FACTA UNIVERSITATIS

Series: Mechanical Engineering Vol. 16, No 2, 2018, pp. 157 - 170

https://doi.org/10.22190/FUME180404015J

Original scientific paper 

A NUMERICAL AND EXPERIMENTAL ANALYSIS OF THE

DYNAMIC STABILITY OF HYDRAULIC EXCAVATORS
UDC 621

Dragoslav Janošević, Jovan Pavlović, Vesna Jovanović, Goran Petrović

University of Niš, Faculty of Mechanical Engineering, Serbia

Abstract. The paper presents the results of a numerical and experimental analysis of the
dynamic stability of hydraulic excavators. The analysis has employed the software
developed on the basis of a defined general dynamic mathematical model of an excavator
grounded in Newton-Euler equations as well as the measured quantities of the excavator
operating state in exploitation conditions. The defined model is used to model the
members of the excavator kinematic chain using rigid bodies while the actuators
(hydraulic cylinders and hydraulic motors) of the excavator drive mechanisms are
modeled with elastically dampened elements. The elastically dampened characteristics of
the actuators are defined with regard to the size of the actuator as well as to the
compressibility and temperature of the hydraulic oil used in the excavator hydrostatic
drive system. To illustrate the analysis, the paper provides the results of the analysis of the
dynamic stability of a 16000 kg tracked excavator equipped with a manipulator digging
bucket of 0.6 m3 in capacity.
Key Words: Hydraulic Excavators, Dynamic Stability, Oil Temperature, Modeling

1. INTRODUCTION
In modern hydraulic excavators one of the most important parameters is the indicator
of the excavator’s stable operation. International standards provide the conditions for
examination and determination of the static indicators of the excavator stability and
hydraulic stability of the excavator drive mechanisms (SAE J1097). Previous research in
the area has been related to the development of mathematical models for the analysis of
the static stability of hydraulic excavators [1-4]. However, the studies have shown that
hydraulic excavators (and other hydraulic mobile machines) act like dynamic oscillating

Received April 04, 2018 / Accepted May 15, 2018

Corresponding author: Dragoslav Janošević
University of Niš, Faculty of Mechanical Engineering, Department for Material Handling Systems and Logistics,
A. Medvedeva 14, 18000 Niš, Serbia
E-mail: [email protected]

© 2018 by University of Niš, Serbia | Creative Commons License: CC BY-NC-ND

158 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

systems during their cyclic operation [5-7] where actuators (hydraulic motors and
hydraulic cylinders) of the excavator drive mechanisms appear as extremely elastically
dampened system members in the shape of hydraulic springs. They occur due to the
compressibility of oil in the actuator displacement and ducts of the excavator hydrostatic
drive system. The dynamic behavior of an excavator is pronounced during the material
transfer and unloading operations when disturbances which may cause the dynamic
instability of the excavator occur. Elastically dampened characteristics of the excavator
actuators, therefore, the dynamic stability of the excavator itself, are greatly influenced by
the temperature of the hydraulic oil in the excavator drive system.
The paper contains an analysis of the influence that the oil temperature in the excavator
hydrostatic drive system exerts on the excavator’s dynamic stability.

2. DYNAMIC EXCAVATOR MODEL

When analyzing the dynamic stability of an excavator one observes the physical model of
the machine with the kinematic chain of general configuration comprising: support and
movement member L1 (Fig. 1a), rotating member L2, boom L3, stick L4 and bucket L5. The
members of the excavator kinematic chain form the rotating kinematic pairs of the fifth class.
The members of the kinematic pairs are joined, directly or indirectly, by hydraulic actuators:
hydraulic motor C2 (Fig. 1b) of the platform rotation drive and hydraulic cylinders C3, C4, C5 of
the manipulator drive which are powered, through the hydraulic distributor 3, by hydraulic
pumps 2 driven by the diesel engine 1.
With regard to the physical model, a dynamic mathematical model of the excavator (Fig.
2) was adopted with the following assumptions: a) the mechanical model of the excavator is
a non–conservative system with stationary and ideal links, b) small system oscillations are
observed around the stable balance position, c) the excavator support base has elastically
dampened properties, d) the members of the excavator kinematic chain are rigid bodies,
e) the hydraulic actuators of the drive mechanisms are elastically dampened systems due to
the oil compressibility and viscosity, and f) the bulk modulus of the hydraulic oil is constant
for a certain oil pressure and temperature.

Fig. 1 Hydraulic excavators: a) physical model, b) hydrostatic drive system

 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 159

In the mathematical model, a member of excavator kinematic chain Li is defined, in its

local coordinate system Oi xi yi zi, by a set of geometric, kinematic and dynamic
parameters (Fig. 2):
Li  {si , ti , mi , Ji } (1)

where: si – the vector of the centre position of joint Oi+1 which links chain member Li to
next member Li–1 (vector magnitude si represents the kinematic length of the member), ti –
the vector of the mass centre position of member Li, mi – the member mass, Ji – the
moment of the member inertia.

Fig. 2 Mathematical model of the excavator

160 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

In the mathematical model, the parameters of the actuators (hydraulic motors and
hydraulic cylinders) of the excavator drive mechanisms are determined by a set of quantities:
Ci  {di1, di 2 , cip , cik , mci , nci } (2)

where: di1, di2 – the parameters of actuator sizes (minimal and maximal specific flow of
hydraulic motors, i.e. the piston diameter and the piston rod diameter in the hydraulic
cylinder), cip – the minimal length of the hydraulic cylinder when the piston rod is fully
drawn in, cik – the maximal length of the hydraulic cylinder when the piston rod is fully
drawn out, mci – the actuator mass, nci – the number of drive mechanism actuators.
The movement of the adopted dynamic mathematical model of the excavator is
defined by a set of generalized coordinates (Fig. 2):
 {00,
Θ ,22,,33,,4 4,,5 5}
,11, (3)

where: θ0 – the vertical movement of the mass centre of the support and movement member,
θ1 – the angle of rotation around the main longitudinal central axis of inertia O1y1 of the
support and movement member, θ2 – the angle of rotation of the rotating member around the
O2z2 axis of the axial bearing, θ3 – the angle of rotation of the manipulator boom around the
O3y3 axis of the joint to which the rotating member is connected, θ4 – the angle of rotation of
the manipulator stick around the O4y4 axis of the joint at the end of the boom, θ5 – the angle
of rotation of the manipulator bucket around the O5y5 axis of the joint at the end of the stick.
The generalized coordinates are assumed to be small quantities measured from the
position of the system’s stable balance. Critical positions of the excavator are analyzed
when the manipulator plane is perpendicular to the plane of the tracked support and
movement member.
The position of the excavator is defined in relation to the immovable (absolute)
coordinate system OXYZ. Coordinate beginning O of the absolute system is in the centre
of the support and movement member mass, while the OX axis is directed towards the
main transverse central axis of inertia of the same member in the position of the static
balance of the entire system.
The vector of position rti of the mass centre of member Li of the excavator kinematic
chain is determined in relation to the absolute coordinate system with the following
equation:
i 1
rti  so  A
j 1
oj s j  Aoi  ti (4)

where: s0 = [0 0 zc]T – the vector of deformation of the excavator model support base,
i.e. the vector of displacement of the mass centre of the support and movement member in
relation to the absolute coordinate system, sj – the vector of the position of joint Oj centre
in relation to previous joint Oj–1, determined in the local coordinate system, ti – the vector
of the position of member Li mass centre in relation to joint Oi centre, Aoj – the
transitional vector matrix from local coordinate system Ojxjyjzj to the absolute coordinate
system [7, 8].
 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 161

3. DIFFERENTIAL EQUATIONS OF MOTION

Differential equations of motion of the defined mathematical model of the excavator
are determined by using Lagrange’s equations of the second kind:

d Ek E p 
  0 (5)
dt i i i

where: Ek, Ep, Φ – the kinetic and potential energy and function of the system dissipation,
respectively [9].

3.1. Kinetic energy

For the established dynamic model of the excavator, the kinetic energy of the system
is expressed using the equation:

2 Ek  m1vt21  J 1 y12  m2 vt22  J 2 y1 2  J 2 z2 2 

(6)
 m3vt23  J 3 y3 2  m4 vt24  J 4 y4 2  m5 vt25  J 5 y5 2

where: mi – the mass of an excavator kinematic chain member, (i=1,…,5), vti – the
absolute velocities of the mass centers of the excavator kinematic chain members, Jiy,Jiz –
the appropriate main central axial moments of inertia of the masses of the excavator
kinematic chain members. Differentiating equation (4), in the absolute coordinate system,
yields the vector of velocity vti of the mass centers of the excavator kinematic chain
members in the following form:
i 1 i 1
vti  so  
j 1
Aoj s j  A
j 1
oj s j  Aoi ti  Aoi ti (7)

where: so , s j ,ti , A oi , A oj – the derivatives of the appropriate vectors of position and transitional
matrix systems, where, along the assumptions of small quantities of generalized coordinates θi,
the approximate values cosθi ≈1 and sinθi ≈ θi are introduced, thus linearizing the
elements of transitional matrices Aij.

3.2. Potential energy

For the established dynamic model of the excavator, the potential energy of the system
is determined using the equation:

2E p ko (qo1 aq1 qo )2 koqo21 ko (qo 2 aq1 qo )2 koqo22 k2q22 k3 (q3s q3 )2

5 (8)
k3q32s +k4 (q4 s q4 )2 k4q42s k5 (q5s q5 )2 k5q52s 2 g mi ( zi zoi )
i 1

where: zi, zoi – the current and initial coordinates of the positions of mass centers of the
excavator hydraulic chain members in relation to the absolute coordinate system, ko – the
stiffness of the elastic support base of the excavator, θo1, θo2 – the static deflections of the
162 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

elastic base beneath the support and movement member of the excavator, k3,k4,k5 – the
torsional stiffnesses of springs equivalent to the stiffnesses of the elastic hydraulic
actuators of drive mechanisms of the manipulator boom, stick and bucket, θ3s,θ4s,θ5s – the
angles of static deflections of torsion springs of the manipulator boom, stick and bucket.
By neglecting the influence of the generalized coordinate of platform θ2 rotation, as a
small quantity, and using the approximate equivalences:

q2
sin q q; 1 cos q sin q q; 1 cos q i 1,2,3 (9)
2
The elastic action of an actuator with stiffness kci (Fig. 2a), in relation to the joint of
the drive mechanism which it powers, is substituted by an equivalent action of torsion
springs (Fig. 2b), whose stiffness ki is determined by the following equation:

ki ici2 kci i 2, 3, 4, 5 (10)

where: ici – the transitional function of the excavator drive mechanism moment [6].
The base (ground) stiffness beneath the support and movement mechanism of the
excavator is determined using the equation [9]:
ko Ero A1 (11)

where: Ero – the ground reaction modulus, A1 – the footprint surface area of the support
and movement member of the excavator.
Actuator displacements and hydraulic ducts in the drive mechanisms are filled with
compressible hydraulic oil of the excavator hydrostatic drive system. Due to the hydraulic
oil compressibility, the actuators are modeled using springs with an appropriate stiffness
kci, determined with the equation [10]:

Ai21 Eu Ai22 Eu
qi 3, 4, 5 -for hydraulic cylinders
[ Ai1 (ci cip ) Vi1 ] [ Ai 2 (cik ci ) Vi 2 ]
kci = (12)
2
2 d 21 Eu
; V21 V22 -for hydraulic motors
V21

where: Ai1, Ai2 – the operating surface areas of the hydraulic cylinder on the piston and
piston rod end, Eu – the elasticity (bulk) modulus of the hydraulic oil, ci,cip,cik – the
current, initial and final length of the hydraulic cylinder, d21 – the maximal specific flow
(displacement) of the hydraulic motor, Vi2 – the displacement of the actuator hydraulic
ducts.

3.3. Dissipation function

For the established dynamic model of the excavator, the potential energy of the system
is determined using the equation:

2 bo (qo a q1 )2 bo (qo a q1 )2 b2q22 b3q32 b4q42 b5q52 (13)

 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 163

where: bo – the damping coefficient of the excavator support base, bi – the damping
coefficient of the hydraulic actuators of drive mechanisms of the platform, boom, stick
and bucket, reduced to the joints of the excavator kinematic chain powered by them.
The damping coefficient of the excavator support base is determined by the following
equation [11]:
bo  2  ko  E po (14)

where: ko – the stiffness of the ground, Epo – the damping modulus of the ground.
The damping coefficient of the hydraulic actuators of drive mechanisms is determined
by the following expression:

bi ici2 bci i 2,3, 4,5 (15)

where the damping coefficient of hydraulic cylinder bci is defined by the following
equation [11]:
p hu li di21 3 di1
bci 2
3 i 3, 4,5 (16)
( Di di1 ) 4 ( Di di1 )

where: ηu – the dynamic viscosity of hydraulic oil, di1 – the piston diameter, li – the piston
length, and Di – the internal diameter of the hydraulic cylinder.
Substituting the expression for kinetic (6) and potential (8) energy, and the expression for
the dissipation function (13) into Lagrange’s equations of the second kind (5), one obtains a
system of six homogenous differential equations of the oscillating system:

M  F  K  0 (17)

where: M – the inertial matrix, F – the matrix of resistance forces, K – the stiffness matrix.
The equations of motion of the excavator dynamic system are determined using the
method of addition of the main forms of oscillation with the next equation
 V u (18)
where: V – modal matrix of eigenvectors, u – vector of normal coordinates [12].

4. EXAMPLE
As an example, the numerical and experimental analysis of dynamic stability was
performed on a 16000 kg tracked excavator equipped with a manipulator digging bucket
of 0.6 m3 in capacity.

4.1. Numerical analysis

Using the developed programs, as an example, the analysis was performed on the
influence of oil temperature of the drive system on the dynamic stability of a tracked
excavator with the mass of 16000 kg, equipped with a manipulator with the bucket capacity
164 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

of 0.6 m3. The following files are input at the start of the program: the excavator kinematic
chain file (with geometric and dynamic parameters of each member), the drive mechanisms
file, the support base characteristics, and the characteristics of the oil in the hydrostatic drive
system of the excavator. The program output yields the generalized system coordinates in
the function of time.
The numerical analysis monitored the change in the generalized coordinates (Fig. 2):
i   oq,o,1q,1, 3q3,, q44 (19)

The set system conditions and parameters are given in Table T1. The position of the
excavator was observed during the unloading of the material when, according to the
excavator measurements in exploitation conditions, primary movements of the support and
movement member and the manipulation boom appeared [11, 13].

Table 1 System conditions and parameters

Initial position coordinates of the support and movement θo=0°, θ1=0° ,θ2=0°
mechanism and the platform

Initial position coordinates of the manipulator kinematic chain θ3o=35°, θ4o =0°, θ5o =-120°

Bulk modulus of hydraulic oil at 80oC Eu=1.4∙109 [N/m2]

Bulk modulus of hydraulic oil at 90oC Eu=1.2∙109 [N/m2]

Modulus of reaction of the excavator support base Ero=5.5∙ 108 [N/m3]

Damping modulus of the excavator support base Epo=0.005 [s]

Initial boom angle velocity q3o 2 [rad/s]

Fig. 3 Changes in generalized coordinates θ0 of the support and movement member

for the initial position of the manipulator and at different oil temperatures
 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 165

Fig. 4 Changes in the generalized coordinates for the initial position of the manipulator
and at different oil temperatures: a) θ1 of the support and movement member,
b) θ3 of the boom angle, c) θ4 of the stick angle
166 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

Based on certain matrices and the given initial conditions of movement, and using the
developed program, the differential equations were solved and the changes in the
generalized coordinates of free oscillations of the excavator were obtained (Figs. 3 and 4).
Diagrams of the vertical θo (Fig. 3) and angular θ1 displacement (Fig. 4a) of the support
and movement member and diagrams of the change in the generalized coordinate of the
boom θ3 (Fig. 4b) and stick θ4 (Fig. 4c) show that the oscillatory- dampened movement of
the excavator kinematic chain members with different amplitudes and oscillation periods for
different temperatures of the hydraulic oil in the excavator drive system.
It is noticeable that at the higher oil temperature 90°C, when the dynamic viscosity and
modulus of elasticity are smaller, amplitudes and periods of oscillation of the movement
mechanism are greater in relation to the lower oil temperature 80°C. Furthermore, changes
in the generalized coordinates of boom θ3 (Fig. 4b) and stick θ4 (Fig. 4c) possess a similar
oscillatory-dampened character. It is characteristic that the damping time of oscillations of
all generalized coordinates is approximately the same and it amounts to 4 s. Only the
generalized boom coordinate, whose initial movement conditions cause the disturbance in
the dynamic system of the excavator, has a longer damping period.

4.2. Experimental analysis

The experimental analysis of the dynamic stability of the excavator was performed on
the basis of the changes in measured quantities in exploitation conditions. During the
excavator testing, the following quantities of the excavator exploitation working condition
were measured: the vertical displacement of support and movement member c1, the angle
of platform rotation c2, the kinematic length of the hydraulic cylinders of boom c3, stick c4
and bucket c5 and the pressure in the actuators of the excavator drive mechanisms.

Fig. 5 Mathematical model of the excavator for the experimental analysis

 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 167

On the basis of the measured quantities of the excavator operating state, and by using
the developed program, the change in the generalized coordinates (θ0,θ1,θ3) of the
positions of the excavator kinematic chain members was determined during various
manipulation tasks of the excavator in exploitation conditions (Fig. 5).

Table 2 Measured quantities in exploitation conditions

Sensors Measured quantities Index Dim
М1 The vertical displacement of the support and movement member c1 m
М2 The angle of the platform rotation c2 rad
М3 The stroke of the boom hydraulic cylinder c3 m
М4 The stroke of the stick hydraulic cylinder c4 m
М5 The stroke of the bucket hydraulic cylinder c5 m
The pressure in the one duct of the hydraulic motor for platform p21
М6 MPa
rotation drive
The pressure in the another duct of the hydraulic motor for platform p22
М7 MPa
rotation drive
М8 The pressure in the boom hydraulic cylinder on the piston end p31 MPa
М9 The pressure in the boom hydraulic cylinder on the piston rod end p32 MPa
М10 The pressure in the stick hydraulic cylinder on the piston end p41 MPa
М11 The pressure in the stick hydraulic cylinder on the piston rod end p42 MPa
М12 The pressure in the bucket hydraulic cylinder on the piston end p51 MPa
М13 The pressure in the bucket hydraulic cylinder on the piston rod end p52 MPa

Generalized coordinates θ1 of the support and movement member of tested excavator

are determined by the following equation (Fig. 5):
2 c1 2 c1
arctg c1 0 arctg c1 0
L 2 a1 L 2 a1
q1 q1 (20)
2 c1 2 c1
arctg c1 0 arctg c1 0
2 a1 L 2 a1 L

where: a1  the coordinate of the sensor position, L  the length of the excavator track
footprint.
The changes in the following generalized coordinates of the excavator kinematic chain
members are selected and presented here: θ0 – the vertical displacement of the centre of
mass of the support and movement member (Fig. 6), θ1 – the angle of displacement of the
support and movement member (Fig. 7), θ3 – the angle of the rotation of the manipulator
boom (Fig. 8).
The results yielded by the experimental dynamic analysis of the excavator show that
the hydraulic excavators act like very sensitive dynamic oscillatory systems where as
elastically dampened elements of the system occur hydrostatic actuators (hydraulic
motors and hydraulic cylinders) of excavator drive mechanisms, due to hydraulic oil
compressibility.
Diagrams of the changes in generalized coordinates θ0 (Fig. 6), θ1 (Fig. 7), θ3 (Fig. 8)
show that a pronounced oscillatory state of the excavator occurs at the end of the digging
operation, when the digging resistance drops rapidly, and it appears as a force impulse
168 D. JANOŠEVIĆ, J. PAVLOVIĆ, V. JOVANOVIĆ, G. PETROVIĆ

acting on the excavator’s elastically dampened system. The oscillatory displacement also
occurs at the beginning of the material moving operation when the boom begins to move.
However, primary oscillatory displacement of the member of the support and movement
mechanism kinematic chain appear during the material unloading operation at the moment
when the bucket is being emptied and when the system dynamic parameters – the mass
and the moment of inertia of the scooped material – change rapidly.
The results of the experimental dynamic analysis of the excavator stability show the
oscillatory-dampened character of the generalized coordinates with the damping time of
around 4 s, which approximately corresponds to the time obtained in the numerical
analysis.

Fig. 6 The change in the vertical displacement of the support and movement member θ0
during the manipulation task of the excavator obtained in the experimental analysis

Fig. 7 The change in the angular displacement of the support and movement member θ1
during the manipulation task of the excavator obtained in the experimental analysis
 A Numerical and Experimental Analysis of the Dynamic Stability of Hydraulic Excavators 169

Fig. 8 The change in the vertical displacement of manipulator θ3 during the manipulation
task of the excavator obtained in the experimental analysis

5. CONCLUSION
On the basis of the obtained results it can be concluded that the hydraulic excavators act
like very sensitive dynamic oscillatory systems when performing manipulation tasks.
Hydrostatic actuators (hydraulic motors and hydraulic cylinders) of drive mechanisms of the
excavator kinematic chain appear as extremely elastically dampened system elements in the
form of hydraulic springs caused by the hydraulic oil compressibility. Oil temperature in the
excavator hydrostatic drive system affects the dynamic stability of the excavator. With an
increase in oil temperature, amplitudes and periods of dampened oscillation of the excavator
kinematic chain members also increase. The comparison of the character of changes and the
duration of the calculated movement of the excavator, on the grounds of the defined
mathematical model and the developed program, with the results obtained on the basis of the
measured quantities of the excavator when operating in exploitation conditions show that the
defined mathematical model possesses a sufficient accuracy to analyze the dynamic stability
of the excavator.

Acknowledgements: The paper was prepared within the project TR 35049 financed by the Ministry of
Education and Science of the Republic of Serbia.

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