A REVIEW ON KINEMATICS OF

HYDRAULIC EXCAVATORS
BACKHOE ATTACHMENT
BHAVESHKUMAR P. PATEL
Assistant Professor, Mechanical Engineering Department, U. V. Patel College of Engineering,
Ganpat University (GNU), Kherva-382711, Dist. Mehsana, Gujarat, India

DR. J. M. PRAJAPATI
Associate Professor, Faculty of Technology and Engineering
Maharaja Sayajirao University of Baroda,
Vadodara - 390002, Gujarat, India
Abstract:
An excavator is a typical hydraulic heavy-duty human-operated machine used in general versatile
construction operations, such as digging, ground leveling, carrying loads, dumping loads and straight
traction. These operations require coordinated movement of boom, arm and bucket in order to control
the bucket tip position to follow a desired trajectory. This paper focuses on review of a work carried
out by researchers in the field of kinematic modeling of the backhoe attachment to understand relations
between the position and orientation of the bucket and spatial positions of joint-links. Kinematic modeling
is helpful for understanding and improving the operating performance of the backhoe excavation machine.
There are many research work done by researchers in the same field but still there is a scope to develop
kinematic modeling of backhoe attachment to predict the digging trajectory as well as better controlling of
backhoe attachment to carry out required digging task at desired location.
Keywords: Backhoe, Digging, Forward kinematics, Inverse kinematics
1. Introduction
Rapidly growing rate of industry of earth moving machines is assured through the high performance construction
machineries with complex mechanism and automation of construction activity. Backhoe excavators are widely used
for most arduous earth moving work in engineering construction to excavate below the natural surface of the ground
on which the machine rests. Hydraulic system is used for operation of the machine while digging or moving the
material [1]. An excavator is comprised of three planar implements connected through revolute joints known as
the boom, arm, and bucket, and one vertical revolute joint known as the swing joint [2]. Kinematics is the science
of motion which treats motion without regard to the forces that cause it. Within the science of kinematics one studies
the position, velocity, acceleration, and all higher order derivatives of the position variables (with respect to time or
any other variables) [3]. The excavator linkage, however, is a complex link mechanism whose motion is
controlled by hydraulic cylinders and actuators. To program the bucket motion and joint-link motion, a
mathematical model of the link mechanism is required to refer to all geometrical and/or time-based properties of
the motion. Kinematic model describes the spatial position of joints and links, and position and orientation of
the bucket. The derivatives of kinematics deal with the mechanics of motion without considering the forces that
cause it [4].
2. Formulation of Problem
The basic problem in the study of mechanical link mechanism is of computing the position and orientation of
bucket of the backhoe attachment when the joint angles are known, which is referred to as forward kinematics.
The inverse kinematics problem is, thus to calculate all possible sets of joint angles, which could be used to
attain a given position and orientation of the bucket tip of the backhoe attachment. The problem of link
mechanism control requires both the direct and inverse kinematic models of the backhoe attachment of the
excavator [4]. The kinematic modeling helpful to follow the defined trajectory as well as digging operation can
be carried out successfully at required location of the terrain using proper positioning and orientation of the
bucket and ultimately digging task can be automated. Here the next section highlights the research work carried
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1990
out by the researchers in the same area, which is helpful to understand and improving the operating performance
of the backhoe excavator attachment.
3. Kinematic Modeling
P. K. Vaha and M. J. Skibniewski, have described the kinematics of the excavator with the coordinate frame in
1993. To describe the position of the points on the mechanism of an excavator, coordinate systems are first defined.
A fixed Cartesian coordinate system is assigned to the body of the excavator. The local coordinate frames are
assigned to each link of the mechanism. A systematic method to define the local coordinate systems for the
serially connected links (upper structure, boom, arm, and bucket) of the excavator is accomplished by applying
the Denavit and Hartenberg procedure. The resulting coordinate flames for the links of the excavator are
shown in figure 1.

Fig. 1 Typical Excavator and Its Coordinate Frames Fig. 2 Moving items of typical backhoe excavator, and assignment of
their coordinate frames
It should be noted that the first link rotates on the supporting base about the vertical axis. The rotational axes for
the other joints are horizontal. For determining the transformation matrices, structural kinematic parameters are
defined and presented using the Denavit-Hartenberg procedure. The transformation matrices for rotational joints
assume the following general form:
A
-1

= _
cos 0

-cos o

sin 0

sino

sin0

o
1
cos0

sin0

coso

cos0

-sino

cos 0

o
1
sin0

u sin0

coso

u u u 1
_ (1)
The kinematic model of an excavator presented here provides a useful computational platform for
investigating the machine behavior of a typical excavator. In particular, the model can serve as a basis for
computer simulation of excavator behavior during the motion. Moreover, it is useful in designing a
controller to make the excavator motion track a specified path for a given digging task [5].
Table 1: Kinematics Parameters of the Arm Mechanism for the Backhoe Excavator in D-H notation
Link a d
Crawler
Superstructure
0
q
0

90
0
q
c
a
0

0
0
Arm boom
Arm stick
Bucket
q
1
q
2
q
3

0
0
0
a
1
a
2
a
3

0
0
0
M. Bodur, H. Zontul, A. Ersak, A. J. Koivo, H. O. Yurtseven, E. Kocaozlan, and G. Pqamehmetolu, in 1994
have control the cognitive force for the automation of the land excavation is developed to include the
kinematics of the excavator arm. During digging at a certain point on the excavation trajectory, both the crawler
and the rotational super-structure bodies are stationary, and thus the kinematic model is reduced to 3 degree of
freedom. Kinematic solution of the arm is accomplished in the form of homogeneous transformation matrix by
using Denavit-Hartenberg (D-H) notation. The assignment of the joint displacement variables and the coordinate
frames are as shown in figure2 and (D-H) parameters are as shown in table 1. The forward kinematic
transformation T = A
l
A
2
A
3
which is obtained using the homogeneous transformation matrices A
i
, i = 1,2,3 of the
boom, stick and bucket, respectively. It converts the coordinates in the bucket frame into the fixed superstructure
frame. The cognitive force control prevents excessive ram-forces by converting the control of the ram-forces
into the modification of the digging trajectory, which is getting by kinematic model [6]. A. J. Koivo, in 1994,
presented the kinematics of specific construction machines as excavators (backhoes and loaders). A systematic
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1991
procedure is presented to assign Cartesian coordinate frames for the links (joints) of an excavator as shown in
figure 1. Then, the homogeneous transformation matrices that relate two adjacent coordinate frames are given
same as equation 1. If the lengths of the actuators or the joint variable angles are given, the position and
orientation (pose) of the bucket are determined by the forward kinematic equations. P
0
N
is the origin of the
fourth coordinate frame.
P
0
N
= A
0
4
P
4
N
(2)
A
0
4
= _
C
1
C
234
-C
1
S
234
S
1
C
1
(o
4
C
234
+o
3
C
23
+o
2
C
2
+ o
1
)
S
1
C
234
S
1
S
234
-C
1
S
1
(o
4
C
234
+ o
3
C
23
+o
2
C
2
+o
1
)
S
234
C
234
u o
4
S
234
+o
3
S
23
+o
2
S
2
u u u 1
_ (3)
A
0
4
is the homogeneous transformation matrix that relates the vector of the fourth coordinate frame to a
vector in the base coordinate system. Equations (2) and (3) represent the first part of the forward kinematic
equations for the excavator. If the position and orientation of the bucket are specified, the joint variable
angles corresponding to this bucket pose and the lengths of the actuators are calculated from the backward
(inverse) kinematic equations. The corresponding velocity relations are derived for the hydraulically driven
excavator (backhoe and loader). The kinematic equations presented establish the foundation for automatic
computer control of this type of construction machine [7].

Fig. 3 Excavator kinematics Fig. 4 Bucketposition and orientation
David A Bradley and Derek W Seward, in 1995, the LUCIE system has demonstrated a number of novel
concepts in its approach to automated and robotic excavation and in particular features such as the use of
velocity vector control and software force feedback to control the motion of the bucket through ground. During
excavation, the motion of the excavator arm is constrained to the line of the trench in which case,
referring to figure 3 of excavator kinematics, the position of the bucket joint relative to the point of
attachment of the arm to the vehicle, joint 1, is obtained. The bucket position and orientation is shown in figure 4.
The position of the initial and target positions in terms of the system reference co-ordinates enables the current
and required joint angles of the excavator arm to be obtained together with the angle of the bucket joint using the
velocity of the bucket tip for I as reference time interval. The equations for angular velocities of each joint was
developed. This structure is implemented in real-time using a production rule based AI format. They have control
the movement of the excavator or LUCIE through ground by implementation of a real-time artificial intelligence
based control system utilising a novel form of motion control strategy [8]. C.F. Hofstra, A. J. M. van Hemmen, ,S.
A. Miedema and J. van Hulsteyn, described the kinematics of the backhoe of Komatsu H245S with a 12 m boom
and a 8.5 m stick in 1999. This kinematics of backhoe utilized by them for the development of dynamic model. They
have determine the relation between the machine orientation and the desired trajectory. In order to do this effectively
while describing the position and orientation of the bucket the Denavit-Hartenberg (DH) approach based on
homogenous co-ordinates is utilised [9]. S.S. Rao, P.K. Bhatti have developed a probabilistic model of the
manipulator kinematics to account for the random errors in the kinematic parameters in 2001. Based on the
probabilistic model, kinematic performance criteria are defined to provide measures of the behavior of the robotic
end-effector.Gaussian distributions are assumed for the various manipulator parameters, and the joint efforts are
modeled as Markov stochastic processes. Indices called kinematic reliabilities are proposed as measures to assess the
performance of a manipulator. The analytical approach is computationally more involved and the simulation
technique is numerically more convenient to compute the performance measures of a manipulator [10]. Hsin-Sheng
Lee, Shinn-Liang Chang and Kuo-Huang Lin, in 2002, a CAD/CAE/CAM and remote control integrated system for
a pneumatic excavator mechanism was developed. The vector loop method and Visual C++ language were used to
build the position analysis module. The velocity of the links could be obtained easily by differentiating the position
equation with respect to time. Link accelerations were then obtained by differentiating the velocity equation. The
position analysis determines the working space of the excavator loader and helps the designer to choose the proper
length and link conguration.
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1992

Fig. 5 Assembly model of the excavator Fig. 6 Pneumatic excavator prototype Fig. 7 Structure of the backhoe excavator model
Figure 5 shows an assembly model of the excavator. Pro/ENGINEER (Pro/E) was used to construct the
parametric solid models. In order to analyze excavator design in the real world by creating a virtual prototype,
Pro/Mechanica was used to implement the excavator kinematic simulation and structure analysis. Figure 6 shows
pneumatic excavator prototype equipped with air cylinders, valves, pipes, a motor, and an air-pressure pump. This
project was designed specically for educational purposes, and made use of low-cost and easy programming instead
of expensive industrial equipment [11]. Fuad Mrad, M. Asem Abdul-Malak, Salah Sadek, and Ziad Khudr, in 2002,
develpoed simulation package using Matlab with several embedded design and analysis tools. Emulation was also
carried out on the RHINO educational robot to confirm the simulation results. The constructed simulation package
offered an integrated environment for trajectory design and analysis for an excavator while addressing the
constraints related to the excavator structure, safety and stability, and mode of application. In this simulation package
they have carriedout kinematic modeling for excavator and the numerical values of specifications are adoped for the
JCB-3CX commercial excavator as per brochure of the excavator model. The model has 5 DOF, four revolute joints
and one prismatic side-shift link at the base. Figure 7 shows the adopted backhoe excavator structure.

Fig. 8 Structural parameters of the excavator model Fig. 9 A critically safe excavator excavator
Table 2: D-H structural parameters of backhoe excavator
Offset length Joint rotation Link length Offset angle (x)
1
2
3
4
5
d
1
(t)
d
2

0
0
0
90

1
(t)

2
(t)

3
(t)

4
(t)
a
1

a
2
l
1
l
2
_o
3
2
+l
3
2

90
90
0
0
0

Fig. 10 Schematic and various dimensions of the Fig. 11 A velocity diagram of the chassis and boom backhoe model
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1993
The excavator model with the assigned structural parameters is sketched in figure 8. The excavator structural
parameters are derived and tabulated in Table 2. A schematic diagram of a critically safe excavator configuration is
shown in figure 9. The safety criterion is based on ensuring that the excavator does not dig soil under the area on
which the excavator vehicle stands. The operator's safety is addressed in the excavator's structural constraints [12].
Donald Margolis, and Taehyun Shim, in 2003, a complete pitch/plane model of a backhoe was developed that
includes the hydraulic dynamics and kinematics of the control linkage. The developed model is based on Bond
graphs, which are a concise pictorial representation of the interactive dynamics of all types of energetic systems. The
model was developed in pieces using bond graph fragments, and the overall model was assembled by
straightforwardly assembling the bond graph fragments. A schematic of a backhoe is shown in figure 10 where only
the bucket loader is attached. A velocity diagram of the chassis and boom is shown in figure 11. Through straight
forward trigonometry, the instantaneous length of the cylinder, is found. Equations were derived directly from the
bond graph and programmed for simulation using a digital computer. Simulations were run for an initial condition
response from near equilibrium. The model predicts the instability observed on the actual backhoe, and is now ready
to be used as a design tool for future backhoe development [13]. Emil Assenov, E. Bosilkov, Radoslav Dimitrov,
Tzvetan Damianov, in 2003, have carried out study on kinematics of working mechanism of hydraulic excavator.
The mechanism of this manipulator is plane multilinkage, that consists of arms joined and hydraulic cylinders. They
have consider the working mechanism as conjunction of jib, arm and bucket, that are joined by the cylindrical
joints and hydraulic cylinders. A model of arm and jib is shown in figure 12.

Fig. 12 A model of mechanism arm jib Fig. 13 3-D SolidWorks model
The body 1 presents the jib, the body 2 arm. They are joined in point A and point B with hydraulic cylinder.
The pressure and area of the cylinder are known. The kinematic modeling is done for hydraulic excavator of
Caterpillar with 1m
3
bucket volume. This model is shown in figure 13. The equation for the length of the cylinder is
derived. Simulation of such a mechanism is made by using Lagrange equation of the first type with unknown
multipliers. The results can be used for creation of a control system of the working process of the hydraulic
excavator [14]. Boris Vidolov, Svetoslav Genchev, in 2005, have developed two heuristic approaches for inverse
kinematics of a real 12 MXT MECALAC redundant excavator. This approach of coordinated motion control
appears as a solution to discharge the operator from a fastidious and monotonous work so that he can focus more on
the critical situations and takes the appropriate decisions in dynamical and unstructured environments. For the
simplicity of the presentation they have consider only the plane displacement of the arm. The MECALAC machines
present particular kinematics scheme with 5-DOF hydraulic arm which is shown in figure 14.

Fig. 14 MECALAC arm scheme Fig.15 Kinematics model for working mechanism of
hydraulic excavator
They have presented a priority approach and alternating approach. In simulation, the method gives a very
smooth overall motion. They have developed a simulator in order to test and validate their developments. This is
generic tool that allow us: to simulate different kinematics and dynamic models (differential equations systems), to
evaluate various control algorithms, to observe the behavior of the different body, actuators, tools of the studied
arms, to quantify the capacities of developed approaches to follow specified trajectories [15]. Daqing Zhang,
Qinghua He, Peng Hao and HaiTao Zhang, in 2005, have derived the full kinematic model of the excavator arm,
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1994
regarded as a planar manipulator with three degrees (boom, dipper and bucket) of freedom, to find a feasible
way to control excavators arm and realize autonomous excavation. The exponential product formula based on
screw theory is used to develop the kinematic model of manipulator to get the desired trajectory. One of the most
attractive characteristic of exponential product formula is that it has two coordinate systems, one is base
coordinate system S and the other is tool coordinate system T as shown in figure 15. The aim of establishing the
kinematic model of manipulator is to transfer bucket tips reference trajectories to the corresponding and
required reference angles sequence of each joint, and to get the motion sequences of hydraulic cylinders. The motion
controlling experiment of boom is done on the robotic excavator, which is based on the Sunward SWE85
excavator. The experimental result exhibits good tracking performance for boom cylinder under the controller
developed. The peak error is less than 4 degrees [16]. A.S. Hall, P.R. McAree, in 2005, have studed on the
excavation arm of a large hydraulic mining shovel having a multi-loop kinematic form. They have describe an
iterative algorithm that allows the position of the bucket to be tracked from measurements of the linear actuator
extensions. The important characteristic of this algorithm is that it is numerically well-behaved when the linkage is
close to singular congurations.

Fig. 16 Kinematic layout of the excavation Fig. 17 Terex face-shovel excavator Fig. 18 Workspace of an excavator
Arm RH-340 in the design environment
Specically, they have described a method for tracking the angles of the boom, stick and bucket links relative to
a global reference frame and the kinematic layout of the excavation arm shown in figure 16. Having determined
these angles, and with knowledge of the (easily measured) pivot angle, the spatial position of the bucket can be
readily determined by applying, the transform method of Denavit and Hartenberg or Brocketts product-of-
exponentials method. They have also carried out forward kinematic tracking using a multi-dimensional Newton
Raphson solver which is helpful to determining the time-varying trajectory from measure ments of the cylinder
lengths [17]. F. Geu Flores, A. Kecskemethy, A. Pottker, in 2007, have described a method based on the concept of
kinematical transformers for nding closed-form solutions for the kinematics of Terex face-shovel excavator RH-
340 as shown in figure 17. In this concept, each multibody loop is regarded as a transmission element, which is
coupled by linear equations with the other multibody loops. An application-specic code has been realized using a
combination of the object-oriented multibody library MOBILE and symbolical equations. The method is applied to
an existing heavy-load excavator , showing that the computational effort can be reduced by a factor of more than 200
as compared to general purpose numerical codes. This can be of importance when the design process has to be
repeated several times. The code can be used also as a kernel for controllers and for the analysis of the effect of
uncertainties in the components of the system using interval analysis. The work space of an excavtor is carriedout for
a practical face-shovel excavator using the designed software as shown in figure 18 [18]. Hyongju Park, Sanghak
Lee, Baeksuk Chu and Daehie Hong, the recurrent neural network was implemented for better kinematics control
of the excavator with obstacle avoidance capability in 2008. A recurrent neural network algorithm and joint
constraints was conducted to effectively accomplish the goals of excavation task execution, joint limit control, and
obstacle avoidance at the same time.Excavator was considered as a manipulator withn 4-DOFs,, therefore mobile or
track motion was excluded in this study. For convenience and generality, Denavit-Hartenburg (D-H) notation was
used to build homogenous transformation matrices. The D-H convention was used for frame assignments of the
excavator model as listed in Table 3.
Table 3: D-H structural parameters for excavator
a d o
(1) a
1
0 90
1

(2) a
2
0 0
2

(3) a
3
0 0
3
(4) a
4
0 0
4

The forward kinematics model of the excavator was established. With additional bound constraints, excavator
model can perform its job without any problem, such as malfunctioning, sudden stop and etc. Simulation results
show that the position error was reasonably small, on the assumption that excavator model has only one available
redundancy [19]. Michael G. Lipsett, in 2009, have described a simple framework for assessing different shovel
designs, including kinematic performance of face shovels for surface mining excavation. Key design
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1995
considerations for an excavating shovel to meet the performance and reliability specications are based primarily
on kinematics. The kinematics of the shovel attachment determines the maximum reachable height, and the
maximum reach to the bank to do work (which determines the maximum bench height in mine design and
production planning). Kinematic mechanism analysis can be used to calculate various specifications.

Fig. 20 RH 400 Kinematics Fig. 21 - Kinematic Manipulability of the RH 400 with Horizontal
Bucket (Distances in mm)
The Terex O&K RH 400 is analyzed as a case study; reachable workspace, mobility during digging and achievable
cutting forces are presented with some simplifying assumptions for the dynamics of the machine. Methods for
determining the parameters of the models are discussed. Forward kinematics yields the location and orientation
of the bucket lip, given the three joint displacements. Figure 20 shows the kinematic parameters of the RH
400 shovel attachment. Inverse kinematics produces the joint displacements for a given shovel pose. A skilled
operator can achieve the desired bucket motion with good angle of attack, provided that visibility is good.
Figure 21 shows the reachable workspace of the RH 400 with the bucket horizontal, and a set of ellipses[20].
Dongnam Kim, Kyeong Won Oh, Daehie Hong, Yoon Ki Kim and Suk-Hie Hong, in 2009, a novel concept of
applying tele-operated device was developed for the remote control of excavator-like dismantling equipment. As a
tele-operated system, this controller is designed to improve the operability of the excavator. They have developed all
the necessary kinematic analysis to design the tele-operated system and basic motion control simulations to the real
excavator working at construction site are conducted with designed tele-operated system. This device is designed
based on the kinematics of the excavator, which can cover 3-dimensional workspace. And operator can control the
real excavator intuitively with this new model of tele-operated system.

Figure 22 Kinematic model of excavator Fig. 23 Schematic diagram of the excavator
Figure 22 shows 4 coordinates of each links of the excavator. After the modeling of excavator, forward and inverse
kinematics analysis is necessary. When the haptic devices are designed, the inverse kinematics analysis is more
important to control the pose of last link. With this reason, according to the buckets pose, four joint angles of
excavator are controlled by the inverse kinematics analysis [21]. Hongnian Yu, Yang Liu and Mohammad Shahidul
Hasan, in 2010, have described modeling of excavator to carry out the kinematic which give the trajectory of the
excavator bucket based on the trajectory of the excavator arm joints and the inverse kinematics which give the
desired joint variables corresponding to the desired bucket trajectory. The excavator schematic diagram is shown in
figure 23. The problem of forwared kinematics can be summarised as: For the given = |
2

3

4
]
1
, find the
coordinate P = |X X]
1
= |
x
()

()
z
()]
1
. In the forward kinematics the transformation matrix relating
two adjacent coordinate frames was used which is given by Koivo et al. (1996). The problem of inverse kinematics
can be summarised as below: For the given P = |X X]
1
, find the joint angles = |
2

3

4
]
1
=
|g
2
(P) g
3
(P) g
4
(P)]
1
= |
x
-1
()

-1
()
z
-1
()]
1
. The inverse kinematics was completed using the model
provided by Tafazoli (1997). They have utilized three control approaches: adaptive control, robust control and
iterative learning control which have been developed on the fully actuated robot manipulator.
Bhaveshkumar P. Patel et al. / International Journal of Engineering Science and Technology (IJEST)
ISSN : 0975-5462 Vol. 3 No. 3 March 2011 1996
4. Conclusion
Kinematic modeling is helpful for understanding and improving the operating performance of the backhoe
excavation machine. Kinematic model describes the spatial position of joints and links, and position and
orientation of the bucket. The derivatives of kinematics deal with the mechanics of motion without considering
the forces that cause it. The kinematics of excavator was described by P. K. Vaha (1993) and A. J. Koivo
(1994), provides a useful computational platform for investigating the machine behavior of a typical
excavator by defining Cartesian coordinate system. For determining the transformation matrices, structural
kinematic parameters are defined and presented using the Denavit-Hartenberg procedure. The forward and inverse
kinematics also described by them. This concept of kinematics is followed by number of researchers for their
application. This review provides the background of excavator kinematics to carry out further research work in the
same era.
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