with the minimum zone criterion. The
basic principle of this technique is to find the minimum
zone of the convex hull that encloses all the measured
points. The minimum zone was determined by a pair of
parallel supporting lines parallel to an edge of the con-
vex hull. Based on the same concept, Lee [13] presented
an approach, called convex-hull edge method, which
guarantees the minimum zone solution of flatness eval-
uation problems. Samuel and Shunmugam [4] also used
similar computational geometric techniques to solve the
minimum zone and function-oriented solutions for the
straightness and the flatness problems.
3. Operational research techniques (OR): Wang [5] used
optimization techniques for minimum zone evaluation
of form errors. Form errors were formulated as nonlin-
ear optimization problems, and solution procedures
were developed to solve the nonlinear optimization
problems. Kanada and Suzuki [14] studied an applica-
tion of some nonlinear optimization techniques for
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minimum zone flatness. They also applied various op-
timization algorithms to calculate the minimum zone
straightness. Carr and Ferreira [15] developed algo-
rithms to verify minimum zone straightness and flat-
ness. The proposed model searched for two parallel
supporting planes so that all measured points were
below one plane and above the other while both planes
were as close together as possible. The model was aconstrained nonlinear programming problem, but the
objective function and all but one constraint were linear.
Hence, the successive linear programming algorithm
was used to solve a sequence of linear programs that
converge to the solution of the nonlinear problem. Cher-
aghi et al. [6] formulated straightness and flatness errors
as nonlinear optimization problems and then developed
a linear search method that reduces the nonlinear opti-
mization problem to a linear programming problem with
only two constraints. It was reported that the exact error
values are quickly found by an iterative search proce-
dure. Weber et al. [16] presented a unified linear ap-proximation technique for the evaluation of various
form tolerances. They formulated a linear program mod-
el using a Taylor expansion of the minimum zone tol-
erance function.
4. Evolution algorithms (EAs): Malyscheff et al. [9] mod-
eled minimum zone straightness and flatness by modi-
fying a support vector classification that is based on
statistical learning. In this research work, a gradient
ascent approach was introduced to sequentially solve a
formulated non-convex optimization problem, noting
that straightness and flatness share some similarities
their functions are in 2D and 3D linear forms, respec-
tively, which are also the basic functions used in support
vector machines. In Kovvur et al. [10], particle swarm
optimization, which is one of the most recent and pop-
ular EAs, has been shown to perform well for the
evaluation of minimum zone form tolerance such as
circularity, cylindricity, sphericity, flatness, and straight-
ness form tolerances. In this approach, each particle of
the population, called the swarm, progresses toward the
optimal solution by adjusting its trajectory toward its
own previous best position and toward the previous best
position attained by any member of the population. The
advantage of using PSO over other optimization meth-
ods is the relatively insignificant impact of the starting
conditions.
The following summary can be drawn from the re-
view of existing research: some reported algorithms in
CGA, such as convex hull/polygon method, minmax
method, control geometric feature rotation scheme, and
median approach, have been proved to be successful in
view of minimum zone evaluation. However, none of
these CGA algorithms satisfies the universality require-
ment to be able to evaluate various form tolerances. In
fact, the mathematical definition of minimum zone form
errors in the ANSI standards yields a nonlinear discon-
tinuous optimization problem. To tackle this problem,
various nonlinear optimization techniques and OR meth-
ods have been proposed and tested. Among them are
Chebyshev approximation [17], downhill simplex meth-od [14], and HookeJeeve direct search method [18].
Among these approaches, few have proved to be suc-
cessful if unique and global convergence is ensured in
practical applications. However, it is known that ensur-
ing the convergence is the most difficult thing to deal
with for a nonlinear optimization technique because the
performance is in general highly sensitive to parameter
setting. Therefore, a robust algorithm of which perfor-
mance is not dependent on the quality of parameters is
h i gh l y r e qu i re d , a nd t hi s p a pe r i n tr o du c es s uc h
algorithms.
3 Overview of the DEA method
Examples of commonly used efficiency measurement
methods include ordinary least squares (OLS), corrected
ordinary least squares (COLS), stochastic frontier anal-
ysis (SFA), and DEA. Figure 1 illustrates these methods
with their unique nature. In the figure, dots represent
producers that use a set of inputs to produce a set of
outputs. For instance, consider a set of banks. Inputs
can be a square footage of space and a number oftellers, etc., and outputs can be a number of checks
cashed and number of transactions, etc. OLS, COLS,
0 1 2 3 4 5 6 7 8 9 100
2
4
6
8
10
12
Input
Output OLS
COLS
DEASFA
Fig. 1 Comparison of efficiency assessment methods including the
DEA method
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and SFA are parametric in their nature requiring an
assumption for a functional form while DEA is non-
parametric and thus requires no assumption of the func-
tional form [19]. In the parametric approach, any mis-
specification of the functional form can result in
catastrophic results. Among these methods, SFA and
DEA are the two competing paradigms on efficiency
analysis [20].Since the introduction by Charnes, Cooper, and Rho-
des [21], DEA has proven to be an attractive method
for assessing and evaluating the efficiency and perfor-
mance of decision-making units (DMUs) within organ-
izations producing multiple outputs from multiple
inputs. The linear programming model for the input-
oriented constant return to scale (CRS) model was in-
troduced by Charnes et al. [21], also referred to as the
CCR model, is given by:
min jPn
j1
ljxij jx ij i 1; 2; . . . ; m
Pn
j1
ljyrj yrj r 1; 2; . . . :;s
lj 0 j 1; 2; . . . :; n
1
wherejis the efficiency score for the jth DMU; where there
aren systems or DMUs, the jth DMU represents one of then
DMU under evaluation, xijand yrjare the ith input and rth
output for the jth DMU, respectively, and s are dual varia-
bles. The CCR model (or CRS model) assumes constant
return to scale economies, which means that doubling output
exactly doubles inputs. The CCR model was extended to the
variable return to scale (VRS) model by Banker, Charnes, and
Cooper [22], referred to as the BCC model. The VRS input-
oriented model is the same as the CRS model except for the
fact that the sum ofs is equal to 1 and is written as:
min jPn
j1
ljxij jx ij i 1; 2; . . . ; m
Pn
j1
ljyrj yrj r 1; 2; . . . :;s
Pn
j1lj 1; lj 0 j 1; 2; . . . :n
2
wherejis the efficiency score for the jth DMU; where there
aren systems or DMUs, the jth DMU represents one of then
DMU under evaluation, xijand yrjare the ith input and rth
output for the jth DMU, respectively, and s are dual varia-
bles. It should be emphasized here that the DEA model
assumes monotonicity [23].
DEA applications for assessing performance and efficiency
have been utilized in many industries and organizations, such
as hospitals, restaurants, US Air Force wings, universities,
cities, courts, business firms, and more [24]. There is, howev-
er, another competing paradigm on how to construct frontiers
to evaluate and assess the performance and efficiency of
DMUs, which is the stochastic frontier function approach
(SFA) [25]. DEA utilizes mathematical programming techni-ques, whilst the SFA approach utilizes econometric regression
theory. The major advantage of the DEA approach is that no
assumption has to be made about the functional form other
than the concavity of the frontier functions. To the contrary,
the SFA approach imposes an explicit and possibly over-
restrictive, functional form for the data.
4 DEA-based algorithm for tolerance evaluation
This paper introduces the first-time approach that uses tra-
ditional DEA for identifying inefficient frontiers such that
both efficient and inefficient frontiers are used to form a
convex hull that encloses all the data points measured inside
as shown in Fig. 2.
4.1 Straightness evaluation
First, the problem modeled by Eq. 2 is solved for
measured data points, setS0(xj, yj), and data points that
satisfy the condition of j01 are identified as efficient
frontiers. Note that other DMUs (data points) with j1. Note that the efficient and ineffi-
cient frontiers generate a convex hull that contains the
se t S. F in ally, the d ata p oints form e fficien t a nd
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inefficient frontiers that are used to compute two paral-
lel lines with minimum distance (d) that contains the set
S. The minimum distance d is straightness. The algo-
rithm to find the minimum distance d is as follows:
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As an example, consider a problem instance with 5 points
(n05) as shown in the following table:
n05 Point 1 Point 2 Point 3 Point 4 Point 5
Xvalues 1.0 2.0 3.0 4.0 5.0
Yvalues 1.1 1.9 3.3 4.0 4.8
Steps 1 and 2 identify points 1, 3, and 5 as efficient frontiers
and points 1, 2, and 5 as inefficient frontiers. Step 3 gives deff,i0
max(dk)0[0.4709 0.5600], and step 4 gives deff,i0[0.4685
0.3116]. Finally, step 5 provides d00.3116. The following
figure shows the efficient and inefficient frontiers and the
convex hull generated for this problem instance (Fig.3).
4.2 Flatness evaluation
Figure4 illustrates a problem instance randomly generated
for the flatness evaluation (n0100). For these data points,problem formulation for straightness by Eq. 2 is modified
for 3D flatness evaluation as follows:
min jPn
j1
ljxij xij i 1; 2; . . . ; m
Pn
j1
ljyrj yrj r 1; 2; . . . :;s
Pn
j1
ljztj jztj i 1; 2; . . . ; u
Pn
j1
lj 1; lj 0 j 1; 2; ::::n
4
0 5 10 15 20 25 300
10
20
30
40
50
60
70
80
90
x values
yv
alues
Fig. 2 Efficient frontiers
(points) and inefficient frontiers
(points) out ofn030 (one of the
parallel lines to enclose all the
data points passes the point
marked by *)
1 1.5 2 2.5 3 3.5 4 4.5 51
1.5
2
2.5
3
3.5
4
4.5
5
X-values
Y-
values
Fig. 3 Efficient frontiers
(points) and inefficient frontiers
(points) out ofn05
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Note thatz-axis values are considered as input in this approach
in order to form a 3D convex hull instead of a 2D convex hull.
Here, data points that satisfy the condition ofj01 are identi-
fied as efficient frontiers. Note that other DMUs (data points)
with j1.
Note that both efficient and inefficient frontiers are used to
form a convex hull that includes the setS0(xi,yi,zi). Finally,
the data points that form efficient and inefficient frontiers
02
46
810
0
5
100
5
10
15
20
25
30
xy
z
Fig. 4 Randomly generated data points for flatness evaluation (n0
100, scale in millimeters)
Table 1 Example problem instances from Traband et al. [3]
n05 n010 n015
xi yi xi yi xi yi xi yi
2 3 1 2.428 0.3952 0.1010 3.0662 0.1067
1 5 2 2.891 0.6953 0.1026 3.2165 0.1025
0 2 3 3.445 0.9669 0.1000 3.4217 0.1068
1 1 4 2.931 1.2762 0.1014 3.6179 0.1069
2 2 5 3.895 1.5797 0.1005 3.8185 0.1089
6 4.196 1.8593 0.1035
7 4.497 2.1333 0.1032
8 4.662 2.4197 0.1049
9 4.545 2.6001 0.1049
n020 n025
xi yi xi yi xi yi xi yi xi yi
0.05 0.1288 0.55 0.1000 0.2845 0.0006 3.6307 0.0011 6.2962 0.0021
0.10 0.1309 0.60 0.1837 0.6600 0.0008 3.9237 0.0011 6.5240 0.0021
0.15 0.204 0.65 0.1712 1.2041 0.0010 4.2647 0.0012 6.7114 0.0023
0.20 0.1841 0.70 0.2304 1.4994 0.0005 4.5122 0.0012 6.9960 0.0021
0.25 0.1329 0.75 0.1753 1.8494 0.0004 4.8150 0.0013 7.2076 0.0023
0.30 0.1570 0.80 0.2107 2.2261 0.0015 5.1334 0.0013
0.35 0.2608 0.85 0.1820 2.5724 0.0012 5.3603 0.0010
0.40 0.2588 0.90 0.1730 2.9076 0.0014 5.6534 0.0008
0.45 0.2237 0.95 0.2723 3.2548 0.0009 5.9058 0.0020
0.50 0.1891 1.00 0.1949 3.4142 0.0009 6.0774 0.0021
Table 2 Accuracy comparison for examples in Table1
n05 n010 n015 n020 n025
DEA 2.1213203 0.8578577 0.0051857 0.1645859 0.0013113
OTZ 2.1213204 0.8578577 0.0051857 0.1645859 0.0013113
NLP 2.1213204 0.8578577 0.0051857 0.1645859 0.0013113
LSM 2.5860858 0.8877250 0.0053790 0.1705494 0.0014633
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are used to compute two parallel planes with minimum
distance (d) that includes the setS, and the minimum dis-
tance d is flatness. The algorithm to find the minimum
distance dis as follows:
In step 3, an open source code developed by Kessler [26]
in Matlab is used to generate a convex hull formed by only
efficient and inefficient frontiers.
5 Computational experiments
Straightness First, the performance of the proposed DEA-
based algorithm in this paper has been compared to other
approaches such as LSM, nonlinear programming approach
(NLP) from Malyscheff et al. [9], and optimization tech-
nique zone (OTZ) from Cheraghi et al. [6]. Problem instan-
ces are shown in Table1, and performance comparison for
these test problems is provided in Table2.
Next, randomly generated problem instances have been
used to test the performance of the DEA algorithm. Here,
problems have been generated based on the following linear
relationship with disturbances (): yi b0 b1xi " . Itshould be pointed out here that the performance of other
algorithms highly depends on the quality of parameters such
as incremental angle parameter in the case of OTZ and
initial condition in the case of NLP. Table 3and Fig.5show
performance improvement (percent) by the DEA algorithm
against LSM and computational effort of the DEA compared
to OTZ and NLP. Note that each output in Table 3has been
obtained as an average of ten replications, particularly for
NLP with different initial conditions.
The results from the computational experiments show
that the DEA algorithm finds the optimal solution for all
the test problem instances without the fine tuning of any
parameters. In other words, while the accuracy and compu-
tational time of NLP and OTZ depend on the quality of
initial conditions and other parameters, the DEA algorithm
can evaluate the straightness and flatness in a more robust
manner due to its nature of LP model.
Flatness First, the performance of the DEA algorithm has
been tested for problem instances from the literature [6]. For
these instances shown in Table4, the DEA finds the optimal
values of 1.9612 (n015) and 4.8573 (n025) like other
algorithms such as NLP.
Next, the performance of the DEA has been tested for
randomly generated problem instances and Table 5 shows
that the accuracy of the DEA is identical to the performance
Table 3 Straightness performance comparison for randomly generated
data points
n 10 50 100 500 1,000
Improvement by DEA 13.8 4.5 5.2 10.1 9.2
CPU-DEA 1.05 2.69 5.26 6.28 7.93
CPU-OTZ 5.46 5.48 5.47 6.93 8.64
CPU-NLP 1.53 3.62 5.96 11.79 35.50
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of NLP for these problem instances. In the table, each data
field has been obtained as an average of ten replications. In
the flatness evaluation, DEA reduces the number of points
that form a convex hull such that in the case ofn0196 only
14% of the data (27 points) are required to form a convex
hull with which the flatness can be accurately evaluated.
This implies that the other 86% of the data (169 points) are
enclosed in the convex hull.
6 Conclusion
This paper has introduced a robust algorithm for the evalu-
ation of form tolerances, especially straightness and flatness
of manufactured parts. Specifically, this paper has devel-
oped a DEA approach-based algorithm that can form a
convex hull from both efficient and inefficient frontiers,
which enclose all of the measured data points. Computa-
tional experiments showed that this algorithm is more robust
than other existing methods in terms of the accuracy and
computational effort because it is based on LP formulation.
Fig. 5 Performance
comparison for straightness
evaluation (n01,000) by
various algorithms
Table 4 Problem instances for flatness evaluation from Cheraghi et al.
[6]
n015 n025
xi yi zi xi yi zi xi yi zi
2 1 5 0 0 2 75 0 7
1 1 4 0 25 5 75 25 7
0 1 1 0 50 6 75 50 6
1 1 2 0 75 8 75 75 7
2 1 2 0 100 9 75 100 9
2 0 4 25 0 5 100 0 7
1 0 3 25 25 7 100 25 6
0 0 3 25 50 8 100 50 6
1 0 2 25 75 9 100 75 6
2 0 2 25 100 12 100 100 8
2 1 3 50 0 6
1 1 4 50 25 7
0 1 2 50 50 8
1 1 1 50 75 9
2 1 2 50 100 11
Table 5 Flatness performance comparison for randomly generateddata points
n DEA/LSM
(% improvement)
DEA/NLP
(% improvement)
n (nn)/n (%)
25 9.2 0 15 40.0
49 4.2 0 17 65.3
100 3.8 0 21 79.0
144 3.4 0 25 82.6
196 3.5 0 27 86.2
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Interestingly, in the case of flatness evaluation with about 200
points, the required number of points to form a convex hull is
reduced by 86% that ensures considerable saving in compu-
tational effort. Future research may focus on the application of
the DEA algorithm for circularity and sphericity tolerances.
Acknowledgments The authors acknowledge partial support for this
research from the (Unmanned Technology Research Center (UTRC) at
the Korea Advanced Institute of Science and Technology (KAIST),
originally funded by DAPA, ADD.
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