Mhcl12 Final

3 - 5 October 2012
XX INTERNATIONAL CONFERENCE ON
"MATERIAL HANDLING, CONSTRUCTIONS
AND LOGISTICS"
Edited by
S. Bonjak, G. Kartnig and N. Zrni
MHCL12
UNIVERSITY OF BELGRADE
FACULTY OF MECHANICAL ENGINEERING
BELGRADE, SERBIA, 2012
INTERNATIONAL SCIENTIFIC COMMITTEE

Co-Chairmen:
Univ. Prof. Dr. Sran Bonjak, University of Belgrade, Serbia
Univ. Prof. Dr. Georg Kartnig, Vienna University of Technology, Austria
Univ. Assoc. Prof. Dr. Nenad Zrni, University of Belgrade, Serbia
Scientific Committee
Mircea Alamoreanu, Romania
Marijonas Bogdevicius, Lithuania
Sran Bonjak, Serbia
Juray Bukoveczki, Bratislava, Slovakia
Dumitru Caruntu, USA
Marco Ceccarelli, Italy
I-Ming Chen, Singapore
Thomas Chondros, Greece
Jerzy Czmochowski, Poland
Nenad upri, Serbia
Argiris Dentsoras, Greece
Gamini Dissanayake, Australia
Branislav Dragovi, Montenegro
Milomir Gai, Serbia
Marin Georgiev, Bulgaria
Milosav Georgijevi, Serbia
Monika Hardygora, Poland
Klaus Hoffmann, Austria
Leopold Hrabovsky, Czech Republic
Bela Illes, Hungary
Nenad Ivanievi, Serbia
Janko Janevski, Republic of Macedonia
Boris Jerman, Slovenia
Dirk Jodin, Austria
Miomir Jovanovi, Serbia
Franz Kessler, Austria
Teun Koetsier, Netherlands
Jesa Kreiner, USA

Bela Kulcsar, Hungary
Zoran Marinkovi, Serbia
Sylwester Markusik, Poland
Daniel Moon, Sweeden
Milosav Ognjanovi, Serbia
Donatus C.D. Oguamanam, Canada
Ludger Overmeyer, Germany
Milorad Pantelic, Serbia
Nam Kyu Park, South Korea
Zoran Petkovi, Serbia
Iztok Potr, Slovenia
Zoran Radmilovi, Serbia
Marko Rakin, Serbia
Madhu Raghavan, USA
Miroslav Rogi, Bosnia and Herzegovina
Eugeniusz Rusinski, Poland
Oliver Sawodny, Germany
Thorsten Schmidt, Germany
Wilfried Sihn, Austria
William Singhose, USA
Luigi Solazzi, Italy
Milorad Vidovi, Serbia
Jovan Vladi, Serbia
Peter Wypych, Australia
Hong-Sen Yan, ROC
Nenad Zrni, Serbia
President of the Honorary Scientific Committee

Univ. Prof. Dr. ore Zrni, University of Belgrade, Serbia
Honorary Scientific Committee

1.
2.
3.
4.
Nikola Babin, Serbia

Radi Mijajlovi, Serbia
Milorad Milovanevi, Serbia
Radivoje Mitrovi, Serbia
5.
6.
7.
8.
Joerg Oser, Austria

Davor Ostri, Serbia
Dietrich Severin, Germany
ore Zrni, Serbia
President of the Organizing Committee:

Univ. Associate Prof. Dr. Nenad Zrni, University of Belgrade, Serbia
Vice President of the Organizing Committee:

Univ. Prof. Dr. Branislav Dragovi, University of Montenegro, Montenegro
Reviewers:
1.
2.
3.
4.
Prof. Dr. Sran Bonjak, Serbia

Prof. Dr. Branislav Dragovi, Montenegro
Prof. Dr. Klaus Hoffmann, Austria
Ass. Prof. Dr. Boris Jerman, Slovenia
5.
6.
7.
8.
Prof. Dr. Georg Kartnig, Austria

Prof. Dr. Nam Kyu Park, South Korea
Assoc. Prof. Dr. Milorad Vidovi, Serbia
Assoc. Prof. Dr. Nenad Zrni, Serbia
Publisher:
University of Belgrade, Faculty of Mechanical Engineering
CIRCULATION: 150 copies
ISBN 978-86-7083-763-8
All rights reserved. No part of this book may be reproduced in any form or by any means without writing permission from publisher.
II
PREFACE
The International Conference on Material Handling, Constructions and Logistics MHCL is the 20th event of a series
that has been started just 36 years ago, in 1976 by Professor ore Zrni. Up to now the Conference gathered together
scientists and researchers from all republics (now independent states) of former Yugoslavia (Serbia, Montenegro,
Croatia, Slovenia, Bosnia and Herzegovina, and Republic of Macedonia), as well as from Austria, Germany, Hungary,
Poland, Slovakia, Bulgaria, Romania, China, Greece, Russia, Netherlands, Italy, Switzerland, Lithuania, South Korea,
USA and Australia, working in the field of Material and Mechanical Handling, Constructions and Construction
Machinery, as well as Transport Logistics. This year, for the first time, MHCL is organized together by the University
of Belgrade (Faculty of Mechanical Engineering) and Vienna University of Technology (Institute for Engineering
Design and Logistics Engineering).
The aim of the Conference is to be a forum to exchange views, opinions and experience on MHCL from technical
viewpoints in order to track the current achievements, but also to look at to future developments. Most of the authors of
contributed papers are experts in MHCL and related topics. Also, one of the main goals of the Conference is to make
the scientific/research exchange between similar academic Departments and Institutes from different countries, as well
as individual researcher in the field, in order for possible cooperation in applying for international programs or bilateral
research and scientific projects.
This year the International Conference MHCL12 is held at the University of Belgrade, Faculty of Mechanical
Engineering, from 3-5 October. These Proceedings contain 69 papers by authors from 22 countries: Serbia, Austria,
Germany, Poland, Greece, Montenegro, Slovenia, South Korea, Netherlands, Macedonia, China, Czech Republic, Italy,
Hungary, Bosnia and Herzegovina, Kenya, Ukraine, Australia, Canada, Indonesia, Mexico and USA. The papers are
grouped in four principal sessions A, B, C, D and a special session E established in 2009 and organized by Professor
Branislav Dragovi (University of Montenegro):
Session A: Hoisting and Conveying Equipment and Technologies (Chairman: Prof. Nenad Zrnic): 11 papers
Session B: Construction and Mining Equipment and Technologies (Chairman: Prof. Sran Bonjak): 14 papers
Session C: Logistics and Intralogistics Systems (Co-chairmen: Profs. Georg Kartnig and Nenad Zrnic): 16 papers
Session D: Constructions and Design Engineering (Co-chairmen: Profs. Georg Kartnig and Sran Bonjak): 8 papers
Session E: Maritime and Port Logistics (Chairman: Prof. Branislav Dragovi): 13 papers
Proceedings contain also 7 invited papers presented in Plenary and Closing session. The invited lectures reflect the wide
spectrum of important topics of current interest in MHCL. These Proceedings can also be considered as a kind of
handbook on MHCL, and can be of interest for researchers, graduate students and engineers specializing or addressing
attention to MHCL. We believe that a reader will take advantage of the papers in these Proceedings with further
satisfaction and motivation for her or his work.
We would like to express our sincere thanks to all members of the Scientific and Organizing Committee, reviewers as
well as to all participants including invited speakers for coming in Belgrade to present their papers. On this occasion,
we are particularly indebted to all people who rendered their help for the preparation of the Conference and publication
of the Proceedings.
We are grateful to the authors of the articles for their valuable contributions and for preparing their manuscripts in time.
Belgrade, October 2012

Editors
Sran Bonjak, Georg Kartnig, Nenad Zrni
III
ABOUT THE ORGANIZER

The University of Belgrade is the oldest and largest University in Serbia. Technical Faculty at
University of Belgrade was established in 1863, and the first subject in the field of Mechanical
Engineering (Mechanics and Science of Machines) in 1873. First subject as a forerunner of the
Department of Material Handling, Constructions and Logistics (Department of Mechanization) was
Construction Machinery established in 1897. Starting from 1907 some chapters on hoist
machinery (cranes) are lectured at the academic level. The Department of Construction Machinery
and Facilities Layout was established in 1932. In 1948 was established the Department of Industrial
Mechanical Engineering, renamed in 1959 to Department of Mechanization (Material Handling and
Design Engineering). Up to now the members of Department of Mechanization published several
hundred scientific papers in journals, books, and conference proceedings. The Department has an
intensive cooperation with industry. That resulted in numerous projects and developed, designed
and constructed series of complex, original and modern transporting and construction machines,
devices, and systems in the country (former Yugoslavia) and abroad (Burma, Indonesia,
Bangladesh, Germany, Russia, Tanzania, Greece and Azerbaijan former USSR). All these devices
have been constructed and functioning for years now and many of them are innovative.
Vienna University of Technology looks back on a long tradition at the leading edge of scientific
research and education: Founded in 1815 as Polytechnisches Institut (Imperial and Royal
Polytechnical Institute), it was divided into 5 faculties in 1865. One year later the first freely elected
rector was inaugurated. In 1872 its name changed to Technische Hochschule (College of
Technology), and in 1902 the first doctorates were awarded. The institution has borne its current
name Technische Universitt Wien (Vienna University of Technology) since 1975. At the
Institute for Engineering Design and Logistics Engineering the research group Engineering Design
for Material Handling and Conveying Systems (Konstruktionslehre und Frdertechnik) is engaged
with design principles in mechanical engineering and with material handling as technical as well as
logistical tasks. Further key aspects of activities are: rail vehicles, ropeways and supporting
structures.
ORGANIZED BY
University of Belgrade, Faculty of Mechanical Engineering
Department of Material Handling, Constructions and Logistics
Vienna University of Technology

Institute for Engineering Design and Logistics Engineering
SPONSORED BY
Serbian Ministry for Science and Technological Development
HIGH-PATRON OF THE CONFERENCE

IFToMM International Federation for the Promotion of Mechanism and Machine
Science
IV
CONTENTS
PLENARY SESSION INVITED PAPERS
Overmeyer L, Frobse T, Radosavac M.
TRENDS AND EXPERIENCES OF TESTING THE FATIGUE STRENGTH OF MORE THAN 1,000
CONVEYOR BELT SPLICES ..................................................................................................................................... 1
Schmidt T, Anders M, Leonhardt T, Siegel A.
ADVANCES IN ROPE DRIVES ................................................................................................................................. 7
Hoffmann K.
ROPEWAYS FROM THEIR ORIGINS UP TO THE 3RD MILLENNIUM ............................................................ 13
Kessler F, Prenner M.
INVESTIGATION INTO BULK MATERIAL PARAMETERS FOR DISCRETE ELEMENT SIMULATION ..... 25
Rusiski E, Czmochowski J, Pietrusiak D.
SELECTED PROBLEMS OF OPEN CAST MINING MACHINES DESIGN ......................................................... 39
Nikitakos N.
GREEN LOGISTICS - THE CONCEPT OF ZERO EMISSIONS PORT ................................................................. 51
SESSION A HOISTING AND CONVEYING EQUIPMENT AND TECHNOLOGIES

Kartnig G, Decker K, Havlicek G.
STUDIES ON THE DISCHARGING PROCESS OF A BUCKET ELEVATOR OF A TESTING PLANT USING
THE DISCRETE ELEMENT METHOD (DEM) ....................................................................................................... 55
Lommen S, Schott D, Lodewijks G.
VALIDATION OF A MULTIBODY DYNAMICS MODEL OF A SCISSORS GRAB FOR DEM MODELLING 61
Zamiralova M, Lodewijks G.
THE INDENTATION ROLLING RESISTANCE OF PIPE BELT CONVEYORS .................................................. 65
Solazzi L.
DYNAMICAL BEHAVIOUR OF CRANES SUBJECTED TO DIFFERENT TYPES OF EARTHQUAKE .......... 71
Markos P, Dentsoras A.
OPTIMAL POSITIONING OF ELEVATOR HOISTWAYS IN BUILDINGS BASED ON A SIMPLIFIED
CIRCULATION MODEL .......................................................................................................................................... 77
ostakov R, Zeli A, Lien H Jr.
BRIDGE CRANE SKEWING LOADS CALCULATION TODAYS STATE AND NEAR IMPROVEMENTS 83
Jerman B, Hribar A.
THE OVERHEAD TRAVELLING CRANE PAYLOAD DYNAMICS ................................................................... 89
Jovanovi M, Radoii G, Markovi D.
THEORETICAL AND EXPERIMENTAL IDENTIFICATION OF THE BASE MODE OF TORSIONAL
VIBRATIONS OF TOWER CRANE ......................................................................................................................... 95
Zdravkovi N, Petkovi Z, Gai M, Savkovi M.
RESEARCH OF DEFLECTION - PAYLOAD DEPENDENCE OF THE AUTO CRANE ARTICULATED
BOOM ...................................................................................................................................................................... 101
Zrni N, Langerholc M, Jerman B, orevi M.

CONVEYOR DESIGN OPTIMIZATION AS THE PROVISION OF SUSTAINABILITY ................................... 107
Gai V, Zrni N, Petkovi Z.
DYNAMIC RESPONSES OF A GANTRY CRANE STRUCTURE DUE TO AN ACCELERATING MOVING
MASS........................................................................................................................................................................ 113
SESSION B CONSTRUCTION AND MINING EQUIPMENT AND TECHNOLOGIES

Rusinski E, Moczko P, Pietrusiak D, Przybylek G.
FATIGUE RESISTANCE AND RESONANCE PROBLEMS IN OPERATION OF THE JAW CRUSHER
SUPPORTING STRUCTURE .................................................................................................................................. 119
Malak P, Smolnicki T, Pietrusiak D.
STRAIN GAUGES MEASUREMENTS AND FEM ANALYSIS OF ELEMENTS OF CHASSIS OF OPEN CAST
MINING MACHINES .............................................................................................................................................. 125
Gottvald J.
ANALYSIS OF VIBRATIONS OF BUCKET WHEEL EXCAVATOR SCHRS1320 DURING MINING
PROCESS ................................................................................................................................................................. 129
Komljenovi D, Nuri S, Kriak L, Panteli M.
IMPACT OF THE VARIABILITY OF TECHNOLOGICAL PARAMETERS ON THE EFFECTIVE
RECLAIMING CAPACITY OF BUCKET WHEEL RECLAIMERS ..................................................................... 135
Bonjak S, Petkovi Z, Gnjatovi N, Jerman B, Milenovi I.
FINITE ELEMENT AND EXPERIMENTAL STRENGTH ANALYSIS OF THE BUCKET WHEEL
EXCAVATOR TWO-WHEEL BOGIE.................................................................................................................... 141
Petkovi Z, Bonjak S, Gnjatovi N, Mihajlovi V, Milojevi G.
REDESIGN OF THE BWE SCHRS 350 BUCKET WHEEL BOOM ..................................................................... 149
Arsi M, Bonjak S, Rakin M, Gnjatovi N, Savi Z.
RELIABILITY ASSESSMENT OF WELDED JOINTS AT BUCKET- WHEEL EXCAVATORS BASED ON
HYPERGEOMETRIC DISTRIBUTION OF DEFECTS ......................................................................................... 155
Smolnicki T, Staco M, Pietrusiak D.
EXPERIMENTAL AND NUMERICAL BALL LOAD IDENTIFICATION OF LARGE DIAMETER SLEWING
BEARING ................................................................................................................................................................. 161
Janevski J.
COMPLEX PROJECTED TRAJECTORIES OF HYDRAULIC EXCAVATORS WITH BUCKETS OR
GRAPPLES............................................................................................................................................................... 167
Ivanievi N, Petronijevi P, Arizanovi D.
OPTIMIZATION OF CONSTRUCTION EQUIPMENT SELECTION BY APPLYING AHP METHOD ............ 171
Janoevi D, Nikoli V, Petrovi N.
DETERMINING THE LOAD SPECTRUM OF AXIAL BEARING SLEWING PLATFORMS OF HYDRAULIC
EXCAVATOR .......................................................................................................................................................... 177
Emeljanova I, Aniscenko A, ovnjuk J.
RESERCH ON WORKING CONDITIONS OF CONCRETE MIXER WITH GRAVITATIONAL AND FORCED
ACTION IN CASCADE OPERATION ................................................................................................................... 181
Mitrovic B, upri N, Danilov M.
SKYLINE SYSTEMS FOR WOOD EXTRACTION AND POSSIBILITY OF APPLICATION IN FOREST
UTILIZATION IN SERBIA ..................................................................................................................................... 185
VI
Dedi A, Stanojevi M, upri N.

SELECTION OF A WOOD-CHIPPER FOR LOGGING RESIDUE WOODCHIP PRODUCTION FROM WOOD
WASTE AFTER TIMBER HARVEST .................................................................................................................... 191
SESSION C LOGISTICS AND INTRALOGISTICS SYSTEMS

Berbig D, Furmans K, Kker M, Gehrke P, Altefrohne M.
A NEW COMPREHENSIVE APPROACH FOR CHOOSING PROPER CHARGE CARRIERS IN ORDER TO
GUARANTEE EFFICIENT MATERIAL SUPPLY OF PRODUCTION AREAS ................................................. 195
Weiblen J, Breiner K.
DEFINITION OF CYCLE TIMES FOR PACKING IN DISTRIBUTION CENTERS ........................................... 201
Miodrag Z, Tesch C, Clausen U.
ENSURING URBAN SUPPLY BY ENHANCING LOGISTICS PRODUCTIVITY OF LARGE FACTORY
SITES ........................................................................................................................................................................ 205
Hafner N, Lottersberger F.
ENERGY EFFICIENCY IN MATERIAL FLOW SYSTEMS (EFFMFS) .............................................................. 209
Radosavac M, Krhn T, Overmeyer L.
SCALABLE COGNITIVE CONVEYOR FOR MATERIAL HANDLING ............................................................ 215
orevi M, Zrni N, Milievi M, Mikovi V.
THE OPTIMIZATION OF INFORMATION FLOWS AND MATERIAL FLOWS IN THE PROCESS OF
REGENERATION PARTS IN MULTI-LEVEL SUPPLY SYSTEM ..................................................................... 221
Marinkovi Z, Marinkovi D, Tomi V, Markovi G.
CONCEPT SOLUTION OF LOGISTIC CENTER IN THE FREE ZONE PIROT ................................................ 227
Bjeli N, Radivojevi G, Popovi D, Ratkovi B.
ANALYSIS OF NEIGHBORHOOD STRUCTURES IN THE VARIABLE NEIGHBORHOOD SEARCH
ALGORITHM FOR THE TRUCK SCHEDULING PROBLEM WITH TIME ROBUSTNESS ............................ 231
Dewitz M, Galka S, Gnthner W.
DRIVE-THRU LOADING CONCEPT FOR INPLANT MILK RUNS................................................................. 237
Tinello D, Trummer W, Jodin D.
EFFICIENT APPROACH IN MODIFYING MATERIAL FLOW SYSTEMS ....................................................... 243
Kovcs Z, Pat B, Szab L.
COMPETENCE REQUIREMENTS OF WAREHOUSE OPERATORS ................................................................ 247
Kosani N, Rajkovi M, Zrni N.
ALTERNATIVE ENERGY SOURCES FOR FORKLIFTS A WAY TO MAKE INTRALOGISTICS GREEN 251
Jovanovi Z.
DESIGN OF PROCESSES AND SYSTEMS FOR WASTE TRANSPORT IN DEVELOPING COUNTRIES
EXEMPLIFIED BY SERBIA ................................................................................................................................... 257
Kraft M, Zadek H.
FUTURE PROSPECTS FOR INTERACTION IN AN URBAN ROAD TRANSPORT SYSTEM ........................ 263
Gajovi V, Radivojevi G.
EVALUATION OF RISK IN LOGISTIC PROCESSES BY APPLYING FUZZY ANALYTIC HIERARCHY
PROCESS ................................................................................................................................................................. 269
Tomi V, Marinkovi Z, Markovi D, Markovi G .
PROMETHEE METHOD IMPLEMENTATION ON DUMPER TIRE CHOICE ANALYSIS .............................. 273
VII
SESSION D CONSTRUCTIONS AND DESIGN ENGINEERING

Ognjanovi M, Risti M, Vasin S.
FAILURES OF GEAR DRIVE BEARINGS CAUSED BY STRUCTURE ELASTICITY OF BWE AND BY
GEAR RESONANCE ............................................................................................................................................... 279
Savkovi M, Pavlovi G, Gasi M, Zdravkovi N.
MULTICRITERION OPTIMIZATION OF THE BOX SECTION OF THE MAIN GIRDER OF THE BRIDGE
CRANE ..................................................................................................................................................................... 285
Todorovi S, Rogi M, Jokanovi S.
AUTOMATION AND OPTIMIZATION OF PROJECT OPERATIONS IN THE BRIDGE CRANE DESIGN
PROCESS ................................................................................................................................................................. 293
uk M, Jerman B.
FINITE ELEMENT INVESTIGATION ON THE STRUCTURAL BEHAVIOUR OF LONGITUDINAL JOINTS
OF SANDWICH PANELS ....................................................................................................................................... 297
Wolfschluckner A, Landschtzer C, Jodin D.
DYNAMICS OF SAG FLAT CABLES IN THE CONTEXT OF LOAD TRANSPOSITION OF OVERHEAD
LINES ....................................................................................................................................................................... 303
Stankovi M, Risti M, Alil A, Risti M.
REPARATION OF STEEL CONSTRUCTION OF VEHICLE-MOUNTED SELF-PROPELLED CRANE'S
TELESCOPIC BOOM .............................................................................................................................................. 309
Oduori M.F.
APPLICATION OF DECISION THEORY AND INFORMATION PROCESSING IN THE SELECTION OF
ENGINEERING ENTITIES ..................................................................................................................................... 313
orevi M, Batina D, Zrni N, Jerman B, Hladnik J.
MODELING ENERGY USAGE PATTERNS OF A PC AND WAYS OF IMPROVING ITS ENERGY
EFFICIENCY ........................................................................................................................................................... 319
SESSION E SPECIAL SESSION: MARITIME AND PORT LOGISTICS

Lyridis D, Zacharioudakis P, Daleziou, S.
FREIGHT DERIVATIVE TRADING STRATEGY USING ARTIFICIAL NEURAL NETWORKS .................... 325
Vukievi I, Pjevevi D, Teodorovi D, Vukadinovi K, Vidi N.
A MODEL OF WORKER PLANNING AND ASSIGNMENT AT PORT CONTAINER TERMINAL ................ 331
Georgijevi M, Bojani G, Bojani V.
MODELING CONTAINER QUAY CRANE OPERATIONS ................................................................................. 337
Park N-K, Suh S-C.
NON-COOPERATIVE GAME MODEL: PORT COMPETITION STUDY ........................................................... 341
Lu B, Park N-K.
SENSITIVITY ANALYSIS FOR IDENTIFYING PRODUCTIVITY CRITICAL FACTORS OF CONTAINER
TERMINALS ............................................................................................................................................................ 351
Lu B, Huo Y-F, Park N-K.
A STUDY ON LOGISTICS REQUIREMENTS POTENTIAL MODEL BASED ON SPATIAL ECONOMICS . 357
Longo F, Huerta A.
PERFORMANCE ANALYSIS OF A SOUTHERN MEDITERRANEAN SEAPORT VIA DISCRETE-EVENT
SIMULATION .......................................................................................................................................................... 363
Dragovi B, Metrovi R, Mikijeljevi M, Markolovi S.
A
M / M / nb QUEUE MODEL-BASED STUDY OF SPECIFIC COST RATIO IN A PORT.......................... 369
VIII
Metrovi R, Dragovi B, Grandis B, Petranovi M.

ESTIMATES OF SPECIFIC COST RATIO IN A PORT FOR
M / M / 1 / k QUEUE ...................................... 373
Gurning S, Cahoon S, Dragovi B, Nguyen H-O.

MITIGATION STRATEGIES MODELLING IN MANAGING POTENTIAL MARITIME DISRUPTIONS ...... 377
kuri M, Kofja D, Dragovi B, Papan S.
A CONSIDERATION OF BERTH ALLOCATION AND QUAY CRANE ASSIGNMENT A CASE STUDY 385
Kofja D, kuri M, Dragovi B, kraba A.
TRAFFIC MODELLING AND PERFORMANCE EVALUATION IN CRUISE PORT ....................................... 389
Vujii A, Zrni, N, Jerman B.
PORTS SUSTAINABILITY: TRENDS IN CHE INDUSTRY ................................................................................ 395
CLOSING SESSION, PLENARY SESSION IV INVITED PAPER AND ROUND TABLE

PAST, STATE-OF-THE-ART AND FUTURE OF INTRALOGISTICS
Kartnig G, Grsel B, Zrni N.
PAST, STATE OF THE ART AND FUTURE OF INTRALOGISTICS ................................................................. 401
AUTHORS INDEX .................................................................................................................................................. 409
IX
XX International Conference on "MATERIAL HANDLING, CONSTRUCTIONS AND LOGISTICS"

MHCL12, University of Belgrade, Faculty of Mechanical Engineering, Belgrade, Serbia, October 3-5 2012
PLENARY SESSION
FME Belgrade 2012. All rights reserved
Proceedings of the XX International Conference MHCL12
Trends and Experiences of Testing the

Fatigue Strength of more than 1,000
Conveyor Belt Splices
Ludger Overmeyer
Affiliatiate Professor
Leibniz Universitt Hannover
Institute of Transport and
Automation Technology
Tobias Frobse
Research Associate
Miel Radosavac
Research Associate
The demand of a higher mass flow and longer distances is pushing the development of high-strength conveyor belts continuously forward. The development of the belt splice is advancing simultaneously to the progress of
the belt, because this represents the weakest point of the whole conveyor
belt system. Since more than thirty years the Institute of Transport and Automation Technology examines belt splices on their dynamic fatigue
strength according to DIN 22110-3. To be able to keep up with industrial
developments, the institute added to its existing two test rigs one newly designed test rig for the investigation of steel cord belts with nominal
strength of more than 7,800 N/mm. Including the new test rig, there have
been tested around 1,000 conveyor belt specimen for industrial projects.
Within those tests it is clearly stated that in the area of conveyor belt splices the relative fatigue strength is also increasing. This is of great economic
relevance, because of the increase in splice strength, the conveying distance and the mass flow can be raised, at the same time as the conveyor
belt size can stay the same.
Keywords: Conveyor Belt Splice, Fatigue Strength, Test Rig
1. INTRODUCTION
Under technological and economical aspects, conveyor belts have proved themselves for conveying bulk
material. Some conveying systems provide mass flow
rates of up to 40,000 tons per hour. In addition to that,
conveying systems with up to 12 MW have been built.
For such high requirements, high-tensile steel cord conveyor belts are used for the conveying task. From the
investment point of view and the technological design
of the whole conveyor system, the conveyor belt represents the most essential part. Therefore, the Institute of
Transport and Automation Technology (ITA), still has a
research focus in the field of conveyor belts and their
associated elements.
Conveyor belts are spliced to form a continuous belt
on the conveying system site. Due to restrictions of
transportation weight and geometrical dimensions, the
conveyor belt often is shipped in several subsections of
some hundred meters length. Hence, the conveyor belt
has at least one, often several belt splices. These belt
splices represent the weakest point in the whole conveyor belt, because within the belt splice the tension
member is interrupted. Therefore, the tensile strain has
to be transmitted through the intermediate rubber. Figure 1 shows examples for basic types of conveyor belt
splices.
The strength of a conveyor belt splice depends on
several aspects. Particularly important are the applied
splice layout and the used material. Especially in the
field of steel cord conveyor belts, the individual case for
the splice has to be adapted from many different layouts.
Figure 1. Examples for different splice methods of

conveyor belts
A vast number of studies for the optimization of

conveyor belt splices have been done at the ITA. Therein the usage of the finite elements method plays an important role. Current research confirms the continuous
necessity of high-tensile conveyor belt splices.
Nowadays conveyor belt splices are able to reach
100 % of the nominal belt strength under static load
conditions. In dynamical tests, the reached load value is
below 100 %. Hence, profound knowledge of the dynamical fatigue strength of conveyor belts is necessary
for the designing process of splices.
For more than 30 years, the dynamical fatigue

strength of conveyor belt splices is determined at the
ITA according to DIN 22110-3. The local belt tension
curve in figure 2 shows a typical behavior of a belt
conveyor system with head drive. During the rotation, a
saw tooth shaped tensile force stresses the belt.
Figure 4. Example for the test results with a series five belt
specimens
Figure 2. Local belt tensile force progression of a belt

conveyor system with head drive [1]
For the experimental reproduction of the stress, a

test method has been developed at the ITA. Therefore, a
saw tooth shaped tensile force stresses a rotating belt
specimen that is endlessly closed by one single splice
(see figure 3). The ratio between rise and fall of the test
force is set to 5:1 with a period duration of 50 seconds.
During one period, the belt specimen has to perform
18 cycles on the test rig.
Figure 3. Saw tooth shaped test force progression
For the test analysis different upper test loads FO of

one single test series and the corresponding number of
performed load cycles until splice break are summarized
in a fatigue curve (figure 4). The relative reference fatigue strength is defined as with theoretically 10,000
successfully performed load cycles [2].
In December 2011, a revised issue of the DIN 22101

for the calculation and design of belt conveyor systems
for bulk solids was released. In this issue the experimental value of the dynamical fatigue strength test is
applied to the relative reference fatigue strength kt,rel as
input parameter for the determination of the required
belt nominal strength. In other words, the relative reference fatigue strength value represents the quality of the
belt splice. Having considered these issues, the significance and importance of the research is underlined.
2. DEVELOPMENT PROCESS OF TEST RIGS AT
THE INSTITUTE OF TRANSPORT AND AUTOMATION TECHNOLOGY
In 1974, the application of self-extinguishing conveyor belts for underground hard coal mining has been
prescribed. Therefore, the former Institut fr
Frdertechnik Hannover (IFH) received in cooperation
with belt manufacturers the task to test and improve the
corresponding conveyor belt splices.
A standardized method to predict the dynamical fatigue strength of conveyor belt splices did not exist at
that time. As consequence a test method including a test
rig (see figure 5) was developed. For the first time a
saw-tooth shaped test force could realistically be applied on a rotating conveyor belt.
Figure 5. First design of a test rig for the fatigue strength

analysis of conveyor belt splices [1]
During this time, two test rigs were designed and

built up for the determination of dynamical fatigue
strength of conveyor belts splices. One of them, the
300 kN-Revolution Test Rig (see figure 6, upper image)
is suitable for conveyor belts with nominal strengths up
to 2000 N/mm. The other test rig, also called 1000 kNRevolution Test Rig, is used for conveyor belts with
higher nominal strengths (see figure 6, middle image).
Both test rigs are equipped with two pulley pairs which
have different diameters. For testing different conveyor
belts, these pulleys can be exchanged according to the

required test parameters. Within the DIN 22110-3 appropriate pulley diameters are given for belt nominal
strengths of up to 5,400 N/mm. Pulley diameters for
belts with a higher nominal strength than 5,400 N/mm
have to be agreed between the test institution, the belt
manufacturer and the operator beforehand [2]. Due to
the continuous trend of increasing nominal strengths of
conveyor belts, the two test rigs were upgraded frequently. Recently belts with a nominal strength of
7800 N/mm have been tested on the 1000 kNRevolution Test Rig. For this test the number of carrying cables was limited due to the applicable upper load.
Another limitation derived from the pulleys with
1,500 mm diameter, which were the largest ones at that
time. In consequence, the bend radius of the rotating
belt was very small.
To measure up with the ongoing trend of increasing
nominal strengths the existing test equipment was enhanced. In 2010, after two years of planning and 6
months of construction another test rig was set up (figure 6, lower image). With a pulley diameter of
2,500 mm and maximum force of 3,500 kN, the test rig
is currently the largest two pulley test rig of the world.
An abstract of the most important facts is presented

in table 1. The distribution concerning the nominal
strength is ongoing work for the DIN 22110-3, which is
in revision.
Table 1. Parameters of the revolution test rigs at the ITA
300 kNRevolution
Test Rig
1,000 kNRevolution
Test Rig
800 mm
1,250 mm
1,000 mm
1,500 mm
2 x 300 kN
2 x 1000 kN
2 x 3,500 kN
6,000 mm to
8,000 mm
6,500 mm
12,000 mm
Pulley
width
1,000 mm
1,000 mm
1,000 mm
Maximum
cylinder
stroke
1,000 mm
1,000 mm
1,000 mm
Pulley
diameter
Maximum
test force
Axle
distance
3,500 kNRevolution
Test Rig
2,500 mm
Upon the start-up of the new test rig, the control system was also renewed for all test rigs. Before the renewal, only results about the successfully completed
cycles were possible. With the changeover, it is possible
to examine the test process in more detail. One advantage is the information about the change of the elongation as a function of the number of performed load
cylces. Additional information focuses on the kind of
splice break. A differentiation can be made between
abrupt or steady-going failure. As a matter of course, all
occurred forces are logged simultaneously. During the
test, both clamping cylinders apply the required test
force on average. As extended information now, the
effective difference between the left and the right cylinder can be compared (figure 7).
By continuous improvement of the presented analysis methods, ITA supports ongoing customers to develop and evolve their conveyor belts. Current research
focuses on a combination of data acquisition and simultaneous video analysis of the tests for more detailed
information about the failure mode.
Figure 6. Test rigs at the ITA
Figure 7. Change of the cylinder stroke during the test (example)
3. FATIGUE STRENGTH RESULTS AFTER 1,000

CONVEYOR BELT SPLICE TESTS
Since 1975, 1,000 conveyor belt splices were tested

upon the dynamical fatigue strength according to DIN
22110-3. The tested specimens consist of about 62 %
steel cord conveyor belts and 38 % textile reinforced
belts. Nominal strength variation lies between
630 N/mm and 10,000 N/mm in recent time. 451 belts
were tested on the 300 kN-Revolution Test Rig, 532
belts on the 1000 kN-Revolution Test Rig and finally 13
belts on the 3500 kN-Revolution Test Rig. An overview
of all tested belts on years and kind of tension member
is given in figure 8. As a result, decrease of textile reinforced belts and increase of steel cord belts is noticeable
in recent time.
Figure 8. Number of tested belts per year at the ITA
Of all tested belt specimen 26 % have passed 10,000

cycles successfully. About 5 % belt specimen reached a
final cycle number below 100.
Particularly in the field of steel cord conveyor belts,
an ongoing trend to higher nominal strengths is noticeable. Thereby longer conveying distances with continuous increasing conveyor masses are possible. However,
the strength of the splice is an essential aspect.
In 1987, based on the results at that time, a conclusion was made so that the increase of the nominal belt
strength does not lead to a significant increase of the
splice fatigue strength [3] (figure 9).
As a result the ST 6500 and the ST 7500 have both
approximately the same fatigue strength results of about
3000 N/mm. This is equivalent to a value of 37.5 % for
the relative reference fatigue strength.
Figure 9.Development of the splice fatigue strength until

1987 [3]
This reference fatigue strength value was the upper

limit that could be reached at that time. Recent results
show that this limit can be passed. Some steel cord
conveyor belts with a nominal strength of 7,000 N/mm
reached reference fatigue strength values of about 59 %.
Other belts with nominal strength of 7,800 N/mm
reached a value of 54 % for the reference fatigue
strength. The lastly tested ST 10,000 set a new milestone with a reference fatigue strength value of 50 %.
This proves that an increase of the splice fatigue
strength is still possible. Figure 10 shows in comparison
to figure 8 the new state-of-the-art results.
the other hand that means conveyor belts with lower

nominal strength can be used for the same application
scenario. Therefore conveyor belt weight and drive
power can be saved equally which leads to lower investment costs by using belts at a lower price.
This considers the new issue of the DIN 22101 with
the date of publication in December 2011. Therein the
value of the relative reference fatigue strength is used as
direct input for the required minimum nominal strength
of the conveyor belt. Up to now, the input parameter
was dependent on the factor of safety of the belt splice.
For the first time this was introduced in the issue of
2002. It was noticeable that most users had difficulties
in comparing the new calculation method with the old
factors of safety. To take account of this circumstance
the new issue comprises a possibility to convert from
the new dimensioning to the old factors of safety [5]. In
case of that the average belt tension force and the maximum belt tension force on the edge of the belt are
equally, which both are in reference to the width of the
belt, the following equation of safety (1) can be used:
S S
S min 0 1
kt ,rel
(1)
Thereby S0 represents the factor of safety of the conveyor belt to consider the manufacturing conditions
(1.1 S0 1.2). S1 represents the factor of safety of the
conveyor belt to consider lifespan and work load
(1.5 S1 1.9). In case of discrepancy between kk,max
and k the norm shows further calculation rules.
5. CONCLUSION
Figure 10. Development of the splice fatigue strength
As a conclusion of figure 10, nowadays there is no

limit for the splice fatigue strength. An ongoing trend is
also the continuous improvement of belts and their
splices.
4. RELEVANCE FOR DIMENSIONING BELT CONVEYORS
The conveyor belt is the most expensive part of a

belt conveyor. In case of conveying systems which have
to overcome considerable lifting heights and high bulk
material flow rates, high nominal belt strengths are
applied. Therein, the splice strength is the limiting aspect for the whole conveyor belt [4]. A continuous increase of the nominal belt strength has no sense without
a simultaneous increase of the splice fatigue strength.
As result of all 1,000 tested belt specimen at the ITA
it is noticeable that both, the splice fatigue strength and
the belt strength, are increasing together. For practical
applications, this result shows on the one hand the ability to convey higher mass flows on longer distances. On
Within the past 37 years, 1,000 conveyor belt splices

were tested on their dynamical fatigue strength at the
Institute of Transport and Automation Technology. Due
to the continuous trend of increasing nominal strengths
of conveyor belts, the existing test equipment of two test
rigs was enhanced by another test rig, which consists of
two pulleys with 2,500 mm diameter and maximum test
force of 3,500 kN.
Our tests showed that there is an ongoing trend of
growing splice fatigue strength results. The concern that
by increase of the belt nominal strength another increase
of the splice fatigue strength is not possible has not been
confirmed. On the hand, that means for conveyor belt
operators that they can use lighter and more favorable
conveyor belts for their application. On the other hand,
in future larger mass flows and longer conveying distances can be realized.

REFERENCES
[1] Flebbe,
H.:
Prfung
der
dynamischen
Beanspruchbarkeit von Frdergurtverbindungen,
Dissertation Universitt Hannover, 1984.
[2] DIN
22110-3:
Prfverfahren
fr
Frdergurtverbindungen - Teil 3: Ermittlung der
Zeitfestigkeit
von
Frdergurtverbindungen
(Dynamisches Prfverfahren), Normenausschuss
Bergbau (FABERG) within the DIN Deutsches
Institut fr Normung e.V. and Normenausschuss
Maschinenbau (NAM) within the DIN, Berlin:
Beuth, February 2007.
[3] Hager, M.: Stand der Entwicklung von
Verbindungen
hochfester
Stahlseilgurte,
Braunkohle, Vol. 39, No. 7, pp. 251-253, 1987.
[4] Overmeyer, L., Falkenberg, S., Frobse, T.: Neue
Dimensionen im Bereich der dynamischen Prfung
von
Stahlseilfrdergurten,
15.
Fachtagung
Schttgutfrdertechnik 2010 Neue Trends und
Technologien Vol. 15: Lehrstuhl fr Frdertechnik
Materialfluss Logistik (fml), 2010.
[5] DIN 22101: Stetigfrderer Gurtfrderer fr
Schttgter Grundlagen fr die Berechnung und
Auslegung. Normenausschuss Bergbau (FABERG)
within the DIN Deutsches Institut fr Normung
e.V. and Normenausschuss Maschinenbau (NAM)
within the DIN, Berlin: Beuth, December 2011.
Advances in rope drives

Thorsten Schmidt
Full Professor
Technische Universitt Dresden
Faculty of Mechanical Engineering
Institute of Material Handling
and Industrial Engineering
Martin Anders
Thomas Leonhardt
Armin Siegel
Research Assistants
Technische Universitt Dresden
Institute of Material Handling
The cost for raw materials and energy is a significant factor in most
material handling systems. Current research on magnetic traction sheaves
with higher and dynamic driving capacity conduce to an efficient use of
resources and to improve the performance of rope drives. The new traction
behaviour of these sheaves leads to a significand reduction of inertia in lift
car and counterweight in hoisting devices at a constant loading capacity.
Simultaneously the required energy is also being reduced for such a
driving system because of the lower total mass to be accelerated.
Furthergoing research is establishing new possebilities in different
applications. In nearly every case a realization of ligthweight constructed
components can be made possible. Thus, a contribution to the
implementation of sustainability in material handling is provided.
Keywords: wire rope, traction sheave, magnet, elevator, winch, cranes.
1. INTRODUCTION
The improvement of rope drives and steel wire ropes

has been a focus area at our institute for quite some
time. One of the main special subjects is the
development of innovative magnetic traction sheaves
(MTS) [1] [2] for steel wire ropes in the last 10 years.
By using permanent magnets, integrated into the
sheaves design, the wire rope is magnetically pulled into
the groove, which increases the traction capacity. Due to
the additional magnetic force effect, the behavior of the
traction capacity also changes from a constant value to a
variable progression. Thus, traction sheave driven
systems, especially those based on counterweight
principle, can be designed in a different manner. The
main achievements are savings in the systems mass and
increased service life of the wire ropes while keeping
the payload constant. Until now the ongoing research on
the magnetic traction sheaves resulted in optimized
geometries of the sheaves to achieve a maximum
utilization of the permanent magnets and in the
evaluation of different kinds of applications which will
be presented in this paper.
2. TRACTION SHEAVES
Numerous technical solutions in the field of

engineering are based on friction, which means that
forces can be transmitted by friction. The known axiom
is that friction force results from a normal force
multiplied by a coefficient of friction. For round shaped
driving elements the equation (1) derived by Euler and
published by Eytelwein (1765) represents the traction
capacity in form of the rope force ratio with the
incoming side F1 and outgoing side F2.
Correspondence to: Prof. Dr.-Ing. habil. Thorsten Schmidt

Technische Universitt Dresden,
Institute of Material Handling and Industrial Engineering,
Mnchner Platz 3, 01187 Dresden, Germany
E-mail: thorsten.schmidt@tu-dresden.de
(1)
The factor represents the coefficient of friction for

the particular groove design and is the enclosure angle
of the rope at the traction sheave. The coefficient of
friction in (1) differs for the particular groove design
shown in figure 1 and can be calculated according to
[3], [4].
V-groove
round groove
with undercut
round groove
Figure 1. groove designs in traction sheaves
It is a logical conclusion that a higher coefficient of

friction, e.g. by using a V-groove design, causes higher
stress on the wire rope and therewith a high traction
capacity but lower wire rope endurance. Combining low
wire rope stress with high traction capacity was the
main purpose of the efforts to develop magnetic traction
sheaves.
2.1 Design magnetic traction sheaves
In order to achieve a maximum of the magnetic

force effect on the rope, a special design and high
energy permanent magnets like NdFeB are necessary.
The traction sheaves consist basically of two steel
plates, which form the groove, a distance plate and the
magnets (see figure 2). With this design a circle of
magnetic flux is created, which is closed by the wire
rope. To illustrate the magnetic field, figure 3 shows
magnetic field lines as a result from a FEM-analysis in a
half cross section of a magnetic traction sheave. The
chosen materials for the components must thereby
possess the proper magnetic properties to achieve a
strong magnetic field which is let into the wire rope.
From there the steel plates have to be ferromagnetic and

the distance plate paramagnetic. For the ferromagnetic
steel the relative permeability is the determining factor.
For different steels the relative permeability depends on
the intensity of the applied magnetic field and is
described by the magnetization characteristic or B-H
curve of the particular steel. The fewer a steel is alloyed,
the better is the magnetization characteristic. At the
same time a sufficient hardness of the groove has to be
guaranteed. In order to find a good tradeoff, the best
testing results were gained with a combination of mild
steel with plasma-nitrated grooves.
the magnets is used (figure 4 a). However if the polarity

direction alternates through the traction sheaves cross
section, a sufficient thickness of the steel plates, which
are in between the grooves, is needed to ensure the
shaping of separate magnetic circles for each groove
(figure 4 b). As a result, there are different ways to
configure multiple grooved magnetic traction sheaves
according to the requirements in the particular
application (see figure 5). For example narrow groove
spacing is required in elevators in order to save material
and reduce the loads on the main shaft of the drive unit.
Figure 5. groove spacing depending on polarity direction
Figure 2. principle design without hub
Figure 3. half cross section with 2D mag. field lines
For a maximum utilization of the permanent

magnets it is necessary to have sufficient thickness of
the steel plates, an optimized width of the undercut and
a convenient geometric arrangement of all parts of the
sheave.
A lot of applications with traction sheaves are not
driven by one rope only, e.g. elevators. Thus special
attention of the research was devoted to multiple
grooved magnetic traction sheaves. Due to the need of a
small spacing between the grooves in order to develop a
competitive product, the optimization became
challenging. In order to achieve an equal distribution of
the magnetic force effect on each groove, a design had
to be found, in which the magnetic field shaped itself
accordingly. As it can be seen in figure 4, the magnetic
field is spreading differently, depending on the
orientation of the magnets polarity.
Figure 4. mag. field with different configuration of magnets
With this finding it is possible to reduce the groove

spacing significantly, if the same polarity direction of
Due to the several existing parts of the traction

sheave it is useful to realize a modular design in order to
manufacture sheaves with different numbers of grooves
in a simple way. During the research progress a variety
of traction sheave prototypes were manufactured and
tested. Thereby the tests were purposed to determine the
value of the magnetic force effect as well as the
coefficient of friction, the wear behavior of the grooves
and the influences on the wire rope endurance. More
detailed information regarding the development of
different kinds of magnetic traction sheaves can be
reviewed in [3].
2.2 Function
The dimensioning of rope drives with magnetic

traction sheaves was also a main focus for establishing
the magnetic traction sheaves. In order to determine the
traction capacity, the conventional equation after EulerEytelwein (1) had to be derived in a new form to take
the magnetic force into account.
elevator applications with counterweight principle,

because the smaller the systems masses are, the bigger
the range of operation. As a result, the same payload can
be lifted with significant smaller cabin- and
counterweight.
3. REVOLUTION OF ELEVATORS
3.1 Design with magnetic traction sheaves
Figure 6. loads on a magnetic traction sheave
For means of simplification the magnetic force

effect, which is present on the entire groove surface,
was assumed as line load over the circumference in the
mathematical ansatz (see figure 6). The derivation
results in an adjusted equation (2) for the traction
capacity, now depending on the amount of F2 itself.
1
2
(2)
For applications like winches, it is useful to

determine the maximum traction force F1max, in order to
evaluate the performance of different designs. For this
the equation (3) can be applied.
1
2
Table 1. example for elevator dimensioning
(3)
The new form to calculate the traction capacity leads

to the main change of the system behavior. While in
systems with conventional traction sheaves (CTS) the
ratio F1/F2 is a constant, magnetic traction sheaves show
a different variable behavior (see figure 7).
7
F1/F2
5
conventional
traction sheave
traction elevator, 2:1 suspension, lifting

height 50 m, rope compensation
Payload
Q = 2500 kg
Cabin
2400 kg
Counterweight
3700 kg
2095 kg
V-groove, = 45
undercut round
groove, < 75
Coeff. of friction
f() = 0,235
f() = 0,15
Magn. line load
Rope diameter
No. of ropes
additional safety
against slipping
Inertia saving
0,2
0,4
0,6
0,8
800 kg
13 N/mm
2
Cabin acc.
0,0
magnetic traction
sheave
System
Groove
conventional
magnetic traction sheave
For a practical usage of magnetic traction sheaves in

elevators it is necessary to ensure a safe dimensioning
of the systems components, such as in first instance the
rope drive itself. For the construction of elevators or
lifts the standard DIN EN 81-1 [6] is valid in general.
Following this standard a dimensioning software tool
for applying magnetic traction sheaves in elevators was
developed. By this means, the advantages and the
different system behavior can be presented and
illustrated in an understandable way.
The basic approach is thereby the calculation of
minimum inertia of counter weight and cabin out of the
given properties like payload, traction sheave design,
number of used ropes, velocity, acceleration etc. The
calculation considers the necessary safety factor as well
as 125 % of the payload according to DIN EN 81-1. The
minimum inertias are determined both for the use of
conventional and magnetic traction sheaves as a
comparison. The results show in any size or design of
elevators that the traction capacity is guaranteed with
significant savings of systems inertia if magnetic
traction sheaves are used. To back up this thesis, the
following example shows the comparison using the
example of an elevator with 2:1 suspension and a
payload Q of 2500 kg. The necessary values and the
resulting inertias for the comparison are given in table 1.
a = 1,5 m/s
13 mm
5
5 (4 possible)
1,2
3200 kg
1,0
F2/F2max
Figure 7. traction capacity progression
The lower the applied forces, the higher is the

traction capacity. This behavior has a huge effect on
The results of the dimensioning tool can be

illustrated in a chart F1/F2 as a function of F2 per rope,
as shown in appendix. The different operation fields for
the calculated elevators are laid in a particular chart of
the different traction ranges of conventional and

magnetic traction sheaves. The operation field
represents the occurring rope forces, which result from
the payload 0-125 % and the actual acceleration from
-amax to +amax. The traction ranges represent the actual
capability of the sheaves to ensure the traction therefore
the traction capacity. Furthermore the safety factor of
the wire ropes is shown, which is to be calculated
according DIN EN 81-1 and depends on the design of
the elevators rope drive system, such as D/d ratio,
number of bends and groove design.
3.2 Impact on sustainability
As it can be seen the effect of the magnetic traction

sheave is significant concerning the saving of inertia in
elevators. In most cases the cabin weight could be
reduced as much as possible, which affects the counter
weight accordingly. Due to the possible resulting
realization of light weight constructions, further system
components are affected and can be designed smaller.
For example the loads on the guide rails and buffers up
to the lift shaft itself are reduced due to the smaller
systems inertia. Because of the smaller total mass,
which has to be accelerated, in addition less energy
consumption is achieved, cf. VDI 4707 [9].
Concerning the economic and environmental
sustainability the used material and resources and even
the necessary energy to lift a load can be reduced with
the usage of magnetic traction sheaves in elevator
systems. Therefore the concern of the research is to
carry on evaluating every potential effect that is
important for the practical and standard confirming
application of this innovation.
4. INCREASING PERFORMANCE OF ROPE
WINCHES
After developing the magnetic traction sheaves itself

with the main focus on elevators, further evaluations on
the usage in different applications are done until today.
One of them is the ongoing research on winches that are
driven by traction sheaves. In contrast to elevators,
saving of inertia is not an issue but to use the reserves of
the increased traction capacity. Due to the very high
traction capacity at low rope forces it is possible to
reduce the total angle of deflection significantly as
shown e.g. in figure 8. As a result the number of
bending cycles during one pass of the rope through the
winch is reduced, which leads to a higher rope
endurance.
F1
MTS
F2
F2
MTS
Figure 8. reducing deflection angle using MTS
10
F1
A main difference to conventional winches is the

possibility to generate a non-loaded outgoing wire rope
without any complicated additional components. Due to
the magnetic force effect even a small thrust load can be
transmitted by the rope, which can this way be stored
into a rope barrel if appropriate rope guidance is
provided. In other words, a rope drum is not
compulsory.
The current research is done in cooperation with
different companies manufacturing different kinds of
prototype winches for different applications. In order to
test the prototypes and traction sheaves itself, a special
test rig was developed and built at the TU Dresden
(figure 9). With the help of torque controlled load
winches, rope forces up to 30 kN can be applied on
different configurations of traction sheaves and as
another option on a prototype winch in order to test its
performance and endurance. The test rig will also
generally be a part of the wire rope research in future
because there are further possibilities to make
examinations on rope drive elements. More detailed
information concerning this topic is included in [7].
Synchronous
belt drive
MTS
Main drive
Claw
couplings
Load
drum
Platform for
prototypes
Figure 9. Test rig for innovative MTS-winches
5. POTENTIAL FOR CRANE APPLICATIONS

5.1 Reducing load on multi-layer rope drums
The first application is considered for multi-layer

rope drums, which are used e.g. in mobile cranes or
tower cranes. Here the wire ropes and also the drum
flange are stressed highly, which is known to be the
main reason for fast rope deterioration. The actual effort
is to find a way to separate the two functions of the rope
drum lifting the load and rope storage by using a
winch ahead the rope drum. This way the rope stress is
relieved significantly due to multilayer spooling and the
rope drum only provides a small pre-tensioning of the
rope. Thereby the drum with its drive can be designed
much lighter in order to compensate the additional effort
integrating a winch. Wehking et al. also conducted
research with that topic project, completed at the
University of Stuttgart. Thereby the possible increase of
the wire rope endurance due to an integration of a
capstan winch without MTS ahead the rope drum
was evaluated. These results show that an increase of
wire rope endurance around 20 to 40 % is possible
whereas further potential for optimization is announced

[8]. A continuative approach could now be the
application of winches with magnetic traction sheaves.
That way it is possible to reduce the number of bends of
the rope so that an additional increase in wire rope
endurance is given. For a realization in future, a benefitcost analysis is to be done in order to evaluate the
attractiveness of such an application for cranes.
Therefore a compact winch design with magnetic
traction sheaves is necessary and possible from a
present perspective. The additional savings in the rope
drums mass, which can be designed smaller, contribute
to an efficient solution.
5.2 Lowering hook blocks with multiple reeving
A known issue with multiple reeving (e.g. figure 11)

of wire ropes is lowering the hook block without load,
especially at low temperatures. Every wire rope is
subject to a certain bending efficiency (figure 10),
which depends on the rope construction, the applied
lubrication and the environmental conditions especially
the surrounding temperature.
efficiency
1,00
0,98
0,96
0,94
0,92
rope 1
rope 2
rope 3
rope 4
0,90
0,88
0,86
0,84
0,82
0,80
0
0,5
1,5
2,5
3,5 4 4,5
load in kN
Figure 10. bending efficiency til 2% of M.B.L. (rope 16 mm)
research on crane applications. By integrating magnetic

traction sheaves in the upper sheave set of the boom
together with a small drive, the hook block could be
designed lighter than it is done today. In addition that
solution can also support carrying the load and as
suggested in 5.1 contribute in reducing rope stress in
multilayer drums. Due to the limited space in the boom,
especially in mobile cranes, a very compact drive has to
be developed which has only a small power capacity
comparing to the main hoisting drive but provides
support for the described task.
6. CONCLUSION
The magnetic traction sheave concept is a proven

possibility to increase the traction capacity in material
handling systems. Depending on the application,
different advantages can be realized. The biggest
progression was made during the research in the field of
elevator applications so far. It is now possible to
perform a complete system design based on verified
data. With the help of the developed software tool the
comparison with conventional systems is demonstrated.
It becomes clearly that by using magnetic traction
sheaves lightweight designs of elevators, even with high
payloads are possible.
The implementation of magnetic traction sheaves in
different kinds of rope winches is currently the main
task. Evaluating advantages as well as disadvantages
and experimental testing on prototypes will reveal the
potential for innovations in rope winches.
The future research will be dealing with further
studies of applying the magnetic traction sheaves in
applications where no traction sheaves are in use at the
moment. The first subject will be the rope drives in
cranes. The approach will be seizing the actual
circumstances which can be improved by innovations,
such as it was described on reducing the stress on
multilayer rope drums.
Making a further look into the future it is also
possible to integrate the new principle of magnetic
traction sheaves into a larger dimension such as rope
ways. Dealing with bigger sheave diameters is from the
current point of view also an option which may lead to
improvements. The approach may be the substitution of
the traction sheaves, which are now lined in order to
achieve the traction capacity with low stress on the wire
rope. They have the disadvantage in the wear out of the
grooves after a certain operating time. Using magnetic
traction sheaves with a round groove design can provide
the traction capacity and may make a rotational
replacement unnecessary. The theoretical basics are
available for an evaluation in this regard.
ACKNOWLEDGMENT
Figure 11. example for multiple reeving on a floating crane
In order to compensate the bending resistance of the

rope, the hook block has to have a certain mass so that it
is possible to lower its dead load. This mass increases
with the number of reevings in the cranes rope drive. To
solve the problem of too heavy hook blocks, the
magnetic traction sheaves provide potential for future
The presented results and knowledge were supported

by different national projects without this research
would not have been possible.
11
AiF-IGF project:
Energiebilanz bei Magnettreibscheiben
SAB-EFRE-project:
Prfstand fr innovative Magnetseilwinden MAGWIN
REFERENCES
[1] Grbner, P.: Neue Wege bei der Anwendung des

Leichtbaus in der Aufzugstechnik, Hebezeuge
Frdermittel Fachzeitschrift fr Technische
Logistik, Berlin, Vol. 48, No. 5, pp. 356-359, 2008.
[2] Grbner, P.: Drive disk for high performance
friction pairings, Patent WO 03/076324 A 1, Mrz
2003.
[3] Schmidt, T., Leonhardt, T., Anders, M.: MultipleGrooved Magnetic Traction Sheaves, Progress in
Material Handling Research, Milwaukee WI USA,
2010.
[4] TRA
Technische
Regeln
fr
Aufzge.
Taschenbuch-Ausgabe, Berlin-Wien-Zrich, Carl
Heymanns Verlag, Beuth-Verlag, 2001.
APPENDIX
12
[5] Pajer, G., Scheffler, M, Grbner, P., Adam, G.,

Kurth, F.: Unstetigfrderer 1, 5. stark bearbeitete
Ausgabe, Berlin, Verlag Technik, 1989.
[6] DIN EN 81: Safety rules for the construction and
installation of lifts, Beuth-Verlag, June 2010.
[7] Anders, M., Leonhardt, T., Schmidt, T.: Prfstand
fr innovative Seilwinden, Begleitband zum 5.
Fachkolloquium Innozug, 2012. (Chemnitz 07./08.
Mai 2012.)
[8] IFT-STUTTGART: Erhhung der Seillebensdauer
bei der Mehrlagenwicklung in Kranen, AiFVorhaben 14862 N/1, http://www.uni-stuttgart.de
/ift/forschung/pdfs/SeillebensdauerMehrlagenwickl
ingKrane.pdf, Stand 9. March 2012.
[9] VDI 4707: Lifts Energy efficiency, 2009.
NOMENCLATURE
a
CTS
d
D
F1/2
M
MTS
Q
qm
acceleration elevator cabin

conventional traction sheave
rope diameter
sheave diameter
rope forces
drive torque
magnetic traction sheave
elevator payload
magnetic line load
angle of deflection
coefficient of friction of the groove design
Ropeways from their origins up to the

3rd millennium
Klaus Hoffmann
Professor
Institute for Engineering Design and
Logistics Engineering,
Faculty of Mechanical
Cable-drawn transport systems are widely used in public transport, and to

convey goods in mountainous and urban areas. This paper charts the
history of ropeways. As their evolution has been directly related to that of
ropes the paper begins by outlining the history of ropemaking. The second
part deals with the various stages in the development of ropeway systems
from their origins up to the present day. The invention of the steel cable in
1834 touched off a period of vigorous innovation in the production and
application of ropes and cables. The central importance of this
breakthrough is reflected in the authors periodisation of the history of
ropes and ropeways, namely: from ancient times up to 1834; and from
1834 onwards.
Keywords: History, ropes, ropemaking, aerial ropeways, funiculars, cable
liner, cable car, automated people mover.
1. INTRODUCTION
A ropeway is a conveyance that transports

passengers or freight in carriers, along a runway
consisting of one or two ropes, or rails and concrete
carriageways; the hauling function is performed by one
or more ropes. Ropeways are widely used in public
transport, and to convey goods in mountainous and
urban areas.
A variety of technical approaches have evolved over
the years. The various systems can be classified
according to the type of track (carrier) used. Figure 1
summarises the systems, some of which are more
widely used than others [1].
the latter needs to take the history of ropemaking

processes as its starting point. This paper is therefore
divided into two parts. The first gives a brief overview
of the evolution of ropemaking, and the second deals
with the various stages in the development of ropeway
systems, from ancient times through to the third
millennium.
2. THE HISTORY OF ROPEMAKING
The rope as a means of transmitting movement and

forces was probably known in prehistoric times. It is
thought that ropes were then mainly used for hunting,
carrying, lifting, and climbing. They were made by
hand, from organic material such as date palm fibre,
flax, grass, papyrus, leather or hemp.
For thousands of years there were few improvements
to ropemaking processes. The invention of the steel
cable by the German mining official Wilhelm Albert in
1834 was a watershed. It touched off a period of
vigorous innovation in the production of ropes and
cables, and new applications for them [2]. The central
importance of this invention is reflected in the authors
periodisation of the history of ropes and ropeways,
namely:
a) From prehistoric times up to 1834; and
b) From 1834 onwards.
2.1 Ropes from prehistoric times up to 1834
Figure 1. Classification of ropeways
Such has been the influence of ropes on the

development of ropeways that a meaningful account of
Correspondence to: Prof. Klaus Hoffmann
Faculty of Mechanical and Industrial Engineering,
Vienna University of Technology,
Getreidemarkt 9, A-1160 Vienna, Austria
Email: hoffmann@ikl.tuwien.ac.at
Nothing is known about the origins of ropemaking,

but there is evidence that it dates back as far as 20,000
BC. Archaeological discoveries show that the ancient
Egyptians were using ropes, generally made of water
reed fibres, as long ago as 40003500 BC. Other
materials employed were date palm fibre, flax, grass,
papyrus, leather and camel hair. All these early ropes
were hand twisted or braided [3].
One of the oldest pictures of early Egyptian
ropemaking comes from the Tomb of Ti (see Fig. 2),
which was built in about 2400 BC, during the fifth
13
dynasty of the Old Kingdom [4]. The scene depicts the

twisting process, which requires at least two workers,
standing at opposite ends of the cordage. One of the
workers is imparting a twist to the strands by fastening
short pieces of cord with weights attached, and the other
is combining the strands by twisting them together in
the opposite direction.
Figure 2. Tomb of Ti [4]
Another example for early Egyptian ropemaking is

seen in Fig. 3. Simple hand tools were used to improve
the hand twisting process. In this method, a stick with a
rock tied to it would be swung around, to assist in the
twisting of the strand. These tools, called spinners,
worked well for shorter lengths of rope [5].
is a copy by A.H. Layard of a relief found in the ruins of

Nineveh [6].
In China, ropes made of hemp (cannabis sativa)
were in use as early as 8,500 years ago. Knowledge of
hemp ropemaking is thought to have spread along the
Silk Road to Europe.
In the Middle Ages and up to the 18th century rope
was manufactured at ropewalks all over Europe. These
were very long buildings where the strands of the full
length of the rope were laid out and then twisted
together. The length of the rope was thus determined by
that of the ropewalk. Many of the ropewalks were
capable of making ropes 100 metres or more long.
The ropewalk in Karlskrona, constructed in the
1690s, is the longest wooden building in Sweden, at 300
metres. All of the many types of ropes and cordage used
by the Swedish Navy were made there, and the facility
continued to operate until 1960. Today it is a museum
(see Fig. 5).
Figure 5. The Karlskrona ropewalk, Sweden [7]
Figure 3. Ancient Egyptian artwork depicting ropemaking

tools [5]
Such ropes, pulled by thousands of slaves, enabled

the Egyptians to move the heavy stones that the
pyramids were built from.
During the Renaissance growing construction

activity and sea trade boosted the demand for rope in
Europe. The ropemakers guilds were highly regarded.
In many cities the names of streets or districts still hark
back to the trade examples are Hamburgs Reeperbahn
and Viennas Seilersttte.
Figure 4. Transporting a statue in Nineveh [6]
Figure 6. Erection of the obelisk in front of St. Peters in

1586 [8]
The use of ropes was also commonplace in ancient

Mesopotamia. Figure 4 shows a heavy statue being
transported using ropes in combination with simple
implements such as levers and rollers. This illustration
An interesting instance of the extensive use of ropes

is the transportation and erection of the obelisk in front
of St. Peters in Rome, in 1586. The architect Domenico
Fontana used more than 45 ropes, with diameters of
14
approximately 80mm and lengths of 220m, for this

project, going on to describe the technical details of this
feat of engineering in a book [8]. Figure 6 is a
reproduction of an engraving from this work.
In the course of the Industrial Revolution it became
increasingly vital to make stronger and longer ropes. At
the same time there was a pressing need for more
efficient means of transport.
The invention of the steel cable by the German
mining official Wilhelm Albert in 1834 ushered in a
period of rapid innovation in cable-drawn transport
systems. Albert succeeded in producing two 605m ropes
consisting of three strands, each made up of four 3.5mm
diameter wires. They were used as hauling ropes in a
silver mine in Clausthal, in the Harz mountains. A
specimen of this first steel cable is pictured in Fig. 7.
The cross section of this rope is shown in Fig. 8.
Figure 10. Cross sections of a Filler strand (left) and a

Warrington strand (right) [10]
A crucial development aim was the production of

ropes with flatter surfaces, to extend useful life by
reducing wear and tear. In 1884 and 1888, respectively,
Latch & Batchelor applied for patents designed to
achieve this. The first patent was for flattened strand
ropes made of round wires, and the second for locked
coil ropes made of specially profiled wires. The latter
improvement opened the way for the modern locked
coil rope, mainly used for track ropes (see Fig. 11). The
past few decades have witnessed the integration of
coated fibre optic lines in the core of the track rope, for
data transfers between upper and lower stations.
Figure 7. The Albert rope [9]
Figure 11. Cross section of a locked coil rope
3. ROPEWAYS
Figure 8. Cross section of the "Albert rope", diameter
18mm, zZ 3 4 3.5mm [10]
2.2 Ropes from 1834 onwards
The key improvement to the steel cable after

Alberts work was the invention of the parallel lay
strand by Tom Seale in 1884 (see Fig. 9). Tom Seale
was the superintendent of a San Francisco cable car line
(Fig. 22).
Not long afterwards two other types of parallel lay
strands, the Filler and the Warrington strand, came into
being. (Fig. 10).
A ropeway is a system which conveys passengers or

goods in various types of carriers. If the runway consists
of ropes (one or two) it is referred to as an aerial
ropeway, and if it consists of rails or concrete
carriageways the system is called a funicular. In both
cases the hauling function is performed by one or more
ropes. A distinction is drawn between monocable and
bicable aerial ropeways. In the case of a monocable
aerial ropeway one or two ropes assume the carrying
and hauling function (carry-hauling cable). In that of a
bicable ropeway the cars are carried by one or more
ropes (track ropes) and hauled by an additional rope
system (haul rope).
3.1 Ropeways before 1834
Figure 9. Cross section of the Seal rope [10]
The principle of cable-drawn transport systems was

known to the ancient world. Although the documentary
evidence is scarce, early drawings prove that ropeways
were already being used for passenger and goods
transport in ancient China. Figure 12 is the earliest
known depiction of passenger transportation [2].
15
and Johannes Kepler. Veranzio included an

illustratation of a sophisticated bicable passenger
ropeway in his Machinae novae, published in 1615 [12].
A wooden box for the passengers is pictured travelling
on pulleys over a fixed rope. The vehicle is propelled
over the river by the occupants, who pull themselves
along by means of this slack loop (Figure 15).
Figure 12. Brush drawing of an aerial ropeway, South

China, 250 BC [2]
A Japanese historical epic the Taiheiki, written in the

late 14th century, mentions a ropeway. It relates how a
Japanese emperor resorted to a ropeway to escape over
a valley when he was encircled by enemy forces.
Later, in mediaeval Europe, a sort of a monocable
aerial ropeway appears in a book by Johannes Hartlieb
(Austrian National Library, Vienna, Ref. Nr. 3069). It
shows a basket being conveyed to a castle by a hand
operated winch (Fig. 13).
Figure 15. Sketch of a bicable aerial ropeway by Fausto

Veranzio [12]
At the dawn of the modern age, ropeways were

employed to carry materials at construction sites. The
first efficient monocable ropeway was designed by
Adam Wybe, a Dutch engineer who played a major part
in the construction of Danzig (now Gdansk, Poland).
Figure 16 shows this ropeway, with securely fastened
baskets. It was used to transport materials from the
Bischoffsberg mountain to the city during the
construction of the fortifications.
Figure 13. Drawing of a monocable aerial ropeway, 1411 [2]
Another sketch, by Marianus Jacobus, dating back to

1440, depicts a primitive bicable ropeway (Figure 14).
Here, a pitcher is being conveyed across a ravine by an
ox-driven ropeway (National Library, Paris).
Figure 14. Drawing of a primitive bicable aerial ropeway,

1440 AD [11]
Fausto Veranzio, a Venetian, was an official and

scholar at the court of Emperor Rudolf II in Prague who
collaborated with the great astronomers Tycho de Brahe
16
Figure 16 . Monocable aerial ropeway built by Adam Wybe

in 1644 [13]
Also in the 17th century, the Florentine engineer

Buonaiuto Lorini published five books about the
building of fortifications [14]. One of these includes a
design for a funicular to convey building materials up to
a fortress (Figure 17).
From then on until the invention of the steel cable in
1834 no further significant progress was made. The
technologys potential was limited by the strength and
length of the ropes that were then available.
In view of these constraints it is astonishing that in
1804 Austrian engineer Joseph Gainschnigg succeeded
in bringing the most powerful funicular of the age into
operation [2]. This 1.4 km funicular in Badgastein,
Austria was used both to carry ore down from the gold
mine there, and to bring miners up to the entrance of the
mine. The design and working principles were similar to
those described by Lorini, but it is not known whether
carriages are hauled by a hauling rope wound round a

driving drum. Such funiculars, used as slope lifts, were
first introduced for industrial applications. However, in
1825 George Stephenson adopted ropes to haul railway
locomotives up an incline of about 1:50 [11]. The next
stage of development was to turn the funicular into a
means of passenger transport. The first funicular railway
to be used for public transport entered service in Lyon
in 1862 and was not closed until 105 years later.
Figure 17. Sketch of a funicular by Buonaiuto Lorini [14]
Gainschnigg was aware of the latters writings. The use

of tree trunks as rails recalls Lorinis sketch. The rope
was made of hemp with a diameter of about 60 mm, and
was driven by a water wheel with a diameter of 15 m.
This funicular was in operation, without any
modifications, for more than 60 years (Fig. 18).
Figure 19. Monongahela Incline in Pittsburgh [15]
The oldest and steepest passenger funicular in the

USA is the Monongahela Incline in Pittsburgh. It was
opened in 1870 and is still in use after some
modifications (Fig. 19). The original steam engines
were replaced by electric drive 1935 [15].
In the same year in Budapest, Hungary, a similar
funicular railway was opened to link the Danube with
Buda Castle [18]. The Budapest Castle Hill Funicular is
95m long, and the two parallel tracks have a constant
inclination of 48%. The railway was totally destroyed
during the Second World War but was rebuilt to the
original design in the 1980s, reopening in 1986. It is the
oldest surving funicular in Europe (Fig. 20).
Figure 18. Sketch of the Radhausberg funicular designed

by J.Gainschnigg [2]
All these approaches were rendered obsolete by the

introduction of steel cable, invented by the German
mining official Wilhelm Albert in 1834, which marked
the beginning of a golden age for ropeways of all kinds.
Figure 20. Budapest Castle Hill Funicular carriage [18]
3.2 Ropeways after 1834
During the Industrial Revolution steel cable and the

advent of new power sources first steam engines and
then electric motors led to the invention of many new
cable-drawn transport systems.
We shall now look in detail at the various types of
cable-drawn systems that emerged after 1834, following
the classification shown in Figure 1, above.
Funiculars
After the introduction of steel cable the development
of cable-drawn systems initially focused on funicular
railways. These are railways in which one ore more
A funicular of the same type, with two parallel

tracks, was built on Viennas Leopoldsberg hill to mark
Figure 21. Leopoldsberg funicular, Vienna [16]
17
the 1873 World Exhibition (see Fig. 21). Unfortunately

it was demolished three years later for financial reasons
[16].
It was the great London born engineer A.S. Hallidie,
who had already patented major improvements to
suspension bridges, who designed the world-famous
San Francisco cable cars (Fig. 22). In 1871 he
completed plans for street cars that would be propelled
by underground cables, and the system went into
operation on 1 September 1873. The drive unit for the
hauling cable was a steam engine in a powerhouse.
capacity on longer routes and irregular passenger flows

due to shuttle operation.
Figure 23. Layout of a reversible funicular [17]
Figure 22. The Hallidie cable car, 1873 [2]
Many funicular railways were built between the

early 1870s and the outbreak of the First World War, in
both mountainous and urban areas. In the early days a
number of these systems were designed as gravity
railways using water as ballast a particularly
environmentally friendly approach. The first railway of
this sort entered service in Griessbach, Switzerland, in
1879 [2], [16]. The tank was filled with water from a
nearby stream, and cars with a maximum capacity of 40
passengers were hauled up the incline. The railway was
later converted to electrical drive.
Refinements to the funicular principle in the 20th
century can be divided into two main approaches, both
of which have attained very high levels of technical
sophistication. These are:
Reversible funiculars; and

Continuous movement funiculars.
Modern reversible funiculars in shuttle operation are

normally single-track systems, and therefore require a
passing point along the route. Two carriages are linked
together by a haul rope which moves them along the
track; they run on steel rollers. The drive unit for the
system is usually located at the top station. Figure 23
shows the basic layout of a reversible funicular railway.
This ropeway system is particularly suitable for
shorter routes (up to approx. 1.5km long) in both
mountainous and urban areas. Advantages include good
environmental performance, safety and availability, and
low maintenance, flexible route planning (horizontal
and vertical deviations, and tunnel negotiation possible),
as well as the highest speeds attained by rope-drawn
ropeway systems. The disadvantages are low carrying
18
Fig. 24 shows an example of a 20th century

reversible funicular. The Montjuic funicular in
Barcelona was built for the 1992 Olympics. This fully
automated system is integrated in the citys public
suburban transport network, and links the underground
line with the tourist attractions and leisure facilities on
the Montjuic hill. The carrying capacity is 400
passengers per car and 8,000 persons/hour. The route is
720 m long, and the travel speed is 10 m/s.
Figure 24. Montjuic reversible funicular

Spain [22]
in Barcelona,
Another very interesting example of a reversible

funicular, which was recently put into service, is the
Hungerburgbahn in Innsbruck, Austria. The Leitner
ropeway construction company of Sterzing, Italy [19]
recently completed a funicular railway, part of which
runs underground, connecting the Innsbruck old town
with the Hungerburg hill. The architectural design work
was carried out by Zaha Hadid, who was also
responsible for the new Bergisel ski jump. Figure 25
shows a station building.
The line is almost level at the Innsbruck conference
centre, but the final section leading up to the
Hungerburg station is very steep. Because of this a
special automatic inclination correction system was
developed for the five-compartment funicular carriages
(Figure 26). The system ensures that the passengers can
embark and disembark comfortably from horizontal
compartments at all the stations. The two carriages, each
with a capacity of 130 persons, can transport up to 1,300
passengers per hour in each direction.
in 2010 [20]. The 870-metre route connects a car park

on an artificial island with the main railway station at
the end of the Grand Canal. The system has a capacity
of 3,000 passengers per hour. The working principle is
similar to that illustrated by Fig. 23, with a single lane
and a bypass in the middle(see Fig. 28). The running
speed is about 8 m/s.
Figure 25. Station design by star architect Zaha Hadid [19]
Figure 28. Tronchetto-Piazzale Roma Shuttle in Venice,

Italy [20]
Figure 26. Carriage on the Hungerburg funicular [19]
An important alternative for passenger transport

over short or medium distances (up to several
kilometres) is the cable liner shuttle. This system
normally consists of a train with several coupled single
cars. The train is pulled along a horizontal route by a
haulage rope. The cars normally roll on steel rails, but in
some cases they are supported by air cushions.
In contrast to shuttle operation, a continuous

movement funicular runs in a ring and requires two
separate tracks. The cars are coupled to the haulage rope
at set distances by normal, releasable clamping devices.
As there are no technical limitations to the placement of
stations along the line this can be tailored to local
requirements. This type of ropeway system is
particularly well suited to small and medium sized
towns. It is also known as an automated people mover
(APM) system.
The advantages of APMs are high availability, good
environmental performance thanks to the central drive
unit, fully automated operation, high carrying capacity
and low noise emissions. Long routes are feasible, and
such systems are easy to integrate with existing
infrastructure. The development of APMs only began in
the late 1960s, with growing interest in environmentally
friendly transport technologies.
Figure 27. International Airport Shuttle, Mexico City [20]
Such cable liner shuttles are often used to link

airports terminals, or to provide access to car parks,
stations, hotels and other facilities in urban areas. A
recently commissioned system is the International
Airport Shuttle in Mexico City (Fig. 27). The route is
about 3 km long. The maximum speed is 12.5 m/s (i.e.
45 kph), and the journey time between Terminal 1 and
Terminal 2 is approx 4.5 minutes. The systems capacity
is 600800 passengers per hour in each direction, which
adds up to about 2.8 million passengers per year [20].
Another interesting application is the TronchettoPiazzale Roma Shuttle in Venice, Italy, which started up
Figure 29. The Perugia Minimetro [19]
A transit system of this sort was put into operation in

the Italian city of Perugia in 2008, connecting the Pian
di Massiano district with the hilltop historic city centre.
The track, with a height difference of 160 m, is 3 km
long, of which 1.5 km is elevated and more than 1 km
passes through tunnels. A total of 25 cars, each with a
19
capacity of 50 passengers, serve seven stations (Fig.

29). This system can convey up to 3,000 passengers per
hour at a maximum speed of 25 kph [19].
At both terminus stations the cars are rotated
through 180 on a rotating platform, so that they can
then travel in the opposite direction. Fig. 30 shows this
platform and the lateral wheels for moving the cars.
Figure 31. Bicable ropeway for coal transportation,
Teutschenthal, Germany [11]
Figure 30. Rotating platform at one of the terminuses on

the Perugia Minimetro [19]
Passenger aerial ropeways made their appearance in the

latter part of the 19th century. The first to be exclusively
designed to carry passengers was built by Ritter in
Schaffhausen, Switzerland in 1866. It had four track
ropes and a two-person cabin used exclusively to
inspect the turbines of a small hydropower station on
the Rhine. The hauling rope was driven by a hand
winch.
In 1879 a six-person aerial ropeway (Fig. 32) driven
by a steam engine began operating across a river in
Blackpool, New Zealand (it was closed down in 1890).
This was the worlds first public aerial ropeway [2].
Aerial Ropeways
While initially after the invention of the steel cable
in 1834 development mainly was focused on funicular
railways such as the Cable Car San Francisco, later
interest turned to aerial ropeways. At first aerial
ropeways were mainly used to transport freight,
especially in the mining industry. As Figure 1 explains,
there are two main types of aerial ropeway:
Two inventions played a

development of this technology:
Figure 32. Aerial ropeway in Blackpool, New Zealand [2]
Monocable ropeways; and

Bicable ropeways.
key
role
in
the
In 1856 the Englishman Henry Robinson

patented a monocable aerial ropeway (English
system);
In 1861 the German Franz Fritz Freiherr von
Dcker patented a bicable aerial ropeway
(German system).
Robinsons patent was used by Hodgson to build

ropeways for the British mining industry from 1869
1880. In 1872 Freiherr von Dcker installed a
continuously circulating bicable ropeway for use in the
construction of a fort in Metz, France. The gondolas
were equipped with screw-type coupling grips, patented
by the Austrian engineer Theobald Obach [11].
The German engineers Adolf Bleichert and Theodor
Otto established a ropeway engineering office. They
were highly successful, and the company went on to
build more than 5,000 ropeways around the world. The
first designed by Bleichert entered service in
Teutschenthal, Germany in 1873 (Fig. 31).
A fine example of a historic passenger system is the

reversible aerial ropeway in San Sebastian, Spain,
opened in 1907 (see Fig. 33). An open carriage with 12
pulleys runs along six track ropes. A similar ropeway,
with a cabin for 46 persons, entered service near
Niagara Falls in 1916. This ropeway is still in use after
several upgrades [21].
Figure 33. The reversible aerial ropeway in San Sebastian,

Spain, 1907 [2]
The first ropeway in the Alps the Wetterhorn Bahn

was built in Gindelwald, Switzerland in 1908. It had
two track ropes, and a maximum gradient of 200%. A
20
single cabin carried 16 people. The First World War

spelled the demise of the Wetterhorn Bahn which was
shut down in 1914 [23].
Tourist ropeway projects were halted by the First
World War, but many systems were built for military
purposes. Between 1915 and 1918 as many as 4,000
ropeways, embodying a wide variety of technologies,
were used on the Dolomite front [2]. These systems had
to be designed for quick dismantling and assembly, and
the parts had to be light enough to be carried by
packhorses. Fig. 34 shows a military bicable ropeway.
About 1,300 military ropeways were still in operation
when the armistice between Austria-Hungary and Italy
was signed on 3 November 1918.
Figure 36. A pylon that formed part of the MariquitaManizales ropeway, restored in 1984 [25]
Figure 34. A military bicable ropeway [2]
Between the wars there was widespread construction

activity, with tourist ropeways attracting most of the
investment. During this period the oldest twin-cable
passenger ropeway that is still in service was built by
one of the leading companies in the field, Bleichert.
This is the Predigtstuhlbahn in Bad Reichenhall,
Germany (Fig. 35), which began operating in 1928. [24]
In the Alps the rapid development of the tourist

industry brought the introduction of ski lifts, T-bar lifts
and chairlifts. The first cable drawn system designed to
draw skiers up a slope was built in Bdele, Austria in
1907 by the engineers Hugo Rhomberg and Alfred
Rsch. [2]
In 1908 Robert Winterhalder, a miller from the
Black Forest in Germany, was granted a patent for a
continuous movement ropeway with a device to hang
on skiers or tobogganers. This ski lift was in use up to
the start of the First World War. Fig. 37 shows a
contemporary drawing.
Figure 37. Ski lift patented by Robert Winterhalder [2]
Figure 35. Cabin of the

Reichenhall, Germany [24]
Predigtstuhlbahn
in
Bad
A striking example of an interwar cargo ropeway is

the Mariquita-Manizales monocable ropeway in
Columbia. This 75 km system was used to transport
coffee down to Mariquita and carry a variety of goods in
the opposite direction. It operated from 19221965 [2].
The only visible reminder of this ropeway is a restored
pylon (Fig. 36).
The rapid growth of winter sports in the 1930s

prompted the introduction of the more comfortable
chairlifts. As they do not use snow as the track these
have the added advantage that they can also take tourists
up into the mountains in the summer. The first public
chairlift was opened in Sun Valley, Idaho in 1935. The
fixed-grip chairs had no retention bars or foot rests (see
Fig. 38).
The first double chairlift was erected in 1946, also in
the USA. The Austrian company Doppelmayr (now
Doppelmayr/Garaventa)
subsequently
developed
detachable chairlifts aimed at increased capacity and
comfort [20]. The working principle of this type of lift
is akin to that of the monocable ropeway. The main
thrust of recent development work has been towards
steadily raising these systems carrying capacity, and
chairlifts for eight people are now commonplace at the
major ski resorts. The lifts are often given protective
21
acrylic glass domes (bubbles) to protect the

passengers from bad weather, and some now also have
heated seats for added comfort.
technology uses a double loop cable so that in each

direction or lane the cabins are secured to two carryhauling cables by releasable clamping devices (Fig. 40).
Figure 40. Funitel rope system [20]

Figure 38. Chairlift in Sun Valley [2]
New technologies
Modern aerial ropeways can be broken down into
monocable and bicable systems (see Fig. 1, above). The
main difference between the two is simply the number
of rope systems. In the case of a monocable ropeway
one or two ropes assume the carrying and hauling
functions (carry-hauling cable), whereas with a bicable
system the gondolas are carried by one or more ropes
(track ropes) and propelled by a different rope system
(haul rope). Both types are equipped with releasable
clamping devices. At the stations, the cabins are
disconnected from the haul rope, decelerated and guided
on to a separate rail which leads the cars through the
embarkation and disembarkation areas at low speed.
Before leaving the station the cabins are accelerated
again up to the constant haul rope speed, and clamped
on to the haul rope.
Monocable, continuous movement aerial ropeways
are widely used in mountainous areas. Figure 39 shows
a cable car at Austrias Kitzsteinhorn ski resort.
The fact that the two cables are relatively far apart
means that the system is very stable in windy
conditions, and it is therefore ideal for high mountains.
An example of a Funitel ropeway is shown in Figure 41.
Figure 41. Funitel system in Galzig, Austria [20]
The main benefits of bicable aerial ropeways are the

very long rope spans that are feasible (up to 1,500 m),
the high wind stability and the low energy consumption
compared to a monocable ropeway.
The design and mode of operation of a detachable
bicable aerial ropeway are illustrated by Figure 42.
Figure 39. Monocable ropeway at the Kitzsteinhorn glacier,

Austria [20]
A variant of the monocable aerial ropeway with two

carry-hauling cables came on the market in 1995. This
is the Doppelmayr/Garaventa Funitel system [20]. The
22
Figure 42. Diagram of a bicable aerial ropeway
A well-known example of a long bicable ropeway at

a location that is prone to high winds is the Ngong Ping
Cable Car in Hong Kong [19]. This consists of two
sections (0.5 km and 5.2 km). The ropeway has 11
comfortable 17-person cars, and has a carrying capacity
of 3,500 passengers per hour (Fig. 43).
the wide gap between the track ropes results in

outstanding wind stability. In this case, the hauling rope
runs in a double loop over vertical pulleys at the stations
and horizontal compensation wheels fixed to the main
frame of the carriage.
A new Funifor ropeway with special cabins was
opened this summer in Switzerland. It is the worlds
first double decker cable car with an open top. The
cabin mostly consists of glass, affording panoramic
views of the Alps (see Fig. 46).
Figure 43. Ngong Ping Cable Car [19]
Where particularly wide distances have to be

spanned, two parallel supporting cables can be used.
This configuration stands out for its wind stability. An
example of the travel carriage and clamping device used
in such a system is shown in Fig. 44.
Figure 46. Cabin on the Stans Funifor ropeway,

Switzerland [26]
4. CONCLUSIONS
Figure 44. Travel carriage and clamping device of a 3Sropeway [20]
A widely-acclaimed example of a bicable areal

ropeway with three ropes (two track ropes + one haul
rope) which was commissioned in 2011 is presented in
Fig. 45.
Figure 45. 3S-ropeway Gaislachkogel, Slden, Austria [20]
Another type of a ropeway with two track ropes is

the Doppelmayer/Garaventa Funifor a reversible
bicable aerial ropeway [20]. As with the Funitel system,
It has been seen that a wide variety of rope-drawn

transport systems have been operated since ancient
times. Many of the technologies described in this paper
have performed well, and are at work not only in
mountainous areas but also in cities. Cable drawn
systems have a bright future, particularly as part of
public transport networks. Energy savings, congestion
reduction, and lower noise and atmospheric emissions
are the main arguments for wider use of cable drawn
transport systems.
REFERENCES
[1] Hoffmann K., Recent Developments in cable-drawn

urban Transport Systems in Proceedings of the
XVIII International Conference on Material
Handling, Constructions and Logistics, Belgrade,
2006, pp. 4350
[2] Schmoll, H.D., Weltseilbahngeschichte, Band 1 und
2, Steidl Verlag, Eugendorf, Austria, 2000
[3] Lucas A. and Harris J.R., Ancient Egyptian
Materials and Industries, Dover Publications, New
York, 1999
[4] Qibell J. E. in: The Ramesseum and the Tomb of
Ptah-Hetep, Egyptian Research Account 2.,
London, 1896
[5] Turner J. C. and Van de Griend P., History of
Science of Knots, World Scientific Publishing Co,
Singapore, New York and London, 1996
[6] Buchheim G. and Sonnemann R., Geschichte der
Technikwissenschaften, Birkhuser Verlag, Basel,
1990
23
[7] http://en.wikipedia.org/wiki/Repslagarbanan_1Karlskrona.JPG
[8] Fontana D., Della Trasportatione dell Obelisco
Vaticano, Appresso Domenico Basa, Rome, 1590
[9] http://www.clausthal-zellerfeld.de/das-drahtseil/
[10] Verreet R., Das Drahtseil Die Geschichte der
Erfindung und Weiterentwicklung in Drahtwelt 6,
1985
[11] Schneigert Z., Aerial Ropeways and Funicular
Railways, Pergamon Press, Oxford, London, New
York and Paris, 1966
[12] Dieterich G., Die Erfindung der Drahtseilbahnen,
Verlag Hermann, 1908
[13] Stephan P., Die Luftseilbahnen, Verlag Julius
Springer, Leipzig, 1907
[14] Lorini B., Fnf Bcher von Festung Bauen, David
Beckern, Frankfurt am Main, 1607
[15] http://en.wikipedia.org/wiki/Monongahela_Incline
[16] Hefti W., Schienenseilbahnen in aller Welt,
Birkhuser Verlag, Basel, 1975
[17] Hoffmann K., Recent Investigations of Ropeway
Oscillations caused by Cross-Wind and other
Influences in Proceedings of the XIX International
Conference on Material Handling, Constructions
and Logistics, Belgrade,. 2009, pp. 1728
24
[18] http://www.funimag.com/funimag05/BUDA.HTM
[19] LEITNER, www.leitner-lifts.com
[20] DOPPELMAYR, www.doppelmayr.at
[21] http://www.niagaraparks.com/attractions/whirlpoolaero-car.html
[22] Hoffmann K., Liehl R., Cable-drawn urban
transport systems in Urban Transport XI, WIT
Press, Southampton, 2005, pp. 2536
[23] Neuhaus W., Wetterhornaufzug, die erste
Luftseilbahn der Schweiz, Prellbock Druck &
Verlag, Leissigen, 2007
[24] http://www.predigtstuhlbahn.de
[25] http://en.wikipedia.org/wiki/File:Torre_del_cableManizales.JPG
[26] http://www.stanserhorn.ch/de/bahn/cabrio/
[27] Sayenga D., The flattened strand story, Wire Rope
News, 1986
[28] Ridge I.M.L., The development of rope,
O.I.P.E.E.C. 65, 1993
[29] Hoffmann K., Zrnic N., A Contribution on the
History of Ropeways, in Proceedings of HMM
2012, Amsterdam
Investigation into Bulk Material

Parameters for
Discrete Element Simulation
Franz Kessler
Professor
University of Leoben
Chair of Conveying Technology and Design
Methods
Michael Prenner
Senior Scientist
University of Leoben
Chair of Conveying Technology and Design
Methods
The knowledge of the behaviour of different bulk materials is important for

every Discrete Element Simulation which should be close to reality.
To describe the behaviour of bulk materials the various Discrete Element
Programs use material specific parameters like friction, rolling friction,
cohesion, coefficient of restitution and so on. Usually these parameters are
not known for the different bulk materials and they have to be determined
experimentally. It is also difficult to create a material database, because
the parameters depend on many environmental conditions and it is only
possible to get a "snap-shot" of this behaviour.
At the Chair of Conveying Technology and Design Methods at the
University of Leoben test methods are developed which could be used to
measure the most important parameters.
In addition to laboratory test-rigs on-site rigs are currently tested. On-site
rigs are necessary, because it is often difficult to obtain bulk material test
samples from foreign countries to the laboratory in Leoben.
The paper includes a short introduction into the DEM and an overview of
the application of the DEM at the Chair of Conveying Technology and
Design Methods. In the second part of the paper various test methods for
the required material -parameters for the simulations will be presented.
Keywords: Discrete Element Methode (DEM), simulation, test-rigs,
material specific parameters
1. INTRODUCTION
The Discrete Element Method (DEM) is a

numeric calculation method. With the help of this
method it is possible to calculate the movement of a
large number of particles. At the Chair of Conveying
Technology and Design Methods at the University of
Leoben the DEM is used to simulate bulk material
transport processes. The chair employs this method for
the research and development of new transport and
conveying systems and commercially to test bulk
material conveying systems for materials handling
technologies. The main focus of this research is on the
investigation of material specific parameters. These
parameters are the main input data for every Discrete
Element Simulation program and they are responsible
for simulations close to reality. The parameters are
detected by using experimental tests and comparing
these with simulations.
The Discrete Element Simulation uses spheres as

standard discrete elements. With the help of these
spheres bulk material movements, for example, can be
simulated by a computer. Each particle of the real bulk
material could be approximated, in the simulation, to a
sphere. There is also a possibility to create complex
particles. It is possible to connect equal or different
spheres (diameter) together. By this method it is
possible to approximate any geometry. Some of the
available programs already use even more complex
geometries like faceted polyhedrons, briquettes or
cylinders instead of spheres as discrete elements.
During a simulation of a bulk material flow, each
particle comes into contact and then loses contact again.
For these contact conditions a Discrete - Element
Simulation program could use different contact
models. These models consider for example friction,
cohesion, elastic deformation, and so on. From all
contact forces reacting on a particle a resulting force
could be computed. With the help of this force, the
Newton equations of motion can be compiled. From
these equations it is possible to compute every new
position and speed of every particle with the aid of
numerical integration over a short time period. After
every time step, new contacts and lost contacts between
the particles have to be detected. By repeating this, it is
possible to compute any particle movement. Also the
machine parts or walls which are adjacent to the
material flow can be considered by analytically
describable surfaces (for example: polygons, cylinders
or cones).
Figure1. On site test-rigs for detecting material parameters
25
2. APPLICATION OF THE DEM
The DEM is a very useful tool in the field of

conveying technology. It is possible to use it for bulk
material transport processes as well as for piece goods
transport processes. Piece goods could also be
approximated by discrete elements. It is possible to
create different piece goods by connecting equal or
different spheres (diameter) together. If a simulation
program could use more complex geometries instead of
spheres as a discrete element like faceted polyhedrons,
briquettes or cylinders, those elements could also be
used to approximate piece goods. By the use of such
approximated piece goods, for example, it is possible to
simulate the movement of boxes on a roller conveyor.
At the Chair of Conveying Technology and Design
Methods at the University of Leoben mostly bulk
material transport processes were simulated.
Picture 1
2.1 Simulation of a bridge type bucket wheel

reclaimer
This simulation was made for an existing machine

which is operating in Worsley, Australia.
Technical Data:
Peak Digging .....3200 t/h
Belt speed ..4.5 m/s
Bulk material .... Bauxite
Bulk density for volumetric sizing ... 1615 kg/m3
Bucket wheel driving speed...4.5 rpm
Bucket volume...573.4 l
The simulation should show that it is possible to raise
the capacity of the machine from 2000 t/h up to 2400 t/h
material flow, by changing the buckets, the bucket
driving speed and the belt speed. The focus of the
simulation was the emptying of the buckets, the correct
function of the bucket wheel transfer chute (bucket
wheel bridge conveyor belt) and the transfer chute for
the bulk material transfer from the bridge conveyor to
the yard conveyor.
Picture 2
Picture 3
Figure 2. Example of a bridge type bucket wheel reclaimer

Picture 4
Figure 3. Simulation of a bridge type bucket wheel
reclaimer
The pictures in Figure 3 show that there is no really

critical part (for this simulation) at the reclaimer which
26
could cause a problem during the operation. Picture 3

shows that the position of the impact plate should be
slightly adapted, so that the material load is in the
middle of the yard conveyor. For safety reasons 100%
filling of the buckets was chosen and not 90% as
specified. Figure 3 also shows that there is no constant
load on the bridge conveyor due to the pulsating
material discharge from the buckets to the bridge
conveyor. The bulk material cross section on the belt
changes minimally.
Adjustable flaps at
the receiving chute
chute (figure 4) should be installed. Figure 5 shows

that, at a flap position of 75 deg, an almost centric and
symmetric bulk material load on the bridge belt
conveyor could be realised in the simulation.
2.2 Simulation of a breeches chute
The simulations were made for the project Puerto

Nuevo in Puerto Rico. For this project several
simulations of different transfer points for belt
conveyors were made. One of the transfer points was a
so-called breeches chute (figure 6).
Technical Data:
Mass flow ............ 8000 t/h
Belt speed ........ 5 m/s
Bulk material ... Coal
Figure 4. Adjustable flaps for a more symmetric and centric

bulk material load on the bridge conveyor
Figure 6. Final design proposal of a breeches chute Puerto Nuevo
Cross section "B"
Cross section "A"
cross section "A"
The breeches chute was designed as a switch point

(figure 6). The bulk material (coal) was discharged from
a first belt conveyor and was received by two further
belt conveyors. The conveying direction of those two
receiving belt conveyors has a 90 offset. To switch the
bulk material flow from one receiving belt to the other,
an adjustable flap was used. The first design concept
was made by the customer. This concept suffered a few
malfunctions (figure 7).
cross section "B"
Picture 1
Adjustable flap:
flap position 75 deg
Figure 5. Cross sections for flap position 75 deg
To get a more centric and symmetric material load on

the bride conveyor adjustable flaps at the receiving
27
consumption and wear of the upper receiving belt

conveyor. The belt conveyor at the lower level did not
clog, but there was also a speed difference between the
received bulk material and the conveyor.
Methods several design improvements were made.
Figure 8 shows the main design changes.
Picture 2
Picture 5
Picture 3
Picture 6
Picture 4
Figure 8. Final design proposal - Chair of Conveying
Figure 7. First design concept of the costumer
Technology and Design Methods
Figure 7 depicts the malfunctions of the first design

concept of the customer. Picture 1 in figure 7 shows
the problems at the baffle plate. At the outlet section of
the baffle plate the bulk material was abruptly
constricted. Because of this constriction the bulk
material starts to expand and no compact material
stream could be achieved. This behaviour will increase
wear at the whole breeches chute. Picture 3 to 4 in
figure 7 show the non compact material stream through
the whole chute. Picture 2 and picture 4 in figure 7 also
depict a further problem at the soft loading area. The
shorter part of the breeches chute, which is shown in
picture 2 in figure 7, starts to clog and the bulk material
has to be accelerated on the belt conveyor. This
acceleration causes an unnecessary additional power
Extensive changes at the baffle plate had to be carried

out (figure 8 - picture 1). The inlet section was adjusted
to the trajectory parabola of the discharged bulk
material, but the main changes were made at the vertical
section of the baffle plate. At that section the bulk
material was enclosed for about two-thirds of its
periphery (figure 9). Also a greater constriction length
was achieved. Due to these changes, an almost compact
material stream could be achieved. The design of the
two pipes of the breeches chute and the adjustable flap
had also to be changed. The result of these changes was
an almost ideal soft loading at the two receiving belts
and a reduction in wear for the whole construction.
28
The Puerto Nuevo project is currently under

construction. Figure 10 shows one of the new baffle
plates during the manufacturing process.
Figure 11. Simulation of the prototype of the "Solid State

Material Driven Turbine"
Figure 9. Design of the new baffle plate
Figure 10. Baffle plate under construction
2.3 Simulation of a "Solid State Material Driven

Turbine"
Solid state materials, like any kind of bulk materials

as well as suitable piece goods, which were transported
with a continuous conveying system, have a highenergy content depending on the mass flow and the
conveying speed. At transfer points from one conveyor
to another or at discharge points from a conveyor to a
storage area or to a discontinuous conveying system, it
is possible to recover most of this energy and return it to
the conveying system.
Methods at the University of Leoben an energy
recovery system was developed, which allows the
recovery of a large percentage of the kinetic and
potential energy of the transported material. This energy
could be returned to the conveyor in the form of
electrical or mechanical power. Chapter 2.2 points out
the energy recovering potential especially in the field of
continuous conveyors. The maximum bulk material
speed in the breeches chute is about 14 m/s (figure 8 picture 5). For a mass flow of 8000 t/h at this speed a
maximum of about 218 kW could be recovered.
Figure 12. Torque curve of the prototype turbine for two

different speed levels
Figure 11 and 12 show the results of a DE - simulations

of a first test turbine. Figure 12 depicts the torque of the
turbine at two different speed levels. A mass flow of
28.125 kg/s was used for the simulations. Running the
turbine at a speed level of 0.3351 revolutions per second
(corresponds to the speed of the experimental setup figure 13) a power output of 163 W could be calculated.
With the same basic conditions a power output of 152
W could be measured in experimental tests. The power
output in the tests and in the simulations is almost equal.
The difference of 11 W between the tests and the
simulations results from the fact that it is not possible to
29
consider the losses due to the bearings and the chain

drive used. A little measuring inaccuracy also occurred
because the power output of the conveyor was measured
over the power input of the drive motor. The simulation
also shows that the power output depends on the
rotation speed of the turbine. There is an optimal
operating point of the turbine (gear ratio: pulley turbine), which has to be determined with further
simulations and tests.
TEST RESULTS
Several measurements with different parameters were
made. One of the results is shown in figure 14.
2.3.1 Verifying the simulations with a real turbine in

an experimental test
TECHNICAL DATA OF THE TEST FACILITY

Diameter of the turbine ............. 765 mm
Length of the turbine ........................ 800 mm
Chain wheel - turbine ....... 95 teeth,
n = 0.335 rec/s
Chain wheel - pulley .................... 8 teeth,
n = 3.979 rev/s
Belt speed ............................ 2.5 m/s
Mass flow .................... 28.13 kg/s
Pulley diameter .................... 200 mm
Axle-base turbine pulley ..... 660 mm, 510 mm
Theoretical power at 28.13 kg/s .. 195 W
(Drop height 0.39 m - till first turbine blade contact)
Figure 14. Comparison of the absorbed power of the

discharge conveyor with and without the turbine (mass
flow 28.13 kg/s)
Figure 13. "Solid State Material Driven Turbine" in
operation
To realize a maximum power output, a relatively large

turbine in relation to the conveyors was chosen. This
was necessary because of the small mass flow. The
turbine should also be applicable for considerably
higher mass flows.
30
Figure 14 shows the power saving because of the

turbine at a mass flow of
28.13 kg/s. In that case the
power saving was 152 W and corresponds to a reduction
in the absorbed power of about 16.3 % (reduction in the
absorbed power from 928 W to 777 W).
Out of the moving bulk material it is theoretically
possible to recover 195 W of power because of the
stored energy (drop height of 0.39 m and a discharge
speed of 2.5 m/s). According to this theoretical possible
power an efficiency of about 78 % for a mass flow of
28.13 kg/s could be calculated for that case.
The measurements show that, even with a simple
turbine-geometry, it is possible to recover a large
amount of the stored energy of the moving bulk
material.

3. REQUIRED MATERIAL PARAMETERS FOR THE
DE - SIMULATIONS AND POSSIBLE TEST
METHODS
For simulations close to reality, it is necessary to

establish the contact behaviour between the particles of
the bulk material and the contact behaviour between the
particles of the bulk material and for example the
machine parts (steel structures, conveyor belts, wear
plates and so on) which are implemented in a
simulation.
Before parameter tests could be developed, it is
necessary to know something about the bulk material
behaviour, but it is also important to know something
about the peculiarities and the limits of the DE simulation programs and about the peculiarities and the
limits of the contact models.
The static and the dynamic behaviour of bulk materials
is a very complex subject and depends on various
environmental conditions. At the moment it is not
possible to describe this complex material behaviour
exactly with the standard contact models and the
standard particle geometries which are implemented in
commercial DE - programs.
Before a couple of test methods are presented, a few
peculiarities of the standard contact model HerzMindlin of DE - simulation programs will be shown.
3.1 Peculiarities of DE - simulation programs
DE - programs use spheres as standard discrete

elements and in more than 95% of all bulk materials the
individual particles are complex geometries and no ideal
spheres. A simulation tries to copy the real material
behaviour by the use of spheres instead of the actual
particle geometries. In many cases it is also not possible
to use the grain size distribution of a real bulk material
for the simulation. The fines are an especially big
problem, because they increase the calculation time and
the amount of the output data of a simulation.
3.1.1 Using spheres instead of the actuall particle
geometry
obtain good simulation results. The influence of other

material parameters like the Shear Modulus and the
Poissons Ratio is not so important for chute
simulations. Only cohesion and the Coefficient of
Restitution could be interesting.
Simulations with capped particles could also cause
some problems:
Stack of particles
Figure 15. Stack of particles and contact forces
Sphere particles with switched off rollability can not

transmit any torque due to their centre of gravity. It is
possible to create a particle tower with spheres even
with cero friction between the particles, when the centre
of gravity of the particles is placed exactly one upon the
other. With high friction between the particles it is
possible to create towers like those shown in figure 15.
This behaviour is mathematically correct but has
nothing to do with the behaviour of real bulk materials.
This behaviour could sometimes cause problems during
a simulation. A further problem which is based on this
behaviour is shown at the next point. Figure 15 also
shows the contact forces between two particles without
overlap. A particle starts to slide when the tangential
force Ft is higher than the friction force FF.
Unrealistic accumulation of particles at edges
Unrealistic material accumulation
Small edge around the bucket
Ideal spheres exhibit a major problem. They can roll

and so it is a problem to get a real angle of repose of a
real bulk material like coal for example. Real bulk
material particles do not roll as easily as ideal spheres.
The DE - program which is used at the Chair of
Conveying Technology and Design Methods provides a
few solutions to this problem:
Capped Particles
It is possible to switch off the rollability of the spheres.
This is a good approximation for chute simulations as
shown in the preceeding chapters. To verify the
properties of the different bulk materials and the
interactions between the particles and there contact
partners such as chute walls or machine parts it is
mostly sufficient to verify the friction parameters to
Figure 16. Bucket of an bucket wheel reclaimer with

unrealistic accumulation of particles at the edges of
machine parts
The same problem, as shown in the upper point, is also

responsible for the accumulation of particles at the
edges of machine parts as depicted in figure 16. This
31
small edge was responsible for an unrealistic

accumulation of bulk material in the bucket so that the
buckets could not be 100 % discharged. In that case the
particle behaviour helped to identify an unnecessary
edge in the buckets which causes wear and minor
discharge problems.
Angle of repose problem

Figure 19. Tetrahedron-shaped particle without particle
A further fact is that a measured friction between the

particles will cause wrong angles of repose in a
simulation if the measured friction coefficient is used in
the simulation. The friction coefficient has to be verified
for the simulation if capped particles are used.
Figure 17. Comparison - angle of repose simulation - real

bulk material test
Figure 17 shows a comparison between a real angle of

repose test and an angle of repose simulation. For the
simulation, capped particles were used with a "particle friction" of P = 0.15. The result of this simulation was
an angel of repose of about 22. The "particle - friction"
from the real test should theoretically be P = tan 22 =
0.4. Figure 18 shows the angle of repose for capped
particles with P = 0.4 and P = 1.
This simple comparison shows that it is necessary to use
adjustment simulations to get the correct friction
parameters for further simulation, especially when using
capped particles.
limits, "particle - friction" = 1, angle of repose = 45
Using that kind of particle at a "particle - friction" of 1

and a rolling friction between the particle of 0.2 an
angle of repose of 45 could be achieved (figure 19).
Also the friction between the particles and the contact
surface has to be set to a high level (friction particle contact surface = 1, rolling friction particle - contact
surface = 0,5). The simulation shows that it is possible
to get an angle of repose of 45 at a "particle - friction"
level of 1. It is also necessary however to know
something about the rolling behaviour of the particles.
More realistic simulations require greater knowledge
about the material behaviour and also better contact
model in combination with more complex particles. For
example, the used simulation could not differ between
static and dynamic friction.
Constructed particles have a few disadvantages. Those
particles increase the calculation time because rotary
velocity components have to be calculated. The rotary
velocity components cause additional contact forces.
Due to these partly high forces, the calculation time step
has to be reduced to avoid an unrealistic material
behaviour. The reduced time step also increases the
calculation time of a simulation with constructed
particles.
It is also possible to use spheres with rolling friction to
get an angle of repose of 45 for a "particle - friction" =
1, but it is necessary to significantly decrease the time
step. This will cause also a much longer simulation time
without increasing the simulation quality compared with
simulations using capped particles.
3.1.2 Time step problem
Figure 18. Angle of repose for capped particles with

P = 0.4 and P = 1
Constructed Particles
To get a more realistic material behaviour, constructed
particles with no particle limits could be used. A particle
should be created which can transmit a torque due to its
centre of gravity to avoid a particle behaviour like that
shown in figure 15. A simple particle could be a
tetrahedron-shaped particle made out of four spheres.
32
The time step is the time between two calculation

steps during a simulation. This time step is a critical
point and some programs allow a manually variation of
the time step within certain limits. Time steps which are
too short will increase the simulation time and time
steps which are too long could cause quality problems
during a simulation. The time step is responsible for the
numerical stability of a simulation. In the following, the
time step problem will be illustrated by using the
contact speed of two particles.
Figure 20. Particle collision; series of four consecutive time

steps with a too long time step (speed green < speed read)
Figure 20 depicts the problem simply with an incorrect

chosen time step. In the first three time steps the
approach of two equal particles at the same speed till the
first overlap (contact) is shown. The speed of the
particles is the same until the first contact. In a
physically correct central impact of two particles, the
particle speed, after the impact, should be equal
(without damping) or less than the particle speed before
the impact. Figure 20 shows a different behaviour. The
particle speed, after the impact, is higher than before the
impact. The reason for this behaviour is the unrealistic
contact (overlap) of the particles. The particles in the
simulation program can not really be deformed. A
possible deformation of the particles is described by an
overlap of the particles. If the speed of the particles is
too high and the time step is too long the overlap of the
particles at the first contact could also be too high. This
overlap, which is too high induces an excessively high
force against the velocity vectors of the two particles.
Due to the velocity which is too high and the time step
which is too long also no further overlap could be
detected after the first contact. The two particles will
leave each other at velocity which is too high because of
the force which is too great against the speed vector
before the impact. This force is calculated over the used
mass-spring system of the contact model.
The time step problem could cause a restless bulk
material which could even lead to a kind of explosion.
Figure 21 shows a restless material behaviour due to the
time step until an explosion.
T = 30%
T = 45% - explosion starts
T = 45% - explosion
Figure 21. Changes of the particle forces due to the
increasing time step (T) in % of the "Rayleigh-Time Step"
T = 10%
There are a lot more factors which influence the period

of the time step. Different contact models, particle
geometry, shear modulus, coefficient of restitution,
further cohesion forces, particle mass, friction and so on
could effect the necessary period of the time step. Also
eccentric impacts could lead to an incorrect direction of
the speed vector after the impact.
33
In spite of these problems the DEM is a very useful tool,

also for research and development projects as well as
for commercial use for example in the field of
conveying technologies.
3.2 Parameters to be measured
The following parameters had to be determined by

measurements and adjustment simulations:
- Friction between the particles and their contact
partners ("wall - friction") such
as machine parts,
chute walls, wear plates, .......
- Friction between the particles ("particle - friction")
- Density of one particle and bulk density of the bulk
material
- Moisture of the bulk material (for specifying the bulk
material)
- Cohesion
- Shear Modulus
- Poissons Ratio
- Coefficient of Restitution (difference between the
particle speed before and after an impact)
- Coefficient of Rolling Friction
The listed parameters have a varying significance for
the quality and the result of a DE - simulation
depending on the task of the simulation. The parameters
could also differ due to the used simulation program.
Methods at the University of Leoben mainly bulk
material conveying processes are simulated. For this
field of activity the significance of the parameters will
be described.
The friction parameters ("wall - and particle - friction")
are the most important default settings for bulk material
conveying simulations. The friction parameters
represent the main influences on the angle of repose and
the surcharge angle of bulk materials. They are also
important for the chute design to avoid blockages and to
get a smooth material flow.
A further parameter which influences almost the same
factors as the friction is cohesion. At the Chair of
Conveying Technology and Design Methods the
cohesion model with the cohesion parameters is used for
simulations where the material behaviour is not
describable simply with friction parameters. It is used
for bulk materials with a distinctive cohesive behaviour
like fine and wet bulk materials. The cohesion model
increases the calculation time and should only be used if
it is really necessary.
The density of a particle is necessary for the contact
models used and is a parameter which has to be entered
into the simulation program and should not be confused
with the bulk density. The bulk density is not a
parameter which could normally be directly entered in a
simulation program. But it is important when the grain
size distribution of the real bulk material which should
be simulated can not be used for the simulation. This
could happen when the material consists of a lot of fine
34
particles. In such a case the simulation time will be too

long and so it is necessary to approximate the behaviour
of the real bulk material by using bigger particles in the
simulation than in reality. Bigger particles, with the
same particle density as the fines, will lead to a less bulk
density than the real fine material. If a real volume flow
with real particle density should be simulated, it is
necessary to reduce the mass flow. If a real volume
flow and a real mass flow should be simulated it is
necessary to increase the particle density. The procedure
depends on the desired results of a simulation.
Moisture is also a parameter which could not be directly
entered in the simulation program used. It is necessary
to characterise the bulk material and could be
considered by using cohesion contact models for the
simulation.
Shear Modulus and the Poissons Ratio are also
parameters for the contact models. The values of these
parameters are not so important for bulk material
conveying processes because they influence the
simulation results only to a lesser extent. For special
simulations they have to be set to a real value, but it is
not so easy to measure those parameters. The Shear
Modulus is also responsible for the calculation time.
Riged particles need short time steps because they allow
only little contact overlaps. Unrealistic contacts between
the particles (overlaps) will create unrealistic contact
forces like those shown in figure 20. If possible, the
Shear Modulus should be set to a low level to increase
the calculation speed.
In some cases the coefficient of restitution (damping)
could be important. For example the damping behaviour
of a small amount of big particles on a conveyor or in a
chute could be interesting. Many particles in a particle
stream have a lot of contacts over a time period and so
they "act like water" when they come into contact for
example with a chute wall. A single particle has a
different behaviour and acts like a pinball in the chute.
In such a case the damping behaviour is very important.
The coefficient of restitution is an interaction parameter
of the particles and the particles against the machine
parts. If for example the damping behaviour of a
particle against a chute wall should be measured it is
necessary to know the damping behaviour of the whole
chute construction. This behaviour has to be reproduced
in a test rig.
The coefficient of rolling friction is important for
simulations with constructed particles whose rollability
is not capped (compare figure 19). Non capped particles
could help to improve the simulation quality, but they
also increase the calculation time. This could be a
problem for conveying processes with very high mass
flows with millions of particles.
3.3 Possible test methods
In the following test methods for the most important

material parameters for conveying process simulations
will be described.
3.3.1 Measuring the "wall - and the particle - friction"

using a bulk material stream
c) Bulk material geometry after opening the bulk material flap

Figure 23. Streaming process into the container
Figure 22. Friction test - using a bulk material stream
The assembly of the test stand is shown in figure 22. For

the tests it is necessary to have a 60 litre barrel of test
bulk material and five different sized test plates
constructed from the same material which is used for
the machine parts.
The principal of this test stand is the movement of bulk
material over a ramp into a container. A barrel with the
bulk material will be moved with the help of the slewing
device into the emptying position. At this position, the
barrel will be opened and the bulk material moves over
the ramp, completed with the test plates, into the
container which is also faced with the test plates.
The streaming process into the container is shown in
figure 23.
The contact point of the bulk material stream on the test

plate, at the rear of the container, depends on the friction
between the bulk material and the test plates. The bulk
material geometry in the container, before and after
opening the material flap, is responsible for the friction
between the particles. For modifying the particle
behaviour in the simulation to the actual material
behaviour it is necessary to make an adjustment
simulation. The friction parameters have to be tuned as
long as the particle behaviour in the simulation is almost
equal to the particle behaviour in the simulation. The
determined parameters could now be used for the real
simulation.
The results of this measurement with capped
particles are:
Friction wear plates - coal:
= 0.32
Friction coal - coal:
= 0.59
3.3.2 Portable test facility
a) Contact point of the bulk material stream (coal) on the test plate
(steel plates - material number........1.4301) at the back side of the
container
In many cases it is not possible to get bulk material

samples to the laboratory of the Chair of Conveying
Technology and Design Methods due to import and
export regulations, shipping costs, shipping time or the
reluctance of a customer.
In such a case it is necessary to have a light weight
portable test facility which could be easily transported
by plane to any destination on earth. At the Chair of
Conveying Technology and Design Methods at the
University of Leoben a simple to use portable test stand
was developed. The test rig was designed for measuring
the main parameters necessary for simulating bulk
material conveying processes and especially for chute
simulations. For such simulations the "particle friction", the "wall - friction" and the cohesion are the
most important parameters.
The test facility could measure the parameters in two
different ways. The first possibility is shown in figure
24. The parameters could be measured with a kind of
shear test.
b) Bulk material geometry before opening the bulk material flap

(moisture 11%)
35
of the test bulk material and the two horizontal force

sensor measure the friction forces. Dividing the
horizontal force by the vertical force the dynamic
friction factor could be calculated. The movement
resistance of the container without the bulk material has
to be considered.
Figure 24. Shear test facility
The second possibility is a sliding test over an

adjustable ramp (Figure 25).
Both test methods use the same base frame of the test
stand with different superstructures. The superstructures
could be easily changed by a couple of screws.
Bulk material tray for measuring the "particle
- friction"
Figure 27. Measuring the "particle - friction" with the shear

test facility
Figure 25. Sliding test facility
Measurement procedures with the shear test facility:
Figure 27 shows the measuring procedure for the

"particle - friction" measurement. The procedure is
similar to the "wall - friction" test. Instead of a test plate
the bulk material tray (figure 28) with the test bulk
material in it has to be positioned on the four vertical
force sensors. After a zero balance the bulk material
container which has also be filled with the bulk material
will be moved over the tray and over the bulk material
in the tray. The result of this measurement is the
dynamic "particle - friction". Figure 28 shows the real
bulk material container for the measurements.
Figure 26. Measuring the "wall - friction" with the shear test
facility
Figure 26 shows a first "wall - friction" test

measurement with the shear test facility. To carry out
the measurement, bulk material and a test plate for
example a wear plate of a chute are needed. The test
plate will be positioned at the four vertical force sensors
and the bulk material container has to be mounted above
the test plate. A zero balance of the force sensors has to
be carried out. The bulk material must be filled into the
bulk material container which is open at the bottom. By
using a cordless drill and a spindle drive the bulk
material container with the test bulk material in it will
be moved over the test plate. The four vertical force
sensors measure the mass-forces due to the dead weight
36
Figure 28. Particle container with a seal strip and the bulk
material tray
The cohesion of bulk materials could be identified by

carrying out the same tests with dry and wet bulk
material conditions or with fine and coarse grained bulk
materials of the same kind. Figure 29 depicts the "wall friction" differences between coarse and fine grained
iron ore. The differences could be interpreted as
cohesion for a simulation.
Figure 29. "Wall - friction" difference between coarse and fine grained iron ore
Figure 30. Components of the sliding test facility
To get the simulation parameters out of the real tests,

adjustment simulations had to be carried out. The real
test configuration, which is very simple, will be
simulated with a DE simulation program.
Measurement procedures with the sliding test facility:

With this test facility it is also theoretically possible to
measure the same parameters as with the shear test
facility. Figure 30 shows the main components of this
facility. The base frame is the same as used by the shear
37
test facility. The pivoting frame with the "vertical" and

the "horizontal" force sensors carries the test plate for
the "wall - friction" test. Bulk material has to be placed
on the test plate and the pivoting frame with the test
plate on it must be slewed until the bulk material starts
to flow off the ramp. The slope angle of the ramp
describes the static "wall - friction". The dynamic "wall
- friction" could be measured by using the force sensors.
This test method has a major problem. If the "particle friction" is lower than the "wall - friction", the static
"particle - friction" will be measured by slewing the test
plate. This makes the whole measurement too
complicated for the layman, so tests with this facility
had to be abandoned for the moment. The test facility is
only usable for laboratory tests.
4. CONCLUSION
For simulation tasks in the field of bulk material

conveying processes, it is necessary to know the
interaction behaviour of the materials used in reality as
well as in the simulation. With the help of relatively
simple test facilities it is possible to measure the main
parameters which are important for the DE simulations. This could be done in the laboratory as well
as on site with the use of portable test stands. The onsite tests should be easy to carry out because they
should be put into effect by the layman as well as by
scientists. At the moment the shear test facility will be
redesigned with the focus on a further light weight
construction.
38
Eugeniusz Rusiski
Professor
Wroclaw University of Technology, Poland
Jerzy Czmochowski
Associate Professor
Damian Pietrusiak
MSc
SELECTED PROBLEMS OF OPEN

CAST MINING MACHINES DESIGN
Contemporary machine design not only needs to meet the applicable
requirements, norms and regulations but also requires a novel approach to
the designing process. The article presents the essence and role of
experimental and numerical analyses, which are becoming increasingly
popular in the designing process and in the testing of dynamically loaded
structures. What is particularly important in machine modeling is the
accuracy of representation and thus the complexity of the model. In order
to fully and accurately represent the reality it is necessary to verify and
update the models based on experimental tests.
Keywords: surface mining, bucket wheel excavator, FEM, experimental
techniques
1. INTRODUCTION
Contemporary designs not only have to meet the

requirements and standards for surface mining
machinery but also should include the results of
frequency tests of free and forced vibrations for
individual elements and sections.
Owing to the rapidly increasing calculating power of
computers it is now possible to solve very complex
numerical problems. However, it is also important not to
overcomplicate the task if it is possible to obtain
sufficiently accurate results using a simpler model. In
order to make such a decision one needs expert
knowledge of the tested machine. It is important to
anticipate the range of potential free vibration
frequencies which can influence the use of the machine,
and to understand where and how simplifications can be
introduced.
The discreet models of steel structures used today
are built using either beam elements or shell elements.
Using beam elements is not overly complicated and
makes it possible to represent the stiffness of the
structure. The drawback of this method is that it does
not take into consideration the joint stiffness of the
superstructure. Most often it is much higher than the
stiffness of the beam itself. Neither of these modeling
methods includes the influence of the type of joints on
the stiffness of the superstructure. In both cases it is
crucial that the mass distribution corresponds to the
distribution in the stability proof or the one based on
machine tests. When analyzing the machine's vibration
it is also important to include stress of elements such as
elastic and steel lines.
The stress level can influence the stiffness change
and thus the frequency of vibrations.
It is possible to update the numerical models so that
they most accurately represent the studied machine.
Correspondence to: MSc Damian Pietrusiak
Wroclaw University of Technology,
Lukasiewicza 7/9, 50-371 Wroclaw, Poland
E-mail: damian.pietrusiak@pwr.wroc.pl
This is initially done already at the stage of mass

distribution and introduction of load to the elements of
the machine. If there are still large discrepancies with
respect to the values obtained during tests, the updating
of mass and stress should be verified and repeated. Due
to the use of the said simplifications, the updating
process may be complicated. It is also possible to
change the values of physical parameters such as
Young's modulus, stiffness or mass density. Another
approach is updating based on purely mathematical
methods. Mathematical algorithms directly modify the
values of stiffness and mass matrices [19]. Yet such a
change in parameters does not provide any physical
interpretation. By applying the above methods of
updating it is possible to obtain a model which precisely
represents the values measured on the machine.
However, it is important to realize that a model created
in this manner may differ from the real machine with
respect to other parameters and in fact does not provide
an accurate representation of the real structure.
Models built for the purpose of calculating ultimate
and fatigue strength require a more accurate
discretization than those built for the purpose of
numerical modal analysis. Before a model is created it is
important to know what purpose it will serve. Although
beam and shell elements are used, which reduces the
size of the model, the number of nodes often exceeds
300 000. This may be less problematic in the case of
static calculations but hardware and software
requirements for eigenvalues solver algorithms are
much higher.
However, numerical calculations are based on
experimental tests on real machines. It is therefore
necessary to verify the assumptions of numerical
models. Such verification can justify the chosen
calculation method and, most importantly, the boundary
conditions for the model. Only after such validation the
models may be used by experienced users to only
perform numerical analyses in design, to assess the
tension level or to perform modal analysis.
39

2. CREATION OF JOINTS ACCORDING TO FATIGUE
STRESS CRITERIA
When designing superstructures one of the most

important elements is the construction joint, which is
responsible for the continuous transfer of the flow of
tension from one element to another element (or
elements). The purpose of each joint is to take
components of force through individual elements of the
node and to redistribute them evenly on other loadbearing beams. An optimally designed superstructure is
one in which all nodes are formed in accordance with
ultimate and fatigue strength criteria.
A node, which is part of the superstructure, is
composed of several joined elements connected by
several various joints of the same or different type
[16][22][28][35][36]. The joint in the node is an
element of the structure created by connecting flanges
of beams via welding, riveting (currently with HUCK
bolts) or bolting with fit bolts.
The shape and type of the node are directly related
to the kind of elements that will be used to build the
superstructure of the machine. Several principles apply
to node design, which are related to the strength and
durability of the structure.
The first principle requires that all beams (bars)
joined in the node, in particular the centers of gravity of
their cross sections, should intersect in one point in the
node. An eccentric beam joint creates additional
bending moments in the node. Another example of
unfavorable bending moments occurring in the frame
nodes is when the converging beams are on different
planes.
The second principle in designing nodes of
superstructures requires that frame beams and gusset
plates should be positioned on one plane, symmetrically
to the plane of the frame. In the case of asymmetrical
joint between the beam and the gusset plate there are
additional bending stresses caused by the resulting
eccentricity.
Beams are connected in the node directly or by
means of a gusset plate. Nodes with beams connected
directly are used in statically loaded superstructures,
such as building structures and machinery in which the
variable load does not determine the dimension of the
given structure. The nodes of frames without gusset
plates have simple structural solutions and are easy to
manufacture. The gusset plates themselves do not
significantly influence the mass of the structure.
Nodes with gusset plate, shown in Figure 2.1, are
mainly used in superstructures of excavators and
stackers.
Figure 2.1. Connection of load-bearing beam by means of

gusset plate
40
All beams which converge in a given joint are

directly connected to the gusset plate. The thickness of
gusset plates is chosen depending on the values of
forces in beams. A well-designed node delivers load to
the gusset plate only in the plane stress state. If the
superstructures are dynamically loaded or if the load is
variable, then the nodes must be appropriately shaped so
as to have the required operational durability. Thus
there cannot be any structural notches in the node.
Figure 2.2 shows fatigue cracks on the beam of the
bucket wheel boom of an excavator which are the cause
of a weld notch[1]. This weld notch could be removed
by devising an appropriate post-welding treatment. The
gusset plate must be properly shaped and after welding
the weld joints should be ground in order to remove the
weld notches, as shown in Figure 2.3.
a)
b)
Figure 2.2 Fatigue crack on the gusset plate connected to
the beam of the bucket wheel boom on an excavator:
a) side view, b) top view
Figure 2.3. Technique of removing weld notches in welded

joints
When constructing superstructures of excavators and

stackers only joints which are formed according to the
fatigue durability criteria are used because they are
subject to variable loads (Figure 2.4).
with circular section connect, these pipes are the cause

of many technological problems. There are many
methods of connecting pipes in frames, as shown in
Figure 2.5.
a)
b)
Figure 2.5. Part of a superstructure of a wheel excavator
made of pipes.
In order to preserve the coaxiality of beams, the

pipes in the joint are usually cut and a gusset plate is
inserted in their place, as shown in Figure 2.6.
c)
Figure 2.4. Joints used in structures of mining machines
In contemporary superstructures of machinery gusset

plates are not used in a traditional way (whenever it is
possible) but instead the gusset plate is an integral part
of the joint and the beams converging in it. In this case
the gusset plate is an extension of webs of appropriately
shaped beams, as shown in Figure 2.4. The structural
solution of joints shown in Figure 2.4 is used in
structures which undergo extreme tension and operate
under cyclically changing loads.
Additionally, the three solutions for joints, shown in
Figure 2.4 a, b, and c, are characterized by high fatigue
strength obtained by connecting beams with gusset plate
which is part of the flanges of I-beams. In all cases these
nodes create a monolithic structure whose section does
not undergo rapid change. The transverse welds are butt
welds located away from the points of section change
and can easily undergo any mechanical working process
(e.g. grinding). The fillet welds which connect flanges
with the web of the beams and which are located
longitudinally to the direction of the load do not
decrease the fatigue strength of the joint.
The main girders (longitudinal members, flanges) in
superstructures of vehicles and machinery are often
beams with rectangular or circular hollow section.
Circular pipes are used in surface mining machines. The
frames built of pipes are characterized by small mass
and high durability. In the case of joints in which beams
Figure 2.6. Connection of a pipe with a gusset plate
Figure 2.7. Loss of local stability of the supporting beam in

the frame of a conveyor belt
Figure 2.7 shows the superstructure of a frame of a

belt conveyor which lost its local stability. The reason
for the loss of local stability was incorrect spacing of
transverse ribs which stiffen the web of the girder in the
frame of the conveyor belt as shown in Figure 2.8. The
choice of cross section of the girder in the frame of the
41
conveyor belt was also inappropriate with respect to the

local load.
masts or jibs are modeled separately. The most

important and most difficult is the proper assembly of
individual elements so that they represent the real
functioning of machines and properly transfer loads
[26]. The greatest difficulty is in the proper connection
of all elements by means of lines and pulleys. It is
necessary for the forces in all lines to balance out. Over
the years various types of rope systems have been used,
which often requires and individual approach to each
machine. (Figures 3.2 and 3.3).
Figure 2.8. Frame of the conveyor belt with damaged

superstructure
The crack shown in Figure 2.9 is a result of a

structural notch which causes a step change in stiffness.
Figure 3.2. Rope system of the SRS 1200 excavator
Figure 2.9. Crack of the gusset plate resulting from a notch

caused by a step change in stiffness.
3. CONSTRUCTION OF NUMERICAL MODELS
Superstructures of surface mining machinery are

usually modeled using beam and shell elements
[23][32][34]. Mass elements are used to represent the
arrangement of mechanical elements and weights,
compartments or other elements which do not function
as support but as a load to the machine. Numerical
models with a complex structural form cannot always be
simplified to models entirely made of beam elements. It
is often necessary to combine both models. In the case
of the model of a feeding bridge of a stacker shown in
Figure 3.1, the main truss is made of beam elements,
and the other elements of the superstructure are made of
shell elements.
Figure 3.3. Rope system of the SChRs 4600.50 excavator
The next stage is to support the body of the

excavator. In many cases a simplified model is used in
which the machine undercarriage is substituted by
elastic elements of appropriate stiffness. This type of
connection is created at the point of support of the upper
race of the bearing on balls (Figure. 3.4). In the case of
static calculations of the excavator body this method
works well but when conducting numerical modal
analysis there is a significant influence of the
undercarriage portal on the frequency of free vibrations.
A more complex model is needed to perform strength
calculations for the bearing areas (Figure 3.5).
Figure 3.1. The beam-shell model of the ZGOT 11500

stacker feeding bridge
Surface mining machines are multibody machines

[4][5]. The main elements of the body such as booms,
42
Figure 3.4. Model of excavator without a portal
Figure 3.5. Model of excavator with a portal
In practice the calculations for undercarriage of

mining machines are performed separately. However,
this approach requires the loads to the body to be
properly calculated on the basis of stability proof and
operating scenarios.
There is still little knowledge and use in calculations
of the influence of the ground stiffness on the structure.
This could be relevant in calculations of statics and
dynamics of machines.
4. NUMERICAL CALCULATIONS OF ULTIMATE AND
FATIGUE STRENGTH
Calculations of ultimate strength, stability and

fatigue strength of brown coal surface mining machines
are performed in accordance with the standard [35].
Ultimate strength and stability are tested for loading
conditions H, HZ, HZS and HZG with appropriate
partial safety coefficients F. The fatigue (operational)
strength is performed for loading conditions H with
combination coefficient 1b. When assessing fatigue
strength the acceptable stress differences are established
depending on the type of joint and assessment group.
4.1 Superstructure calculations
Because of the substantial dimensions and large span

of bodies of surface mining machines the calculation
models have a varying degree of detail depending on the
purpose of such calculations. Strength analyses are
conducted for models of the complete body, as shown in
Figure 4.1 and for selected sections [14] or very detailed
calculations are performed for selected segments (joints)
(Figure 4.2).
Figure 4.2. Contours of stress to a selected joint
The norm defines 16 load combinations for the

mentioned 4 loading conditions. Considering the fact
that the bodies of these machines are multibody
structures whose position changes in relation to one
another, the strength calculations should be performed
for all possible configurations. Such activities require
that calculations be appropriately organized and
prepared in the calculation application and that a large
number of results be analyzed. The resulting stress
levels are analyzed differently depending on where they
occur, e.g. in the original material or in the welded joint.
4.2 Calculations for machine undercarriage
Calculations for undercarriage are most often

performed separately assuming specific worst-case
(extreme) vertical and lateral loads from the body. The
main elements of the undercarriage include a ringshaped girder on three tracked caterpillar systems.
Undercarriage components such as crawler frames and
undercarriage arms are subject to calculations of forces
which occur when traveling a curve, including the
possibility of blocking or swerving of one of the wheel
and steering systems.
Figure 4.3 shows example results of strength
calculations for the undercarriage portal.
Figure 4.3 Example results of strength calculations for the

undercarriage portal
5. NUMERICAL MODAL ANALYSIS
Figure 4.1. Contours of stress to the excavator body
Identification of modal models, especially of

massive structures, is a complex task. By implementing
numerical methods in eigenvalue problem it is possible
to represent the modes and frequencies very clearly
(Figure 5.1). However, when simplifications are
introduced into the model, the obtained vibration
frequencies may vary from real vibrations. It is
exceptionally problematic to include the conditions in
43
which the structure is used. Experimental tests may

prove insufficient to properly identify the mode. Using
both methods simultaneously allows for obtaining
broader knowledge on the studied structure [2].

6. EXPERIMENTAL STUDIES
Experimental studies of surface mining machines are

an indispensable and mandatory stage in the process of
operation or when considering the possibilities of
implementing new structural solutions to newly
manufactured structures. Most importantly, these
studies verify the assumptions of machine design so far.
They allow for a real evaluation of the effort of the
structure and its technical condition.
6.1 Strain gage measurements
Figure 5.1 Second vibration mode shape of the KWK1500.1

excavator 0,73Hz
Properly defined dynamic characteristics are an

important clue in the course of machine use. This is
particularly significant in the case of superstructures of
massive machines. Surface mining excavators and
stackers reach sizes which are not very common in
machine construction. Variable excavation forces of
high values and amplitudes are the main source of
vibrations. Vibrations also occur in powertrains [33] and
conveyors by the transported dredged material (hitting
on the rollers and during discharges). Driving, rotating
or vertical movement are also a source of significant
vibrations. Stackers and their elements are not subject to
such dynamic loads as excavators but their structure is
characterized by greater slenderness and lower stiffness.
It is thus possible to obtain large vibration amplitudes
with smaller force and load variability.
The knowledge of dynamic characteristics of a
structure is necessary to reduce vibrations. An indirect
consequence of such reduction is a significant increase
in the durability of the machine by limiting the
phenomenon of material fatigue [3][21].
A reduction in vibrations also lowers the likelihood
of loss of stability of the machine or its parts. There
have been cases of vibrations with amplitudes so high
that elements of the machine collided with each other
[8]. By using a properly defined modal model this
unfavorable phenomenon was eliminated.
There is also the problem of negative influence of
vibrations on the human organism. The acceptable
values of acceleration are defined in the standard
[37][38]. In extreme cases some human organs may
start to resonate [7]. Currently surface mining machines
are constantly upgraded and modified. The main
advantage of numerical modal analysis is the possibility
to analyze the influence of planned modernizations on
the dynamics of the machine. Moreover it "sheds new
light" on the process of designing new machines. The
modal parameters of most surface mining machines did
not use to be taken into consideration in the designing
process. It is now possible to design a unit in which the
frequency of forced vibration of the superstructure,
determined by the number of discharges, does not
overlap with any of the free vibration frequencies nor
their harmonics.
44
The most popular use of experimental studies is the

monitoring of structural deformations. However, by
combining the results of electrical resistance strain gage
measurements with numerical calculations it is possible
to reliably define the forces acting on the structure. The
measurements pertain to the forces occurring in parts of
undercarriage while driving and also in special loading
conditions, such as caterpillar set traction.
It is also possible to calculate the forces occurring in
individual joints, pillars or supports. Strain gage
measurements of the pillar to which the stacker's
conveyor belt is mounted allow for the calculation of
real forces acting on the conveyor undercarriage bearing
during excavation but most importantly during
movements of the carriage and the whole stacker.
Measurements of load distribution in massive roller
bearings are performed by measuring the deformations
on the web of the ring-shaped girder. By combining this
method with the numerical calculations of the discreet
model it is possible to calculate the pulse amplitude of
stresses in the girder web. Figure 6.1 depicts strain
gages fastened to the web of the ring-shaped girder
located under the race on which the balls of the bearing
of the main rotation roll.
Figure 6.1 Deformation measurements of the web of the

ring-shaped girder
Strain gage measurements may also be used to

locate the center of gravity. A more popular method for
locating the center of gravity of bodies of surface
mining machines is a method which uses hydraulic
actuators. They are used to lift the body and by reading
the values of pressure in each actuator it is possible to
calculate the center of the mass. Strain gage
measurements enable calculation of the center of mass
of the whole machine with the undercarriage. A
disadvantage of this method is that it is limited to
machines traveling on rails, most of which are rather
small. The measurement is made by reading the values

on the strain bridges bonded to the rails while the
machine is traveling there and back (Figure 6.2).
knowing the relationships between energy of excitement

and energy of response it is possible to calculate the
transfer function which defines the dynamic
characteristics. Such test includes the influence of all
environmental factors, structural or assembly changes.
This method is quite problematic due to the need to
excite the machine. It is very difficult to borderline
impossible to provide a measurable forced vibration of a
magnitude that could excite a structure with a nearly
900 Mg body. So far it has been done by attaching a
large mass to the bucket wheel boom (Figures 6.4 and
6.5) and quickly releasing it by means of a special
device (Figure 6.4).
Figure 6.2 Measuring the deformation of rail under a loadstacker [29]
This enables the estimation of distribution of forces

in supports, which in turn enables the calculation of
center of mass.
It is also often necessary to calculate the real load
acting on the excavator in result of the excavation
process. This is done by measuring the deformation on
the momentum beam of the excavator. As a result we
can calculate the courses of digging forces depending on
the type of the currently excavated coal overburden or
the coal bed. It is also possible to calculate the real
values of forces acting on the machine during overloads.
Sometime strain gage is measured only on the bucket
wheel shaft [6] (Figure 6.3).
Figure 6.4 Device used to quickly release the mass after

reaching the given force
Figure 6.5 Attaching a bulldozer to the bucket wheel boom
Figure 6.3. Measurement of excavation forces
6.2 Measurement of vibrations. Experimental and

operational modal analysis.
Modal analysis on a real vehicle is crucial due to the

information it provides which can be used to verify the
numerical model. A two-fold approach, experimental
and numerical, produces the best results and enables an
accurate simulation of the structure's operation.
However, performing this test on such a massive
structure is an extremely complicated endeavor. Today
the most popular and commonly used method is
experimental modal analysis [8][10][11][24][30]. By
At present the operational modal analysis is

becoming widely used [20][25]. It does not require
artificial excitement of the structure. In order to
determine the transfer function it is sufficient to know
the system response. Therefore the vibrations may be
recorded during normal operation of the machine. An
additional advantage is the fact that the dynamic
characteristics measured in this manner take into
account the potential influence of digging forces, mass
forces (from the excavated material) or the contact of
the boom with the surface. This could be crucial
because dynamic characteristics established without
consideration of forces occurring during excavating or
stacking may vary from what really happens during
operation.
A key aspect of performing accurate measurements
is the positioning of accelerometers. The best method is
to use a minimum number of sensors to obtain the most
information at the same time making sure that spatial
aliasing does not occur. It is also very important not to
position sensors in the vibration nodes. This is possible
by performing numerical analysis beforehand. By
anticipating which modes may occur it is possible to
fulfill both of the abovementioned requirements. Figure
6.6 illustrates the positioning of the points and
45
directions of acceleration measurement on the 4600.30

excavator.
mentioning is the relatively low cost. By using this

method it is possible to locate new cracks or monitor the
spread of existing ones (Figure 6.8)
Figure 6.6 SChRs 4600.30 excavator with designated

points of accelerometric measurements
This approach clearly shows how the experimental

and numerical methods complement each other and how
important it is to use both methods simultaneously.
The analysis itself requires excellent preparation and
organization. The largest machines are more than 120
meters long and 60 meters tall. Hence, hundreds of
meters of wire must be placed on the machine under
study in order to connect the sensors with the recorder.
The placing and protection of the wires must be
carefully planned. Due to many rotating and moving
parts and other unfavorable factors it is very easy to
break a wire or even damage the equipment.
Based on the experimental analysis conducted in
such manner it is possible to determine the dynamic
characteristics. Specific frequencies and mode shapes
are identified, both global (Figure 6.7) and local.
Figure 6.7. First vibration mode shape of the SChRs

4600.30 excavator body 0.38Hz
The vibration levels of individual components and

whole machines are also measured. These allow for the
approximate calculation of dynamic loads to the
structure and, most importantly, verify if the results are
in accordance with the values established in the
standard. This is used in the assessment of the technical
condition or in the "search" for resonance, and enables
the inclusion of dynamic loads in the designing process.
6.3 Nondestructive test
Of popular use in the testing of surface mining

machines are various nondestructive methods, i.e.
ultrasound, magnetic particle, penetrant testing, etc. Of
these the magnetic particle testing is the most popular.
With the complexity of structures and difficulty in
accessing many areas these tests win over other methods
due to their ease of testing. Another aspect worth
46
Figure 6.8 Nondestructive test of an excavator joint
This is of high importance for the safe use of the

machine and the safety of the crew operating it.
7. ASSESMENT OF THE TECHNICAL CONDITION
AFTER MANY YEARS OF OPERATION
In order to establish the degree of degradation of

excavators and stackers (surface mining machines) and
their technical condition, a comprehensive testing
methodology has been devised (Figure 7.1). An
important aspect of this methodology is the tracking of
the history of operation, i.e. the operational history of
the machine. These machines are used in various
geological conditions and thus are subject to various
loads. In the course of operation overhauls are
scheduled, whose purpose is to renew the unit, section
or component before it reaches a limit state caused by
wear and aging. In spite of this, between overhauls,
ultimate or fatigue cracks occur which may result from
rapid overloads. An analysis of the history of such
events serves as the basis for structural changes or
upgrades of whole sections[17][18].
In addition to the material effort of the
superstructure FEM calculations [22] are performed for
loads and loading conditions defined by current norms
[35][36]. Therefore, one of the most important stages in
the assessment of technical condition are the FEM
strength calculations, which enable the verification of
the assumed cross sections and location of points of
largest material effort. These points are then the subject
of tests on a physical object, e.g. nondestructive
defectoscopic tests, plate thickness measurements,
deformation measurements.
What is also significant in numerical simulations is
the measurement of vibrations, i.e. their frequency,
amplitude,
displacements,
deformations
and
accelerations [8]. If the values resulting from these tests
exceed the values defined in norms they should be
included in the load models.
Therefore in order to assess the state of degradation
of a machine and estimate the period of its potential
serviceability it is necessary to perform comprehensive
experimental and numerical tests which are outlined in
the flow chart (Figure 7.1).
Currently new machines have monitoring systems
are installed in them which record the deformation
(stress) changes in selected points of the superstructure,

the so-called reference points. An example of such
systems is the stress measurement system used in the
KWK-910 excavator in PGE GiEK SA Turw Brown
Coal Mine branch, which has been monitoring the
excavator since the beginning of operation [16]. Based
on the stress changes the cycles increments i are
calculated and cycles of specific value, e.g. using the
Rainflow method. This results in a spectrum of stress
change ranges shown in figure 7.2.
m
NC
ND
C
D
2m-1
104
105
106
107
6
210
log ni
108
Figure 7.3 S-N curve for spectrums of variable amplitude

stress
5
4
3
2
1
0
11 13 15 17 20 22 24 26 28 31 33 35 37 39 42 44 46 48 50 52 55 57 59 61 63
i [MPa]
The degree of fatigue damage Dr caused by Nr

cycles recorded in Tr time of the spectrum in
accordance with Miner's hypothesis of linear summation
of damages is calculated from the formula:
q
Dr
Figure 7.2 Spectrum of stress change ranges in the

reference point of the KWK-910 excavator after 3430h of
operation [16]
If the measured data does not span the whole period

of machine operation, a long-term measurement of
operational stress is performed and the results are
extrapolated onto the past and future periods of
operation.
This approach is commonly used in all areas of
operation of welded structures subject to variable loads:
surface mining machines [15][16][17][27], construction
machines [18], hoisting equipment, bridges [9].
Assessment of fatigue strength is conducted based
on the S-N curves (Figure 7.3) which are recommended
in guidelines [12] as best suited for the spectrum of
variable amplitude stress. The presented fatigue curves
use two exponents m and 2m-1 in specific ranges.
i 1
ni
Ni
(1)
where:
Ni
ND
i
Ni
2 m 1
ND
i
dla i D
dla
(2)
i D
(3)
Figure 7.1 Methodology of assessing the technical condition of superstructures of machines
47
Thus the level of fatigue damage as a result of Nr

cycles is equal to:
q
i
i
1 p
ni
ni
D
N D i 1
i p 1
D
Dr
2 m 1
(4)
(5)
where: Dd = 1,0 according to Eurocode 3,

Dd = 0,2 0,5 according to Hobbacher (2007)
depending on the degree of consequence of damage to a
given element.
8. CONCLUSIONS
Surface mining machines, i.e. excavators or stackers

are designed for 40 to 50 years of operation. In many
cases these machines are built for mines for the period
of excavation of coal or other deposits. Of special
importance are superstructures of excavators or
stackers. The steel structure designs in these machines
must meet the criteria of ultimate and fatigue strength
throughout the operation period and simultaneously
meet the standards requirements [35][36]. There have
been cases where the structure was designed in
accordance with requirements in norms and during
operation of excavators and stackers fatigue cracks
started to appear in their steel structures (Figures 2.3
and 2.10). In the majority of cases the reasons for this
are known and include the following: material faults
(currently very rarely), improper technology during
manufacture, badly designed joints which do not meet
the fatigue strength criterion, frequencies of free
vibrations of machine superstructures, cases of random
overloads (landslide, fires, etc.)
The basic requirement which should be met in a
design of a steel superstructure for an excavator, stacker
or other machine is to optimally design the joints of the
superstructure in these machines with respect to the
fatigue strength criterion. The optimal geometric shape
may be obtained if the load spectrum is known and if
professional discreet models of superstructures are built
using shell elements for discretization of elements with
(sub-parametric)
high-order
shape
functions.
Additionally it is important to devise the technology of
building nodes of this class (Figure 2.4) with complete
control of the created welds.
Most damages to steel superstructures and fatigue
cracks are causes by vibrations and resonance of these
structures. The applicable standards do not require
testing of superstructure of machines against resonance.
Therefore in many cases booms of multibucket
excavators, for instance, resonate to some degree during
operation. The proper approach is to perform a modal
analysis for the undercarriage and body of a machine in
the design stage. To do this, discreet models are needed
of complete machine structures for which a numerical
modal analysis is performed using the FEM method.
After constructing the machine, the FEM discreet
models of superstructures of machines are tuned by
means of experimental studies.
48
Every newly constructed and approved machine and

its components such as body, booms, pylons,
undercarriage should undergo experimental testing with
respect to free vibration frequencies (an operational
modal analysis should be carried out).
ACKNOWLEDGMENT
The durability condition is defined as follows:
Dr Dd
Research co-financed by The European Union

within the Innovative Economy Operational Programme
2007-2013 and with support of the Foundation of Polish
Science.
REFERENCES
[1] Arsi, M., Bonjak, S., Zrni, N., Sedmak, A.,

Gnjatovi, N.: Bucket wheel failure caused by
residual stresses in welded joints, Engineering
Failure Analysis, Vol. 18, No. 2, Pages 700712,
2011.
[2] Bosnjak S, Zrnic N, Oguamanam D.: On the
dynamic modeling of bucket wheel excavators.
FME Transaction, Vol. 34, No. 4, pp. 221-226,
2006.
[3] Bosnjak S, Zrnic N, Simonovic A, Momcilovic D.:
Failure analysis of the end eye connection of the
bucket wheel excavator portal tie-rod support,
Engineering Failure Analysis, Vol. 16, No. 3, pp.
740-750, 2009.
[4] Bonjak, S., Zrni, N., Gnjatovi, N.: Geometry of
the substructure as a cause of bucket wheel
excavator failure, Machine Design, edited by S.
Kuzmanovi, University of Novi Sad, pp. 135-140,
2009.
[5] Bonjak, S., Petkovi, Z., Mateji, P., Zrni, N.,
Petri, S., Simonovi, A.: Analysis of Stress-Strain
State of Bucket Wheel Excavator Revolving
Platform Structure Fundament of Efficient
Reconstruction, Journal of the Society for
Structural Integrity and Life, Vol. 5, No. 3, pp. 129142, 2005.
[6] Bonjak, S., Zrni, N., Petkovi, Z.: Bucket wheel
excavators and trenchers Computer added
calculation of loads caused by resistance to
excavation, Machine Design, monograph edited by
S. Kuzmanovi, University of Novi Sad, pp. 121128, 2008.
[7] Cempel, C.: Wibroakustyka stosowana, Warszawa:
PWN, 1989.
[8] Czmochowski, J.: Identyfikacja modeli modalnych
maszyn urabiajcych w grnictwie wgla
brunatnego. Oficyna Wydawnicza Politechniki
Wrocawskiej, Wrocaw, 2008.
[9] Czudek, H.: Pietraszek T., Trwao stalowych
konstrukcji
mostowych
przy
obcieniach
zmiennych, WKi, Warszawa 1980.
[10]Gottvald, J.: Measuring and Comparison of Natural
Frequencies of Bucket Wheel Excavators SchRs
1320 and K 2000, GEMESED11 Proceedings of
the 4th WSEAS International Conference on
Energy and Development - Environment -
Biomedicine (Corfu Island, Greece), pp. 335-340,

2011.
[11]Gottvald, J.: The calculation and measurement of
the natural frequencies of the bucket wheel
excavator schrs 1320 / 4x30, Transport, Vol. 25,
No. 3, pp. 269-277, 2010.
[12]Hobbacher, A.: Recomendations for Fatigue Design
of Welded Joints and Components, IIW Document
XIII-2151-07/XV-1254-07, Paris, 2007.
[13]Jonak, J., Gajewski, J.: Wybrane problemy
diagnostyki i monitorowania pracy grniczych
przenonikw
tamowych,
Eksploatacja
i
niezadowno Maintenance and reliability, Vol.
32, No. 4, pp. 74-78, 2006.
[14]Karliski, J., Rusiski, E., Smolinicki, T.:
Protective structures for construction and mining
machines operators, Automation in Construction,
Vol. 17, No. 3, pp. 232-244, 2008.
[15]Kowalczyk, M., Czmochowski, J., Rusiski, E.:
Construction of diagnostic model of the states of
developing fault for working part of the multibucket excavator, Maintenance and reliability, Vol.
42, No. 2, pp. 17-24, 2009.
[16]Kowalczyk, M.: Wymiarowanie spawanych
konstrukcji nonych maszyn podstawowych
grnictwa odkrywkowego w zakresie trwaoci
zmczeniowej, PhD thesis, Raport serii PRE 1/2010,
IKiEM, Politechnika Wrocawska, Wrocaw, 2010.
[17]Kowalewski, J.: Assessment of Remaining Fatigue
Life for Surface Mining Equipment, Braunkohle
Surface Mining, Vol. 53, No. 4, pp. 405-416, 2001.
[18]Malinowski, J., Myliwiec, J.: Evaluation of Fatigue
Life and Strength of Chosen Sub-Assemblies of
Bucket Loader, 1st Conference Off-Road Machines
and Vehicles in Theory and Practice, Wrocaw, pp.
273- 279, 1996.
[19]Miller, B.: Dostrajanie modelu matematycznego
konstrukcji do modelu fizycznego, PhD thesis,
Rzeszw, 2001.
[20]Pietrusiak, D., Czmochowski, J., Kowalczyk, M.,
gwa, .: Okrelenie waciwoci dynamicznych
koparki KWK1500 metod eksploatacyjnej analizy
modalnej, Grnictwo Odkrywkowe, No. 4, 2010.
[21]Rusiski, E., Czmochowski, J., Iluk, A.,
Kowalczyk, M.: An analysis of the causes of a
BWE counterweight boom support fracture,
Engineering Failure Analysis, Vol. 17, No 1, pp.
179-191, 2010.
[22]Rusiski, E., Czmochowski, J., Pietrusiak, D.:
Problems of steel construction modal models
indentification, Eksploatacja i Niezawodno
Maintenance and Reliability, Vol. 14, No. 1, 2012.
[23]Rusiski, E., Czmochowski, J., Smolnicki, T.:
Advanced Finite Element Method for Loadcarrying Structures of Machines, Oficyna
Wydawnicza PWr., Wroclaw, 2000.
[24]Rusiski, E., Czmochowski, J.: Die Modalanalyse
des Oberbaus eines Baggers vom Typ SchRs-800,
Surface Minning, Braunkohle other Miner, Vol. 53,

No 3, 2001.
[25]Rusiski, E., Dragan, S., Moczko, P., Pietrusiak, D.:
Implementation of experimental method of
determining modal characteristics of surface mining
machinery in the modernization of the excavating
unit, DOI: 10.1016/j.acme.2012.07.002
[26]Rusiski, E., Moczko, P., Czmochowski, J.:
Numerical and experimental analysis of mines
loader boom crack, Automation in Construction,
Vol. 17, No. 3, pp. 271-277, 2008.
[27]Rusiski, E., Moczko, P., Kanczewski, K.:
Numeryczno-dowiadczalne
prognozowanie
trwaoci elementw ustrojw nonych maszyn,
Transport Przemysowy, Vol. 14, No. 4, pp. 25-29,
2003.
[28]Rusiski, E.: Computer-aided design of basic
machines for open-cast mining. W: Manufacturing
and management in 21st century, Scientific
conference with international participation.
Conference proceedings, Production and industrial
engineering association, Univeristy Ss. Cyril and
Methodius Skopje, Faculty of Mechanical
Engineering, Ohrid, Republic of Macedonia,
September 16-17, Chapter 2 pp. 65-70, 2004.
[29]Smolnicki, T., Staco, M.: Determination of center
of gravity of machines with the rail undercarriage,
Solid State Phenomena, Vol. 165, pp. 359-364,
2010.
[30]Smolnicki, T.: Physical Aspects of the Coherence
Between the Large-Size Rolling Bearings and
Deformable Support Structures (in Polish).
Wrocaw University of Technology Publishing
House, Wrocaw, 2002
[31]Smolnicki, T., Rusiski, E., Przybyek, G.:
Wybrane Aspekty Dostrajania Modeli Dyskretnych
Koparki Wielonaczyniowej Koowej. Grnictwo
Odkrywkowe, Vol. 48, No. 7-8, pp. 146-148, 2006.
[32]Smolnicki, T., Rusiski, E.: Superelement - Based
modeling of load distribution in large size slewing
bearings, Journal of Mechanical Design, Vol. 129,
No. 4, pp. 459-463, 2007.
[33]Wilk, A., Madej, H., Figlus, T.: Analiza moliwoci
obnienia wibroaktywnoci korpusu przekadni
zbatej,
Eksploatacja
i
niezadowno
Maintenance and reliability, Vol. 50, No. 2, pp. 4249, 2011.

[34]Zienkiewicz O.C., Taylor R.L.: The finite element
method. Vol. 1, Vol. 2, McGraw-Hill Bool
Company, London, 1991.
[35]Standard - DIN 22261-2 Bagger, Absetzer und
Zusatzgerte in Braunkohlentagebauen
[36]Standard - EN 1993-1-1:2005 Eurocode 3: Design
of Steel Structure-Part 1.9-Fatigue, 2005.
[37]Standard
Eurokod
7.
Projektowanie
geotechniczne. Cz 1. Zasady oglne. PN-EN
1997-1:2008
49
[38]Standard - PN-N-01357:1990, Metody pomiarw i

oceny drga maszyn pod wzgldem bezpieczestwa
i higieny pracy
50
''Green Logistics - The concept of Zero

Emissions Port''
Nikitas Nikitakos
Professor
Department of Shipping and Trade
University of Aegen
Ports are key element to the supply chain and the green logistics are of
primary interest. The concept of zero emissions port is referred to a port
powered mainly from renewable energies in order to fulfill its power
requirements and to reduce the air emissions mainly using this concept for
the emerging cold ironing regulation. Several renewable energies and
their application to port operation are discussed. The concept of smart
grid is used in order to facilitate the use of several renewable energies and
to monitor and control all the demand and distribution.
Keywords: Green logistics, Air emissions, Port development, Smart grid,
Zero emissions concept.
1. INTRODUCTION
Logistics used to describe the transport, storage and

handling of products as they move from raw material
source, through the production system to their final
point of sale or consumption. Although its core
activities have been fundamental to economic
development and social well-being for many years, it is
only over the past 50 years that logistics has come to be
regarded as a key determinant of business performance,
a profession and a major field of academic study [4].
During this period the dominant paradigm for those
managing and studying logistics has been commercial.
The prime, and in many cases sole, objective has been
to organize logistics in a way that maximizes
profitability. The calculation of profitability, however,
has included only the economic costs that companies
directly incur. The wider environmental and social
costs, traditionally excluded from the balance sheet,
have been largely ignored until recently. Over the past
1015 years, against a background of increasing public
and government concern for the environment,
companies have come into consideration to reduce the
environmental impact of their logistics operations. This
impact is diverse, in terms of the range of externalities
and the distances over which their.
Logistics is responsible for a variety of externalities,
including air pollution, noise, accidents, vibration, landtake and visual intrusion [3]. As climate change is now
considered to be the most serious environmental
challenge facing mankind, the main focus will be on
greenhouse gas (GHG) emissions from freight transport.
In measuring the environmental effects of logistics it is
important to distinguish first-order and second-order
impacts. The first-order environmental impacts are
those directly associated with freight transport,
warehousing and materials handling operations. Secondorder impacts result indirectly from these logistics
operations and take various forms. For instance,
Correspondence to: Dr. Nikitas Nikitakos, professor
Department of Shipping and Trade, University of Aegen
Chios, Greece
E-mail: nnik@aegean.gr
advances in logistics have facilitated the process of

globalization so that goods are now sourced from
previously little-developed parts of the world. Partly to
accommodate the consequent growth in freight traffic in
such areas, governments have expanded transport
infrastructure and this has often encroached on sensitive
environments. The increase in air freight and other
traffic resulting from global sourcing is a first-order
effect, whereas the increase in infrastructure, such as
road building in sensitive areas, is a second-order effect.
Shipping and ports are essential for international
trade and commerce. More than 90% of the EUs
external trade and over 40% of its internal trade is
transported by sea. Europes leadership in this global
industry is unquestionable as it controls 40% of the
world fleet. Every year over 3.5 billion tonnes of cargo
and 350 million passengers pass through European
seaports. Approximately 350 000 people work in ports
and related services, which together generate an added
value of approximately 20 billion1. Globalisation, the
elimination of trade barriers, the unprecedented growth
of containerisation and the increase in seaborne trade
have had an impact on maritime transport and logistics
chains. International supply chains have become more
and more complex. The ability to deliver integrated
supply-chain services has been a trend driven by
customer demands. At the same time, technological
possibilities are expanding in particular thanks to
advances in information technology. The role and
strategic position of the key players in the maritime
logistics chain are constantly changing. In this stage the
demand for greener ports has arisen by the public and
governments.
In this paper the approach of zero emissions port is
presented. After the introduction the emerging concept
of cold ironing is discussed with its advantages and
disadvantages. Next the concept of fully powered by
renewable energies port using the concept of smart grid
is presented and finally the conclusions and
recommendations are outline.
2. COLD IRONING
During the ships berthing a significant electric

power is required in order to support their operations
such as loading, unloading, lighting, cooling etc. So far
51
this energy is produced by auxiliary machineries where

due to low quality fuel that they are using the emissions
of carbon dioxide, (CO2), sulphur and nitrogen oxides
(NOx, SOx) and ParticulateMatter (PM)., having
consequence the degradation of air quality and noise
pollution. This kind of pollution has influence on the
working environment and the quality of life of the
citizens living in the neighbouring ports area.
Shore-to-ship electrification; also known as Cold
Ironing [1, 2], is an old expression from the shipping
industry, that first came into use when all ships had coal
fired iron clad engines. When a ship would tie up at port
there was no need to continue to feed the fire and the
iron engines would literally cool down eventually going
completely cold, hence the term cold ironing. Cold
ironing, in the meaning of shore to-ship electrification,
has been used by the military at naval bases for many
years when ships are docked for long periods. As the
worlds vessel fleet is increasing, vessel calls to ports
are becoming more frequent. In addition, hotelling
power requirements have increased, and thus the
concern of onboard generator emissions during docking
periods has become an important air pollution issue.
There are:
Connection to electrical grid and electrical energy
transfer 20-100 kV to a local station when
transformed to 6-20 kV.
The electrical energy of 6-20 kV transferred from
local station to ports terminal station.
There is a frequency conversion from 50 Hz to 60
Hz, depending ships type.
Next distributed to all terminals electrical
connections.
For safety reasons special cable handling is
required. The handling mechanism could be
electro-hydraulic or electro-mechanic.
On board of the ship specific adaptation for
connection is required.
Depending on ships power the voltage is
transformed to 400 V. The transformer usually is
located in the engine room.
The two systems are synchronized to work in
parallel.
Finally electrical energy is distributed in all ships
systems and diesel engines for electricity are shut
down.
Figure 1. General arrangement of cold ironing
52
There are practical problems associated with the

procedure. Some of them are:
Frequency: The electricity frequency in the European
Union grid is 50 Hz. However, the frequency used
onboard ships can be either 50 or 60 Hz. A ship
designed for 60 Hz may be able to use 50 Hz for some
equipment, such as lighting and heating, but this is a
small fragment of the total power demand on the ship.
Motor driven equipment, such as pumps and cranes, will
not be able to run on their design speed, which will lead
to damaging effects on the equipment. Therefore, a ship
using 60 Hz electricity will require that the frequency in
the European grid, needs to be converted to 60 Hz by a
frequency converter, before connected
Voltage (/V on board): The difference in Voltage
between shore power and ships power voltage requires
a specific onboard transformer (see Figure 1)
Safety: by requiring direct handling of very heavy and
cumbersome HV cables & connectors, cold ironing
generates high risk of injuries Health is also a
drawback by requiring handling of heavy loads in
awkward positions, cold ironing expose, on the long
term, quay side personnel to back injuries.. Non
Compliance with National regulation, especially the
European Directive 90/269/EEC3 is also an issue.
Several ships types - berthing procedures: There are
different onboard power demands, system voltages and
system frequencies for vessels, when they are at berth.
The vessel types usually are the Container vessels,
Ro/Ro-and Vehicle vessels, Oil and product tankers and
finally cruisers. The docking pattern of each kind of
ship and the usage of cranes is also an issue.
3. GREEN PORT APPROACH
Although the cold ironing is a way to reduce ships

emission the fact that is connected with the grid is a
drawback for its holistic approach to fight the climate
change. The electric grid of each port is mainly powered
by fossil fuels sources so the total contribution to air
emission is limited. In the zero emissions port
approach a smart grid technology approach is used
connected mainly to renewable energies sources and the
usage of grid is only in emergency situations. The
available energy sources, found in nature, are the wind,
solar, geothermal, and tidal and wave energy, while
there is also energy in biomass and earthquakes.
Although there are so many, the difficult task is the
conversion to electricity and the efficiency of the
converting systems [6]. In the next paragraphs a brief
description of all renewable energies used is presented
together with the smart grid approach.
Solar Energy: The sun with solar radiation is deriving
the solar energy. Other than heating and cooling with
solar architecture, solar hot water and daylight, there are
solar powered electrical generation techniques as
photovoltaics. The mechanisms that capture, convert
and distribute this energy are divided in passive solar
and active solar. Examples of active solar techniques are
the photovoltaic or solar panels, which convert the
energy into electricity and passive solar, are orienting a
building to the sun and designing spaces that naturally
circulate. Today, the technology of designing
photovoltaic panels is developing in a fast pace and

growing rapidly. Solar panels are now more efficient,
transportable and even flexible, making them capable
for many applications and installations. A single solar
cell does not provide enough power, but a combination
of many in arrays make them able for powering medium
sized applications. Except of a PV park in the port area
It is proposed the main ports building to be
reconstructed as green building using solar panels in the
roofs or in the windows (Figure 2).
Figure 4. Offshore windturbine arrangement
Wave Power: A form of energy, which is met at seas, is

the wave power. Surface waves are the mean of
transporting energy and this energy can be used in the
production of electricity and desalinate water. The
higher the waves are, the more energy they transport,
making the application of techniques for energy
conversion more interesting. The installations can be
onshore or offshore, as in Figure 5 depending on the
morphology of the shores and the typical waves of the
area.
Figure 2. PV park
Wind Power: The various ways to convert wind energy

of the air flow to other useful form of energy, such as
wind turbines to produce electricity, windmills to make
mechanical work, windpumps for pumping water or
sails to propel ships. The biggest interest nowadays is
the installation of wind turbines in large wind farms
onshore and/or offshore. The numerous installed
turbines will have the potential to produce enough
electricity and supply a local transmitting system for
medium communities/loads and isolated areas .Since
most of ports are facing problem in land expansion the
proposal is to use offshore windturbines just outside the
ports. Figure 3 depicts the several wind turbines
configurations while Figure 4 depicts the general
arrangement of an offshore windturbine.
Figure 5. Offshore wave energy converters
Tidal Power: The systems Earth-Moon, Earth-Sun and

their gravitational forces are responsible for the
recurrent change of the sea level, known as tide. The
tide has different potential from area to area and in some
cases is so strong that can create streams or elevate the
sea level several meters. The kinetic energy carried
from the streams and the potential energy of the
elevated mass of seawater can be converted by the
suitable system to electricity. In the first case, the
popular mechanism is underwater stream generators
similar to wind turbines and in the second, large tank
near the highest level store the water, which then
following the principles of hydroelectricity produce
electricity. In a number of ports there are locations that
fulfil the requirements for a tidal system (Figure 6).
Figure 3. Wind turbine developments
Figure 6. Under Water Stream Turbine
53
Geothermal Energy: As capacitor store energy in an

electric circuit, the ground stores thermal energy
originated from the creation of the planet and the natural
decay of the minerals. Today, there small applications
as a geothermal heating pump for a residential unit and
large as geothermal power plants for energy production.
In ports geothermal energy could be used for the ports
buildings.
Hydrogen Fuel Cells: Another more advanced form of
renewable energy source is the combination of fuel cells
combined with electrolyzers. When the energy produced
by RES is more than the needs, can be supplied to the
main grid or feed electrolyzers. The electrolyzers
produce H2 which is stored in an H2 tank. In the cases
when the produced energy is not enough, fuel cells can
use the stored H2 with O2 from the air, and produce
electricity and water, through inverse electrolysis. This
is a free of charge, other than installation and
maintenance costs, since the fuel is produces by the
system. The cost of installation is high and there are no
big facilities deployed, but this situation may change in
the future. The use of electric cars for ports operation
could be facilitated by applying this concept.
The concept of smart grid [5] defines a self healing network equipped with dynamic optimization
techniques that use real - time measurements to
minimize network losses, maintain voltage levels,
increase reliability, and improve asset management. The
operational data collected by the smart grid and its sub systems will allow system operators to rapidly identify
the best strategy to secure against attacks, vulnerability,
and so on, caused by various contingencies. However,
the smart grid first depends upon identifying and
researching key performance measures, designing and
testing appropriate tools, and developing the proper
education curriculum to equip current and future
personnel with the knowledge and skills for deployment
of this highly advanced system.
THE ENERGY SOLUTION

Technology
WINDTURBINES
WAVES
GEOTHERMICS
CONSUMPTION
BATTERIES (NEW TYPE)
TRANPORTATION
Figure 7. Smart grid for zero emissions port concept
Figure 7 presents the approach for the concept. A

control and distribution centre is fitted by a number of
renewable energies namely offshore windturbines
anchored outside of the port, PV power sources for the
park or from the buildings, wave or tidal energy
according to port potential in those sources and
geothermal energy depending of ports abilities. The
centre is connected with permanent electric grid used
according to needs and a digital metering system (in
54
several areas such as docks and ports facilities) in order

to monitor the ports energy demand and thus to
distribute the required available electrical power. The
excessive power produced from renewable energies is
transformed to hydrogen or stored in new technologies
high capacity batteries. The hydrogen produced used for
a fleet of electric cars for ports operations
The intention is all port to be 100% power from
renewable thus the power availability and the weather
conditions should be carefully examined. In case of
emergency the electric grid will be used or a power
generation station will be in warm up conditions.
In next step an optimization of this configuration
will be attempted using software tools and accessing
meteorological data. An intelligent algorithm for
prediction and optimum power distribution is currently
under development for avoiding the frequent
interchange in electrical sources helping in reliability
improvement of this system. Finally a business plan is
carefully examined in order to identify the main
financial indices of each port (i.e. NPV, ROI) taking
also into account the new regulations related with
emissions reduction (ETS etc)
4. CONCLUSION
Ocean-going marine vessels represent one of the

largest, most difficult to regulate, source of air pollution
in the world and are also an essential component of the
international trade and goods movement process. These
marine vessels are similar to floating power plants in
terms of electric power, and it has been indicated that
the marine vessels are growing in length and they will
therefore be need of greater electric power need.
In this paper it has been shown that shore-side power
supply is a really interesting subject matter, and that
todays marine vessel emission regulation needs to be
stricter. Most of the ports worldwide are investigating
the possibilities to use shore-side power supply. In order
to create a zero emissions port a new concept of smart
grid using renewable energies is investigated and shown
its promising effects in minimizing ports air emissions.
REFERENCES
PV
Electrical company
H2
[1] ABB Marine Cold ironing, September 2006,

[Leaflet], ABB Marine, 2006.
[2] Air Resources Board: Ocean-going ship survey
summery of results, California: California
Environmental Protection Agency, 2007.
[3] Batley, D., Plenys, T., Solomon, G.M., Campbell,
T.R., Feuer, G.R., Masters, J. and Tonkonogy, B.:
Harbour pollution, strategy to clean up U.S. Ports,
Los Angeles, 2004.
[4] McKinnon, A., Cullinane, S., Whiteing A., Browne,
M: Green Logistics: Improving the environmental
sustainability of logistics, Kogan Page Limited,
2010.
[5] Momoh, J.: Smart Grid: Fundamentals of Design
and Analysis, IEEE Press, 2012.
[6] Renewable Energy Focus Handbook, Elsevier,
2009.

SESSION A
HOISTING AND CONVEYING
EQUIPMENT AND TECHNOLOGIES
Georg Kartnig
Professor
Faculty of Mechanical and Industrial
Engineering
Logistics Engineering
Studies on the discharging process of

a bucket elevator of a testing plant
using the discrete element method
(DEM)
Klaus Decker
Senior Scientist
Engineering
Georg Havlicek
Teaching Assistent
Engineering
This paper deals with the discharging process of bucket elevators of a

novel thermal energy storage system based on sand. This system, called
SandTES (Sand Thermal Energy Storage), has been developed at the
Vienna University of Technology in cooperation with ENRAG GmbH.
Correct positioning of the edges of the discharge chutes of the bucket
elevators is crucial to minimum energy inputs and maximum reliability.
Two analytical approaches to the trajectory parabolas, and a simulation
model based on the discrete element method (DEM) were used to
determine this position.
Keywords: bucket elevator, discharge parabola, DEM simulation.
1. INTRODUCTION
In 2011 our institute received a request from the

Vienna University of Technology Institute for Energy
Systems and Thermodynamics to design two identical
bucket elevators for a high-temperature thermal energy
storage (TES) system based on sand. The system
consists of a fluidised bed with internal heat exchangers,
two bunkers (hot and cold), two bucket elevators for
handling the storage material and a heat recovery
system for the fluidisation air (Figure 1). The fluidised
bed acts as a counter flow heat exchanger between the
sand and the primary fluid.
Figure 1. Basic layout of the sandTES system (primary fluid

arrangement and heat recovery concept not
shown)
As the planned TES system is a laboratory

installation, the requirements with regard to the lifting
height and conveyor capacity are relatively modest a
height of 10 m and a nominal material flow rate Q of
1.2 kg/s.
Correspondence to: Professor Georg Kartnig

Getreidemarkt 9/E307, 1060 Vienna, Austria
E-mail: georg.kartnig@tuwien.ac.at
However the bucket elevators must also meet two

special requirements. They must be:
1. suited to sand at a temperature of 380 C; and
2. as energy efficient as possible.
To comply with the first requirement, all the
temperature sensitive components (bearings and drive
system) must be kept apart from the hot sand.
To fulfil the second, it is necessary to minimise the
backflow into the elevator shaft.
In addition, some parameters, e.g. the conveying
velocity and the fullness of the bucket elevators, should
be highly adjustable to achieve a wide range of bulk
flows in the thermal energy storage system. As the
placement of the discharge chute depends on the
conveying velocity, the geometry of the elevator head
must take account of these variations.
Therefore, two different methods of analytical
calculation are used for the discharge parabolas. The
results are then compared with a bulk material
simulation. The outer edge of the discharge chute has to
be set as high as possible, to keep the overall height of
the conveyor low whilst minimising the amount of
transported material that falls back into the elevator
shaft. Also, a minimum distance between two buckets
must be maintained, so as to prevent the discharged
material from hitting the bucket in front.
Due to the low material flow rate and the fact that
the smallest bucket size specified by DIN 15234 was to
be used for the conveyor, the bucket interval was set to
1 m in order to achieve an adequate conveying velocity.
2. ANALYTICAL EVALUATION
The analytical calculations are used to arrive at the

lowest feasible discharge parabola. This means that the
position of the bucket when the first particle lifts off the
bucket wall must be ascertained. The two methods
employed are the widely used, simple principle
developed by Beumer and Wehmeier [1], and the more
exact method devised by Beckert and Fll [2]. In [3]
Rademacher presents another, still more precise method
55
of modelling the discharge process of a bucket elevator.

Here, the conveyed material is not represented by a
single granule at the bucket wall; for more accurate
results, Rademacher considers vertical slices of material
as it slides inside the buckets. This approach is only
suitable for cohesive materials, and as the sand in these
elevators does not exhibit such characteristics it is not
further described here.
Before calculating the parabolas, it is necessary to
determine whether the bucket elevators follow the
principle of centrifugal or gravity discharge. In
centrifugal discharge elevators the material unloads
from the outer bucket wall, and gravity discharge starts
at the inner bucket wall. Which scenario applies
depends on the conveying velocity and the size of the
top pulley. The envisaged velocity range of v = 0.5 to
1 m/s and pulley diameter of 510 mm mean that the
planned conveyors will be gravity discharge bucket
elevators.
In the calculations below, only a point mass
representing one single granule at the centre of the inner
bucket wall is observed.
2.1 Calculation according to the Beumer and
Wehmeier method
In this method of calculating the lift-off point and

discharge parabola of the considered particle, only the
centrifugal force and the radial component of the weight
are taken into account.
The discharge situation in this case is shown in
Figure 2.
m r 2 m g cos( ) 0
(2)
This approach does not take account of wall friction

or the possibility that the material may slip before it lifts
off from the bucket. The mass in (2) can be eliminated,
such that the material does not affect the discharge
situation.
When solved for , the equation gives the time and
the location at which the particle lifts off from the
bucket wall. Taking this as the starting point, the
discharge parabola can be calculated by the well-known
formulas for the x and y directions:
x r cos( ) t
y r sin( ) t
g 2
t
2
(3)
(4)
The trajectories for the minimum and maximum

conveying velocities are shown in Figures 8 to 11,
which compare them with the simulation results for two
different filling degrees.
2.2 Calculation according to the Beckert and Fll
method
A more precise means of modelling the discharge

situation is proposed by Beckert and Fll in [2]. Not
only are all of the components of the weight considered
here, but friction and the possibility of the material
slipping before it lifts off from the bucket are also taken
into account.
The movement of the particles relative to the bucket
starts when the tangential component of the weight
exceeds the opposing friction force:
W sin( 0 ) (W cos( 0 ) F ) 0
(5)
The forces acting on a granule at the moment before

the material starts to slide are shown in Figure 3; 0 is
the adhesion coefficient.
Figure 2. Representation of the discharge situation

according to the Beumer and Wehmeier method
The assumption that the material leaves the bucket

when the centrifugal force F and the weight W are an
equilibrium position yields the following equations:
F W cos( ) 0
or when inserted for the forces:
56
(1)
Figure 3. Representation of the situation prior to the

commencement of slip according to the Beckert
and Fll method
The angle 0 can be obtained from (5). At this point

the matter starts to slip, resulting in additional velocity
in a tangential direction. Two potential scenarios for the
discharge situation must be considered:
The discharge parabolas for the selected minimum

and maximum velocities for this bucket elevator are also
shown in Figures 8 to 11.
1.) The material slides until it reaches the outer edge

of the bucket and then follows the trajectory
parabola; or
2.) The material is thrown off the bucket after sliding
for a certain distance.
At 0 the time variable is set to t = 0 and the distance
covered at the bucket wall to s = 0. The forces acting on
the material in motion at a common point are illustrated
by Figure 4.
Figure 5. Representation of the discharge situation in P1

according to Beckert and Fll
3. DISCRETE ELEMENT METHOD SIMULATION
Figure 4. Representation of the dynamic equilibrium of

forces for a slipping particle according to Beckert
and Fll
At all times the normal force N, the weight W, the

dynamic friction force N, the force of inertia I, the
centifugal force F and the Coriolis force C must be in a
dynamic equilibrium. With the equilibrium conditions,
in a normal and tangential direction:
norm.: F cos( ) C N W cos( 0 t ) 0
(6)
tangent.: F sin( ) I N W sin( 0 t ) 0
(7)
This yields the following second order differential

equation for the distance covered:
s 2 s 2 s
(8)
2 r g[sin( 0 t ) cos( 0 t )]
When solved for s, the time and position P1 at which

the particle would lift off from the bucket wall are
obtained (see Figure 5). If s1 is larger than the length of
the bucket wall the discharge parabola must be
calculated from the bucket edge. In the case of the
conveyor design velocity range discussed here, the
material lifts off before it reaches the outer edge.
Starting at this separation point, the trajectory in the
x and y directions can now be calculated as follows:
x [(r s1 ) cos(1 ) s1 sin(1 )] t
y [(r s1 ) sin(1 ) s1 cos(1 )] t
g 2
t
2
(3)
(4)
To gain an idea of the actual discharge process and

the amount of material falling back into the elevator
shaft, discrete element method (DEM) simulations and
analysis were conducted using EDEM 2.4.3 particle
simulation software from DEM Solutions Ltd.,
Edinburgh, Scotland, UK.
The discrete element method (DEM) is a numerical
method for computing the motion of a large number of
particles. In a DEM simulation for all particles, a
starting position and an initial velocity are specified.
The initial data and the appropriate contact model,
which describes the behaviour of the particle
interaction, make it possible to calculate the forces
acting on each particle. All these forces are aggregated.
An integration method is employed to compute the
change in the position and the velocity of each particle
during a certain time step in accordance with Newton's
laws of motion. Once the new positions and velocities
of each particle have been obtained the forces are
recalculated. This loop is repeated until the simulation
period is completed.
The default model in EDEM is the Hertz-Mindlin
contact model [4], which is also used in this simulation
of the discharge process. The normal force Fn is a
function of normal overlap, equivalent Youngs
Modulus E* and equivalent radius R* of the two spheres
in contact.
There is also a damping force Fnd which depends on
the equivalent mass, the normal component of the
relative velocity, normal stiffness and coefficient of
restitution e.
The tangential force Ft depends on the tangential
overlap and the shear modulus. Tangential damping is
reflected by Ftd. The tangential force is limited by
Coulomb friction s Fnormal, where s is the coefficient
of static friction.
For simulations in which rolling friction is
important, torque can be applied to the contacting
surfaces. This depends on the coefficient of rolling
57
friction r, the distance of the contact point from the

centre of mass and the unit angular velocity vector of
the object at the contact point.
The forces coming into effect in this simulation are
shown in Figure 6.
Due to the large size and homogeneous shape of the

particles in the simulation (all spheres of the same size)
the coefficients of friction had to be strongly modified.
Table 1. Characteristics of the conveyed sand
General characteristics
Bulk density
1240 kg/m
Mean particle size
80 m
Humidity content
0.2%
Actual coefficients measured in ring shear test
Figure 6. Schematic diagram of the simplified Hertz-Mindlin

contact model (rolling friction not included in this
sketch)
3.1 Calibration of the simulation model
In order to obtain timely results, the particle size was

set at a diameter of 5 mm. It was therefore necessary to
adjust the simulation parameters of the used contact
model. This was done with the help of angle of repose
measurements. A tube with an internal diameter of
56 mm was placed on a steel plate. After the tube was
filled with sand it was pulled up at a constant velocity.
The measured angle of repose was used to calibrate the
simulation model, which involved varying the
simulation parameters of the Hertz-Mindlin contact
model until the angle in the simulation was equal to the
measured one (see Figure 7). To obtain a starting point
for the variation of the parameters a ring shear test was
first conducted. The measured friction coefficients as
well as the coefficients resulting from the calibration are
shown in Table 1.
Static friction coefficient particle particle
0.75
Static friction coefficient particle wall
0.54
Coefficients resulting from calibration

Static friction coefficient particle particle
1.0
Static friction coefficient particle wall
1.0
Rolling friction coefficient
0.05
Coefficient of restitution
0.1
3.2 Simulation
In the simulation model only the geometry of two

consecutive buckets and that of the discharge chute was
considered.
To reach the nominal material flow rate of 1.2 kg/s
the simulation was carried out with conveying velocities
of 1 and 0.5 m/s, and varying filling degrees. The
considered combinations are shown in Table 2.
Table 2. Combinations of filling degree and conveying
velocities
Conveying velocity
v
Filling degree
Material flow rate

Q
1 m/s
100%
2.4 kg/s
50%
1.2 kg/s
25%
0.6 kg/s
100%
1.2 kg/s
50%
0.6 kg/s
25%
0.3 kg/s
0.5 m/s
Figure 7. Measured (top) and simulated (bottom) angle of

repose
58
Figures 8 to 11 show the simulated material flow

overlaid with the analytically calculated parabolas. The
same two buckets are pictured several times while
discharging with a time interval of 0.15 s at v = 1 m/s
and 0.3 s at v = 0.5 m/s. The two buckets in the same
time step are depicted in the same shade of grey.
The rectangle at the lower right corner represents the
discharge chute. Material not crossing this section will
fall back into the elevator shaft. At the higher velocity
of 1 m/s only 23% of the material fails to leave the
Figure 8. Discharge situation for v = 1 m/s and = 1
Figure 10. Discharge situation for v = 1 m/s and = 0.25
Figure 9. Discharge situation for v = 0.5 m/s and = 1
Figure 11. Discharge situation for v = 0.5 m/s and = 0.25
59
elevator ( between 100 and 25 %), but at a velocity of

only 0.5 m/s the backflow is as high as 12 20 %. To
achieve the desired material flow, then, the conveying
velocity need not be adjusted, but it is necessary to alter
the degree of filling.
NOMENCLATURE
4. CONCLUSIONS
Comparison of the simulation results with the

analytical calculations shows that, especially for higher
velocities, the results generated by the calculations are
of assistance in designing the discharge chute.
Not only the Beckert and Fll method but also the
simple approach taken by Beumer and Wehmeier result
in parabolas matching the simulation for a speed of
1 m/s. At lower speeds omission of the friction in the
bucket has too much influence on the outcome, so the
Beumer and Wehmeier method is too inaccurate.
The simulation results show that at a velocity of
1 m/s the filling degree of the buckets has very little
influence on the quantity of sand falling back into the
elevator shaft. At lower velocities, e.g. 0.5 m/s, the
proportion increases in line with the filling degrees.
REFERENCES
[1] Beumer, B. and Wehmeier, K.H., Investigations on

the Discharge of Material Handled from Bucket
Elevators, Handling, Conveying, Automation, Vol.
11, No. 1, pp. 3037, 1961.
[2] Beckert, R. and Fll, R., Studies on the Discharge
Ratios of Chain Elevators, Industrial Handling,
Mechanization and Storage, Vol. 16, No. 10, pp.
833836, 1966.
[3] Rademacher,
F.J.C.,
Non-Spill
Discharge
Characteristics of Bucket Elevators, Powder
Technology, Vol. 22, pp. 215241, 1979.
[4] EDEM 2.4 User Guide, DEM Solutions Ltd.,
Edinburgh, Scotland, UK, Copyright 2012.
Coriolis force
coefficient of restitution
E*
equivalent Youngs modulus
centrifugal force
Fnormal
complete normal force in the HertzMindlin contact model

normal force in spring
Fn
Fn d
normal force in damper
Ftangential
complete tangential force in the HertzMindlin contact model

tangential force in spring
Ft
tangential force in damper
Ft d
g
gravity acceleration
shear modulus
force of inertia
mass of conveyed particle
normal force
P1
Q
position when a particle will lift off from

the bucket wall according to Beckert/Fll
material flow rate
pulley radius
R*
s
equivalent radius of particles in HertzMindlin contact model

covered distance on bucket wall
s1
covered distance to the position P1
time variable
conveying velocity
weight
Greek symbols
angle at which particle lifts from bucket
wall according to Beumer/Wehmeier

angle at which particle starts to slip
0
according to Beckert/Fll
angle in position P1 at which particle lifts
1
from bucket wall according to Beckert/Fll
covered angle while material is slipping
coefficient of friction
adhesion coefficient
coefficient of static friction in HertzMindlin contact model

coefficient of rolling friction in HertzMindlin contact model
Poissons ratio
filling degree of buckets
angular velocity of pulley
60
Stef W. Lommen
PhD Candidate
Delft University of Technology
Faculty of Mechanical, Maritime and
Materials Engineering
Dingena L. Schott
Associate Professor
Gabriel Lodewijks
Professor
Validation of a multibody dynamics

model of a scissors grab for DEM
modelling
This research aims at validating a co-simulation of Discrete Element
Method and Multibody Dynamics of a scissors grab for the purpose of
virtual prototyping. Both components should be validated before the
overall model is validated and applied in the design process. The goal of
this paper is the validation of a multibody model of a scissors grab. A
scissors grab was modelled, including the pulleys and cables. For the input
of the model, a virtual crane operator was used which opened and closed
an empty grab. The torques of the winches predicted by the simulation
compared well with measurements, and therefore the MB component of the
co-simulation has been validated.
Keywords: validation, multibody, simulation, scissors, grab, discrete
element method, co-simulation, cables.
1. INTRODUCTION
Grabs are used for unloading cargo vessels; they

grab dry bulk material such as iron ore or coal in the
vessel and transfer the grabbed material to a hopper on
the quay. The current design process of bulk handling
equipment such as grabs consists of designing a
prototype, building it in the factory and evaluating it at a
test site. This is an expensive process involving high
risks and long R&D times.
Predicting the performance of a prototype grab is
difficult, as continuous models are not very suitable due
to the particulate nature of the dry bulk material [1], [2],
A simulation using the Discrete Element Method
(DEM) could be a promising solution in predicting the
performance of grabs. However, most DEM codes use
motion driven geometries, and this would neglect any
resistance from the bulk material on the motions of the
grab. A co-simulation (Figure 1) computing both bulk
material and grab behaviour would be able to take into
account the load of the bulk material and could compute
resulting geometry motions.
excavator of Yoo [4] were in good agreement with

experimental results. A complex, large scale rigid-body
mechanism was simulated and validated by Langeroc et
al. [5], demonstrating the ability of predicting the
systems response to the input given. However, a
validated multibody model of a grab is still missing.
The goal of this paper is to model and validate a
multibody dynamics model of a scissors grab, which is
required before an overall validation of a co-simulation
can take place. First, the grab will be described and the
model of this grab will be presented. Next, the virtual
crane operating the grab will be presented, which will
provide the input to the model. Finally, the output of the
model will be compared to experiments, validating the
multibody model of a grab.
2. MODELLING THE GRAB
A four rope scissors grab for iron ore as displayed in

Figure 2 is used as reference in the modelling.
Coupling
server
Forces on buckets
Motion of buckets
Figure 1. Co-simulation
Previous research has identified a multibody

analysis as a valuable tool in simulating dynamic
equipment [3]. The calculated results of a hydraulic
Correspondence to: Stef Lommen, PhD candidate
Faculty of Mechanical, Maritime and Materials Engineering
Mekelweg 2, 2628 CD Delft, The Netherlands
E-mail: s.w.lommen@tudelft.nl
Figure 2. Scissors grab approaching iron ore.
CAD geometry and dimensions were supplied by a

grab manufacturer. A four rope scissors grab consists of
three parts: a left and right scissor half and a suspension
61
part. Two hoisting cables are connected to the

suspension part, which is connected to the two shells
with chains. The grab is operated with two closing
wireropes which go through two pulleys each.
For comparing the model to an analytical approach,
the equations of equilibrium on the main hinge point
have been derived:
M Fch, y rch, x Fch, x rch, y Fz rcm, x Fc rc 0
(1)
Here is Fch the force in the chain, rch the distance

from the main hinge point to the connection of the chain
(Figure 3, left). Fz is the weight of the shell, rcm the
distance between the centre of mass, Fc is the force in
the closing cable and rc is defined as:
r1 2r2 2r3
(2)
Node equations on the suspension result in the

following set of equations:
Fch , y Fh
(3)
Fch , x Fh tan ch
(4)
Fz Fh Fc
(5)
where Fh is the force in the hoisting cable and ch is the

angle of the chain. Substituting (3), (4) and (5) in (1)
results in
M F r
h ch , x
Fh tan ch rch , y Fz rcm , x Fc rc 0 (6)
For the multibody model of a scissors grab (Figure

3, right), MSc. Softwares ADAMS program was used,
a multibody tool capable of communicating with
external programs such as a DEM package. Cables,
sheaves and winches were modelled with the help of the
TKC toolkit provided by SayField International.
Fc
Fc
ch
Fc
r3
Fch
rch,y
Fz
r1
where is the elongation, init the initial elongation to

adjust the natural length to the initial load, c the
damping coefficient and vdelta the difference in velocity
between the two endpoints of the cable. The constant k
is based on the Youngs modulus E, metallic area A and
length of the cable l:
k
EA
l
(8)
The elasticity of a wire rope is nonlinear and

dependent on the tensile stresses present in the wire
rope [6]. For stranded wireropes used in grab operation,
the elasticity modules cannot be calculated analytically
but can only be evaluated by measurements, and due
to the nonlinearity will only be valid for the given
definition of loading.
An investigation on the effect of cable stiffness on
grab behaviour showed an influence during opening and
closing, as forces and therefore elongation shift from
hoisting cables to closing cables and back. The elasticity
modulus was determined based on measurement data of
CASARs stratoplast [7] and applied in the linear cable
model. A suitable value of damping coefficient was
chosen based on empirically realistic values.
The chains between the shells and the suspension
have been modelled in a similar fashion, only using
different values for E and A. Chains were modelled
using a single element and also using multiple elements,
resulting in a midpoint cable. Based on a comparison it
was concluded that chains modelled with a single
element were sufficient and could capture the relevant
motions.
The pulleys have been modelled to connect both
cable ends, minus frictional torque caused by bearings:
(Tbearing)
Tbearing n t Ft n Fn
(9)
using the rotational speed n, friction coefficients t and

n, and bearing forces Fn and Ft. The bearings in the
main hinge point have been modelled in a similar
fashion. Friction coefficients are based on specifications
provided by the bearing manufacturer.
The model was equipped with additional contacts, in
order to limit the minimum opening angle to 0 degrees,
in order words, preventing the two shells from
overlapping during closing. The maximum opening
angle was limited as well to meet the specifications of
the actual design.
r2
Fc
rcm,x
rch,x
Figure 3. Schematic of grab (left) and Multibody model of

scissorsgrab (right)
3. CONTROL OF THE CRANE
In order to accurately predict the movement of a

grab, it is essential that all masses and moments of
inertia are correctly modelled. The effect of higher and
lower values was examined as well and showed that the
inertia and the position of the centre of gravity affected
the movements of the shells. The values used in the
model were based on a calculation in a 3D CAD
program. The cables were modelled using the following
equation [6]:
For the control of the grab, in practice provided by

the crane and its operator, a virtual crane operator was
modelled. Four winches were created, using velocity
input data obtained from measurements on a crane at a
bulk terminal. These winches represented both the
electric drives and gearboxes. The gearboxes were
eliminated by scaling the moments of inertia of the
drives. The gearbox factor was retrieved by comparing
the cable length required to close the grab to the number
of rotations during one cycle.
Fcable k init cvdelta
62
(7)
As input to the winches, measurements were

performed at a bulk terminal, displayed in Figure 4. The
result of these winch velocities is that the grab opens
and closes, as can be seen in Figure 5. It can also be
seen that the position of the suspension does not change
during opening, but lowers during closing due to
movement of the hoisting cable.
4. VALIDATION
3
Hoisting cable
Closing cable
2.5
Now that the model and input to the model have

been described, the multibody model can be validated in
two steps: kinematic and static verification and dynamic
validation.
Grab kinematics in the simulation were compared
with the theoretical movements of the mechanism. All
points on the grab behaved as expected. The length of
cable required to open the model matched also
specifications. Static verification is achieved by opening
the grab at different opening angles and comparing
cable forces of the model with calculations based on the
equations of equilibrium. The model was verified for
all the angles (Figure 6).
winch velocity [rad/s]
1.5
1
0.5
0
-0.5
-1
-1.5
-2
In order to prevent cable slack during lowering of

the grab towards the surface of the bulk material, a
detection mechanism was implemented to stop crane
winches when cable forces dropped to zero. This
enabled the winches to start the closing curve without
winding up excessive cable length first.
10
time [s]
12
14
16
18
20
Figure 4. Input signal
3.5
x 10
Model
analytical verification
Force in closing cable [N]
2.5
1.5
0.5
10
20
30
40
Opening angle [deg]
50
60
70
Figure 6. Force of the closing cable.
Figure 5. Position of the grab at t = 0 s (left), t = 11 s

(middle) and t = 20 s (right)
The original measurement data of winch velocities

turned out to be heavily discretized, resulting in very
erratic winch accelerations. An analysis comparing the
original signal to a filtered signal was performed, using
different spans and both the moving average (MA)
smoothing technique and the Savitzky-Golay (SG)
filter. A cubic spline interpolation algorithm was used in
ADAMS to create the continuous input signal required.
Compared to the Akima algorithm, the cubic has
smoother derivatives, which result in smoother torques
in the winches as winch acceleration has an effect on
winch torque:
Twinch I winch Fcable rwinch
(10)
with Iwinch the inertia of the winch, Fcable the cable force
and rwinch the radius of the winch. Based on inspection
of the filtered signal and its derivative the SavitizkyGolay filter with a span of 17 (t = 0.17 s) was chosen.
For the dynamic validation, torques computed in the

winches are compared with motor torques recorded
during experiments. In these experiments, motor
rotational velocity and torques were measured during
the opening and closing of an empty grab. Two
experiments were conducted: one where opening and
closing speeds were half lower than normal operation
(opening and closing in 20 seconds), the other one using
normal operating speeds with opening and closing in 12
seconds. The input consists of the rotational speeds of
the drums (Figure 4), resulting in opening and closing of
the grab. The input is used in the model and the output
of the model should compare well to the output of the
real system (Figure 7).
Cable
Speed
Crane &
Grab
ADAMS
model
Motor
Torque
Motor
Torque
Figure 7. Comparison used during validation
The output of the model using the unfiltered input is

shown in Figure 8 with an R-squared of 0.32. The noise
63
in the output is caused due to the strong influence of the

derivative of the input. When a filtered signal is used as
input, the R-squared increases to 0.91, as can be seen in
Figure 9. The difference at the end of the simulation is
caused by the not completely closing of the grab, this
results in high forces on the hoisting cables instead of
dividing the load between the closing and hoisting
cables. Also a faster input, e.g. opening and closing in
12 seconds was examined as well. The model predicted
the outcome very well, with R2 = 0.97 for the closing
cable.
5
x 10
model
experiment
0.8
Torque in closing winch [Nm]
0.6
0.4
0.2
0
-0.2
-0.4
-0.6
-0.8
-1
10
time [s]
12
14
16
18
20
Figure 8 Model output compared to measured signal using

2
unfiltered input. R = 0.32
5
x 10
5. CONCLUSION AND OUTLOOK
This paper has shown the steps towards a validated

multibody model of a grab, ready for co-simulation with
a DEM software package. The predictions of the model
compared well with the measured output, but only after
smoothing was applied to the input signal. Influencing
factors on the behaviour of a scissors grab were the
weight and inertia, the cable properties and friction
caused by the bearings.
For the co-simulation with the DEM software
package, the coupled geometries will be equipped with
markers and force elements at the centre of mass. Using
these markers the coupling will send the position of the
geometry to the DEM package which will compute the
corresponding load on the geometry. This is send back
to the multibody simulation using the mentioned force
elements. With this validated grab model and a
validated material model, the overall co-simulation has
to be validated.
The work described here was supported by grab

manufacturer NEMAG, the Netherlands. Their support
is gratefully acknowledged.
0.6
Torque in closing winch [Nm]
the model predicts higher torques than measured; this is

also caused by the grab not completely closing. The Rsquared between t = 11.4 and t = 18 reaches 0.71. In the
faster scenario, similar agreement was reached with an
R-square of 0.76. If the input is adjusted so the grab
completely closes, this model is acceptable for a cosimulation and can be used for design purposes.
ACKNOWLEDGEMENTS
model
experiments
0.8
0.4
0.2
REFERENCES
0
-0.2
-0.4
-0.6
-0.8
-1
10
time [s]
12
14
16
18
20
Figure 9. Model output compared to measured signal using

2
filtered output. R = 0.91
4
Torque in hoisting winch [Nm]
10
x 10
experiment
model
8
6
4
2
0
10
time [s]
12
14
16
18
20
Figure 10. Model output of hoisting torque compared to

2
measurements. R = 0.71 for 11.4 < t < 18 s.
Figure 10 shows the torque of the hoisting winch,

both the output predicted by the model as well as the
measured output. The measured output drops to zero
during the opening of the grab, which is caused by the
brake of the winches. The modelled winches have no
brake and have to hold the cables in position. At the end
64
[1] Scheffler, M., Pajer, G., Kurth, F.: Grundlagen der

Foerdertechnik:
Einfhrung,
Bauteile
und
Maschinenstze, Grundlagen des Stahlbaus, VEB
Verlag Technic, Berlin, 1976.
[2] Miedema, S.A., Becker, S., Jong, P.S., Wittekoek,
S.: On the Closing Process of Clamshell Dredges in
Water Saturated Sand, Proceedings WODCON
XIII, WODA, Bombay, India, 1992.
[3] Yoo, W.S., Kim, K.N., Kim, H.W., Sohn, J.H.:
Developments of multibody system dynamics:
Computer simulations and experiments, Multibody
System Dynamics, Vol. 18, No. 1, pp. 3558, 2007.
[4] Park, J.Y., Yoo, W.S., Park, H.W.: Matching of
Flexible Multibody Dynamic Simulation and
Experiment of a Hydraulic Excavator, Proceedings
of ACMD 2004, pp. 459463, Seoul, Korea, 2004.
[5] Langerholc, M., esnik, M., Slavi, J., Boltear,
M.: Experimental validation of a complex, largescale,
rigid-body
mechanism,
Engineering
Structures, Vol. 36, pp. 220227, March 2012.
[6] K. Feyrer, Wire Ropes: Tension, Endurance,
Reliability, Springer, 2007.
[7] CASAR Drahtseilwerk Saar GmbH, [Online],
available: http://www.casar.de/.
The indentation rolling resistance of

pipe belt conveyors
Maria E. Zamiralova
MSc, PhD candidate
Transport Engineering and Logistics
Gabriel Lodewijks
Prof. of Transport Engineering and Logistics
Transport Engineering and Logistics
This paper presents a detailed approach for the calculation of the

indentation rolling resistance forces of pipe belt conveyors. The
viscoelastic behaviour of the belts rubber is modelled as a threedimensional generalized model with multiple Maxwell parameters
incorporated with a Winkler foundation. The step by step calculation of the
indentation rolling resistance factor is provided in this paper. Attention is
also paid to the determination of the normal contact forces as concentrated
load forces, exerted on each roll of an idler set. Load forces depend on the
mass of the transported material, the filling ratio of the pipe, and the mass
and stiffness of the belt.
Keywords: pipe belt conveyor, belt conveyor, rolling contact, rolling
friction, indentation rolling resistance, viscoelasticity.
1. INTRODUCTION
Tubular pipe conveyors are becoming more and

more popular in the bulk material handling industry. For
example, they are being applied when the installation of
a belt conveyor is required in difficult topographical
conditions, rough weather conditions, and for the
transportation of dusty, contaminated, and toxic
materials. The main advantages of using a pipe
conveyor, instead of a conventional open trough belt
conveyor, are the ability to have a completely enclosed
transport system design, and its geometrical flexibility.
The high demand for pipe conveyor installations
justifies research into the power consumption of pipe
conveyors that significantly depend on rolling resistance
forces. The total rolling resistance force, which is
distributed over each roll of the idler set, is the sum of
the resistance forces due to the rotational inertia of the
idlers, the flexural deformation of the material and the
belt, and the indentation rolling resistance due to the
indentation of the idler rolls into the belt. The
indentation rolling resistance of pipe belt conveyors is
higher than the indentation rolling resistance of
conventional open trough belt conveyors. In case of the
latter, it may already form up to 61% of the total rolling
resistance [4].
Various researchers have developed models that
describe the indentation rolling resistance for flat-belt,
conventional open trough and even pouch belt
conveyors.
Preliminary values for the dimensionless indentation
rolling resistance factor for pipe belt conveyors were
presented by Dmitriev and Sergeeva in [2], used Jonkers
indentation model [6] as a basic. As it is shown in [7],
this approach comprises assumptions, which causes
substantial errors in the results of the indentation rolling
resistance and needs to be reconsidered (see paragraph

3.1).
Therefore, in order to obtain more accurate results
for the calculation of the indentation rolling resistance
factor of pipe belt conveyors, a three-dimensional
contact model with multiple Maxwell parameters is
presented in this paper. The presented model provides a
calculation method for obtaining the normal contact
forces, and takes in account geometrical specificity of
the pipe conveyor design.
2. LOAD FORCES CALCULATION
The indentation rolling resistance factor is governed

by the normal contact forces, and is equivalent to the
concentrated load forces that are exerted on the rolls of
a hexagonal 6-roll idler set. The load force for each roll
is comprised of forces from the material and the belt.
Those forces depend on the weight of the transported
material, the filling ratio of the pipe cross section, and
the weight and stiffness of the belt.
2.1 Load forces from the material
The nature of the material load distribution, when

the loaded conveyor is in motion, is generally defined
by the active/passive pressure theory of the materials
behaviour.
When the belt passes through the idler assembly, the
belt is in unfolding opening out process. During this
time period, the loaded material causes a distributed
active pressure on the belt surface, due to the weight of
the material. The active material pressure is exerted
solely along half of the conveyor pitch l (see Fig. 1).
The next half of the carry spacing before the belt passes
next idler assembly, the belt compresses the material,
which in turn reasons passive material pressure.
Correspondence to: Maria E. Zamiralova MSc

8B-1-13, Mekelweg 2, 2628 LV, Delft, The Netherlands
E-mail: M.Zamiralova@tudelft.nl
65
l
Fm n ( , ) Rp2 g
2

Cact d Cpas d .
Eventually, the concentrated forces due to the

material load distribution for each roll of the idler set,
can be obtained from (6) by integrating with appropriate
limits, from the interval from 0 to 2 in respect of
Figure 1. Passive and active material load pressure

distribution [2]
The distributed active pact ( , ) [Pa] and passive

pressure ppas ( , ) [Pa] from the loaded material, with
density [ kg / m3 ], along the width of the belt, which
is folded in a pipe with radius Rp [m], can be described
with the following equations, also see Figure 2. These
equations were developed by Gushin [3] for deep trough
belt conveyors, but can also be used for pipe conveyor
calculations:
pact ( , ) Rp g Cact d ,
(1)
ppas ( , ) Rp g Cpas d ,
(6)
the superposition principle. For instance, for
the
12
forces, denoted as shown in Fig. 3, can be determined as
follows:
Fm1 2
Rp2 g
Fm2 Fm6
Fm3 Fm5
l
2
pas
( ) Cact ( ) d ,
(7)
/2
Rp2 g
l
Cact ( ) Cpas ( ) d ,
2 / 6
Rp2 g
l
2
5 / 6
act
/2
( ) Cpas ( ) d .
(8)
(9)
(2)
where functions Cact ( ) and Cpas ( ) equals:
Cact (cos 2 cos ) (cos2 m sin 2 ), (3)

Cpas (cos 2 cos ) (cos 2
sin 2
).
m
(4)
In these equations, the m - coefficient of the material

mobility motion, is expressed by the angle of the
internal friction of the bulk material; - angle,
identifying the filling ratio of the cross section; angle of deviation; the angle of repose of the bulk
material in motion (see Fig. 2).
Figure 3. Material load distribution in cross section of the

pipe conveyor [2].
2.2 Load forces from the belt
The load from the belt is the result of the weight and
stiffness of the belt material. The concentrated force
Fbn [N] from the belt with line mass per unit of length
m 'b [kg/m] and width B [m] for each roll of the idler
assembly is evaluated by follows:
mb g 2 Rp
l ,
6
m g 2 Rp
Fb2 Fb6 Fstif b

l cos ,
B
6
3
2
mg
p
Fb3 Fb5 Fstif b
l cos ,
B
6
3
m g 2 Rp
Fb4 Fstif b
l .
6
B
Fb1 Fstif
Figure 2. Cross section of the deep trough belt conveyor

[3].
As the active and passive material load pressures are

exerted along half of the conveyor pitch, the linear
distributed load P( , ) [N/m], from the material can be
found as follows:
P ( , )
l
( pact ppas ) .
2
(5)
The equivalent concentrated load Fm n ( , ) [N]

for the length Rp along the belt width equals:
66
(10)
(11)
(12)
(13)
The expansion force Fstif [N] represents the stress

state of the belt, which is folded from a flat shape into a
pipe. This force is caused by the stiffness of the belt
material. This force can be calculated as it is
recommended by Chernenko in [1], which was derived
by considering the belt as an orthotropic shell that is

bent into a cylindrical shape.
Fstif
hb3
Eb2
l ' .
1 1 2 24 Rp 2
(14)
Here E b 2 [Pa] Youngs modulus of the belt in

lateral direction; 1 , 2 - Poisson ratios in longitudinal
and lateral direction respectively; hb [m] thickness of
the belt;
- angle of the rolls installation relatively
to each other.
Eventually, the total normal contact force for each
roll Fn [N] for each n-th roll is formed by the sum of
forces from the material and the belt:
Fn Fm n Fb n .
(15)
3. THE INDENTATION ROLLING RESISTANCE
The indentation rolling resistance force arises when

the belt is in motion over the idler rolls under the
compression load. It is caused by the viscoelastic
properties of the belt rubber cover. After the
deformation the viscoelastic rubber that covers the
belts carcass does not have enough time to completely
recover back into its initial state. This phenomenon
causes an asymmetric stress distribution between the
rolls and the belt.
In order to evaluate the indentation rolling resistance
and obtain accurate results, it is important to choose the
correct model. The chosen model should be
computationally friendly and should give an appropriate
level of accuracy.
Lodewijks [7] developed an approach similar to

May, and added the friction correction factor. This
factor takes into account Hunters model with the shear
stress between adjusted Winkler foundation strings.
Rudolphi and Reicks [10] used a one-dimensional
model with an expanded generalized Maxwell solid
model. However, as noted by Lodewijks [7], a three
parameter Maxwell model, with a single relaxation
time, provides a simple and sufficient description of the
contact phenomena between the idler rolls and a flat
belt.
In case of a pipe belt conveyor, the curved contact
surfaces of the belt and idler rolls have an effect on the
indentation phenomena. The contact area between a
pipe belt and a roll has an elliptical shape. Figure 4
illustrates the idler roll as a rigid cylinder with radius
R1 , rolling over the curved viscoelastic surface of the
belt with radius R2 . The geometry of the contact spot
indicates, that the contact time depends on the contact
width along the length of the idler roll. This makes the
application of a 3 parameter (two springs and one
dashpot) Maxwell model with one single relaxation time
insufficient. Therefore a three-dimensional contact
model with a generalized Maxwell model is used. This
model was developed by Nutall and Lodewijks [9] for
the pouch belt conveyor system and has been adapted
here for the pipe conveyor system. The indentation
depth of the model is described in terms of the normal
force on the idler rolls.
3.1 Overview and choice of the model
A significant amount of research that describes the

indentation rolling resistance has been published
recently. Two of the most commonly used indentation
models were developed by Jonkers [6] and Spaans [11]
for the calculation of the indentation rolling resistance.
Researchers prescribe the indentation force in terms of
the vertical load, instead of the geometrical indentation
depth. Both approaches use a 3 parameter Maxwell
model, and assume that the indentation strain profile is
symmetrical with respect to the centre line of the idler
and that it does not depend on the belt speed. As shown
in [7], these assumptions are not acceptable and lead to
the overestimation of the total indentation resistance
force. May et al. [8] also presented a model for the
calculation of the indentation rolling resistance forces
by using a 3 parameter Maxwell model (so-called SLS
standard linear solid) with a single relaxation time. For
simplification the so-called Winkler viscoelastic string
matrass foundation is used. Hunter uses a half space
plane approach in the description of his indentation
model [5]. This allowed for the inclusion of the creepresponse viscoelastic behaviour.
Figure 4. Cylinder rolling over a curved surface [9]
3.2 Indentation contact model
The calculation model, which describes the

indentation contact problem, is distributed as illustrated
in Figure 5. The belt moves with a linear speed Vb
[m/s], and is covered with a viscoelastic layer with a
thickness h [m]. In the case of pipe belt conveyors,
thickness h equals thickness of the rubber ply belt
bottom cover. A rigid roll with a radius R1 [m], is
compressed under the contact load Fz [N] , and rolls
over the belt cover with an angular frequency w [ s 1 ],
and causes the reaction normal force FN [N]. The
cylinder indents into the viscoelastic base with a depth
of z0 [m]. The first point, where the rubber and the roll
come into the physical contact, is specified as x a ; at
the point x b the physical contact between surfaces
ends.
67
As was derived in [9], the deformation of the contact

viscoelastic plane with Winkler foundation in 3
dimensions, can be described by (16) as follows:
w( x, y ) z0
x2
y2
,
2 R1 2 R2
(16)
into strips, in order to simplify the integration process of

the stress distribution over the entire contact region.
The step by step calculation of the indentation
rolling resistance and indentation rolling resistance
factor will be described in the next paragraph.
3.3 Calculation method
where b x a and x R1 , y R2 .
1) The calculation of the normal contact force for

each roll of the idler set Fn , as described in paragraph 2.
The initial guess value for the indentation depth
z0 should be set on the interval 0 z0 h .
2) The half-length c [m] of the contact region (see
Figure 4) can be determined by setting the stress
distribution (0, c) 0 . Therefore
z0
Figure 5. Indentation calculation model [9].
The pressure distribution in the contact plane can

be expressed as:
( x, y )
m
E0
Ek
(a 2 x 2 ) i i
2 R1h
i 1 hR1
x a
x a ( a ki ) 1 exp

ki
In (17) parameter ki
iVb
Ei
[ m4 / s 2 ];
c2
c 2 R2 z0 .
2 R2
(19)
3) The values of the y [m] can be set by dividing the

contact region with length 2c into strips.
The necessary number of divisions should be
determined by optimizing between the calculation time
consuming and the desired level of accuracy. As
presented in Figure 7, the number of strips was chosen
equal to q=7. As it stated in [9], this number of
elements shows acceptable accuracy.
(17)
E0
[Pa]
Ei [Pa] - springs stiffness and i [Nm/s] - damping

factor of the Maxwell parameters of the generalized
spring-dashpot assembly (see Figure 6).
Figure 7. contact region, divided into strips.
After dividing the contact area, the values of the y

coordinates of the centrelines of each strip for the halflength equal:
y1 0 ; y2
Figure 6. Generalized Maxwell model with m elements
The normal contact force on each idler roll

determines the appropriate indentation depth and
satisfies (18), which was obtained by integrating the
contact plane pressure distribution over the whole
contact area:
c a( y)
Fz 2
( x, y )dxdy .
q 1
for odd numbers of the q.
2
4) The calculation of the x-coordinates of the leading
edge function x a ( y ) for the centrelines of each strip.
Along the edge x a ( y ) there is no deformation, so
y2
w(a( y ), y ) 0 a( y ) 2 R1 z0
.
2 R2
0 b ( y )
68
(20)
where p
(18)
In the presented formula limit under the integral sign

- function
b( y ) can be found by setting
(b( y ), y ) 0 , and cannot be presented in explicit
form. In order to avoid this, the contact plane is divided
2c
6c
; ; y p
.
q
q
(21)
According to y1 , y2 , , y p the values of a(y)

yield:
a1 ( y1 )
R1 (c 2 y12 )
,
R2
(22)
a2 , a3 , , a p .
Fr n
5) The calculation of the x-coordinates of the trailing

edge is the function x b( y ) for the centreline of each
strip since (b( y ), y ) 0 :
b1
m
E0
Ek
(a12 b12 ) i i
2 R1h
i 1 hR1
b2 , b3 , , bp .
6) The calculation of the normal contact load for

each roll of the idler assembly, from (18).
In order to obtain a result, the integration operation
needs to be replaced with a summation operation. For
odd number q of strips, (18) can be transformed into
(26):
calc
z
p aj
y a1
( x, y )dx y ( x, y )dx , (24)

2
2 b1
j 2 b j
where y
R1
(27)
It can be evaluated from (28), replacing integration

by a sum operation as follows:
Fr n
b a
b1 a1 (a1 ki ) 1 exp 1 1 0, (23)
ki
My
2
R1
p aj
y a1
x
y
x
y
x ( x, y )dx
(
,
)d
2 b1
j 2 b j
(28)
10) Calculation indentation rolling resistance factor

f ind .
Eventually the indentation rolling resistance friction
factor, which is frequently used for the calculation of
the energy consumption of belt conveyors for the pipe
conveying systems equals:
6
f ind
F
n 1
rn
(m 'm m 'b ) gl '
(29)
where m 'm [kg/m] and m 'b [kg/m] - line mass of the

material and belt per unit of length respectively.
4. RESULTS
2c
q .
7) Validation Fz and determine the correct value of

the indentation depth z0 .
The calculated normal contact force Fzcalc from (24),
is dependent on the indentation depth z0 , and should be
equivalent to the concentrated load force Fz Fn ,
which are obtained from (15) in Paragraph 2, for each
roll from the idler set. The correct value of the
indentation depth z0 , 0 z0 h , can be found from
following equation:
In the previous paragraphs the equations were

obtained for the indentation rolling resistance factor and
geometrical data for the contact regions for the pipe
conveyor. In these simulations the radius of the roll
R1 was set equal 0.0795 m, the radius of the curved
surface equalled to the radius of the pipe R2 Rp 0, 2
m. For the belt with width B 1, 6 m and thickness
hb 0, 012 m, the thickness of the rubber ply belt
bottom cover was chosen h 0, 002 m. Youngs
modulus of the belt in lateral direction E b 2 was assumed
(25)
equal 6, 464 107 Pa; Poisson ratios in longitudinal and

lateral directions - 1 0, 45 , 2 0,15 - respectively;
The solution of (25) can be obtained through a

numerical method, using a root-finding algorithm. Here
the secant method is used for the approximation
function f ( z0 ) Fz Fzcalc ( z0 ) . The root-searching
iteration of z0 repeats, until the accuracy of the
density of the transported material - 1500 kg / m3 .

In the presented simulations the number of strips was
chosen equal to q=7. The number of the Maxwell
parameters was restricted to 3. The values of the
elements were validated to the viscoelastic rubber test
convergence reaches 104 .

8) Recalculating the correct values of the leading
and trailing edges (b1 ; a1 ) , ( b2 ; a2 ) , , ( b p ; a p )
data
Fz F
calc
z
( z0 ) 0 .
from (21) (23) based on the correct value z0 , found

from the previous step.
9) Calculation resistance force Frn .
The torque M y [Nm] from the asymmetric pressure
distribution about the centre of the roller can be found:
c a( y)
M y 2
x ( x, y )dxdy .
(26)
0 b( y )
Rolling resistance force Frn , for each n-th roll of the

idler set depends on the resistance torque:
in
[7]
and
equal:
E0 7 106 Nm2 ;
E1 2,5 108 Nm2 ; 1 1875 Nm2 s .

Figure 8 shows the results for the rolling friction
coefficient find for the 25%, 50% and 75% filling ratio
of the cross section of the pipe conveyor. The belt speed
varied from 0,2 m/s to 10 m/s. The growth of the load of
the pipe conveyor causes the decrease of the indentation
factor. The reason of this effect is the influence of the
presence of the forces from the stiffness of the belt
material. In this case, according to the formula (29) for
the low material loads, the numerator is larger than
denominator, as it takes into account the forces caused
by the stiffness of the belt material. For higher material
loads, the stiffness forces stay the same, but impact of
the material load increases, which in turn decreases the
overall friction coefficient.
69
The dependence of the rolling friction coefficient for

the pipe belt conveyor with 25% filling ratio and for the
trough belt conveyor with the same load as for the pipe
belt conveyor, is presented in Figure 9. The graphs,
illustrated on Figure 9 show, that the indentation rolling
resistance friction factor for pipe belt conveyors is
higher than for the open trough belt conveyor. The
values for the indentation friction factor for the open
trough belt conveyor were obtained as it was derived by
May et al. in [8].
0.05
0.045
Q = 25%
Q = 50%
Q = 75%
0.04
0.035
f ind [-]
0.03
0.025
0.02
0.01
0.005
2
Vb [m/s]
10
Figure 8. Influence of the percentage of the pipe conveyor

load on the indentation rolling resistance factor versus
speed.
0.05
0.045
Pipe
Trough
0.04
0.035
f ind [-]
0.03
0.025
0.02
0.015
0.01
0.005
0
0
Vb [m/s]
10
Figure 9. Indentation rolling resistance factor for pipe belt

conveyor and for open trough belt conveyor versus speed.
5. CONCLUSION
A computational method has been constructed for

the determination of the indentation rolling resistance
for a pipe belt conveyor system. The presented model
describes the calculation method for the load normal
contact forces from the belt and material. The
viscoelastic behaviour of the belts rubber is modelled
as a three-dimensional generalized model with multiple
Maxwell
parameters comprised with a Winkler
foundation. The results were obtained for varied
percentage load of the pipe conveyor. They show, that
70
load increase causes decreased indentation rolling

resistance factor. This phenomena is explained by the
presence of the forces caused by the stiffness of the belt
material. The simulation results also demonstrate, that
the indentation rolling resistance factor for pipe belt
conveyors is higher in comparison with the
conventional open trough belt conveyors. The
viscoelastic Maxwell parameters were obtained from the
rubber test, as a consequence, the model needs further
extension, taking in account the complexity of the belt
structure. Future research on the presented calculation
method will be also focused on the correction normal
forces from the stiffness of the belt and load from the
material. The mathematical assumption for the
calculation stiffness of the belt in this paper did not take
in account the overlap geometry of the pipe. In
presented formulas for the calculation of the material
load needs to comprise some correction factors for high
speed of the belt.
REFERENCES
0.015
0
0
[1] V.D. Chernenko, Calculation of the continuous

transportation systems, Politehnika (in Russian),
Saint-Petersburg, Russia, 2008.
[2] V.G. Dmitriev, N.V. Sergeeva, Tension
calculation of pipe conveyors, GIAB M, Moscow
State Mining University, 16 (2009) 144-170 (in
Russian).
[3] V.M. Gushin, Determination parameters of the
load-carrying surface for the steep inclined
conveyors with the deep troughed belt, Mine and
quarry transport, Nedra, 1 (1975) 164-166 (in
Russian).
[4] M. Hager, A. Hintz, The Energy-Saving Design
of Belts for Long Conveyor Systems, Bulk Solids
Handling, 13 (1993) 749.
[5] S.C. Hunter, The rolling contact of a rigid
cylinder with a viscoelastic half space, Journal of
Applied Mechanics, 28 (1961) 611-617.
[6] C.O. Jonkers, The indentation rolling resistance
of belt conveyors, Fordern und Heben, 30 (1980)
312-316.
[7] G. Lodewijks, Rolling resistance of conveyor
belts, Bulk Solids Handling, 15 (1995) 15-22.
[8] W.D. May, E.L. Morris, D. Atack, Rolling
friction of a hard cylinder over a viscoelastic
material, Journal of Applied Physics, 30 (1960)
1713-1724.
[9] A.J.G. Nuttall, G. Lodewijks, A.J. Klein
Breteler, Modelling rolling contact phenomena in a
pouch belt conveyor system, Wear, 260 (2006)
1081-1089.
[10] T.J. Rudolphi, A.V. Reicks, Viscoelastic
indentation and resistance to motion of conveyor
belts using a generalized maxwell model of the
backing material, Rubber Chemistry and
Technology, 79 (2006) 307-319.
[11] C. Spaans, Calculation of the main resistance of
belt conveyors, Bulk Solids Handling, 11 (1991)
809-820, 882.
Dynamical behaviour of cranes

subjected to different types of
earthquake
L. Solazzi
Assistant Professor
University of Brescia
This paper concerns the evaluation of the dynamical behaviour of many

different types of crane subjected to various kinds of earthquake. The work
starts with the design of the cranes (boom crane, ship to shore crane,
tower crane and portal crane) characterized by high specific
performances. The next phase regards the choice of the load spectrums
induced by the very high intensity earthquakes. Subsequently many fem
analyses were performed in order to evaluate the dynamical behavior of
the cranes. The results show that, for all cranes types, for all geometries
and load configurations, the first natural frequencies are very low,
therefore the stresses induced by the earthquake are very small. Otherwise,
the seismic actions may be dangerous for specific zones of the cranes
(joints of the main beam) that in normal load operations (lifting and pay
load moving) are much less stressed.
Keywords: crane, lifting equipment, earthquake, dynamic behaviour.
1. INTRODUCTION
The aim of this paper is to analyze the dynamical

behavior of different types of crane subjected to
different kinds of earthquake. The main object is to
study the effects of an earthquake applied to the cranes
in order to evaluate if this external action is more
dangerous for the structure respect to the action induced
by the payload moving (lift, translate and rotate).
The reasons of this work are various. The first
regards the economical aspects: the cost of a port crane
for example is very expensive and its collapse may be
economically very dangerous. The second aspect
concerns the evaluation of the opportunity to introduce
the earthquake action into the crane design standards.
For this purpose different types of crane were
studied. The procedure followed for this work consists
of different steps. The first step regards the design of the
different cranes, with each specific performance, like
the payload size, the maximum height, the handling
speed and so on. The next step concerns the definition
of the actions induced by the earthquake, specifying the
load spectrum (for this step the Italian Standard NTC
2008 has been chosen). The subsequent analyses were
performed by a fem code and in particular by the Algor
software. The last step regards the comparison of crane
performances subjected to the actions induced by the
payload handling and by the earthquake.
The different types of crane analyzed are:
Boom crane;
Ship to shore crane;
Tower crane;
Portal crane.
2. DEFINITION OF THE EARTHQUAKE ACTIONS
The external actions induced by the earthquake were

studied basing on the Italian Technical Standards 2008,
which are very similar to the Eurocode 8.
Figure 2. Trends of the spectra of the seismic actions.
The figure 1 shows three different types of load

spectrum. In particular the differences between the
spectra were correlated to the peak ground acceleration
(PGA) which corresponds to the maximum
acceleration of the ground induced by the earthquake.
These values correspond to a very high earthquake
intensity; in other words more over the maximum value
of the Mercalli scale (corresponding to the most violent
detected earthquake) and correspond to level 6
(superior) of the Shindo scale. The motivation of this
choice is based on the fact that this work wants to study
the mechanical behavior of cranes exposed to very high
intensity earthquakes, correlated with the probability
that such an event occurs during the useful life of the
designed crane.
Correspondence to: Dr Luigi Solazzi, Assistant Professor

Universit di Brescia, Facolt di Ingegneria, Dipartimento di
Ingengeria Meccanica e Industriale, via Branze 38, 25123
Brescia, Italy.
E-mail: luigi.solazzi@unibs.it
71
3. TYPES OF CRANES
Four different types of crane were studied in order to

evaluate the effect of the earthquake actions on the
structure. The first step regards the design of each crane
by solid modeling and subsequently an evaluation of the
mechanical behavior of the structure using a finite
element method software. The next step regards the fem
dynamical analyses of the cranes in different
configurations (with or without load, in different load
and arm positions, and so on).
3.1 Boom crane
The figure 3 shows the main design parameters for

this crane type. The payload is 45000 kg and the
capacity is about 20 udc/h.
Figure 5. First four vibration modes of the crane.
The first five natural frequencies show values below

1.77 Hz. For the first two natural frequencies
(respectively 0.3 Hz and 0.42 Hz) the sum of the modal
participation factor is about 99.5% acting in the
transversal direction, the participation factor of the third
natural frequency acting in the longitudinal direction is
about 99.4 % of total mass.
The next figure shows the displacement results
derived from the actions induced by the earthquake for
the first vibration modes.
Figure 3. Main design parameters for this type of crane.
The next figure shows both the displacement and the

maximum Von Mises stress in the structure in the load
condition characterized by the maximum lever arm of
the pay load.
Figure 6. Displacements in corrispondence of the

maximum earthquake actions for the first three natural
frequencies.
Figure 4. The displacement and the Von Mises stress in the
body of crane.
72
3.2 Ship to shore crane
The figure 7 shows the main geometrical parameters

used for the design of this type of crane. The working
load and the capacity is the same of the previous one.
Figure 8. Fem model of the crane.
Also for this type of crane the first natural

frequencies are very low. In particular, the next table
shows the results of modal analyses.
Table 1. Results of modal analises.
Figure 9. Fem results for the crane subjected to the

maximum earthquake load spectrum, in corrispondence of
the first five vibration modes.
73
3.3 Tower crane
The payload defined for this type of crane is 1000

kg., the length of the arm is 45m, the height is 40 m.
Table 2. Results of modal analyses.
Figure 10. Fem results for the crane subjected to the

maximum earthquake load spectrum, in corrispondence of
the first five natural vibration modes.
3.4 Portal crane
The maximum pay load is 50t, which is the average

load for this type of crane. The main characteristic of
this crane is the very high span (50 m).
Figure 11. Design parameters for the crane.

Table 3. Results of modal analyses.
74
Figure 14. Comparative results for the boom crane.
Figure 12. Displacements in corrispondence of the first, the

second and the fifth vibration mode.
Figure 15. Compartive results for the portal crane.
Figure 13. Displacement results in correspondence of the

maximum earthquake load spectrum.
4. RESULTS
The next figures show a summary of the results

performed by the finite element method on the different
cranes in different load conditions [external actions
(position of the load and without load, ), position of
the crane, ].
Figure 16. Comparative results for the ship to shore crane.
75
In this case is possible to reduce the effects induced

by the earthquake introducing, for example, the plastic
hinge with the aim of creating a dissipative area in the
structure of the crane.
In conclusions is possible to affirm that the
earthquake actions, are generally very low because the
structures of the analyzed cranes show very small
natural frequencies. In the seismic actions, the local
effect, rigidity of the joints, etc., may be very dangerous
for the structures (for example the local buckling
phenomena) and assume a very high importance respect
to the normal load condition induced by the movement
of the pay load.
REFERENCES
Figure 17. Comparative results for the tower crane.
5. CONCLUSIONS
Respect to the results reported in the previous

caption, is possible to make many considerations. The
first is that for each type of crane and for each type of
configuration the first natural frequencies are very low.
In general the first five natural frequencies are lower
than 2 Hz; at these frequencies corresponds almost the
total mass of the crane. The value is about 80% to 90 %
of the total mass.
For the action induced by the earthquake, is
important to underline that the main stresses are quite
correlated to the main intensity of the PGA (peak
ground acceleration) or, in different way, the crane
systems show an almost linear response in function of
the acceleration of the ground; this phenomenon is
practically independent of the configuration of the
crane.
The displacement of the cranes induced by the
maximum earthquake is almost ten times greater than
the displacement induced by the normal operational
condition, and so the stresses are consequently very
high.
The lower spectrum assumed for the elaboration,
that corresponds to the maximum value on Mercalli
scale (more than X+ degree), shows that in this case the
stresses are similar or lower than the same acquired by
static analyses.
It is common for all crane types, that the maximum
stresses are located in particular areas of the crane.
These zones are not the same where are located the
maximum stresses induced by the lifting and payload
handling, but correspond to the points characterized by
a high rigidity, like joints between the horizontal and the
vertical beams.
76
[1] W.F. Chen , C. Scawthorn. Earthquake engineering

handbook. CRC Press, 2003.
[2] A.K. Chopra. Dynamics of structures: theory and
applications to earthquake engineering. Prentice
Hall, 1995.
[3] N. Zirnic, D. Oguamanam, Dynamics and
modelling of mega quayside container cranes, FME
Transaction (2006) 34.
[4] M. Alamorenau, A. Vasilescu, Behaviour of Tower
cranes to transversal seismic actions. The sixth
Triennial International Conference of Heavy
Machinery MH 2008, Faculty of Mechanical
Engineering -Kraljievo, Serbia.
[5] S.Tanaka, T. Inatomi, Seismic response analysis of
gantry cranes on container quay walls due to the
great Hanshin earthquake. Port and Harbour
Research Institute, Ministry of Transport, Nagase
Yokosuka.
[6] Laura
Jacobs,
Dr.
Reginald
DeRoches,
Experimental determiantio of seismic response of
port container cranes, Georgia Institute of
Thecnology (2009).
[7] Laura Jacobs, Reginald DesRoches, Large shake
table of port container crane under strong motion
excitation, 2010 Structure Congress.
[8] L. Solazzi, Design of an elevating work platform
considering both the first and the second order
effects and the inertial ones. Second international
Conference
on
Material
an
Component
Performance Under Variable Amplitude Loading,
Darmstad, Germany March 22/26, 2009.
[9] L. Solazzi, Ship to shore crane subjected to
earthquake, 11th International conference on
Mechanical Behaviour of Materials, June 5-9, 2011,
Milano, Italy.
[10] F. M. Mazzolani, Edifici con struttura in acciaio in
zona simica, Pavia 2006.
[11] J. Yulong, L.Zengguang, Seismic elastic-plastic
time history analysis and reliability study of
quayside container crane, Earthq Sci (2010)
23:265-274.
Optimal Positioning of Elevator

Hoistways in Buildings based on a
Simplified Circulation Model
P.Markos
Ph.D. student
University of Patras
Dept.of Mech. Eng. & Aeronautics
Machine Design Lab.
A.Dentsoras
Associate Professor
University of Patras
Dept.of Mech. Eng. & Aeronautics
Machine Design Lab.
In modern multi-storey buildings, the location of elevator systems is a very

crucial factor regarding the efficiency of transportation service and the
comfortable and easy on-floor circulation. The present paper proposes a
method which, after the partition of a typical floor of a commercial
building into cells by a grid, correlates architectural and circulation data
for the formulation of functions and matrices that demonstrate numerically
the architecture of the floor, the design of circulation spaces and the
presented need for elevator service in each cell. Then, weighted Euclidean
norms and modified heuristic search algorithms are used for the finding of
the position of the elevator hoistway that fits to existing architectural plan
and is the closest to the point of floors circulation paths that presents the
minimum mean walking distance from the entrances of the areas that host
floors population. A case study demonstrates effectively the proposed
method.
Keywords: optimization algorithm, architectural design, elevator design,
inner-building circulation
1. INTRODUCTION
In a modern multi-storey building, the approppriate

selection of the position of the elevator system is very
important for the efficient vertical transportation of the
buildings occupants. The users of the system should
reach it easily and, after landing to the floor of their
demand, they should walk to the space they want with
the fewest movements. On the other hand, the arbitrary
selection of the position of the elevator system can lead
to overcrowded on-floor circulation conditions, with
bottlenecks and unreasonably long walking distances
to/from the system. In that case. occupants
incovenience may increase significantly with very
negative consequences to their activities and, finally, to
the buildings trading value.
Artificial and computational intelligence offers
excellent tools for the evolution of designing methods
for various electromechanical systems. Indeed, there are
many approaches for the optimization of elevator
systems in the fields of mechanical parameters
configuration, control systems and cost planning.
Contrary to the above fields, research reveals that there
are only a few worth to-be-mentioned approaches
dealing with the issue of positioning an elevator system
in a multi_storey building.
In [1], Marmot and Gero considerthe problems
posed in designing elevator lobbies and establish an
empirical model which analyzes data extracted from
twenty real buildings in order to formulate equations
and charts as designing tools for lobbies.
Correspondence to: Argyris Dentsoras, Associate professor
Machine Design Lab., Dept.of Mech. Eng. & Aeronautics
University of Patras, 26500, Patras, Greece,
E-mail: dentsora@mech.upatras.gr
In another article Goetschalckx and Irohara [2]

examine the floor layout problem in multi-storey
buildings which include elevators and they introduce an
optimization algorithm which examines several floorlayout formulations for the finding of the one that
presents the minimum sum of vertical and horizontal
material transportation cost. The algorithm considers the
type and number of the elevators, as also their position
relatively to candidate shapes that compose the
examined floor-layout formulations.
Matsuzaki and al. [3] deal the same problem with
Goetschalckx and Irohara and present an optimization
algorithm that retrieves the floor layout formulation
with the minimum sum of vertical and horizontal
material transportation cost, not only considering type,
mumber and location of elevators, but also their
capacity. Simulated Annealing and Genetic Algorithms
are used in the proposed algorithm.
Closer to the problem of determination of the
position of passenger elevator systems in commercial
buildings is the work of P. Markos and A. Dentsoras
[4]. Here, a typical floor plan of a commercial building
with distinctive use of spaces is partitioned by a grid
into square cells. A circulation index is proposed as a
function that correlates structural/architectural data (net
usable space, circulation space, structural intrusions
etc.) and populations circulation data (population size
and density, possibility of use of elevators during
morning peak time etc.) refering to the floor under
consideration. The value of this index is uniquely
calculated for every cell of the partition grid and,
susequently, it is used in Euclidean norms which are
combined with an exhaustive search algorithm that
scans all cells and eventually locates the cell that
presents the minimum weighted mean distance from all
cells of all usable spaces. This cell represents the
optimum position of the elevator hoistway in the floor
77
plan. A systematic fine tuning process is also presented

that performs precise, architecturally compatible
placement of hoistway(s).
In another article, P. Markos and A. Dentsoras [5]
evolve the previous work and introduce a method that
determines the optimum position of the elevator system
in a multi-storey commercial building considering all
the floors of the building. For that, all the floors are
partitioned into cells by the same grid, and advanced
architectural data (shape and size of structural intrusions
etc.) and circulation data (population density of each
space, daily demand for elevator service that occupants
of a certain usable space present) are correlated for the
formulation of an index that demonstrates the intensity
of elevator use presented in every cell of each floor. The
values of that index are used in weighted Euclidean
normes and a low-computational-cost modified Hill
Climbing search algorithm retrieves the cell of the
building, that presents the minimum weighted mean
distance from all the cells that belong to every usable
space of every floor. The x,y horizontal coordinates that
correspond to this cell, represent the optimum
coordinates where the center of the horizontal section of
the hoistway must be located.
The present paper is based on the afromentioned
work is used and proposes a new method that takes into
account the floors circulation paths. The method
correlates architectural and circulation data of a typical
floor of a commercial building for the definition of the
position of the elevator hoistway which is the closest to
the point that presents the minimum mean walking
distance from/to the entrances of all usable spaces and
belongs exclusively to that paths. Additional
architectural data such as the positition of each usable
spaces entrance and position, connectivity and length
of circulation paths are also used. Here, the index of
intensity of elevator use refers to every distinguished
usable area as a function of the circulation data that
characterize that area. The examined floor is partitioned
into cells and appropriate matrices are formulated for
the identification and description of floors circulation
paths. A modified Hill Climbing search algorithm is
used for the definition of the optimum cell that belongs
to circulation paths and presents the minimal walking
distance from/to all the entrances of usable spaces.
Finally, a hoistway design algorithm that combines
simple architectural rules and a modified Tabu Search
algorithm is applied for the architecturally compatible
placement of the elevators hoistway near to the
optimum cell.
2. PRESENTATION OF THE METHOD
2.1 Floor plan and partition grid
Consider the typical floor of a multi-storey

commercial building shown in figure 1. In that floor,
seven types of spaces and elements can be distinguished
accordimg to their use.
a. usable areas (surfaces in figure with the respective
legend)
b. circulation areas (surfaces without any legend)
c. atriums (surface with the legend atrium)
78
d. other spaces like facilities, machinery rooms etc.

called as other spaces (hatched surfaces)
e. walls and other structural intrusions
f. entrances of usable spaces
g. circulation paths (consisted of nodes and lines all
numbered in figure 1)
Consider now an orthogonal grid G that covers and
partitions the surface of the floor. This grid is defined
by x- and y- axes, whose point (0,0) corresponds to the
lower left point of the floor plan. Grid G partitions the
floor plan into square cells, each ones location is given
, where x and y are the coordinates of the cells
as
lower left corner. The grid resolution must be as
adequate, so that every cell belongs to only one of the
aforementioned surface or element types. The numbered
circulation lines of the floor can be represented also by
cells as long as the , coordinates of the latter are
simultaneously points of the circulation lines. If S is the
entire set of the grid cells, then the cells of usable spaces
belong to subset , the cells of circulation spaces (but
not those on the circulation lines) belong to subset ,
refers to the atriums cells. Subset
and subset
refers to cells that belong to other spaces (facilities etc.)
is the set of the cells the structural elements
and
consist of. Cells which represent circulation lines
. Finally, entrances of usable
compose the subset
spaces are represented by cells which belong to subset
.
The fact that each cell belongs to only one type of
space or element, permits the formulation of a matrix of
which each element corresponds uniquely to every
single cell. This matrix is called Cell Identity Matrix
(abbr.
) and its size is f g, where f equals to the
divided by
maximum floor dimension in y- axis
. Similarily, g equals
the number of grid resolution
divided
to the maximum floor dimension in x- axis
by gr . In present paper, gr is equal to 0.1, which means
that the dimension of the size of each square grid cell is
0.1 m.
The correspondence between x, y coordinates of a
cell and the
vectors of the respective element of
is represented by the following two equations:
Every element
, has a value according to
where the cell belongs to. More specificaly, if a cell
,
belongs to subset , the element of the matrix
that corresponds to that cell takes the value 1, if the cell
the respective value is 2 and
, , ,
belongs to
correspond to 0, 3, 4, 5 respectively. The cells
and
,
whose coordinates are points of a circulation
line, take as value in the respective elements of
the number of the line they belong.
2.2 Elevator Utilization Intensity Index
of a typical floor consists of

A usable subspace
distinctive usable areas , , , . For a usable area
1,2, , , the index of Intensity of
, where
Elevator Utilization
may be defined:
3
where in this function:
is the normalized population density of the

usable area . In present paper and in order to
demonstrate the proposed method, population
density data from office buildings in US are used,
as they are extensively reported in bibliography
[6]. These data are given in table 1 below.
Table 1. Population density in working areas depending on
the type of working personnel
Type of
working
personnel
Seniors
Seniors +
visitors
Average
Managers
Executive
managers
Population Density (D)

(persons/m2)
(m2/person)
Normalized
0.280
3.50
1.00
0.160
6.00
0.57
0.100
10.0
0.36
0.050
20.0
0.18
0.033
20.0
0.12
is a ratio that defines the daily demand for

elevator service that is presented by the occupants
and visitors of the usable area , and is calculated
by the following equation:
1 ,
2 ,,
where
1,2, ,
and
is the mean
number of elevator calls per day done by the
and
people that work, use or visit usable area
1 ,
2 ,,
is the
maximum of the mean numbers of elevator calls
per day from people of all usable areas of
space .
Ratio
is normalized. This implies that for a
usable area hosting people that do not use elevators
at all the mean value of elevator calls per day is
practically zero and so ratio
is zero too. On
the other hand, for cells belonging to usable areas
with maximum mean values of elevator calls per
day, ratio
equals to 1. The normalization of
values is very comfortable when weighted
formulations have to be used.
2.3 Calculation and minimization of mean walking
distances
In every floor, the placement, size and connection

of various circulation areas (corridors, lobbies etc.)
formulate circulation paths that occupants and visitors
of the floor follow in order to reach the usable spaces
and to access the on-floor facilities.
In the present paper, the circulation paths are
represented by lines (axes) that belong to circulation
spaces (mostly corridors) and bisect the width of each
one of them (see figure 1). These lines are connected
with nodes which represent the points in circulation

paths where intersections and changes in circulation
flow direction occure.
Consider that, in a typical floor, the total number of
circulation lines is l and the total number of circulation
nodes is n. Then, each circulation line
, where
1,2, , , is defined as a line connecting two nodes
1,2, , . It is possible to create a
, where
matrix of dimension l6, where each row corresponds
to a line uniquely and columns show which are the
nodes that define the line and their coordinates. This
matrix is called Circulation Line Identity Matrix (abbr.
) and an example of that matrix formulated for the
examined floor is given below.
1 17.9
2 17.9

21 11.7
4.3 2 17.9 9.4

9.4 3 20.0 9.4

9.4 2 17.9 9.4
Here, the first row of

corresponds to circulation
1,1 shows the
line 1 ( ) and the element of
)
that
defines
, the element
first node (here
1,2 reveals the coordinate on x-axes of

1,3 shows the y
and the element
. In the same way, the element
coordinate of
1,4 presents the number of the second node
,
1,5 shows the
(here
) that defines
and the element
coordinate on x-axes of
.
1,6 shows the y coordinate of
It is a trivial task for a commercial CAD tool to
measure which is the minimum walking distance from a
node
to the entrance of a usable area
,
following the circulation paths as they are presented in
figure 1. So it is possible to create a matrix with size
nm, where n the number of circulation nodes and m
the number of usable areas, where the minimum
distances from each circulation node to the entrance of
every usable area can be written. This matrix is called
Node Entrance Distance Matrix (abbr.
) and
every row q, where
1,2, , , corresponds uniquely
1,2, , ,
to a node
, while every column k,
is uniquely respective to a usable area . In every
element
,
the minimum walking distance,
measured by the CAD tool, between the node
and
the entrance of the usable area
is
written.
For
example in
18,3 the minimum walking
distance between the eighteenth node
and the
entrance of the third usable area is written and its
value is 44.7 m.
The correlation of
,
and
matrices makes possible the calculation of minimum
walking distance from a cell
, , that belongs to
, to the entrance of every usable area
. More
specificaly,
provides the number p of the
circulation line
the cell belongs to. Then the p row
of
shows the two circulation nodes that define
line
. In order to comprehend the method, assume
that the first node is
_ and the second one is
,2
1,2, , . Additionally,
_ , with 1
provides the coordinates of nodes
and
, so it is easy to calculate the distance of the
79
examined cell
, from nodes
and
that define line , where the cell belongs, with the use
of Euclidean norm. Now, considering a usable area ,
provides the minimum walking distance from
nodes
_ and
_ to that areaI by the matrix
elements
1 ,
and
2 ,
respectively. By choosing the minor value of
and
2 ,
and adding to it
1 ,
the distance calculated previously between the
or
and the examined
respective node
cell
, , the minimum walking distance between the
cell and the entrance of the usable area is calculated.
The multiplication of this distance with the respective
value of the Intensity of Elevator Utilization
, gives
the weighted minimum walking distance between the
cell and the area. Eventually, the minimum weighted
mean value of all the distances from the examined cell
,
to the entrance of every usable area is given
by the norm given below:
More analytically and summarizing the calculations

mentioned above, the minimum weighted mean walking
to the
distance from a cell
,
of the subspace
is
given
by
the
entrance of every usable area
equation:
,
6
where,
min
,1 ,
,1 ,
min
,4 ,
min
,1 ,
min
,4 ,
min
,4 ,
,4 ,
,4 ,
,4 ,
, 3
,1 ,
, 5
,1 ,
, 2
,1 ,
,4 ,
, 6
,1 ,
and
, which , are given from equations
(1), (2) and the cell coordinates , .
The cell
,
which presents the the minimum
weighted mean walking distance
is the cell that
corresponds to the optimum point of the circulation
paths of the floor. The entrance(s) to the elevator system
should be placed at or near this point.
2.4 The search for the optimal solution
For tracking down of the cell that presents the

minimum value
, the well known search algorithm
Hill Climbing (abbr. HC) is used [7]. So, after the
definition of a starting cell belonging to subspace
and via an iterative process, (HC) follows a search path
towards the final solution. The problem with (HC) is
80
that, while it is a search algorithm which can be applied

with significantly small computational cost, it has the
inherent characteristic to stuck to local minima or
maxima in the set of the solutions of a problem. That is
why in present approach a modified version of (HC) is
used.
The first modification in comparison to the standard
(HC) is the application of an extended search frontier as
it is described in the last work of P. Markos and A.
, is the
Dentsoras [5]. According to that, if
current point at a certain state of the solution process,
and the dimension of cells sides is 0.1 m, then, the
search frontier must not be restrained to the next one
cells around the current, as it is in standard (HC), but
there should be at most forty eight (48) cells around it
that should be considered as candidates for being visited
next. This modification, permits (HC) to overcome local
minima that exist cause to jerky changes in the direction
of circulation paths.
The second modification introduced in the present
paper, is the application of an exhaustive search as an
additional part in the beginning of (HC). That
exhaustive search aims at the definition of the starting
cell from which, (HC) will create the search path
towards the final solution. The exhaustive search takes
place only for the cells whose x, y coordinates
correspond to circulation nodes. From all the cells
which are equivalent to the n nodes, the one that
represents the minor value
, is used as a starting
point for the search of (HC). This modification to (HC)
is applied, because several tests of the algorithm have
shown that if
has similar value for all usable areas,
and the latter are symmetrically assigned around the
geometrical center of the floor, then in connections of
the corridors that are quite distinct from the center of the
floor, local minima appear which attract powerfully the
convergence of (HC). That is because the architectural
and circulation conditions described above, imply the
placement of the elevator system near to the center of
the floor, as it has been proven in the last paper of of P.
Markos and A. Dentsoras [5]. So, although a point in a
circulation line near to the center is the optimum, the
search path of (HC) towards that, may pass from
connections of circulation paths that are far away from
the center where the architectural and circulation data
oblige the elevator system to be placed, and stuck to
local minimum. Exhaustive search within the cells that
correspond to nodes, results to a starting point near to
the circulation line where the optimum cell is located.
2.5 Application of the elevator system according to
architectural design
After the definition of the optimal point of the

circulation path near to which the elevator system must
be placed, a simple hoistway design algorithm is used
for defining the final position of the elevator systems
hoistway with respect to constraints imposed by
architectural design issues. The goal is the placement of
the elevator hoistway appropriately, so that it is as close
as it gets to the optimum cell, while the entrance of the
elevator faces the circulation area where the optimum
point exists. In the same time the entrance of the
elevator and the entrances of usable spaces should not

coincide and the area of the hoistway should not
overtake area of facilities.
For the implementation of this process, the
necessary width of the side of the entrance of the
.
elevator is represented by a line of cells called as
A modified Tabu Search (abbr. TS) algorithm starts
from the optimal cell found from (HC) and then seeks
space which, if it is supposed to be the
for a cell of a
line, permits this line to fit in
cell in the middle of
with the cells of a wall and in the same time be adjacent
or . At the same time,
to cells that belong to either
the retrieved cell must present the minimum Euclidean
distance from the optimum cell in comparison with
that consist acceptable from an
other cells of
architectural point of view - position of the hoistway.
The applied (TS) is characterized as modified as it
does not creates a search path composed with cells [7],
but it commits a perimetrical search around the optimal
cell found from (HC). In every step of the process, the
search frontier is the set of the cells that formulate the
perimeter of a square with center the examined cell by
the prevous step and sides equal to
2
1, where
is the number of the current step.
Finally, (TS) in present paper does not stop right
afterwards it spots a cell that offers an acceptable
position of the hoistway, but it continues until it
explores all the members of search frontier for the
current step of the search process. That happens
because, in cases of architectural symmetry, another cell
may offer an acceptable position too and have the same
distance from the optimal circulation cell (see case 2 in
case study). (TS) concludes after presenting all the
similarly acceptable solutions of the current search
frontier.
3. CASE STUDY
A case study follows, which exemplifies the

proposed method for the floor of a commercial building
presented in figure 1. Four different cases of
and
values for the usable areas of the floor are tested
(see table 1). The first variant demonstrates the case
where all usable spaces have the same population
density and their occupants present the same demand for
elevator service. The second variant describes a floor
where the upper side is more dense considering
population and its occupants use the elevator system
more often. In the third variant transportation demands
are more intense at the right area of the floor plan,
while, finally, in fourth variant, the usable areas at the
down left side gather more population that presents also
higher demand for elevator use.
For the demonstration of the presented hoistway
design algorithm, it is supposed that a single elvator
with a hoistway of 2.2 m depth an 2m width has to be
applied in the floor area.

Table 2. Values of
and
variants tested in case study
Variant 1
Usable
Areas
k
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
for the four different
Variant 2
Variant 3
Variant 4
D(k)
R(k)
D(k)
R(k)
D(k)
R(k)
D(k)
R(k)
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.57
1
1
0.36
0.36
0.36
0.18
1
1
1
0.5
0.5
0.5
0.2
0.6
0.4
0.7
0.7
0.7
0.7
0.5
0.3
0.3
0.1
1
1
0.7
0.36
0.36
0.36
1
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
1
1
0.36
0.18
0.36
0.5
0.5
0.5
1
0.4
0.4
0.4
0.5
0.7
0.7
0.7
1
1
1
0.5
0.2
0.8
1
1
1
1
1
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.36
0.18
0.36
1
1
1
1
1
0.7
0.5
0.7
0.5
0.5
0.7
0.5
0.8
0.4
0.5
0.2
0.5
The results from the implementation of the method

in these four variants are given in table 3 and illustrated
in figure 1.
Table 3. Results from the implementation of the method in
the four different variants of case study
Variants
1
2
3
4
Coordinates of
optimal circulation
point (m)
value (m)
x
11.6
16.2
47.2
18.0
28.659
17.645
22.499
21.061
y
20.4
32.8
15.5
9.4
Optimum
Coordinates of the
center of hoistway(s)
entrance(s) (m)
x
12.6
14.2/18.2
45.1
18.0
y
21.6
30.7
15.5
11.5
The examination of the results shows clearly that the

proposed method follows effectively any changes made
in population density and elevator use demand of usable
areas and concludes to optimum points of the circulation
space that represent the minimum horizontal
transportation effort, with absolute compliance to
general design of circulation space. Additionally, the
hoistway design algorithm propose all the final
positions that are equally the closest to the optimum
circulation points, while they are compatible with the
rest architectural design.
4. CONCLUSION
Towards the improvement of the efficiency of

vertical transportation services in commercial buildings,
the optimization of the position of elevator systems is
examined. Within this context, a method is proposed for
the definition of the optimum position of an elevator
system in x and y axes of a floor, considering the
minimization of horizontal distances that the occupants
of the floor have to walk from the areas they work to the
elevator system. This method correlates architectural
and circulation data for the formulation of equations and
matrices that demonstrate the need for vertical
81
transportation as also the complex of circulation paths

and the general architectural design. Weighted
Euclidean norms, modified heuristic search algorithms
and a hoistway design algorithm based on simple
architectural rules are used for the fast and reliable
finding of optimally accessible and architecturalluy
compatible hoistways, whatever the horizontal
architectural and circulation conditions are.
It should be noticed that the proposed method has
been developed by considering its potential application
to various buildings. For that, the used circulation data
refer to every type and design of building, while the
tools used for the partition and numerical representation
of architectural details of a floor can be used in every
building case. Additionally, the proposed hoistway
design algorithm is an autonomous algorithm which can
be further enriched with detailed architectural rules
according to the building to which the method is used.
Finally, it must be outlined that the proposed method
works as a useful tool at the preliminary architectural
design and helps engineers to predict the future
circulation conditions of the building and design the
analogous elevator system.
Further work is in progress for the implementation
of the proposed method in a multi-floor building and for
the enrichment of the architectural rules used by the
hoistway design algorithm for the final configuration of
elevator hoistways.

REFERENCES
[1]. Marmot, A., Gero, J.S.: Towards the development

of an empirical model of elevator lobbies, Building
Science, Vol. 9, No. 4, pp 277-287, 1974.
[2]. Goetschalckx, M., Irohara, T.: Formulations and
optimal solution algorithms for the multi-floor
layout problem with elevators, IIE Annual
Conference and Expo 2007 Industrial
Engineerings Critical Role in a Flat World
Conference Proceedings, pp. 1446-1452, 2007.
[3]. Matsuzaki, K., Irohara, T., Yoshimoto, K.:
Heuristic algorithm to solve the multi-floor layout
problem with the consideration of elevator
utilization, Computers and Industrial Engineering,
Vol. 36, No. 2, pp. 487-502, 1999.
[4]. Markos, P., Dentsoras, A.: Floor Circulation Index
and Optimal Positioning of Elevator Hoistways,
presented in in KES'2010: 14th Annual KES
Conference, Invited Session for Methods and
Techniques of Artificial and Computational
Intelligence in Engineering Design, Cardiff, Wales,
UK, September 8-10, 2010.
[5]. Markos, P., Dentsoras, A.: A Heuristic Approach
for Positioning of Elevator Hoistways based on
Utilization Intensity Index, submmited for
publication to Architectural Engineering and
Design Management (under review)
[6]. Strakosh, G.R.: The Vertical Transportation
Handbook 3rd ed, John Wiley and Sons, 1998.
[7]. Bassiliades, N., Kokkoras, F., Sakellariou, I.:
Artificial Intelligence 3rd ed, V. Giurdas
Publications, 2006.
Figure 1. Areas, elements, entrances, circulation paths, lines and nodes of the examined floor and graphical representation of
the results by the implementation of the proposed method
82
Rastislav ostakov
PhD. Ass. Professor
University of Novi Sad
Faculty of Technical Sciences
Atila Zeli
M.Sc., Teaching Assistant
Hotimir Lien, Jr.

Dipl. Eng. Mech.
TRCPro
Petrovaradin
Bridge crane skewing loads calculation

- today's state and near improvements
Recently adopted EN 15011 introduces seemingly altered rigid method
of bridge crane skewing loads calculation, but in fact remains unchanged
with regard to DIN 15018-1. The paper briefly explains its theoretical
grounds and analyzes distinctions in regard to old national norm, but its
shortcomings, too. Once more have been long ago known objections to the
used calculation model emphasized and for a new model that incorporates
acting of all other forces upon crane skewing pleaded. Growing need for
long-lasting measurements of skewing loads in real operating conditions
especially in fatigue calculations is explained, and own experiments in
laboratory conditions introduced.
Keywords: bridge cranes, European norms, skewing loads, improvements
1. INTRODUCTION
Skewing during bridge and gantry cranes travelling

and traversing of their trolleys is a regular phenomenon,
caused by crane/trolley configuration (their supporting
structures, wheels driving system, etc.), friction forces
in wheel-rail contact points, dynamic effects (driving/
braking forces distribution among crane wheels, inertial
forces etc.) and various geometric-technical imperfections (installation inaccuracies, tolerances and faults in
processes of driving system elements production).
Skewing loads, together with other horizontal forces, act
on crane supporting structure, track, and driving system
components. These effects often cause crane operation
interruptions and additional expenses. In aim to avoid
this, current cranes are increasingly equipped with
various antiskid mechanical/electromechanical systems
guiding them along their rail tracks, but it isnt possible
to eliminate skewing completely. Designed life-time of
cranes today is about 20 to 30 years, but there are a lot
of considerably older cranes still operating in
workshops, harbours and warehouses all over the world.
As a rule, they are not equipped with modern systems
for motion regulation, and effects of lateral forces are
even more evident. As a basis for design calculations of
skewing forces and lateral forces in general, its very
important for predicting the crane behaviour during
motion, to analyze its kinematics, i.e. to define the
magnitude and character of changes of these forces in
real operating conditions. Only on the basis of
information concerning the frequency of occurrence,
intensity and character of lateral loadings (as a result of
skewing, before all) it will be possible to conclude if
they are to be considered as regular or occasional
loadings and how they effect upon the fatigue failure of
structures. Real understanding of these phenomena will
enable the elimination of designers gross errors even in
the crane designing phase, and provide the success in
reconstruction of older cranes. It will also enable
defining better and more detailed calculation models.
Correspondence to: PhD Rastislav ostakov, Ass. Professor
University of Novi Sad, Faculty of Technical Sciences
Trg Dositeja Obradovia 6, RS 21000 Novi Sad, Serbia
e-mail: sostakov@uns.ac.rs
The last decade is characterized by very significant

improvements in the field of crane technical regulations,
and a considerable number of national norms have been
substituted with European norms. The purpose of this
paper is to draw attention crane and crane track supporting structures designers, as well as designers of large
workshops, to the main points of new regulations
concerning crane skewing and to emphasize certain
differences in comparison with recently withdrawn (but
very often still used) norms concerning lateral loadings,
skewing loads before all. But, some objections to these
norms are also given. An example with a comparison of
skewing loads for two typical bridge cranes, obtained in
accordance with some relevant norms is given.
2. HORIZONTAL LOADINGS EFFECTS ON CRANE
SUPPORTING STRUCTURES AND TRACKS
Long-lasting theoretical and experimental research,

as well as observations obtained by survey of bridge
cranes in real working conditions, fig. 1, point out
considerable lateral loadings of cranes, especially those
with larger capacities and spans, apart from vertical
wheel loadings.
Figure 1. Bridge cranes operating in workshop
Determination of these loadings is of special interest

in design and calculation of crane supporting structures,
and as effects of horizontal forces are transferred onto
the tracks, they are to be taken into account in the crane
track supporting structure (runway girders) calculations.
Horizontal inertial forces in the track direction stem
from crane travelling acceleration/deceleration, and are
83
transferred onto the rails through driven/braked wheels.

Inertial forces developed during trolley transversing
along the crane main girder(s) also act laterally upon the
crane rail track.
During crane/trolley motion along their tracks, their
skewing emerges as a result of:
- action of horizontal forces lateral to the direction of
travelling (inertial forces due to acceleration/deceleration),
- unequal distribution of vertical wheel loads and forces
resisting to travelling, over crane/trolley track rails,
- inaccurate installation of wheels and track rails,
- poor condition of track rails and worn out wheels,
- difference in driven wheels diameters and twisting of
long shafts in central driving systems,
- difference in rpm and driven wheels diameters in independent (separate) driving systems,
- supporting structure elasticity,
- relatively low influence of load swaying, and
- combinations of previously mentioned influences.
Usual negative consequences of horizontal loadings
due to crane skewing effects are shown in fig. 2.
a)
b)
c)
d)
e)
f)
- rail head deformations, especially at cranes operating

in the environments with high temperature (casting
plants, steel-plants, etc.), fig. 2.e, [3],
- additional loadings of power transmition components
of crane travelling/trolley traversing drives,
- additional loadings of driving electromotors,
- unsymmetrical forces and moments in connections
between bridge crane main girders and end carriages
and the track supporting structure in horizontal plane.
Frequent operation breaks, fractures of components
and failures due to intensive lateral forces acting result
in considerable repairment expenses and high losses
during transportation, reloading and production
processes. Accompanied by usual level of financial
investments, effective crane guidance and reduction of
horizontal loads intensity can be achieved by using
carefully chosen technical solutions already during
projecting and designing phase of transporting and
reloading machines, [1], as for example:
- usage of vertical flanged wheels or horizontal lateral
guide rollers (sliding friction occurring between wheel
flange and rail head side surface in this case has been
replaced by notably smaller rolling resistance forces
occurring on guide rollers),
- mounting of vertical driven wheels with conical rolling
surface, together with rounded head top rails (selfrectifying effect, which vanishes over time due to
wear out of wheel and rail contact surfaces),
- correct end carriages design (in aim to avoid crane
wedging); that demands fulfilling of condition:
l/bS 6 (7), with: l, bS table 2,
- usage of driving electric axis system if possible,
- usage of position and angle sensor systems, encoders,
power electronics components as variable frequency
inverters, etc,
- usage of corresponding control systems, enabling the
regulation of travelling driving system acceleration.
Considerable reduction of skewing loadings can be
obtained through the correct wheels installation and rail
track mounting in accordance with demanded
tolerances, as defined in VDI 3571, VDI 3576, ISO 12
488-1 and FEM 1.001.-Section 1, Booklet 8.
According to European norms being in effect,
horizontal forces acting on cranes are classified in 3
categories, fig. 3.
Figure 2. Negative consequences of skewing loadings
These consequences have the form of:

- crane rail track deformations, fig. 2.a, which are, in
case of indoors operating cranes, transferred to the
industrial workshop supporting structure components
(posts, walls, roof, etc.),
- wear out and peeling of guide roller rolling surface,
fig. 2.b,
- intensive wear out and eventually fracture of wheel
flange, fig. 2.c,
- rail head sides wear out, fig. 2.f, [2] and deformation
of rail connections (especially improper ones, fig. 2.d),
84
Figure 3. Classification of horizontal forces, [10]
Further in the paper, loadings due to skewing are

considered in the first place.

3. BRIDGE CRANE KINEMATICS THEORETICAL
BASIS FOR DETERMINING SKEWING LOADS
3.1 Velocities and forces acting on crane wheel
Vertical loaded crane wheel (natural) motion at an

angle to the rail direction, fig. 4, is regarded.

3.2 Crane skewing around instantaneous slide pole
Complex crane motion kinematics is defined by its

skewing around the instantaneous pole P. The system
can be regarded as a 3-body plane system (rail-wheelcrane) and a solution can be found by analyzing their
relative velocities, [6]. During the slanted wheel rolling
along the rail, fig. 6, corresponding sliding velocities vt
and va, giving as a result of vectorial addition the
resultant slipping velocity vsl, also representing wheel
lateral translation velocity in reference to the rail (vRB).
Figure 4. Velocities and forces in the contact point of rail

and crane driven wheel, [4, 5]
Due to driving torque TR, the driven wheel rotates at

the circumferential velocity vo = (DR/2)R. As a consequence of wheel elastic slip, a small tangential sliding
velocity vt occurs, and force FS, fig. 5, which arises
when guide means (in this case wheel flange) comes
into contact with rail head side, returning the wheel
motion to the rail direction with axial sliding velocity va.
Resultant velocity in the rail direction equals to the
vectorial sum: v = vo + vt + va. As a result of sliding,
frictional (slip) forces Fa = aFR, i.e. Ft = tFR arise.
Corresponding friction coefficients a, t are defined
mostly on the basis of experimental research, and are
dependent on the series of influences as: wheel and rail
material properties, condition of their contact surfaces
(roughness, outer layer hardness, etc.), wheel and rail
geometric parameters, skewing angle, dirtiness (abrasive particles, corrosion) and greasiness of wheel and
rail contact surfaces, atmospheric (humidity, ice, etc)
and working environment influences [4, 5, 6, 7].
Figure 6. Instantaneous slide poles of slanted crane wheel

motion along the rail
According to Kennedy's theorem concerning instantaneous slide poles of mechanism plane motion, [7, 8],
velocity poles of system elements rail-wheel-crane are
determined. Regarding wheel motion relative to the rail
for a start, instantaneous slide pole MRB is positioned on
the direction perpendicular to vsl, and pole P MCB of
crane skewing relative to the rail on the direction
perpendicular to v. The wheel shaft is firmly connected
with the crane supporting structure through its bearings,
so wheel and crane can be regarded as parts of the same
body. As direction of wheel shaft translation velocity is
parallel to the crane travelling velocity, they do not form
any intersection point, so the third pole MCR is positioned in infinity (not shown in fig. 6). On the basis of
angle and triangle similarity, it follows that poles MRB
and P are positioned on the same straight line parallel
with the wheel shaft axis. The distance between these
two points lP depends on the magnitude of velocity vo.
4. SURVEY OF RELEVANT NORMS CONCERNING
LOADS DUE TO CRANE SKEWING
Figure 5. Force FS acting on the guide means (wheel flange

and horizontal roller)
During last two decades European norms concerning

cranes have been intensively developed, and became
integral parts of national standards in EU member
states, replacing the aged national regulations. It's very
important for all specialists in this field to become
acquainted with main differences in these norms, especially during the phase of adopting EN in Serbia.
85
Figure 7. Simplified kinetostatic model for defining FS
Table 1. Calculation of force FS according to various norms
DIN 15018, T.1; EN 13001-2; SRPS EN 13001-2; (ISO

8686-1; FEM 1.001. Section 1, Booklet 9)
JUS M.D1.050
Norm
(SRPS) EN 15011
The first norm that treated crane loadings due to

skewing was DIN 120 dated back to 1936. According to
the majority of similar older recommendations, lateral
forces acting on the crane/rail track supporting structure
are to be calculated as (0,1 or 0,05)FR. Not before 1974.
already aged DIN 120 was replaced with famous DIN
15018, the first one based on the theory of instantaneous
slide pole, while it hasn't been adopted in DDR norms
TGL 13470&TGL 13471. Its inheritor DIN 15018,
[11], soon afterwards became the leading norm in this
field, and also the basis for the newer ISO 8686-1, and
FEM 1.001. Slightly modified, it has been adopted in
EN 13001-2, [10], and Eurocode 1.
In Serbia, aged norm JUS M.D1.050, [12], has been
withdrawn. New SRPS EN 13001-2, [13], taken over
from [11], entered into force, using a kinetostatic model
for defining the loadings due to crane skewing, fig. 7.
Characteristics, simplifications and calculation of FS

- relevant trolley position: no remark,
- skewing loads defined for each wheel, regardless of
guide type and motion driving system:
0,05 for l/bs = 02,
0,025l/bS for l/bs = 28,
0,2 for l/bS > 8, with:
l - track span, bS - extreme guide means distance
FS = FR
- simplified kinetostatic model,

- steady crane/trolley velocity,
- no skewing regulation during motion,
- crane/trolley/track structures are regarded as rigid,
- achieved geometric accuracy of wheel installation,
- all wheels are of the same diameter,
- guiding force FS occurs on only one guide means,
- relevant trolley position: no remark,
FS = fmg (= Fa i,j), with: f = 0,3(1-e-250),
- wheel bearing systems: fixed F or movable M,
- driven wheels coupling: central C or independent I,
- coefficient depends on wheel pairs combination,
- axial Fa i,j and tangential Ft i,j slip forces depend on
trolley position, total weight mg, friction coefficients
f, wheel movability, drive conception, track span l,
number of wheels per rail, distance between guide
means and instantaneous slide pole h/ wheel axes ej,
- even number of wheels (implicit demand).
- bridge crane calculation according to rigid method,
- crane motion without acceleration/deceleration,
- no skewing regulation during motion,
- crane and track structures are absolutely stiff,
- crane track horizontal, all angles small, geometric
inaccuracies negligible,
- guiding force FS occurs on only one guide means,
- relevant trolley position for cranes with:
- independent drives on the opposite bridge side
in relation to the guide means,
- central drive in the span middle,
FS = Faj for top running crane,
1/2FS = 0,2FRj for underhang crane,
with: Faj = f( f, FRj, bS, l), j = 1n (number of wheels)
5. NUMERICAL EXAMPLE OF CRANE SKEWING

LOADINGS CALCULATION
Figure 8. Calculation model of bridge crane with independent drives, according to (SRPS) EN 15011
In the same time, (SRPS) EN 15011, [14], entered

into force as relevant only for bridge and gantry cranes.
It contains slightly modified calculation models, fig. 8,
for both rigid and flexible methods for calculating
the guide means force FS. But, some details in it deserve
at least to be commented, chapter 6.
In aim to stress the difference between aged norm
[12] and new norms in force [10, 14], table 1 gives the
survey of main points of skewing loadings calculation
according to them. In chapter 5 short numerical example
illustrates the differences in obtained results.
86
Numerical example is given, in aim to illustrate the

differences in calculated values of guide means force,
obtained according to various norms. Two double girder
bridge cranes are considered, Crane 1 equipped with
independent travelling drives, and Crane 2 with central
travelling drive (with mechanically/electrically coupled
driven wheels), both with identical all other relevant
parameters, tab. 2.
Table 2. Crane data adopted for numerical example
Crane capacity Q
Trolley mass QT
Crane mass QC
Bridge rail track span l
External crane wheels axes distance bS
Type of crane guide means
Skewing angle
20 t
8,5 t
21 t
22,5 m
4,4 m
flanged wheels
0,005 rad
Total number of driven wheels (2; 4), wheel bearing

systems type (FF; FM), and wheel shaft coupling (C; I)
have been varied, including two limit cases, fig. 9.&10.
Figure 9. Crane 1 with 2 independently driven wheels
wheels, so the correct comparison with other results is

impossible. The sum of lateral forces on all wheels is
similar to the values of FS obtained according to other
norms in case FM, but about 30% lower in case FF.
Also, forces distributed in such way can be much easier
supported from crane and runway supporting structures,
and from wheel bearings and flanges.
Other norms predict the same values of FS, except
[14], due to the mistake in defined critical position of
trolley, chapter 6. Apart from that, about 30% lower
values of FS are to be expected for independent drives.
Apart from the theoretically well grounded model
used for skewing loads determination, reasonable objections have been long ago given to the skewing loads
acting isolated from horizontal loads due to inertial
and wind forces, and crane travelling resistance forces,
[6]. Although such uncoupling enables avoiding more
complex models and simplifies calculations, there are
very few physical reasons for it, and further improvements in the sense of forming the integrated calculation
model of lateral rail loads are to be expected very soon.
6. COMMENTS ON DETAILS OF SKEWING FORCE
CALCULATIONS ACCORDING TO EN 15011, [14]
Figure 10. Crane 2 with 2 shaft-coupled driven wheels
According to the regarded norms, except to [12], in

the analyzed cases guide force FS occurs on only one
guide means, the relevant trolley positions are chosen
and calculation carried out in accordance with corresponding norms. The obtained results are given in tab. 3.
Crane
Table 3. Calculated values of force FS and pole distance h
1
2
Number
of driven
wheels
2 wheel
4
axial
2 mobility
4 FF/FM
h, m
FS, kN
according to:
[12] [10, 11, 13]
[14]
[10, 11, 13]
max
52,0/37,9 52,0/14,0 4,4/4,4
22,7
sum 97,0/71,1 97,0/50,1 32,9/61,5
62,1 100,2/73,3 100,2/51,0 61,9/119,5
EN 15011 gives no data required for calculating the

distance between the instantaneous slide pole and guide
means h as the main kinematic parameter, and the significant differences between results obtained according to
[12], [10, 11, 13] and [14] are underlined. Although a
single example is insufficient for drawing final conclusions, some important remarks can be given.
According to the aged norm [12] and similar norms,
forces on the guide means are distributed among all
Although the skewing loads calculation procedure is

essentially identical as in [10,11,13], omission of physical
grounds for developing mathematical expressions in
attempt to simplify the procedure, made it more difficult
for a user to understand the problem. The balance equation
for few moments due to slip forces has been substituted
with physically unexplained coefficients, and crane motion
kinematics omitted. Given recommendations mislead
the user, for example, claim in Annex D: The largest
skewing forces are computed, if the wheel loads for both
wheels of a shaft have the same value. is exact exclusively in case FF (both axially fixed wheels). But, in case
FM (one axially movable wheel) the largest force FS is
obtained for trolley positioned as close as possible to
the track side with axially fixed wheels (example in tab.
3.), giving 40% larger force for coupled, and even
150% larger force for independently driven wheels
(underlined values)! Users are advised to use [10,11,13]
for rigid cranes, without any recommendations concerning trolley position for maximal guide force FS.
7. CHARACTER OF SKEWING FORCES VARIATION
IN REAL CRANE WORKING CONDITIONS
Apart from the crane skewing phenomenon analysis

through simplified static models, more attention is to be
paid to dynamic effects causing crane skewing. Its very
difficult to separate influences of crane skewing from
other influences due to unsymmetrical trolley position.
Simplified model forming demands certain neglecting,
which impede defining the correct skewing forces intensity variations. Crane operation is characterized by
frequent interruptions and changes in working regimes,
causing changes of resistance forces. Also, parameters
as clearances between guide means and rails, gaps in
rail connections, improper wheels installation etc.)
87
dictate crane behaviour during travelling, and stochastic

changes of force FS, [5, 6, 15]. Influence of more and
more used sophisticated crane driving system controls
(variable frequency inverters for supplying driving el.
motors, etc.) upon the skewing forces values are also to
be defined. Obviously, experimental defined intensity,
occurring frequency and character of skewing, as well
as the influence of some irregular situations concerning
horizontal crane loadings in real working conditions are
necessary for obtaining extreme values and representative spectra needed for their proper classification in
regular or occasional loads and fatigue analysis. Such
experimental research is being conducted on a single
girdered 3,2 t bridge crane with independently driven
wheels of system FF, electromotors connected to power
supply mains or frequency inverter, in the Laboratory
for machine design, transporting systems and logistics,
Faculty of technical sciences, Novi Sad, fig. 11-13.

8. CONCLUSIONS
Values of crane skewing forces defined according to

the new European norms are higher and act more
unfavourably then those calculated according to the old
norms. They are significantly lower for cranes with
independent drives. Also, relevant irregular situations
arising during crane operation havent been taken into
account at all. So, existing norms, even quite recently
adopted, should be considerably improved.
EN 15011 gives some misleading recommendations
concerning calculation of skewing forces values, which
are to be corrected. Users are advised to adopt the
relevant trolley positions according to EN 13001-2.
Extension of knowledge concerning skewing forces
effects and improvement of already existing theoretical
considerations have to be founded on the results of further experimental research in real working conditions.
First results of previously mentioned experimental
research generally confirm the adequacy of the new
norms, but also point out the need for further defining of
individual and joint effects due to regular and irregular
working conditions, even in fatigue considerations.
REFERENCES:
Figure 11. Skewing force values measurement system
Figure 12. Measurement equipment on crane end carriage
Figure 13. Skewing force vs. time, presented in nCode,

trolley position R, mains supply, Q = 2800 kg
88
[1] ostakov, R.: Cranes, Class notes, Novi Sad, 2012.

[2] Seeelberg, C.: Zum Entwurf von Kranbahntrger
fr Laufkrane, FRILO-magazine, pp. 20-30, 2005.
[3] Tho, R.: Steuerbare Einwirkungen auf Kranbahnen, Stahlbau, 80(2011)1, pp. 39-45
[4] Hesse, W.: Verschleiverhalten des LaufradSchiene-Systems frdertechnischer Anlagen,
Fakultt fr Maschinenbau, Bochum, 1983.
[5] Scheffler, M., Feyrer, K. and Matthias, K.: Frdermaschinen (Hebezeuge, Aufzge, Flurfrderzeuge),
Vieweg, Braunschweig, 1998.
[6] Pajer, G., Scheffler, M., Grbner, P., Adam, G. and
Kurth, F.: Unstetigfrderer 1, Technik, Berlin, 1989.
[7] Warkenthin, W.: Statistische Untersuchungen zur
Reibung zwischen Rad und Schiene. Hebezeuge
und Frdermittel, 28(1988)9, pp. 260-263
[8] Hunt, K.: Kinematic geometry of mechanism,
Clarendon Press, Oxford, 1990.
[9] Kennedy, A.: The mechanics of machinery, Nabu
Press, Charleston, 2010.
[10] EN 13001-2: Crane safety-General design-Part 2:
Load actions, CEN, Brussels, 2011.
[11] DIN 15018 T.1.: Krane. Grundstze fr Stahltragwerke. Berechnung, Beuth Verlag, Berlin, 1984.
[12] JUS M.D1.050: Industrijske dizalice. Osnovi prorauna elinih konstrukcija. JZS, Belgrade, 1968.
[13] SRPS EN 13001-2: Bezbednost dizalica-Konstrukcija. Dejstva optereenja, ISS, Belgrade, 2011.
[14] EN 15011: Cranes-Bridge and gantry cranes, CEN,
Brussels, 2011.
[15] Hannover, H.-O.: Fahrverhalten von Brckenkranen, Frdern und Heben, 22(1972)5, pp. 249-256
The overhead travelling crane payload

dynamics
Boris Jerman
Assistant Professor
University of Ljubljana
Faculty of Mechanical Engineering,
Ljubljana, Slovenia
Anton Hribar
Univ.Dipl.-ing.
Litostroj Steel Ltd.
Production of Quality Steel Castings
Ljubljana, Slovenia
The horizontal inertial forces imparted to the load in the case of the linear
motion of the load suspension point are studied. The mathematical model
is developed, which enables the numerical simulations of observed
phenomenon. The breaking phase is observed as is in the standard F.E.M.
for cranes. The model enables simulations with several types of breaking of
the pivot point where the standard assumption of constant deceleration
force is included. From the simulation results the curves of the coefficient
of the horizontal inertial forces are plotted and compared with standard
curves. Interesting deviations are noticeable.
Keywords: cranes, deceleration, load sway, horizontal inertial forces,
deviations.
1. INTRODUCTION
Cranes, which purpose is a fast and safe transport of

cargo [1] are vital links in transport chains [1, 2]. They
are designed as in more ways movable structures. In the
moving parts, the dynamic loads are induced, which
represent an important part of the loading of the cranes
steel structure [3]. The swinging of the payload is the
most important contributor to this dynamic loading,
making the investigation of this phenomenon an
increasingly actual theme. So far, in the majority of
published papers from this field the control strategies
for load-swing suppression were studied. More of them
are dealing with linear motion [3-14] then with the
curved motion [1, 3, 15, 16] of a load suspension point.
The payload swinging and its influence on the loading
of a cranes steel structure have not been investigated to
the same extent [17, 18, 19, 20, 21, 22]. In the paper, the
horizontal inertial forces imparted to the load in the case
of the linear motion of the load suspension point are
studied in more details. As the basic approach for the
consideration of these effects the approach used in
standard [23] was adopted. The mathematical model
was adequately modified to enable the simulation with
different types of breaking of the crab. The
corresponding system of equations of motion was
derived using Lagranges equations. The model was
used for numerical simulations. From the results the
curves of the coefficient of the horizontal inertial forces
were plotted and compared with values predicted by
standard procedure.
The horizontal inertial forces imparted to the load in
the case of the linear motion of the pivot are studied.
The basic standard approach for the consideration of
these effects was adopted for the purpose of comparison
and therefor the breaking phase was observed. The
developed mathematical model enables the numerical
simulations with several types of breaking of the crab.
From the results the curves of the coefficient of the
horizontal inertial forces are plotted and compared with
standard curves. Interesting deviations are noticeable.
2. THE STANDARD PRESENTATION OF THE

HORIZONTAL INERTIAL FORCES
The treatment of the horizontal inertial forces in

accordance with the standard [23] is briefly introduced
in this section. For covering the horizontal effects of the
payload dynamics the coefficient of horizontal inertial
forces h is introduced. Its purpose is fast
determination of the maximal horizontal inertial force
FC , max acting due to the load acceleration or
deceleration (Eq. 1):
FC ,max h FC ,av ,
(1)
where the average horizontal inertial force FC , av

developed during an acceleration or deceleration is
defined as:
FC ,av m1 aav .
(2)
In eq. 2 m1 represents the payload mass and aav the

average acceleration.
For determination of the horizontal inertial effects of
masses, which are rigidly connected to the moving crab
or crane the equation similar to eq. 1 is used. The only
difference is that instead of coefficient h the constant
value 2 is used. Therefor if the coefficient of horizontal
inertial forces of the payload reaches the value of
h 2 the influence of the suspended load is equal to
the influence of rigidly connected mass.
For determination of the coefficient h a simple
mathematical model of an overhead-travelling crane is
used in [23] where the entirely non-deformable cranes
structure is assumed. The load carrying rope is also
assumed to be non-extendible but easy to bend. The
dissipative effects affecting the motion of the crane or
crab and the motion of the payload are neglected. The
small angles of the swinging of the payload are
assumed. The linear motion of a load suspension point
(pivot) is assumed and the results are introduced in the
corresponding diagram where h is plotted against the
coefficient for different values of coefficient . The
89
coefficient is defined as the ratio between the

acceleration time tacc and the period of oscillation t1 of
the load suspended on the rope looked at as a
mathematical pendulum:
t acc
.
t1
(3)
The coefficient is defined as the ratio between

the payload mass m1 and the mass m , which is defined
as the sum of masses of all the parts that moves together
with the pivot point (including the inertia effects of the
rotating parts of the corresponding driving mechanism):
m1
.
m
(4)
It describes the influence of the sway of the payload on

the movement of the pivot (crab or whole crane). The
coefficient has (e.g. for overhead travelling cranes)
values from (almost) 0 to 5. As it can be seen from the
equation (4) the zero value is reached when there is no
load suspended from the rope, which automatically
guarantee zero influence on the movement of the pivot.
On the other hand the zero influence can also be
assumed in the case of the so called system with
predefined speed where the predefined time profile of
the speed of the pivot maintain (almost) unchanged
regardless of the influence of the payload.
3. THE MATHEMATICAL MODEL
For the considered linear motion a mathematical

model of an overhead travelling crane (Fig. 1) is
developed. To enable the comparison of the results the
model is based on the model introduced in the standard
[23]. The motion of the pivot can be initiated by means
of the active force F acting on the movable structure or
it can be predefined as particular time-velocity profile.
The model allows for arbitrary definition of the force F
for each observed case. Also the time-velocity profile of
the pivot can be predefined arbitrary. In second case the
coordinate x x (t ) of the pivot is known and is
therefore no longer an independent coordinate.
The mathematical model shown in Fig. 1 consists of

the point mass of the movable structure (crab or crane)
m , of the point mass of the payload m1 and of the nonextendible load carrying rope of the length l .
Second-order Lagrange equations (Eq. 5) were used
for deriving the differential equations of motion. The
influence of the conservative forces is expressed by
means of the systems potential energy V:
d
dt
T T
V
Q nj , j 1, ... , s.
q j q j q j
(5)
In equation (5), s represents the number of

generalised independent co-ordinates, T represents the
kinetic energy of the system and Q nj the (nonconservative) generalized forces. The
generalised independent co-ordinates q j are:
selected
q1 x ,
(6)
q2 ,
(7)
where in accordance with the Fig. 1, x represents the

position of the pivot and represents the deviation
angle of the load carrying rope from the static
equilibrium. The total kinetic energy T is the sum of the
individual contributions of the masses m and m1 :
m x 2 m1 v12
2
2
(8)
m x 2 m1
2
2
2
( x l 2 l x cos ),
2
2
The potential energy of the system is expressed as

follows:
V V1 m1 g h m1 g l (1 cos ) .
(9)
The generalized force of non-conservative active

force F is defined through its virtual work:
AF F x .
(10)
The term on the right side of the equation 10

represents the generalized force multiplied by the virtual
displacement. The generalized force can be obtained as
the coefficient near the corresponding virtual
displacement:
Qx, F F .
(11)
Following a common procedure, the system of two

non-linear differential equations with non-constant
coefficients was derived:
Figure 1. The basic mathematical model
90
(m m1 ) x m1 l F ,
(12)
m1 l x m1 l 2 m1 l g 0 .
(13)
The equations of motion (Eqs. 12 and 13) represent

a system of two non-linear second order differential
equations with non-constant coefficients. Such a system
must be integrated numerically. For this task a
commercial software package Mathematica was chosen.
o the pivot were simulatted:

Four phases of motion of
w
acceleration from a stanndstill ( x 0 ), moving with
t a
constant speeed ( x ), decelleration of thee pivot back to
standstill, annd observationn of the penduulum motion after
a
the pivot is brought to a standstill. The
T system was
w
solved separrately for eaach of these phases and the
values of thhe parameters at the end of
o the precedding
phase were used as the initial
i
conditiions for the next
n
phase.
i
of the
As explaained in secttion 2, the influence
swinging of the payload on
o the movem
ment of the piivot
c
is im
mportant. This influence is
(crab or crane)
considered by
b means of thhe force FC FC (t ) , which is
the horizonttal componennt of the forrce in the load
l
carrying ropee. It is definedd as:
FC (t ) (m1 x m1 l ) ,
(
(14)
and shown inn Fig. 2.
d
inn
thee research beccause the coeffficient h is determined
acccordance withh Eq. 15. The fforces needed
d in Eq. 15 aree
deffined in standaard [23]:
FC , av F
m1
,
m m1
FC , max FC , av (1 cos(r t d )) 2
(17))
r2
sin 2 ( r t d ) . (18))
12
To determinne the produuct (r td ) , the

t
followingg
tran
nscendent equuation must bee solved:
(r td ) sin(r td ) 2 1 0 .
(19))
When the condition ( r t d ) is satisfied, thee
maaximal horizoontal force FC , max appearrs during thee

decceleration andd when the coondition isnt satisfied, thee
maaximal horizoontal force FC , max appeaars after thee
decceleration phaase, when the ppivot is in thee standstill.
5. THE RESUL
LTS
Besides the case

c
of breakiing with the constant
c
forcee
( F Fm const ) which is presumed in the standardd
and
d by which thhe model wass tested, also the followingg
casses were connsidered: thee case with the constantt
accceleration andd decelerationn of the loaad suspensionn
poiint ( a constt ), the case w
with the linearrly increasingg
accceleration andd deceleration ( a a(t ) a0 t f factor , a ),,
Figure 2. The position of the

e horizontal forrce FC
4. DETERM
MINATION OF THE COEFFICIENT OF
HORIZON
NTAL INERTIIAL FORCES
h
inerrtial
From thee Eq. 1, the cooefficient of horizontal
forces h caan be defined as:
a
FC , max
FC , av
(
(15)
where FC , maax is the maxximal horizonntal force of the

payload actinng on the pivvot and FC , avv is the averrage
and
d the case wiith the linearlly increasing driving forcee
and
d breaking forrce ( F F (t ) F0 t f factoor, F ).
All these cases are connsidered for the differentt
opeerating conditions enabling the diag
grams of thee
coeefficient of thhe horizontal inertial forces h to bee
callculated in acccordance withh Eq. 15. The diagram withh
currves for all fouur types of deeceleration is shown in Fig..
3. For
F all the currves the ratio 0 .
horizontal foorce. In the staandard [23] thhe following ruules

are stated. For
F the value of the 1 , the factor h
cant go beyond the valuee 2. This valuee is reached only
o
c
in the case when the coefficient
reaches or go
beyond the critical
c
value crit whhich dependss on
value of . If crit the value of H should stay
s
constant andd equal to 2. For
F the value of
o the 1 , the
following is shown. If crit the value
v
of h can
be greater thhan 2 and caan reach the maximum
m
value,
defined with the equation:
h 2
(
(16)
With incrreasing value of the coefficcient the vaalue

of the h changes annd reaches the maxim
mum
repetitively. In the diagram
m for determiination of H in
standard [233] the maxim
mum value is kept for all
crit . Thhe above stated rules are not
n consideredd in
91
3
2,5
2
1,5
1
0,5
0
0
0,2
0,4
F=const
Figure 3. The curves of coefficient
for
a=const
0,6
a=linear
0,8
F=linear
and for different types of breaking
6. CONCLUSION
The mathematical model of a moving mass (a crab

or a crane) with the load suspended in a load suspension
point (pivot) was derived. In assumptions for model
formulation the assumptions from the standard are
including. Four types of breaking were applied. The first
type is equal to the breaking type assumed in standard
breaking with the constant deceleration force. Besides
it, three additional types of breaking were considered. In
all cases the ratio 0 was remained unchanged. The
results show that the course of the deceleration has
strong influence on the appearing inertial forces. When
the breaking with the constant force was observed the
calculated curve for the coefficient of horizontal inertial
forces h was exactly the same as is the standard curve
for 0 . This comparison was used for verification of
the derived mathematical model. In the case of constant
deceleration the values of h are equal to or smaller
than the values from standard. In other two cases the
coefficient of horizontal inertial forces H is, for some
intervals of ratio , greater than the standard values
are. This implies that the inertial loads greater than
loads predicted by standard are possible in the
engineering practice. For from 0.6 to 0.7 the
maximum calculated coefficient of horizontal inertial
forces H reaches the value around 2.5 and exeeds the
maximum standad value H 2 for 25 %.
Consequently, the more careful consideration of
horizontal inertial loads is suggested.
The results of the investigation of horizontal
dynamic forces for four different crane deceleration
types show that the field of payload dynamic needs
more attention. In the future the analyses of other
92
possible deceleration types will be conducted and the

detailed study of the differences will be carried out.
ACKNOWLEDGMENT
This work has been supported by the Ministry of

Education, Science, Culture and Sport of Republic of
Slovenia and by the Ministry of Education and Science
of Republic of Serbia under project 651-03-1251/201209/50 - The bilateral project for scientific cooperation
between Republic of Slovenia and the Republic of
Serbia in the years 2012 - 2013.
REFERENCES
[1] Vh, P., Voutilainen, D.O.: Dynamics of a closed

kinematic chain crane with a suspended load,
Shk - Electricity and Electronics, Vol. 61, No. 6,
pp. 42-46, 1988.
[2] Feng, J., Yoo, S.C.: Dynamic Analysis of Tower
Cranes, Journal of Engineering Mechanics, Vol.
131, No. 1, pp. 88-96, January 1, 2005.
[3] Abdel-Rahman, E.M., Nayfeh, A.H., Masoud Z.N.:
Dynamics and Control of Cranes: A Review,
Journal of Vibration and Control, Vol. 9, No. 7, pp.
863-908, July 2003.
[4] Lee, H.H.: A new design approach for the antiswing trajectory control of overhead cranes with
high-speed hoisting, International Journal of
Control, Vol. 77, No. 10, pp.931-940, 2004.
[5] Oguamanam, D.C.D., Hansen, J.S., Heppler, G.R.:
Dynamics of a three-dimensional overhead crane
system, Journal of Sound and Vibration. 2001;Vol.
242, Issue 3, pp. 411-426, 3 May 2001.
[6] Abdel-Rahman, E.M., Nayfeh, A.H.: Pendulation

reduction in boom cranes using cable length
manipulation, Nonlinear Dynamics, Vol. 27, Issue
3, pp.255-269, 2002.
[7] Sawodny, O., Aschemann, H., Kmpel, J., Tarin,
C., Schneider, K.: Anti-sway control for boom
cranes, Proceedings of the American Control
Conference, Vol. 1, pp. 244-249, 2002.
[8] Bartolini, G., Pisano, A., Usai, E.: Second-order
sliding-mode control of container cranes,
Automatica, Vol. 38, No. 10, pp. 1783-1790, 2002.
[9] Yavin, Y., Kemp, P.D.: The application of extended
inverse dynamics control, Computers and
Mathematics with Applications, Vol. 40, No. 4, pp.
669-677, August 2000.
[10] Zrni, N., Hoffmann, K., Bonjak, S.: Modelling of
dynamic interaction between structure and trolley
for mega container cranes, Mathematical and
Computer Modelling of Dynamical Systems:
Methods, Tools and Applications in Engineering
and Related Sciences, Vol. 15, No. 3, pp. 295-311,
2009.
[11] Zrni, N., Bonjak, S., Hoffmann, K.: Parameter
sensitivity analysis of non-dimensional models of
quayside container cranes, Mathematical and
Computer Modelling of Dynamical Systems:
Methods, Tools and Applications in Engineering
and Related Sciences, Vol. 16, No. 2, 145-160,
2010.
[12] Zrni, N., Gai, V., Obradovi, A., Bonjak, S.:
Appropriate modeling of dynamic behavior of
quayside container cranes boom under a moving
trolley, Springer Proceedings in Physics 139,
Vibration problems ICOVP 2011: The 10th
International Conference on Vibrational Problems,
pp. 81-86, 2011.
[13] Gai, V., Zrni, N., Obradovi, A., Bonjak, S.:
Consideration of moving oscillator problem in
dynamic responses of bridge cranes, FME
Transactions, Vol. 39, No. 1, pp. 17-24, 2011.
[14] Vladi, J., oki, R., Kljajin, M., Karakai, M.:
Modelling and simulations of elevator dynamic
behaviour (Preliminary notes). Technical Gazette,
Vol. 18, No. 3, pp. 423-434, 2011.
[15] Glossiotis, G., Antoniadis, I.: Payload sway
suppression in rotary cranes by digital filtering of
the commanded inputs, Proceedings of the
Institution of Mechanical Engineers, Part K:
Journal of Multi-body Dynamics, Vol 217, No. 2,
pp. 99-109, June 1, 2003.
[16] Spathopoulos, M.P., Fragopoulos, D.: Pendulation
control of an offshore crane, International Journal
of Control, Vol. 77, No. 7, pp. 654-670, 2004.
[17] Ghigliazza, R.M., Holmes, P.: On the dynamics of
cranes, or spherical pendula with moving supports,
Int. J. of Non-Linear Mechanics, Vol. 37, No. 7, pp.
1211-1221, October 2002.
[18] Jerman, B., Podraj, P., Kramar, J.: An
Investigation of Slewing-Crane Dynamics During
Slewing Motion - Development and Verification of

a Mathematical Model, International Journal of
Mechanical Sciences, Vol. 46, No. 5, pp. 729-750,
2004.
[19] Huilgol, R.R., Christie, J.R., Panizza, M.P.: The
motion af a mass hanging from an overhead crane,
Chaos, Solitons and Fractals, Vol. 5, No. 9, pp.
1619-1631, September 1995.
[20] Wu, J.J., Whittaker, A.R., Cartmell, M.P.: The use
of finite element techniques for calculating the
dynamic response of structures to moving loads,
Computers and Structures, Vol. 78, No. 6, pp. 789799, 2000.
[21] Jerman, B.: An enhanced mathematical model for
investigating the dynamic loading of a slewing
crane, Proceedings of the Institution of Mechanical
Engineers, Part C: Journal of Mechanical
Engineering Science, Vol 220, No. 4, pp. 421-433,
April 1, 2006.
[22] Jerman, B., Kramar, J.: A study of the horizontal
inertial forces acting on the suspended load of
slewing cranes, Int. j. mech. sci., Vol. 50, No. 3, pp.
490-500, 2008.
[23] F.E.M 1.001. Rules for the design of hoisting
appliances. 10.1998.
NOMENCLATURE
a a (t )
acceleration/deceleration
a av
the average acceleration or deceleration
a0
initial value of acceleration/deceleration
F
FC (t )
active force acting on the movable structure

(crab or crane)
horizontal component of the force in the
load carrying rope
FC ,av
average horizontal inertial force developed

during an acceleration or deceleration
FC , max
maximal horizontal inertial force due to the

load acceleration or deceleration
FC , max
maximal horizontal inertial force due to the

load acceleration or deceleration
f factor ,a
f factor , F
proportionality
factor
of
the
acceleration/deceleration
proportionality factor of the breaking force
Fm
constant breaking force
F0
initial value of the breaking force
y coordinate of the centre of gravity of the

payload mass
length of the rope

translator mass, defined as the sum of
masses of all the parts that moves together
with the pivot point (including the inertia
effects of the rotating parts of the
93
corresponding driving mechanism)
m1
the payload mass
qj
generalised independent co-ordinates
Q nj
(non-conservative) generalized forces
Q x, F
generalized force of non-conservative active

force F
number of generalised independent coordinates
s
t
time
total kinetic energy of the system
tacc
the acceleration/deceleration time of the

load suspension point
period of oscillation of the load suspended

on the rope looked at as a mathematical
pendulum
systems potential energy
V1
potential energy of payload mass
coordinate of the movement of the pivot

(load suspension point)
speed of the pivot point
acceleration/deceleration of the pivot point
t1
Greek symbols
time ratio, defined as the ratio between the
acceleration time tacc and the period of
oscillation t1
critical
value of
crit
virtual work of the non-conservative active
AF
force F
x
virtual displacement of the force F
mass ratio, defined as the ratio between the
payload mass m1 and the translator mass
deviation angle of the load carrying rope

from the static equilibrium
coefficient of horizontal inertial forces due
to the masses suspended on the ropes
94
Dr Miomir Jovanovi
Full Professor
University of Ni
Mr Goran Radoii
Research Assistant
University of Ni
Danijel Markovi
Teaching Assistant
University of Ni
Theoretical and Experimental

Identification of the Base Mode of
Torsional Vibrations of Tower Crane
Knowledge of low frequency vibrations is an important question for design
of electro-mechanical brake system of tower cranes and for successful
positions control. In order to determine its own dynamic characteristics,
the theoretical (numerical) model is developed, which determines the
lowest torsional frequency and next several frequencies (modes) of an
arbitrary tower structure. The lowest frequency is experimentally verified
by making a precise measuring system. Using analogy of real and
theoretical model from this research without experimental verification, a
high-quality dynamical model can be developed for different simulations.
The task was carried out using FEM technology, and the experiment was
performed on the tower crane Potain 744e.
Keywords: Torsional vibration, normal modes analysis, mode shape,
eigenvalue, measurement, supporting structure, tower crane.
1. INTRODUCTION
One crane operation is slewing motion. This motion

is specific for greatest number of cranes (portal-rotating,
tower, mobile and other cranes). Slewing means rotation
of boom (with rotating platform) around the major
vertical crane axis to transport (displace) the payload.
Torsional vibrations of the entire structure appear
during the rotation.
Design of braking system and motion control, as
well as slewing motion control and load sway control,
requires the knowledge of dynamic crane
characteristics. Researches which determine new control
concepts of crane motions are still very current [6], [10],
[11]. Also, a certain number of researchers particularly
consider the problem of load sway during slewing
motion of cranes [2].
Knowledge of the dynamic response of structure is
exceptionally important in transient regimes, and
especially on occurrence of external perturbation forces,
not only for cranes but for other transportation machines
with large geometry and weight, too (e.g. mining
machines: stacker, dredger) [3], [4]. Mentioned
structures oscillate with large amplitudes and every
eventual irregularity in structure or in machine handling
can be a threat to stability.
Normal modes analysis (modal analysis) represents
base of the transient dynamical response analysis and it
is done before harmonic analyses. The aim of modal
analysis is finding eigenvalues and mode shapes.
Numerical calculated results of own dynamic
characteristics of structure, obtained in the modal
analysis should be verified in experimental tests. These
tests will indicate the difference of own frequencies in
Correspondence to: Dr Miomir Jovanovi, full professor
Aleksandra Medvedeva 14, 18000 Ni, Serbia
E-mail: miomir@masfak.ni.ac.rs
theoretic (numerical) and real (physical) model. The

experimental results enable evaluation of numerical
FEM (finite element method) model quality [5] and
applicability of this model for similar dynamic
problems, especially in absence of experimental
examinations. The experimental tests on large
supporting structures, like this, are shown in the
research [7].
The mechanical model of tower crane Potain 744e is
made for needs of basic and advanced dynamic
analyses. With numerical tests on the developed model,
the own frequencies are calculated and the mode shapes
are determined. Comparison of the calculated own
frequencies with real values is performed by original
experiment on the tower crane in Fig. 1-a. This
experiment is shown in the paper.
2. THEORETICAL BASIS FOR THE
DETERMINATION OF EIGENVALUES
Natural circular frequencies and mode shapes of

supporting structures are considered in the normal
modes analysis (or real eigenvalue analysis) [1], [8].
Calculation of natural frequencies for undamped
vibrating systems without payload and multi-degree-offreedom (MDoF) is performed using the equation of
motion in basic matrix form (1). By solving the system
of differential equations (1), the solutions in the form of
free harmonic vibrations (2) are obtained.
M q K q 0 ,
q i sin it .
(1)
(2)
In the equations (1) and (2) are used labels: [M] inertial mass matrix; [K] - stiffness matrix; {q} displacement vector; q - acceleration vector; i - ith
circular natural frequency in radians per unit time; {}i
- eigenvector (mode shape) for ith circular frequency; t time. After replacing the solution {q} and q (2) in the
system of equations (1), the characteristic matrix form -
95
eigenequation (3) is obtained from which are obtained

eigenvalues and mode shapes of system:
M 0 .
(3)
Eigenvalues give the natural frequencies of vibratory

movement and they can be represented by matrix
equation (natural frequency matrix):
2 0
1
2 0 22
i

0
0
0
.

n2
(4)
The mode shape matrix can be obtained in form:
1 , 2 , , n .
(5)
Presence of dynamic impacts will cause a structure

to free oscillate with eigenfrequencies i thus obtained.
Dynamic response of structure will be characterized by
the shape of deformation depending on the
eigenfrequency. This deformed shape of structure is
named the mode shape.

3. EXPERIMENTAL IDENTIFICATION OF THE BASE
MODE SHAPE
The experimental examination of wider dynamic

character was performed on the tower crane Potain 744e
with general characteristics: reach 45 m, total height
23.5 m, lifting height 16 m, loading capacity 10/2.35 t at
reach of 14.8/45 m.
Foundation of the crane was composed of reinforced
concrete and is located on ground of the compressibility
class II. Fundament of the crane is supported only
elastically and defined by basic stiffness k of the ground
(Fig. 2). The experiment of foundation deflection (local
movement) is control measurement of adequacy
modeling of the ground stiffness. The vertical vibrations
of crane foundation, under working loads, were very
small. Maximal vertical displacement of foundation
amounted 4/100 mm (Fig. 1-d). The measurement of
foundation vibrations is performed using the measuring
system on Fig. 1-c,d which contained a comparator with
two independent supports. In that way, check of the
flexible connection between the crane fundament and
surrounding ground is done.
Figure 1. Examination of the tower crane POTAIN 744e (MIN - KOPEX Ni, 2012): a. Overview of measurement; b. Trial load
with sensors of acceleration and force on the hook; c, d. Measurement of foundation displacement
The measuring system on Fig. 2, for the dynamic

experimental analysis of the crane, consisted of: strain
gauges HBM LY 10/120 , dynamometer HBM U2A
(10 t), accelerometer, measuring amplifier HBM MGC+
and personal computer. Measurement of deformations
MG was performed using the strain gauges with labels
MGi (i=1,2,3) at the measuring points (a) and (b)
(Fig.2). The measuring places (a) have made the
measuring gauges MG1 and MG2, which are located
opposite on the main vertical rods in basis of the pylon.
The measuring place (b) was intended for measuring
gauge MG3 on the tie of the counter-boom. Beside
deformations, the experiment comprised measurement
of acceleration (c) and force (d) on the hook (Fig. 2).
The measured results were processed in software HBM
Catman.
Excitation of large supporting structure of crane to
oscillate on the lowest frequency is not simple. In
regular crane operation regimes the lowest frequency
occurs only in cases of combined action of several
mechanisms. The torsional vibration of lowest
frequency most is easily allocated after kinematic
rotation, that is, after the end of rotation, when the
96
rotating vibration of entire structure begins around the

vertical axis of pylon. Identification of the lowest
eigenfrequency is performed only visually, by observing
the experimental model (without load) in the
measurement # 5 in the end of amortization period of
torsional vibration (Fig. 3). The measured results on
Fig. 3 are classified into three characteristic curves
according to position of measuring gauge. Position and
labeling of the strain gauges are shown on Fig. 2. The
lowest frequency due to torsion can be observed only
after 58th second of the experiment in the calming phase
of construction. The measuring gauges MG2 and MG3
show the periods of oscillation with lower frequencies
(T2,i; T3,j). Duration of the experiment determined a
number of relevant vibrating periods that, in the case of
two strain gauges MG2 and MG3, amounts n = m = 3.
Influence of measuring gage MG1 on the identification
of lowest frequency is not taken into account because it
is impossible to recognize deformations of this
measuring point caused exclusively by torsion. Presence
of torsion, otherwise in these measurements, is very
week due to low excitation energy, which is manifested
in the form of small amplitude of the measured voltage.
Figure 2. Layout of measuring equipment for experimental determination of dynamic behavior of crane Potain 744e
Due to the influence of structural damping [9],

vibrating motion of this system is a quasi-periodic
motion with a variable period of amortized vibrations Ti.
Real difficulties of causing torsional vibrations
conditioned introduction of some approximations in
calculating the period of oscillation. These
approximations involve averaging periods of the quasiperiodic vibrations of the structure for nMG2 = mMG3 = 3
selected relevant periods (Fig. 3), regarding:
T T
1
11 n
1 m
TMG 2 TMG3 T2,i T3, j (6)
m j 1
2
2 n i 1
In that way the experimental period of oscillation

T=6.733 s is obtained. This means that the basic natural
frequency amounts 1 = 0.1485 Hz which corresponds
to torsional vibrations of the structure without load,

around the main vertical axis of crane.
When measurements are performed with a load,
identification of the lowest frequency can be difficult
due to presence of the load sway impact. Closeness of
the period of load sway (as pendulum) to the lowest
numerical torsional frequency can lead to random
replacement period of oscillation of two different
effects. The load sway period can be easily separated
from other frequencies by introducing the particular
measurement. In that measurement, the load oscillates
like pendulum, after execution from equilibrium state.
The excitation should be first in one direction, then in
orthogonal, to measure both frequencies. The measured
frequencies will depend on length of rope of the lifted
load.
Figure 3. Deformations of the structure caused by rotation slewing of boom without load
97
In order to demonstrate the problems of

identification of real impacts, the determination of load
sway impact will be shown experimentally and
analytically. Lifting load of 2.2 tons up to 1.5 m within
horizontal range of 24 m (Fig. 1-a,b), slewing and
braking to a stop, caused the damped own vibrations of
the system. Figure 4 just shows these vibrations as
changes of micro-deformations of reference points of
the structure, where there were strain gauges at the time
of the experiment. Darker area of the diagram in Fig. 4
represents the regime of load lifting, lighter area
rotating and white area braking and amortization of
vibrations. Looking at the picture 4, we can see that
there are higher harmonics of vibration caused by
smaller masses in the part of the diagram related to the
amortization (white area). The greatest elastic lateral
deformation (along y-axis) amounts 205 m/m (MG2).
The average value of the load sway period (Fig. 4) can
be calculated by equation:
TQ
1
11 n
1 m
TMG1 TMG 2 T1,i T2, j (7)
2
2 n i 1
m j 1
After visual identification of the relevant individual

periods from Fig. 4 (n = m = 5), the average
experimental period of oscillation TQ = 7.082 s
(Q=0.1412 Hz) was calculated for trial load. Thus
calculated period TQ is very close to the period of
mathematical pendulum TP of length L = 13 m, in the
Earths gravity g = 9.81 m/s2:
TP 2
L
13
2
7.233 s.
g
9.81
(8)
Both previous tests indicate the proximity of the

load sway frequencies and torsional frequencies.
Figure 4. Impact of load sway on the torsional vibrations of the structure
4. EIGENVALUES OF THE NUMERICAL FEM

MODEL OF THE CRANE
Normal modes analysis was performed using

software NASTRAN on previously developed model
with 1667 finite elements and 1146 nodes. The model
represents the mass of 72204 kg and contains total
number degrees of freedom NDOF = 6876. Regarding the
experimental difficulties of causing torsional vibrations
(because the crane is protected by safety systems), the
mechanical model of crane was adapted to experiment
with a load. Such model numerically determines the
impact of load on occurrence of the torsional vibrations
and it can be compared with the experiment. The
mechanical model contains the mass of payload M = 4 x
550 kg, reduced to four points of the boom (on the
driving cart). Modeling was performed using FEM and
software FEMAP. By modal analysis of the numerical
98
FEM model of the tower crane Potain 744e, the natural

frequencies were obtained for the first twenty free
undamped mode shapes. Table 1 shows the first eight
eigenfrequencies for model with load of 4 x 550 kg.
Table 1. Theoretical eigenfrequencies of the crane P 744e
Mode Shape
Mode 1
Mode 2
Mode 3
Mode 4
Frequency
(Hz)
0.1583
0.44789
0.53777
1.4859
Mode Shape
Mode 5
Mode 6
Mode 7
Mode 8
Frequency
(Hz)
1.5808
1.95857
2.02166
2.48

5. ANALYSIS OF RESULTS
Figure 5. The basic mode shape of tower crane model

Potain 744e (1 = 0.1583 Hz, T1 = 6.317 s)
Torsional vibrations are important because they

belong to the lowest mode shape of entire structure.
Larger dynamic amplitudes of the structure in sense of
mode shapes (5) result from this. Numerical model
requires careful modeling of the structure in order to
obtain results close to experiment. Minimization of the
load sway influence (like pendulum) in the current
modeling of crane with load led to occurrence of
numerical differences in relation to the experiment
which leads to the conclusion that better modeling is
possible. Table 2 shows the obtained difference of
numerical and experimental model. This difference is
expressed by relative error of period T of the basic
mode shape (torsion). The calculated relative error
amounts T = 10.8 %.
Table 2. Comparative review of the calculated periods of
oscillations
Numerical value TN (s)
6.317
Experimental value TQ (s)
7.082
Theoretical value (math. pendulum) TP (s)
7.233
Relative error T TN TQ 100 %
10.8
TQ
a.
b.
Figure 6. Torsional mode shapes: a. Mode 8, 8 = 2.48 Hz;
b. Mode 13, 13 = 6.114 Hz
By post-processing the results of numerical FEM

analysis of the theoretical model, mode shapes (modes)
of the simultaneous rotation of pylon and boom of the
crane were obtained. The numerically calculated period
of oscillation on the lowest eigenfrequency amounts
TN=6.317 s. This basic mode shape (mode 1,
1=0.1583Hz) corresponds to torsion around the main
vertical axis of the crane pylon, caused by load sway
(Fig. 5). Precisely this mode shape is experimentally
observed for verification of the numerical model. Figure
6 shows two more mode shapes of same model on
higher frequencies, where torsion of the pylon occures.
Besides torsion, these mode shapes contain bending and
twisting of the boom.
To obtain smaller deviations of the numerical model

it is necessary to perform additional testing of ground
and to determine the precise value of the foundation
stiffness of suspension. Better models than the
developed ones must include system nonlinearities in
the form of gap and friction of structural contact
connections.
Performed measurements require provocation of the
torsional vibrations on lower frequencies. It is not easy,
since the crane is electronic protected from harsh
excitations. Therefore, during the experiment in real
conditions, torsional vibrations do not have to appear at
all. If they do appear, than they can be visually observed
only when the crane boom vibrates in place, by
rotation around axis of pylon. During the kinematic
rotation of the boom, the presence of torsional
vibrations can be barely visually observed. In addition
to designing caution it is noted that a very slight
breaking of rotation causes significant deformations of
supporting structure (pylon), Fig. 4. This suggests the
request to use equipment with quality regulation of the
kinematics of rotation.
Scientific requirements of general nature and
automatic control systems should provide a
management rotation, including vibration control. From
this requirement follows a generalized block diagram of
the feedback control concept, shown in Fig. 7.
Programming reference inputs relevant to the
process are: mass of load, velocity of crane mechanisms
(energy), position of suspension point of load (in the
basic plate xy) and allowable vibration level (Fig. 7).
The controller should provide outputs in form of
motions, taking into account the differences of input and
99
measured (with sensor) control parameters. Crane

commands then provide the motions with corrected
kinematic parameters and optimal trajectories. The
feedback provides iterative control process of system.
load, torsional vibrations level and information about

aim of positioning the final position.
ACKNOWLEDGMENT
The paper is a part of the research performed within

the project TR 35049. Paper also is part of the doctoral
studies of the third author. The authors would like to
thank to the Ministry of Education and Science,
Republic of Serbia.
REFERENCES
Figure 7. Block-diagram of feedback control concept
6. CONCLUSION
One reason for the appearance of significant

difference
of
experimental
and
numerical
period/frequency of torsional vibrations is insufficient
perfection of the considered FEM model. Further
development of better models include following:
a) Better modeling of elastic connections between
crane fundament and surrounding ground (better
schedule of the elastic foundation connections);
b) The application of complex ground mechanics
parameters
(compressibility,
compaction,
stratification, liquefaction of soil);
c) The application of the explicit modal analysis of
model with a suspended load, which oscillates as a
pendulum;
d) Modeling of the crane structure with more
kinematic substructures. The pylon of crane in the
modeling was observed as a unique structure with
rigid connections between elements inside (rods,
beams and plates). Realistically, rotating part of
the crane is a separate section in relation to the
pylon and there is a difference in vibrating
frequencies of the tie and the pylon. In the rotating
bearing, there are certain gaps, so that the crane
represents a complex mechanism of nonlinear
nature. For modeling of these and similar
transportation machines, the multi-body structural
forms can be applied.
Slewing of the structure is characterized by
significant inertia of rotating masses. While managing
in the rotation, this inertia should be controlled by
engine excitation and by braking systems. Dynamics of
rotations of the tower cranes isnt similar to the
dynamics of other driving mechanisms of cranes. Due to
higher kinetic energy, the braking process is longer.
Long non-automatized braking processes dont provide
precise positioning and subsequent corrections of
rotation position are required. Reduction of dynamic
appearances can be achieved using the electrical braking
systems and electronic systems for vibrating level
control. These are the controllers of rotations. Such
controllers would have to operate on the base of
measurements of: velocity (energy), mass of suspended
100
[1 He, J. and Fu, Z-F.: Modal analysis, Butterworth

Heinemann, Oxford, UK, 2001.
[2] Jerman, B. and Podraj, P.: Implementation of a
closed-loop control for suppressing the load sway
during slewing motion of a crane, XIX
International Conference on Material Handling,
Constructions and Logistics, Belgrade, 2009.
[3] Jovanovi, M., Radoii, G. and Maneski, T.:
Dynamical eigenvalue identification of heavy
structures machine, Proceedings of 7th Triennial
International Conference Heavy Machinery HM
2011, Vrnjaka Banja, Serbia, 2011.
[4] Jovanovi, M., Radoii, G., Mili, P.: Dynamic
sensitivity research of portal-rotating cranes,
Proceedings of XIX International Conference on
Material Handling, Constructions and Logistics,
Belgrade, Serbia, pp. 61-66, 2009.
[5] Jovanovi, M., Radoii, G., Petrovi, G. and
Markovi, D.: Dynamical models quality of truss
supporting structures, Facta Universitatis - Series
Mechanical Engineering, University of Ni, Vol. 9,
No. 2, pp. 137-148, 2011.
[6] Klosinski, J.: Swing-free stop control of the slewing
motion of a mobile crane, Control Engineering
Practice, Vol. 13, pp. 451460, 2005.
[7] Maneski, T.: Vibration measuring on trail
supporting structure in mining RBB Bor, University
of Belgrade, Mechanical Faculty, 2010.
[8] MSC. Software Corporation: MSC/Nastran V68 Basic
dynamic
analysis,
from
http:// www.mscsoftware.com
[9] Rose, T.: An approach to properly account for
structural damping frequency dependent
stiffness/damping, and to use complex matrices in
transient response, Aerospace Conference and
Technology Showcase, 2001.
[10] Sawodny, O., Neupert, J. and Arnold, E.: Actual
trends in crane automation Directions for the
future, XIX International Conference on Material
Handling, Constructions and Logistics, Belgrade,
Serbia, 2009.
[11] Sorensen, K. L., Singhose, W. and Dickerson, S.: A
controller enabling precise positioning and sway
reduction in bridge and gantry cranes, Control
Engineering Practice, Vol. 15, pp. 825837, 2007.
Neboja Zdravkovi
Teaching Assistant
University of Kragujevac
Faculty of Mechanical Engineering Kraljevo
Zoran Petkovi
Professor
University of Belgrade
Milomir Gai
Professor
Mile Savkovi
Associate Professor
Research of deflection - payload

dependence of the auto crane
articulated boom
One of requirements to be fulfilled by supporting structure is condition of
deformation. Usually, it is set through displacement limits of certain points
on deformed structure. The paper presents a method for determining the
deflection of auto crane articulated boom due its payload on the example
of three-segment articulated structure. The forces in joints were obtained
in the segments' local coordinate systems. The equations of bending
moments for each segment were defined, with respect to angles of segment
inclination. Based on strain energy and Castigliano's second theorem,
component displacements of the boom's tip were calculated in the global
coordinate system XYZ. Finite element method (FEM) revealed that
deviations of the analytical model are less than 5% for different boom
shapes within work range.
Keywords: articulated boom, payload, deflection, displacement, strain
energy, FEM.
1. INTRODUCTION
One in a series of requirements to be fulfilled by

supporting structure, in addition to condition of material
strength, elastic stability, connections safety, etc., is
condition of deformation. This constraint restricts
displacement of the characteristic points of the structure
due to the effect of working loads.
Insufficient rigidity of structure, during operation,
may cause excessive deformation occurrence and
unwanted additional static and dynamic loads. This can
cause unreliable operation and short service life of
machines as a result. Thus, limiting the value of static
deflection of the structure creates a prerequisite for
achieving good exploitation properties.
For certain type of crane supporting structures, the
allowed deflections are prescribed by standards. Thus,
for example, allowed static displacement at mid-span of
L
, where L - span of
bridge crane main girder is
600
crane [1]. In the case of gantry crane, allowed static
displacement
at
endpoint
of
overhang
is
(1/4001/200)L1, where L1 is overhang length, while at
mid-span point it is (1/10001/600)L [2].
Calculating the deflection of the supporting
structures of these types of cranes is easy thanks to their
simplicity and unchangeable geometry. However, it is
not always the case.
Auto-cranes articulated booms are typical
representatives of carrying structures with variable
geometry, in which the geometry of the structure
changes depending on the working position [3].
Correspondence to: Nebojsa Zdravkovic, Teaching Assistant

Dositejeva 19, 36000 Kraljevo, Serbia
E-mail: zdravkovic.n@mfkv.kg.ac.rs
The main loads, structural elements' self-weight and

the action of the payload, remain constant in direction
and intensity, while the geometry of the articulated
boom varies according to the current horizontal reach
and lifting height. This fact leads to variability in the
load for all members of the mechanism and thus to the
variable displacement of the characteristic points,
depending on the boom's position.
Constraint imposed by static deformations may be
dominant in the case of machine structures [4].
Analytical dependencies enable designer to use limited
endpoint displacement (f < fallowed) as a constraint
function for optimization in order to reduce mass of the
structure [4-8].
The paper presents a method for determining the
deflection of auto crane articulated boom on the
example of three-segment articulated boom driven by
three hydraulic cylinders (Fig. 1).
Figure 1. Three-segment articulated boom driven by hydro

cylinders
101
2. ANALYTICAL MODEL FOR CALCULATION OF

DEFLECTION
In order to carry out the procedure of obtaining

deflection-payload dependence an analytical model of
three-segment articulated structure is set in Fig. 2.
Figure 2. Analytical model of three-segment articulated structure used for determination of deflection-payload dependence
using strain energy method
102
It is assumed that, principle of superposition applies

for individual influences of payload G and virtual force
X=0, which act on boom's tip. Also, when calculating
strain energy, the influence of bending moments is
being taken into account only, while other contributions
are neglected.
In addition, the influence of the substructure's
elasticity is ignored because its' stiffness is much greater
than stiffness of the boom itself. Firstly, there was a
static analysis of the structure and the loads were
determined for each segment individually, as functions
of inclination angles of segments 1, 2 and 3, lengths
and external load. The loads were obtained for the
segments' local coordinate systems iii, i=1,2,3. It
made possible to obtain the equations of bending
moments for each segment, with respect to these angles.
Also, based on strain energy and Castigliano's second
theorem, component displacements of the boom's tip
were calculated in the global coordinate system XYZ.
The payload G causes deflection of the structure
wherein the booms tip has displacements in X and Z
directions, fx and fz (Fig. 1). In order to find fx
displacement due to payload influence, a virtual external
force X is put at the booms tip. The corresponding
displacements are:
Ad 1 m 1 i
M i ( s )
M i ( s)
ds .
G E i 1 I i 0
G
l
fz
fx
Ad
X
M ( s )
1 m 1 i
M i (s) Xi ds
E i 1 I i 0
(1)
RC 3
X 0
. (2)
FB 2 FB sin 22
2.1 Determination of joint reactions due to external

loads action
Joint reactions and forces in hydro cylinders when

payload is acting were calculated already [9], so the task
is now to resolve the case when virtual force X is acting
only. To be more precise, it is necessary to derive the
analytical expressions only for transverse components
of joints reactions which cause bending and deflection
of the articulated structure. This components, according
to Fig. 2, are projections of joint reactions onto the local
axes i , i=1,2,3.
Firstly, segment 3 is analyzed. Out of moment
equation set for point C, it is obtained:
FC 3
X
FC sin 33 L3 cos 3 .
l33
(3)
Applying second condition of static equilibrium for

segment 3, it is:
X
L2 sin 2 L3 cos 3 .
l22
(5)
When calculating the transverse component of force

in hydro cylinder FC on segment 2, it is taken with
opposite direction. Regarding (3) and applying sine
theorem onto triangle CCC it is obtained:
L3
cos 3 .
l32
(6)
RC 2 RC cos ( 3 2 ) " .
(7)
FC 2 FC sin 32 X
According to Fig. 2 it is written:
Having in mind relation
" ' 3 .
(8)
(7) is transformed to the following form:
RC 2 RC (sin 'sin 2 cos 'cos 2 ) .
(9)
Expressions for sin and cos are derived from

force graph of FC, RC and X by means of sine and cosine
theorem:
cos '
X 0
where: Ad - strain energy, E - modulus of elasticity, m number of sections (subdivisions), Mi(s) - bending
moment of section i, s - floating section coordinate. The
first action taken in order to define expressions for
bending moments and corresponding partial derivatives
for each section is to find analytical dependencies of
joint reactions with the respect to inclination angles and
for two separate load cases: case 1 - payload G acts
only, case 2 - virtual force X acts only.
(4)
Out of moment equation for segment 2 set for point

B, it is derived:
X
L3 l33 cos 3 .
l33
FC
F cos X
sin , sin ' C
.
RC
RC
(10)
Using dependencies (10) in (9) it is obtained:

RC 2 X sin 2 FC sin( 2 ) .
(11)
Considering following relation from triangle CCC
3 33
(12)
and applying some transformations, finally it is derived:

RC 2
X
L3 cos 3 l32 sin 2 .
l32
(13)
Applying the condition of static equilibrium for

segment 2, it is calculated:
RB 2
X
l22 sin 2 L2 sin 2 L3 cos 3 . (14)
l22
Similar procedure is carried out for segment 1. Out

of moment equation set for point A, it is obtained:
FA1
X
L1 sin 1 L2 sin 2 L3 cos 3 .
l11
(15)
When calculating the transverse component of force

in hydro cylinder FB on segment 1, it is taken with
opposite direction. Regarding (5) and applying sine
theorem onto triangle BBB it is obtained:
103
FB1 FB sin 21
X
L2 sin 2 L3 cos 3 . (16)
l21
According to Fig. 2 it is written:

RB1 RB cos(
Considering following relation
2 22 .
(22)
and applying some transformations, finally it is derived:
3
") .
2
RB1
(17)
Having in mind relation
" ' 1 .
(18)
(17) is transformed to the following form:

RB1 RB (sin 1 cos ' cos 1 sin ') .
F cos X
F
cos ' B
, sin ' B sin .
RB
RB
(19)
(20)
Using dependencies (20) in (19) it is obtained:

RB1 X sin 1 FB sin( 1 ) .
Applying the condition of static equilibrium for

segment 1, it is calculated:
RA1
Expressions for sin and cos are derived from

force graph of FB, RB and X by means of sine and cosine
theorem:
X
l21 sin 1 L2 sin 2 L3 cos 3 . (23)
l21
X
l11 sin 1 L1 sin 1 L2 sin 2 L3 cos 3 .(24)
l11
For clarity improving purpose, the obtained

analytical expressions for transverse reactive forces
upon all three segments are given in Table 1.
If multipliers of G and X are denoted as gj and xj
(j=1,...,11) consequently, while using simplified
denotation from Table 1 and applying the principle of
superposition, total forces values can be noted as
follows:
(21)
Fj g j G x j X , j 1,...,11 .
(25)
Table 1. Transverse reactive forces upon segments
segment III
segment II
segment I
Joint
Force
Force value in load case with G acting only [9]
Force value in load case with X acting only
G
X
L1 cos 1 L2 cos 1 L3 sin 3 l11 cos 1 l11 sin 1 L1 sin 1 L2 sin 2 L3 cos 3
l11
l11
F1 RA1
F2 FA1
G
L1 cos 1 L2 cos 2 L3 sin 3
l11
X
L1 sin 1 L2 sin 2 L3 cos 3
l11
F3 FB1
G
L2 cos 2 L3 sin 3
l21
X
L2 sin 2 L3 cos 3
l21
F4 RB1
G
l21 cos 1 L2 cos 2 L3 sin 3
l21
X
l21 sin 1 L2 sin 2 L3 cos 3
l21
F5 RB 2
G
l22 cos 2 L2 cos 2 L3 sin 3
l22
X
l22 sin 2 L2 sin 2 L3 cos 3
l22
F6 FB 2
G
L2 cos 2 L3 sin 3
l22
X
L2 sin 2 L3 cos 3
l22
F7 FC 2
G
L3 sin 3
l32
F8 RC 2
G
l32 cos 2 L3 sin 3
l32
X
L3 cos 3 l32 sin 2
l32
F9 RC 3
G
l33 L3 sin 3
l33
X
L3 l33 cos 3
l33
F10 FC 3
G
L3 sin 3
l33
F11 RD 3
G sin 3
104
X
L3 cos 3
l32
X
L3 cos 3
l33
X cos 3
2.2 Calculation of booms tip displacements
After integration, corresponding members in (26)

and (27) are as follows:
Segments of articulated boom can be considered as

independent separated girders. The whole structure is
divided into 8 sections between joints and anchor points
of hydro cylinders, as it is shown in Figure 3.
fz2
fz5
Figure 3. Articulated boom divided into sections
fz3
Gg 42 s33
.
3EI1
(30)
fz4
Gg52 s43
.
3EI 2
(31)
G
3
( g5 g6 )s5 g5 s4 ( g5 s4 )3 .(32)
3EI 2 ( g5 g 6 )
fx2
fz6
Gg82 s63
.
3EI 2
(33)
fz7
Gg92 s73
.
3EI 3
(34)
f z8
Gg112 s83
.
3EI 3
(35)
f x1
Gg1 x1 s13
.
3EI1
(36)
( g1 g 2 )( x1 x2 ) 3
s2 g1 x1 s12 s2
G
3
. (37)
EI1 x1 ( g1 g 2 ) g1 ( x1 x2 ) 2
s1 s2

2
f x3
Gg 4 x4 s33
.
3EI1
(38)
fx4
Gg5 x5 s43
.
3EI 2
(39)
Table 2. Bending moments by sections
Moment
of
Bending moment
inertia
s1 l11
s2 L1 l11 l21
s3 l21
F4 s
s4 l22
F5 s
s5 L2 l22 l32
s6 l32
s7 l33
s8 L3 l33
F1s
F1 s s1 F2 s
I1
f x5
F5 s s4 F6 s
I2
F8 s
( g5 g 6 )( x5 x6 ) 3
s5 g5 x5 s42 s5
G
3
. (40)
EI 2 x5 ( g5 g 6 ) g5 ( x5 x6 ) 2
s4 s5

2
f x6
Gg8 x8 s63
.
3EI 2
(41)
f x7
Gg9 x9 s73
.
3EI 3
(42)
f x8
Gg11 x11 s83

.
3EI 3
(43)
F9 s
I3
F11s
New forms of (1) and (2) are now:

fz
fx
Ad
X
8
Ad
M i ( s )
1 8 1
f zi M i ( s )
ds . (26)
G i 1
E i 1 I i 0
G
si
X 0
f xi
i 1
M i ( s )
1 8 1 i
M i (s)
ds
E i 1 I i 0
X
(28)
G
3
( g1 g 2 ) s2 g1s1 ( g1s1 )3 . (29)
3EI1 ( g1 g 2 )
Regarding new simplified designations and adopted

positive direction introduced in Figure 3, corresponding
bending moments in relation to floating section
coordinate s are given in Table 2.
Section Section length
Gg12 s13
.
3EI1
f z1
3. THE RESULTS OBTAINED FROM ANALYTICAL

MODEL AND FEM
.(27)
X 0
Numerical data taken for verification of analytical

calculation of booms tip displacement are:
105
L1=760[cm], L2=820[cm], L3=240[cm], l11=300[cm],

l21=336[cm], l22=150[cm], l32=130[cm], l32=54[cm],
I1=9969[cm], I2=5240[cm], I3=2306[cm], G=2[kN],
E=21000[kN/cm2].
Numerical calculation was done for five different
operation positions of the three-segment articulated
boom, Figure 4.
Figure 4. Articulated boom operation shapes within

numerical example
Software packages MatLab and SAP200 were used

for numerical calculations of booms tip displacements.
Numerical results obtained from analytical model and
finite element method are given in Table 3.
Table 3. Numerical results and relative error
Model (cm)
Booms shape
1 2 3 ()
15-15-30
30-30-45
45-45-60
60-60-75
75-75-90
FEM (cm)
Relative Error
(%)
fz
fx
fz
fx
-4.259
-4.357
-3.893
-2.993
-1.896
-0.387
1.040
2.268
2.966
2.949
-4.335
-4.417
-3.928
-2.937
-1.980
-0.396
1.051
2.305
2.867
3.095
1.75
1.36
0.89
1.9
4.24
2.27
1.05
1.61
3.45
4.71
4. CONCLUSION
Analytical form of displacement of articulated

booms tip enables designer to have the ultimate control
upon geometric parameters through design process of
the hinged structure.
Comparative analysis of results revealed that relative
deviations are less than 5%, which makes introduced
method appropriate for determination of articulated
booms deflection.
Contribution of axial and transverse forces to total
amount of strain energy can be neglected.
The obtained analytical dependence of boom
endpoint displacement as a function of geometric
parameters and payload could be the basis for design
and optimization of cross-sections of boom segments
and/or their lengths.
ACKNOWLEDGMENT
This paper is a contribution to the research project

TR 35038 funded by Serbian Ministry of Science and
Technological Development.
REFERENCES
[1] Eurocode 3: Design of steel structures - Part 6:

Crane supporting structures, EN 1993-6
106
[2] Petkovi Z., Ostri D.: Metal structures in

mechanical engineering I (in Serbian), Faculty of
Mechanical Engineering Belgrade,1995
[3] Bonjak, S., Zrni, N., Dragovi, B. (2009):
Dynamic Response of Mobile Elevating Work
Platform under Wind Excitation, Strojniki vestnik
- Journal of Mechanical Engineering, Vol. 55, No.
2 (2009), pp 104-113. ISSN 0039-2480.
[4] Farkas Jozsef.: Optimum Design of Metal Structures,
Akademiai Kiado, Budapest, 1984.
[5] Gasic M, Savkovic , Bulatovic R, Petrovic R.:
Optimization of a pentagonal cross section of the
truck crane boom using Lagranges multipliers and
differential evolution algorithm. Meccanica (2011)
46:845853. doi:10.1007/s1 1012-010-9343-7
[6] , , Optimization
of trapezoidal cross section of the truck crane boom
by Lagranges multipliers and by differential
evolution algorithm (de). Strojniki vestnik
Journal of Mechanical Engineering, 57(2011)4,
304-312, doi: 10.5545/sv-jme.2008.029
[7] Pinca BC, Tirian OG, Socalici VA, Ardeleadn DE:
Dimensional optimization for the strength structure
of a traveling crane. WSEAS Transactions on
Applied and heoretical Mechanics 4 (4), pp
147:156
[8] Selmic R, Cvetkovic R, Mijailovic R: Optimization
of crosssection in structures, monograph. The
Faculty of Transport and Traffic Engineering,
Belgrade
[9] Zdravkovi N., Gai M., Savkovi M., Petrovi D.:
Research of the force values dependences in hydro
cylinders of the mobile elevating work platform
articulated boom on the work position and load
weight, Proceedings of the 7th international
conference research and development of
mechanical elements and systems IRMES2011,
p.271-278, 27th&28th April 2011, Zlatibor, Serbia,
ISBN 978-86-6055-012-7
Nenad Zrni
Associated Professor
Belgrade, Serbia
Conveyor Design Optimization as the

Provision of Sustainability
Marko Langerholc
Teaching Assistant
Ljubljana, Slovenia
Boris Jerman
Assistant Professor
Ljubljana, Slovenia
Milo orevi
Research Associate
Belgrade, Serbia
Conveyors are machines which typically operate continuously during long

periods of time. Even a small increase in energy efficiency leads toward
considerable energy savings and therefore improved sustainability. The
energy is consumed for possible lifting of transported goods and to
overcome dissipative effects and the energy can be saved by reducing those
dissipative effects. Here is example of the production machine chain
conveyor introduced. The effect of the improvement of the design on the
energy consumption is established by means of measurements and
improved sustainability is noticed.
Keywords: conveyors, continuous operation, efficiency, sustainability.
1. INTRODUCTION
Although the conveyor systems are mostly used for

transportation of goods through production lines, their
specific usage inside separate machines in different
production lines is also possible. For such tasks chain
conveyors are frequently used. They can operate under
heavy operating conditions like heavy loading, impacts,
elevated temperatures, dust, etc.
There are number of ways to accomplish high level
of sustainability of conveyor systems. Here will be
presented approach that assume accomplishing of high
level of sustainability through choosing an appropriate
design of conveyor system. That choice normally reduce
overall operation costs also. Another approach related to
the utilisation of energetically optimised drives will be
described later in this chapter.
Concept of sustainability can be interpreted
differently depending on the point of view.
From the environmental point of view, sustainability
represents the systems capacity (in this case the Earth)
to support our activities impact upon the environment
without putting under risk the future of human race.
From the designer point of view, sustainable
development is about designing objects that use limited
resources; it is also about social responsibility and
ethics. According to the United Nations Brundtland
Commission, sustainable development is "development
that meets the needs of the present without
compromising the ability of future generations to meet
their needs" [1].
Many verified design solutions exist for different
types of conveying systems, corresponding to appointed
applications [2], but because of different specific
operating conditions, engineers often have to search for
new conveyor designs. For these design solutions a
required drive power is to be predicted in advance to
enable an effective design process.
Drive power estimation begins by identifying
external loads acting on the conveyor. The process is
continued with assessment of dissipative effects and
determination of the required torque and power of
chosen actuators [3], [4], [5]. Finally, the load bearing
and other essential elements of the conveyor system,

such as chains, are designed or chosen accordingly.
To maintain the conveyor in motion, dissipative
effects must be overcome also. These effects consist
mainly of friction between parts in relative motion and
depend on the type of friction, type and degree of
lubrication and loading. The loading originate from
conveyor weight, transported material weight, chain
straining forces, possible production forces (if conveyor
is in the production machine) and other design
conditions.
When operating conditions are well known, friction
resistances are well defined and can easily be
calculated. On the other hand, when operating
conditions are hardly known because of, for instance,
high and uneven operating temperature, manufacturing
and assembling irregularities, uneven transported
material distribution, poorly defined production forces,
and unsteady lubrication, the friction determination
becomes difficult.
In such cases rough estimation of the dissipative
effects during design should be followed by the
measurements on the designed conveyor system.
After determination of the dissipative effects their
reduction can be accomplished. Reduction of these
dissipative effects results in improved energy efficiency
and achieving energy savings also.
Energy efficiency means using less energy inputs
while maintaining an equivalent level of economic
activity or service [6], [7].
Energy saving is a broader concept that also includes
consumption reduction through behavior change or
decreased economic activity [6], [7].
Energy efficient equipment becomes more attractive
from the economic point of view [8].
According to a publication of the German Federal
Environmental Agency, the lions share of the industrial
power consumption is caused to more than 60 percent
by electric motors (see Figure 1). Process heat,
lightening or heating use proportionately less power, but
should not remain unconsidered when talking about
energy efficiency [8].
107
This paper deals with first mentioned approach for

achieving high level of sustainability related to the
choice of appropriate design solution. Here are
introduced and analysed two design solutions of a
special chain conveyor system for production machine.
Comparison of measured power dissipation in both
cases shows essential improvement in the case of
enhanced design.
2. CONVEYOR DESIGN SOLUTIONS
Figure 1. Electric power consumption in the German

industry
The Bavarian Environment Agency clearly showed

by the following number that energy efficient systems
play an important role: If you use an electric motor with
an annual service life of more than 3,000 hours, 95 % of
the entire costs during the durability fall upon energy
consumption, less than 3 % upon acquisition. It is
therefore too short-sighted to make a decision only
dependent on the acquisition price, as just the energy
consumption of electric drives can be optimized, e.g., in
using frequency controlled efficient motors, low-loss
transmission-units and an intelligent control. Savings up
to 40 % are possible here. It is important to consider the
interaction of the entire conveyor chain, besides the
individual conveyor elements. Capable conveyor lines
fulfil many transport tasks more quickly, which can lead
to a reduced runtime of the machines and therefore to a
reduced consumption. Another possibility to reduce the
energy consumption is to use energy optimized
components [9].
Figure 2. The curing chamber with inlet and outlet ends
108
Conveyor systems are important components of

production lines, such as chambers for production of
sandwich panels and curing chambers for production of
mineral wool insulation plates.
The latter are used to achieve the required density,
thickness and shape of insulation plates within the
prescribed tolerances. To enable binding of separate
mineral fibres into compact insulation plate the elevated
temperature with average around 250C is needed in
order to activate the present glue. The process of binder
consolidation is realised by dehumidification in the
curing chamber. For this reason a chain conveyor with
perforated transverse girders is used, enabling sufficient
air flow through the mineral fibres.
Figure 2 shows the curing chamber with used chain
conveyor system. The upper and lower chain conveyors
are shown, stretching from the inlet to the outlet end of
the chamber.
The details of the outlet and inlet ends of the curing
chamber are shown in Figure 3 and Figure 4
respectively, where the chain conveyors with perforated
transverse girders can be seen.
Fig
gure 6. Close-up detail of driv
ving shaft with sprocketwheel and smootth ring for chain guidence support
Figure 3. The outlet end of the

t curing cham
mber of the basic
and improved
d design
Figure 4. The inlet end of the curing chamber of the basiic

design
These connveyors are designed

d
each with two pullling
chains locateed on both siides of the coonveyor belt and
with two suppporting chainns located a quarter
q
of the belt
b
width from the
t sides of thhe belt as shoown in Figuree 5.
All supportinng and pullingg chains are luubricated.
Figure 5. The conveyor belt made of perfo

orated transverrse
p
chains and
a
supporting
g chains
girders with pulling
In the ouutlet end of the

t curing chhamber the chhain
conveyors have rather coonventional deesign of the belt
b
turn. Two spprocket-wheeels are mountted on a drivving
shaft to trannsfer the drivving momentt of the drivving
motors to thee pulling chains. Two smoooth rings, locaated
under supporrting chains are
a employed to support chhain
guidance (seee Figure 6).
On the otherr hand the inleet end of the conveyor

c
beltt
turrn deviates froom the classicc design solu
utions. Insteadd
of the rotating shaft with w
wheels or rin
ngs the fixedd
s
are introduced forr guidance off
currved rolling surfaces
all of the chains.. Such a desiggn is simpler and
a cheaper too
pro
oduce, but onn the other hhand the chain
ns rollers aree
em
mployed to ennable the mottion, producin
ng substantiall
add
ditional frictioon losses.
Fig
gure 7. Layout of
o a roller chain: 1) Outer pla
ate, 2) Inner
pla
ate, 3) Pin, 4) Bushing, 5) Rolller
The describeed configuration for one pu

ulling chain iss
sho
own in Figuree 8.
Fig
gure 8. The bas
sic design of pu
ull chain turns
For the reeason of avooiding additiional energyy

disssipation the chain
c
conveyor turn at thee inlet end off
thee curing cham
mber end waas redesigned. The classicc
sollution with thee shaft was em
mployed redu
ucing the needd
of the chain roollers rotationn at the beltt turn to thee
nimum and trransferring thhe relative mo
otion from thee
min
chaain rollers to the shaft beaarings. This brought
b
up ann
esssential improvvement of thhe efficiency because thee
109
b
normal forcee, which prodduces the fricction at the belt
turns, equalss to the sum of
o rather big tension forces in
the chain braanches during conveyor opeeration.
The described configuuration for onee pulling chain is
shown on Figgure 9.

3. THE MEASU
UREMENTS
The power, necessary foor driving thee lower chainn

con
nveyor was determined
d
forr both describ
bed conveyorr
dessigns by meeans of meaasurement off the electricc
volltage, electricc current andd rotational speed of thee
driiving three phaase squirrel caage electric motors.
m
The results of
o measuremennts and the diagrams of thee
req
quired power are shown inn Figures 10-1
13. It is clearr
fro
om Figure 10 and Figure 111 that electric current andd
volltage have low
wer values inn the case of the enhancedd
dessign in comparison to the basic design
n whereas thee
ach
hieved rotatioonal speed of the motor is greater. Thatt
all implies to thee lower energgy dissipation end thereforee
t improved efficiency of the conveyor system.
to the
Figure 9. The enhanced des

sign of pull cha
ain turns
Figure 10. Me
easurements off voltage, el. cu
urrent and rota
ational speed of
o the driving motor
m
of basic c
conveyor desig
gn
Figure 11. Me
easurements off voltage, el. cu
urrent and rota
ational speed of
o the driving motor
m
of improv
ved conveyor design
d
Electric power
p
requireed for driving the lower chaain
conveyor, caalculated from
m the measureed quantities, is
shown in Figures
F
12-13. Average power decreassed
from 9.6 kW
W for the bassic design to 8.7 kW for the
t
improved design
d
resultiing in 9 % lower pow
wer
consumptionn.
Additionaal observationn showed that power currve
had lower values and fluctuationss. Power levvel
f
2.3 kW
W (24 % of an
fluctuations decreased from
wer) to 1.5 kW (17 % of an average
a
powerr).
average pow
110
The power peaks that deenote oncomin

ng chain linkss
were much low
wer indicating smoother operation of thee
co
onveyor whichh provides itss longer life sp
pan and moree
co
onstant producction parameteers.
Besides thhe basic cuurve that sh
hows powerr
co
onsumption, thhere are two rregression currves drawn inn
Fiigure 12 and Figure
F
13. One curve has reegression typee
"M
Movein Averaage with Perioode of 200", and the otherr
"P
Polynomial".
Figure 12. Drive power of th

he driving moto
or of basic conveyor design
he driving moto
or of improved conveyor design
Figure 13. Drive power of th
4. CONCLU
USION
AC
CKNOWLEDG
GMENT
Production of electricc energy is directly related to

CO2 emissioons. Since annthropogenic carbon dioxiide
concentrationn increase in earth atmosphhere contribuutes
directly to gllobal warming, this is the point where the
t
topic of eneergy consumpption comes into play. Thhat
means thatt responsiblle and effficient enerrgy
consumptionn is the moost importantt contribute to
climate proteection [9].
Comparisson of two design
d
solutions of the chaain
conveyor sysstem for the curing
c
chambeer of the mineeral
wool insulattion productioon machinery was done affter
the measurem
ment of the reqquired drivingg power for booth
design soluttions. Obtaineed results shhowed enhancced
efficiency of
o the improoved design solution whiich
reduced pow
wer consumptiion of the drriving motor for
f
0.9 kW that presents
p
9 %.
Productioon machineryy has built-iin four electtric
motors and it is intendeed to work 24
2 hours a daay,
p year for about 30 yeaars.
approximatelly 360 days per
Utilisation off the improveed design soluution could briing
savings of appproximately 1 GWh of elecctric energy.
Finally, this improoved designn solution in
combination with energetically optimissed drives couuld
bring even more
m
savings.
This work has been suppported by thee Ministry off

Ed
ducation, Scieence, Culture and Sport off Republic off
Sllovenia and by
b the Ministtry of Educaation, Sciencee
an
nd Technologiical Developm
ment of Repub
blic of Serbiaa
un
nder project 651-03-1251/2
6
2012-09/50 - The bilaterall
prroject for scieentific cooperation between
n Republic off
Sllovenia and thhe Republic off Serbia in thee years 2012 20
013.
RE
EFERENCES
S
[1] Brsan, A., Brsan, L.: Ecodesign fo

or Sustainablee
F
,
Developmeent, Volumee 1 - Fundamentals,
Transilvania University of Brasov, Ro
omania, 2007..
[2
2] American Chain Assocciation: Chain
ns for powerr
g, New York,,
transmissioons and mateerial handling
1982.
[3
3] Broadfoot, A.R., Betz, R.E: Predictiion of powerr
requiremennts for a longwall arrmored facee
conveyor, IEEE Traansactions on
o
industryy
applicationns, Vol. 333, No. 1, pp. 80-89,,
January/Feebruary 1997.
111
[4] Sloot, E.M., Kruyt, N.P.: Theoretical and

experimental study of the transport of granular
materials by inclined vibratory conveyors, Elsevier,
Powder
Technology,
Vol.
87,
No.
3,
pp. 203-210, June 1996.
[5] Nayebi, A., Mauvoisin, G., Vaghefpour, H.:
Modeling of twist drills wear by a temperaturedependent friction law, Journal of Materials
Processing Technology, Vol. 207, No. 1-3, pp. 98106, 16. October 2008.
[6] Zrni, N., Rajkovi, M.: Energy efficiency in
intralogistics: A new trend in research, Proceedings
ot the VII Triennial International Conference
HEAVY MACHINERY - HM 2011, Vol. 7, No. 2,
pp. 127-132, Vrnjaka Banja, Serbia, June 29th July 1st, 2011.
112
[7] Humpl, D., Starkl, F.: The contributions of logistics

to enchance energy efficiency in freight transport,
POMS 21st Annual Conference, Vancouver,
Canada, May 10, 2010.
[8] Gnthner, W., Tilke, Ch., Rakitsch, S.: Energy
efficiency in bulk materials handling, In: Bulk
Solids Handling, Vol. 30, No. 3, pp. 138-142, 2010.
[9] Gnthner, W., Mirlach, M., Rakitsch, S.:
Simulation of bulk materials ship unloading with a
view to energy efficiency, In: Bulk Solids Europe Ship Unloading Energy Efficiency, 2010.
Dynamic responses of a gantry crane

structure due to an accelerating
moving mass
Vlada Gai
Teaching Assistant
Nenad Zrni
Assistant Professor
Zoran Petkovi
Professor
The dynamics of a two-dimensional gantry crane structure subjected to a

moving trolley with hoist and payload is examined. Dynamic responses of
structure, both in vertical (Y) and horizontal direction (X), are postulated
using the combined finite element and analytical method and solved with
the direct integration method. Instead of conventional moving force
problem, the two-dimensional inertial effects due to the overall mass of
trolley, hoist and payload have been considered in this paper. The title
problem was solved by calculating the forced vibration responses of the jib
crane structure with time-dependent overall mass and subjected to an
equivalent moving force. Factors as speed and acceleration of the moving
trolley were studied. Numerical results reveal that used approach is useful
and can draw conclusions for structural design purposes of gantry cranes
and approaches for creation of dynamic models.
Keywords: gantry crane, moving mass, FEA, dynamic response, direct
integration.
1. INTRODUCTION
High-performance machines (HPM) for material

handling and conveying, such as e.g. container cranes,
huge gantry cranes, ship unloaders and ship loaders,
etc., have found an extremely wide application in almost
all areas of industrial activities. However, regardless of
the differences, almost all considered machines from
this class of equipment are exposed to the effects of a
working load whose basic characteristic is the
changeability of intensity and/or position relative to the
support structure of the machine [1]. The expressed
facts point to the exceptional significance of identifying
their behavior under dynamic loads, as well as response
of the considered machines or their subsystems, as an
extremely important stage in their design, particularly
having in mind that the improvement of performances is
not adequately followed by methods of calculation in
many cases. Also, good awareness of dynamic
characteristics is necessary to reduce vibrations of the
machine and, subsequently, to increase durability of the
structure.
Dynamic behavior of HPM depends on relatively
numerous factors and an analysis of dynamic behavior
demands to solve previously, in a suitable manner, the
following two problems [2]: how to create dynamic
model of the machinery and how to create model of the
external load.
This paper studies the dynamic responses of the
large gantry crane structure subjected to the moving
mass. It has following contributions: (i) Both the
horizontal and the vertical response of a gantry crane
Correspondence to: Mr Vlada Gai, teaching assistant
Kraljice Marije 16, 11120 Belgrade 35, Serbia
E-mail: vgasic@mas.bg.ac.rs
structure under moving load are investigated; (ii) It is

given comparasion of the two basic approaches in
dynamic modelling; (iii) Real cycle of trolley movement
is included, with acceleration/deceleration periods in
speed pattern.
2. MOVING LOAD (MASS) PROBLEM IN
STRUCTURAL DYNAMICS OF CRANES
Over time, cranes sizes and lifting capacities have

increased. While the size, mass and strength of the crane
structure have also increased, the stiffness of the crane
structure has not been increased proportionally. That
means the crane response to the trolley motion has
changed and can cause unwanted crane deflections.
Increased trolley and hoist speeds are obvious targets
for increased productivity [2]. Vibrations are a serious
problem in crane systems that are required to perform
precise motion in the presence of structural flexibility.
In practice it is very difficult and expensive to do
experimental research on a real-size high-performance
crane or even on a scale-model. For this reason
investigations on mathematical models are a necessity,
especially during the design stage.
Previous notes are related with moving load problem
as special topic in structural dynamics. Irrespective of
the many viewpoints and analytical methods proposed
to solve the dynamic problems, most research can be
grouped into two categories: the moving force problem
and the moving mass problem. The additional aproach
is moving oscillator model which is only reasonable to
be used in some special structures because of its
complexity [3]. The basic understanding of the moving
force phenomena is given in excellent monograph by
Fryba, [4]. In most moving force models the magnitude
of the contact force is constant in time which implies
that the inertia forces of a moving body are neglected.
Evenso, the moving force models are simple to use and
yield reasonable structural results in some cases [5]. The
113
moving mass problem implies the existence of an

interaction force between the moving mass and the
structure during the time the mass travels along the
structure, to which the following factors contribute: the
inertia of the mass, the centrifugal force, the Coriolis
force and the time-varying speed-dependent forces.
Hence, the speed of the moving mass, structural
flexibility and the ratio of the moving mass and
structure mass are important factors that contribute to
the creation of the interaction force. Michaltsos et al. [6]
have studied the effect of a moving mass and other
parameters, such as magnitude and speed of the moving

mass, on the dynamic response of a simply supported
beam. Modern researches in this field are based on
combined finite element and analytical method for the
crane dynamics [7]. Moving mass approach is needed in
analysis of dynamic behaviour of crane structure, [8],
because this gives more accurate results for responses
than moving force approach. This paper improves the
concept of moving mass approach in dynamics of highperformanse gantry crane.
Figure 1. a) Real model of the gantry crane, b) FE model of the framework, c) Moving mass, d) Dynamic interaction
3. MODEL FORMULATION
The general approach in moving load problems at

cranes is also used here, thus the system of the gantry
crane (Fig.1.a) is divided into two parts: the framework
(structure) and the moving system. The framework is a
2D discrete model consisted of top beam with length L,
pier leg with height H and sheer leg with height h. The
discretization of the framework (Fig.1.b) is done by
using FEM, with plane-frame elements, as shown more
detailed in [9]. The top beam is divided in 10 identical
elements and each leg by 2 elements. Hence, framework
has 41 DOF's (with extraction of the restrained
displacements from supports) forming the structure
displacement vector U.
The moving system (Fig.1.c) with total mass mss is
consisted of the mass of trolley and mass of hoist with
payload. It is assumed that mass mss is always in contact
with the top beam. The global position of the moving
system on the top beam, Fig. 2.a, is assumed known and
defined by coordinate xm(t). Here, the accelerationdeceleration is also included in calculation because of
114
the trolley trapezoidal speed pattern, Fig.3. It is assumed

by model of the gantry crane system, that a loading is
symmetrically distributed on the top beam rail(s) and
furthermore that relationship between the framework
and the moving system can be simplified into one
moving load P(t), with projections in two-dimensional
directions Px(t) and Py(t), Fig. 2.a.
4. PROPERTY MATRICES AND EXTERNAL LOAD
VECTOR
The equation of motion for a framework (structural

system) is represented as follows
C U
M st U
st K st U P (t )
(1)
where Mst, Cst, Kst are the mass, damping and stiffness
, U
, U , are the
matrices of the structural system; U
respective acceleration, velocity and displacement
vectors for the system and P(t ) is the external force
vector acting upon the structure.
4.1 Structural stiffness and mass matrix
The nodal forces (4) can be calculated in terms of

the global position, by
According to the shown FE model of the framework,

the stiffness matrix can be obtained by assembling all
the element stiffness matrices [10] up to forming the
square matrix Kst that corresponds with 41 DOF's of the
structure. Similarly, the mass matrix of the framework
Mst can be obtained.
4.2 Structural damping matrix
Here, as usually practiced in FE dynamic analysis of

cranes, the damping matrix is constructed by using the
theory of Rayleigh damping in following form [11]
Cst a M st b K st
(2)
with determined stiffness and mass matrix in last

subsection, while constants a and b are
a
2i j (i j j i )
2j
i2
, b
2( j j ii )
2j
P (t ) 0..0
f1s
f 2s
f3s
f 4s
f5s
f 6s
0..0 (8)
In matrix form, one may represent the element force

vector as
{ f s (t )} N xT Px N yT Py
(9)
N x [ N1 0 0 N 4 0 0]
N3 0 N5 N6 ]
N y [0 N 2
(10)
(11)
Adjustment with total DOF's give the following

matrices
4.3 Equivalent nodal forces
The equivalent nodal force vector for the element s,

at which the moving mass is located (Fig. 2), takes the
following form
f 3s (t )
(7)
where
frequencies of the structure , thus i=1, j=2.
f 2s (t )
xm (t ) (s - 1)l
l
The total time needed for moving system to travel

from the left end to the right end of the top beam, is now
divided into p steps with a time interval t . At any time
t = rt the nodal forces can be calculated with (7,6,5,4).
Hence, the equivalent force vector due to moving load is
determined.
According to [11], the structural external force
vector can take the following form
(3)
i2
where damping ratios i , j , correspond to first two
{ f s (t )} [ f1s (t )
f 4s (t )
f 5s (t )
f 6s (t )]
(4)
where
f1s (t ) N1 ( x) Px (t ) , f 4s (t ) N 4 ( x) Px (t ) ,
f 2s (t ) N 2 ( x) Py (t ) , f3s (t ) N3 ( x) Py (t ) ,
f5s (t ) N5 ( x) Py (t ) , f 6s (t ) N 6 ( x) Py (t )
N X [ 0 0 N x 0]
N Y [0 0 N y 0]
(12)
(13)
These matrices are with non-zero elements which

correspond to the DOF's of element s where the moving
load is located at. Other elements are zero. The
submatrices Nx and Ny are calculated by (7,6,5) at each
time step. One may see that these matrices engage only
6 values which move along in the (12,13), as moving
load changes the position on the top beam.
Noting that l is the element length and x is the

distance along the element s to the point of the
application of the forces (Fig. 2), the relative distance is
given by x / l , and the shape functions [9], Ni =
Ni(x) = Ni() (i =1-6), take the following form
N1 1 , N 4 ,
N 2 1 3 2 2 3 , N 3 l ( 2 2 3 ) ,
N 5 3 2 2 3 , N 6 l ( 2 3 )
(5)
In order to model the moving load, one may apply

forces and moments which are function of time to all the
nodes of the FE model of the structure. The nodes of the
sth element are s and s+1. The nodal forces for the nodes
of the element s, where the moving load is located at,
can be calculated from Eqs. (4,5), while other values are
equal to zero.
With known position of the moving system, the
element number s can be found as
s IntegerPart[
xm (t )
] 1
l
Figure 2. Equivalent nodal forces of the (s)th beam element

subjected to the moving mass
It should be pointed that this approach lead to exact

finite element modelling of the moving externall load
and can be used for any runway.
(6)
115

5. DERIVATION OF DIFFERENTIAL EQUATION OF
MOTION FOR THE SYSTEM
The governing equation of motion for a multiple

degree of freedom system becomes
T
T
C U
M st U
st K st U N X Px NY Py
The system moves with 2 velocity patterns, shown in

Figure 3. Pattern v1 corresponds to maximum speeds of
nowadays systems of trolleys (www.liebherr.de), while
the pattern v2 is expected in the close future.
(14)
The interaction forces between the structure and the

moving load can be obtained from the dynamic analysis
of moving system (Fig. 1.d), such as
(15)
(16)
The axial deformation at any location within the

finite element
w x w x ( x, t )
and
transversal
deformation at any location within the finite element
wx wx ( x, t ) , can be presented in matrix form [12]
wx N X U , w y N Y U
(17)
Second derivates of the expression (25) can be

presented [12], in following form
x N X U
w
y
w
N 'Y' U
x
2
N 'Y U
2N 'Y U
(18)
x N Y U (19)
where the superscripts ('), ('') are representing the first

and second derivate of expressions (5) with respect to x,
while x is the velocity and x is the acceleration of the
trolley.
With substituting (18,19) into (15,16), and
substituting with (17) in (14), overall equation of
motion becomes
(C C )U
(K K )U
(M st M1 )U
st
1
st
1
NTY mss g NTX mss
xm
(20)
Figure 3. Trolley speed patterns
As expected from physical intuition, the biggest

values of vertical displacements are for node 6, i.e. the
middle (central) point. Horizontal displacement for all
the top beam points are the same, because of axial
stiffness of the elements. Figure 4 shows the results for
both the speed patterns. The responses are higher for
pattern v2. This influence is very significant for
horizontal dispacement UX1 where values reach the
maximum of 5,41 cm in the deceleration period, while
maximum values with pattern v1 is 4,1 cm, Figure 4.a.
Horizontaldisplacement, node 1 m
x
Px (mss )
xm (mss ) w
Py (mss ) g mss wy
0.04
0.02
0.00
0.02
v1
v2
0.0
where
M1 mss N Y N Y mss N XT N X
C1 2mss x N YT N'Y
K 1 mss x 2 N YT N''Y mss
x N YT N'Y
0.2
Dynamic behaviour of the gantry crane subjected to

moving mass is obtained by solution of the (20).
Original, in-house software is created to solve the title
problem with direct integration method based on the
Newmark algorithm [13]. The time interval t is 0,005
s, unless particularly stated. The gravitational
acceleration g is taken to be 9,81 m/s2. The crane
structure is made of steel with density 7850 kg/m3 and
modulus of elasticity 2,1 1011 Pa. Initial mathematical
model include structural damping with =1=2=0,05 %.
Geometric characteristics of the gantry crane are
L=40 m and H=h=15 m. Element properties are:
An=0,09 m2, In=0,041 m4 (n=1-10), A11=0,085 m2,
I11=0,036 m4, A12=0,07 m2, I12=0,024 m4 and An=0,048
m2, In=0,01 m4 (n=13-14). The moving system is 60 t.
116
0.8
1.0
0.8
1.0
a)
Vertical displacement, node 6 m
6. NUMERICAL RESULTS AND DISCUSSION
0.4
0.6
Normalized time t
0.00
v1
v2
0.01
0.02
0.03
0.04
0.05
0.0
0.2
0.4
0.6
Normalized time t
b)
Figure 4. a) Horizontal displacement UX1, b) Vertical
displacement UY6; v1, v2
The difference is much smaller for vertical

displacement of middle point, Figure 4.b. Maximum
values occure when trolley is at midspan, and for v1 is
5,2 cm and 5,4 cm for pattern v2. It can be concluded
that increase of acceleration, here 1,25 m/s2, don't have
0.04
UX1
0.02
0.00
0.02
UY6
0.04
0
6
Time t s
10
12
Figure 5. Displacements of node 6; =0,06; v2
Table 1. Framework eigenfrequencies
0.04
0.02
1. mode
2. mode
T1=0,58s, f1=1,72 Hz
T2=0,2 s, f2=4,93 Hz
However, when mass is included one may calculate

the frequencies of the whole system at each time step.
The results for first 3 frequencies are shown at Figure 7.
It is obvious that frequencies are dependent of position
of mass is changed on top beam. Only 1. frequency,
which is most important, is the same beacuse of
character of the 1. mode shape. The second frequency is
changing from 2 to 5 Hz, and 3. frequency goes from 9
to 14,5 Hz. These are important notice for gaining the
frequency spectrum for the given system.
0.00
14
0.02
Moving force
Moving mass
0
6
Time t s
10
12
a)
0.00
Hz
Horizontaldisplacement, node 1 m
Here, it would be presented structural damping with

=0,06, Fig. 5. The damping has influence for both
displacements of the node 6 (horizontal is the same as
for node1). One can see the decrease of amplitudes,
with comparison with results from Figure 4. This can
lead to a conclusion that increase of structural damping
can be the way to slightly decrease the influence of
higher speed pattern. This is only descriptive because it
is very hard to achieve damping in structure even as 6
%. Decrease of amplitude is also noticeable at
horizontal displacement. With comparison with Fig. 6,
one can see this decrease in constant speed period,
before the deceleration. In the acceleration/deceleration
periods maximal values are slightly decreased.
Vertical displacement, node 6 m
The main advantage of presented model is that all

the influence of moving mass is included. Figure 6
shows the comparison of these results with results when
inertia effect of mass is ignored (moving force
approach) for characteristic points of structure. Vertical
displacements shows small difference in values, while
horizontal displacement has significant errors. In
constant speed period, horizontal displacement of node
1 is about 25% higher for moving mass model.
Amplitudes are higher (Figure 6) for both the
displacements and oscillation period is bigger when
moving mass approach is studied. This is more accurate
approach for calculating the frequencies of the model.
For framework only, considering (1), the eigenvalue
problem det(K st i2 M st ) 0 gives following first and
second frequency, with appropriate mode shapes (Table
1).
12
Frequencies first 3
Displac: Horiz. node 1, Vertic. node 6 m
significant influence on vertical displacements of

structure, but only for horizontal displacements because
horizontal inertia force is proportional to the value of
acceleration or decceleration of the moving mass.
10
f3
8
6
f2
f1
Moving force
0.01
Moving mass
0.02
6
Time t s
10
12
Figure 7. First 3 frequencies with moving mass model
0.03
0.04
7. CONCLUSION
0.05
0
6
Time t s
10
b)
Figure 6. a) Horizontal displacement UX1, b) Vertical
displacement UY6; v2; Moving mass/moving force
12
Two-dimensional inertial effects due to the mass of

the moving load are taken into consideration for
obtaining the dynamical responses of the flexible gantry
crane structure in both the vertical and horizontal
direction.
It is shown that speed, acceleration (or deceleration)
and structural damping have effect on the dynamic
117
responses of the structure. The responses of the

structure in the horizontal direction have significant
influence due to the increase of the moving speed and
acceleration of the moving load. This needs to be
studied because the most researchers use conventional
methods for showing vertical responses of a simple
structure, e.g. beam, induced by a moving mass.
Increase of structural damping can reduce the values of
increased structure responses which are acompanied
with achieving high performances at cranes. General
remarks are given in this paper because of many factors
that influence the dynamic behaviour of complex
structure, such as frame-gantry structure. However, the
aim of this work is to present mathematical model who
is more accurate then models of moving force. Also,
frequency spectar is more detailed with this model
which can conclude that innertial effects of moving
bodies should be taken in calculation of cranes in
modern researches.
Jib Crane Structure, Tehniki Vjesnik-Technical

Gazette, Vol. 19, No. 1, pp. 115-121, 2012.
[9] Spyrakos, C., Raftoyiannis, J.: Linear and
nonlinear finite element analysis in engineering
practice, 1997.
[10] Przemieniecki, JS.: Theory of matrix structural
analysis, McGraw-Hill, NY, 1985.
[11] Clough, RW., Penzien, J.: Dynamics of structures,
McGraw-Hill, NY, 1993.
[12] Wu, J.J.: Transverse and longitudinal vibrations of
a frame structure due to a moving trolley and the
hoisted object using moving finite element,
International Journal of Mechanical Sciences, Vol.
50, Issue 4, pp. 613-625, 2008.
[13] Bathe, K.J.: Finite element procedures in
engineering analysis, Prentice-Hall, NJ, 1982.
NOMENCLATURE
ACKNOWLEDGMENT
Mst
structural mass matrix
Cst
structural damping matrix
Kst
structural stiffness matrix
REFERENCES
nodal displacement vector
[1] Bonjak, S., Zrni, N., Gai, V., Petkovi, Z.,

Simonovi, A.: External load variability of
multibucket machines for mechanization, Advanced
Materials Research, Vol. 422, pp. 678-683, 2012.
[2] Zrni, N., Hoffmann, K.., Bonjak, S.: Modelling
Of Dynamic Interaction between Structure and
Trolley for Mega Container Cranes, Mathematical
and Computer Modelling of Dynamical Systems,
Vol. 15, No. 3, pp. 295-311, 2009.
[3] Gai, V., Zrni, N., Obradovi, A., Bonjak, S.:
Consideration of Moving Oscillator Problem in
Dynamic Responses of Bridge Cranes, FME
Transactions, Vol. 39, No. 1, pp. 17-24, 2011.
[4] Fryba, L.: Vibration of solids and structures under
moving loads, 3rd edition, Thomas Telford, 1999.
[5] Zrni, N., Gai, V., Obradovi, A., Bonjak, S.:
Appropriate modeling of dynamic behavior of
quayside container cranes boom under a moving
trolley, Springer Proceedings in Physics 139,
Vibration problems ICOVP 2011, The 10th
International Conference on Vibration Problems,
Springer, pp. 81-86, 2011,
[6] Michaltsos, G., Sophianopoulos, D., Kounadis,
A.N.: The effect of a moving mass and other
parameters on the dynamic response of a simply
supported beam., Journal of Sound and Vibration,
Vol. 191, Issue 3, pp. 357-362, 1996.
[7] Wu, J.J., Whittaker, A.R., Cartmell, M.P.: Dynamic
responses of structures to moving bodies using
combined finite element and analytical methods,
International Journal of Mechanical Sciences, Vol.
43, Issue 3, pp. 2555-2579, 2001.
[8] Gai V., Zni N., Rakin M.: Consideration of a
Moving Mass Effect on Dynamic Behaviour of a
nodal velocity vector
nodal acceleration vector
P(t)
external force vector
mss
mass of the trolley
angular frequency
i , j
damping ratios
frequency
This paper is a part of the research project no 35006

supported by Serbian Ministry of Science and
118
fi s (t )
nodal forces of the element s
Ni
shape functions
element length
xm (t )
position of the moving mass from the left end
Px,
Py
projections of the interaction force
gravitational acceleration
overall time
element cross-sectional area
moment of inertia
Young's modulus
mass density

SESSION B
CONSTRUCTION AND MINING
EQUIPMENT AND TECHNOLOGIES
Eugeniusz Rusinski
Professor
Przemyslaw Moczko
PhD
Damian Pietrusiak
MSc
Grzegorz Przybylek
PhD
Fatigue resistance and resonance

problems in operation of the jaw
crusher supporting structure
In the paper investigations of the causes of serious fatigue cracks of the
jaw crusher supporting structure are presented. The problems have
appeared after very short time of operation of the new crushing facility.
A lot of fatigue cracks with high growth rate and bolts failures were
observed in the crusher supporting structure. Considering high dynamic
forces, which occur during operation of such equipment it was decided to
investigate the problem to prevent catastrophic failure of the crushing
station. A specially invented, combined numerical and experimental
method was used to find out the reasons and to solve the problem.
Keywords: jaw crushers, fatigue resistance, resonance, numerical
simulations, experimental methods
1. INTRODUCTION
Operation of crushing stations creates high dynamic

forces, which are transferred to supporting structures
and foundations. Such loads have to be considered on
the designing stage and special care must be paid to
modal parameters to prevent possible resonance
problems. Such case was observed in one of Polish
mines. The crushing station consists of typical
equipment such as chute, conveyors system, hammer
and jaw crusher, which is supported on the steel frame
anchored to the concrete foundations. The view on
crushing station is shown on figure 1.
Figure 2. Fatigue crack of the side bracing
A combined numerical and experimental method

was used to find out the reasons of such problems and to
solve it. In the next chapters all activities taken in these
investigations are presented.
2. EXPERIMENTAL AND NUMERICAL
INVESTIGATIONS
Figure 1. Jaw crusher layout
After a few weeks of operation of the new facility a

lot of fatigue cracks and bolts failures of the crusher
supporting structure were observed. Example view of
cracks of side vertical bracing is shown in figure 2.
The growth rate of fatigue cracks was very high
because the maximum length of cracks was found as
160 mm. Considering high failures rate of the
supporting structure it was necessary to investigate the
problem to prevent catastrophic failure of the crushing
station.
Correspondence to: Przemyslaw Moczko, PhD
Wroclaw University of Technology
ukasiewicza 7/9 50-371 Wroclaw, Poland
E-mail: przemyslaw.moczko@pwr.wroc.pl
The first part of investigations was aimed to measure

dynamic parameters of the structure and estimate
dynamic loads causing fractures. Dynamic effects of
crushing process are difficult to be calculated due to its
stochastic phenomena related to high geometrical and
mechanical properties variations of the crushed
material. Therefore it was decided to perform
experimental tests on the existing structure to obtain
realistic dynamic loads. The loads were used then for
the numerical strength calculations of the crusher
supporting structure. In the following subchapters
results of both approaches are presented.
2.1 Experimental tests
The first part of investigations was aimed to measure

dynamic behaviour of the structure and estimate
dynamic loads causing fractures. Measurements of
displacements vibrations of the support frame were
done with the use of the following equipment:
vibrometer - COMMTEST vb7,
119
Scanning vibrometer POLYTEC PSV-400.

Tests were performed in two points (A, B, fig. 3)
where displacements of the structure were measured in
two horizontal directions:
x longitudinal
y transverse
was found that transverse vibrations of the structure are

caused by resonance effects. It is observed on the time
signal of vibrations where characteristic beat effect is
present.
Empty Chart
CJ615 - C1 - Horizontal - Dis Spec/Wfm 25 Hz
2012-02-21 09:52:23
0,4
Cursor A:
3,375 Hz
0,35
0,315 mm
O/All 0,516 mm RMS
0,3
mm RMS
0,25
0,2
0,15
0,1
0,05
0
10
12
14
16
18
20
22
24
Hz
Empty Chart
CJ615 - C1 - Horizontal - Dis Spec/Wfm 25 Hz
2012-02-21 09:52:23
O/All 0,474 mm RMS
1,5
1
mm
0,5
0
-0,5
-1
-1,5
2012-02-21 09:52:23
8
secs
10
12
14
16
O/All 0,474 mm RMS
Figure 6. The time and spectrum trace with visible

resonance effect - transverse displacement
Figure 3. Locations and directions of measuring points
The testing equipment used during tests is shown in

figures 4 and 5.
Considering results of measurements it was

observed, that the structure operates in resonance
condition close to excitation frequency:
fex = 3.33 Hz
Maximum amplitude of displacements measured
during tests are presented in the table 1.
Table 1. Maximum amplitudes of displacements
Description
Displacements
measurements
Displacement (mm)
x (longitudinal)
y (transverse)
1.12
1.92
The above values of displacements were used for

calibration of the FEM model, which was created to
calculate dynamic and strength property of the structure
in existing and modified final condition.
2.2 FEM calculations
Figure 4. Scanning vibrometer POLYTEC PSV-400
Figure 5. The vibrometer - COMMTEST vb7
As a results of such measurements, vibrations

spectrum and time signals were obtained. Example
graph of measurements results are shown in figure 6. It
120
In order to estimate influence of measured vibrations

and to calculate dynamic loads causing such effects, the
numerical FEM [4] model of the supporting structure
was created. The model was used as a calibration tool of
the dynamic forces caused by crushing cycles. Based on
the results of calibration calculations such forces were
estimated.
The first step was to create numerical model of the
crusher supporting structure. In order to evaluate exact
stress effort and deformation of the structure, shell
modelling has been used. Such approach enables to
calculate stress level in notches, what is impossible with
the use of beam modelling. Figure 7 presents model of
the supporting structure with the shell elements
generated. The model consists of shell, beam, rigid and
spring elements. Mass elements simulate self-weight of
the equipment placed on the supporting structure such
us crusher unit, electrical motor etc.
exceeds 6x105). Steel grade used for the structure is

considered as St3S (Fe 360)
Results of fatigue calculations confirmed that areas
of cracks present on the structure are overstressed and
do not have proper fatigue resistance. It was found that
there is 100% confirmation of the cracks locations on
the real structure and in numerical model (example view
shown in figure 9). Red colour areas presented on the
numerical model indicate fatigue problems.
Figure 7. Numerical FEM model of the supporting structure
Numerical simulations were aimed to confirm

dynamic behaviour of the structure by modal analysis
and to calculate and apply dynamic loads to perform
strength calculations.
Numerical modal analysis of the model confirmed
presence of the resonance effect in operational
condition. In the table 2 the frequencies of the first three
modes are listed. Figure 8 presents deformation plot of
the first mode, which is responsible of resonance
vibrations. Direction of vibrations is in line with
measured on site and frequency is close to excitation
load, which equals:
Figure 9. Comparison of fatigue crack location in the

numerical model and existing structure
Locations of the cracks present on the crusher

supporting structure and confirmed in the numerical
calculations are presented on figure 10.
fex = 3.33 Hz < f1 = 3.39 Hz

Table 2. Natural frequencies of the crusher supporting
structure [Hz]
No. of natural mode

1
2
3
Frequency (Hz)
3.39
5.96
14.50
Figure 10. Fatigue cracks locations
3. MODIFICATIONS OF THE CRUSHER

SUPPORTING STRUCTURE
Figure 8. Natural frequency mode shape of the crusher

supporting structure mode 1
The next step was to perform fatigue calculations.

Considering that dynamic forces are created in the jaws
area of the crusher the unit loads in both x, y horizontal
directions were applied. Based on the displacements
results, multiplication factors were calculated to obtain
the same values of displacements as measured on site.
For such conditions strength (fatigue) calculations were
performed in consideration of ISO 5049-1 standard
requirements [7]. The structure of the crusher support
was considered as class C (number of fatigue cycles
Results of tests measurements as well as numerical

modal analysis and strength calculations confirmed that
there are two main reasons of poor operational condition
of the crusher supporting structure:
- resonance vibrations in transverse direction caused
by not enough stiffness of the structure in this
direction,
- improper design of joints, which are not resistant
enough to loads deriving from operational
conditions in both horizontal directions (example
of such design is shown in figure 11).
Figure 11. Example of improper design of joints
121
Considering above conclusions it was necessary to

implement design modifications of the crusher
supporting structure and confirm its safety by numerical
calculations.
model to confirm its influence on natural frequencies of

modified supporting structure.
Results of modal analysis of modified crusher
supporting structure are presented in subchapter 3.3 of
the paper.
3.1. Resonance problem solution
As measured on site and calculated with the use of

FEM model, the structure suffers from transverse
resonance vibration caused by overlapping of excitation
(crusher rpm) frequency and the first natural vibration
mode. Natural frequencies must be shifted from
excitation frequency to enable safe operation of the
crushing station.
The basic equation for natural frequency
calculations 0 is presented below:
k
m
[Hz]
(1)
Where:
k stiffness [N/m]
m mass [kg]
Taking into account the above equation the crusher
support can be stiffened to increase natural frequencies
or additional mass can be placed on the frame to lower
vibration frequency. The first of the mentioned solution
was chosen. This is due to the fact that cross section of
the crusher supporting frame, shown in figure 12, is not
stiff enough in transverse direction.
Figure 13. Side bracing design
3.2. Improper joints modifications
According to FEM calculations of the existing

structure, the fatigue resistance of critical joints (see
figure 10) is not fulfilled as per ISO-5049 standard [7].
This is confirmed by presence of many cracks observed
in these areas (example of crack is shown in figure 2).
Taking into account condition of the existing joints,
which suffer of many cracks and indicates multiply
repairs, it was decided to cut all weak joints and
incorporate new redesigned once. Special care was paid
to the joints design to assure proper fatigue resistance.
New solution required to replace existing
longitudinal bracings with the new ones. Figure 14
presents new design of longitudinal bracings
incorporated into geometrical model of the crusher
supporting structure. In order to enable easy
manufacturing and assembly process into the existing
structure, welding connections were considered on the
designing stage.
Figure 12. Cross section of the crusher supporting frame
In order to increase stiffness the easiest way would

be incorporate inside diagonal bracing. However
conveyor line located inside the frame disable such
solution. Therefore another stiffening solution was
designed. The two of three cross section of the frame
were reinforced with side bracing as shown in figure 13.
In such solution there are four bracings in total anchored
to the concrete foundation and welded to the existing
structure. This solution was incorporated to the FEM
122
Figure 14. New design of side longitudinal bracings
The supporting structure with redesigned

longitudinal as well as side bracings was analysed with
the use of FEM models to check and confirm its safety
from the dynamical (resonance) and fatigue point of
view. Results of such analyses are presented below.
3.3. FEM check
structure
calculations
of
the
modified
the welded connection of gusset plate and pipe section.

In this area K3 notch was designed where permissible
stress amplitude equals:
aperm = 60 [MPa]
Comparison of both values confirms that modified
structure of crusher supporting structure is safe from the
fatigue resistance point of view.
In the first step the modified model of the crusher

supporting structure was checked for resonance
phenomenon. Modal analysis of the model confirmed
that natural frequencies of the structure were
significantly increased. In the table 2 the frequencies of
the first three modes are listed. Figure 15 presents
deformation plot of the first mode, whose frequency
before the construction changes overlaped with the
excitaiton frequency. The first natural frequency is
shifted from excitation frequency and equals:
fex = 3.33 Hz < f1 = 8.58 Hz
There are no natural frequencies close to the first
harmonic of excitation frequency, which equals:
fex,1h = 6.66 Hz
The above results confirms, that there is no risk of
resonance during operation of the modified supporting
structure of the crusher.
Table 3. Natural frequencies of the modified crusher
supporting structure [Hz]
No. of natural mode

1
2
3
Figure 16. Stress amplitude a in the modified crusher

supporting structure [MPa]
As a comparison of the existing and new design,

figure 17 presents the same area of gusset plate in the
old design. The maximum stress amplitude in this area
equals:
amax = 117 [MPa]
This value exceeds permissible values of stress
amplitude, what was indicated with the fatigue cracks in
the maximum stress location.
Frequency (Hz)
8.52
8.72
16.85
Figure 17. Stress amplitude a in the existing crusher

supporting structure [MPa]
4. MODIFICATIONS OF THE STRUCTURE, TESTS

MEASUREMENTS
Figure 15. Natural frequency mode shape of the modified
crusher supporting structure mode 1
The next step was to perform fatigue check

calculations of the modified structure to check whether
new design of joints indicates proper fatigue resistance.
Calculations were done with the use of FEM model in
accordance to ISO-5049 standard requirements. As a
result of such calculation stress amplitude a in each
point of the structure was obtained. The maximum value
calculated in the structure was found in the gusset plate
of longitudinal bracing:
amax = 40 [MPa]
The view on this area with stress amplitude plot is
shown in figure 16. Maximum stress level is located in
In the previous chapter the new design of the

modifications of the crusher supporting structure are
presented. Results of a dynamic check (modal) and the
fatigue calculations confirmed that the modified
structure will be safe during normal operation
conditions. The new design of side and longitudinal
bracings were incorporated into structure prior to
removal of existing weak joints and bracings.
Exemplary view of the redesigned joint before and after
modification is shown in figure 18.
The final step of the investigations were the
measurements of the dynamical behaviour of the
modified structure to confirm that the resonance
vibrations are not present any more during operation.
The tests were performed with the use of COMMTEST
123
vb7 vibrometer in the same locations as the tests on the

original structure (chapter 2.1). Vibrations spectrum and
the displacement trace in time domain are shown in
figure 19. There are no resonance vibrations present in
the time signal of measured signals. The RMS value of
vibrations is 400% lower in comparison to the RMS
value of vibrations of the original structure.
a)
b)
structure indicates fatigue weakness in certain joints. It

must be noted that there is 100% confirmation of the
cracks locations on the real structure and in numerical
FEM model.
In order to solve resonance problems and to avoid
fatigue cracks of the structure, additional side bracings
were incorporated as well as existing longitudinal
bracings were replaced with redesigned ones. The new
design was checked for the dynamic and fatigue
behaviour with the FEM modified model.
At the final stage the modified structure was tested it
the use of vibrations measurements. The tests
measurements confirmed no resonance and proper
behaviour of the structure during normal operation.
The combined experimental-numerical [3] method
can be applied in various exploitation problems of the
industrial equipment. It enables to find out about
reasons of failures, measure operational parameters,
calibrates numerical models and investigate different
phenomena causing potential problems. Verified
numerical models can be used for various analysis to
solve existing problems or inform about future possible
failures. The method has been used and verified in many
investigations performed by authors of this paper [5, 6].
REFERENCES
Figure 18. Improper joint before a) and after modification b)

Empty Chart
CJ615 - Po Naprawie Pb - Horizontal - Dis Spec/Wfm 25 Hz
2012-06-20 08:41:21
0,035
O/All 0,123 mm RMS
0,03
mm RMS
0,025
0,02
0,015
0,01
0,005
0
2
10
12
14
16
18
20
22
24
Hz
Empty Chart
CJ615 - Po Naprawie Pb - Horizontal - Dis Spec/Wfm 25 Hz
2012-06-20 08:41:21
O/All 0,115 mm RMS
0,6
0,4
mm
0,2
-0,2
-0,4
2012-06-20 08:41:21
8
secs
10
12
14
16
O/All 0,115 mm RMS
Figure 19. Time and spectrum displacement trace of

transverse vibrations of the modified structure
5. CONCLUSION
In the paper, experimental and numerical approach

to investigate the reasons of the serious fatigue failures
of the jaw crusher supporting structure was presented
[1, 2]. The special investigation method was used for
this purpose. Experimental vibrations measurements and
FEM calculations enabled to obtain dynamic loads
caused by crushing process, to evaluate influence of
such loads on the fatigue resistance of the structure and
to confirm operational conditions with resonance effect
present. Fatigue calculations confirmed that the
124
[1] Arsic, M., Bosnjak, S., Zrnic, N., Sedmak, A.,

Gnjatovic, N.: Bucket wheel failure caused by
Failure Analysis, Vol. 18, No. 2, pp. 700-712,
2011.
[2] Bosnjak,
S.,
Zrnic, N., Simonovic, A.,
Momcilovic, D.: Failure analysis of the end eye
connection of the bucket wheel excavator portal tierod support, Engineering Failure Analysis, Vol. 16,
issue 3, 740-750, 2009.
[3] Czmochowski, J., Moczko, P.: NumericalExperimental Analysis of Bucket Wheel Excavator
Body Vibrations, 22nd Danubia-Adria Symposium
of Experimental Methods in Solid Mechanics,
Monticelli Terme-Parma, Italy, pp. 294-295, 2005.
[4] Rusiski, E., Czmochowski, J., Smolnicki, T.:
Advanced Finite Element Method, Wroclaw
University of Technology, Wroclaw, 2000.
[5] Rusiski, E., Moczko, P., Czmochowski, J.,:
Numerical and experimental analysis of a mine's
loader boom crack, Automation in Construction,
Vol. 17, No. 3, pp. 271-277, 2008.
[6] Rusiski, E., Moczko, P.: A combined numericalexperimental method for determining the spatial
distribution of a residual stress in a notch, Materials
Science-Poland, Vol. 28, No. 1, pp. 393-399, 2010.
[7] ISO 5049-1 Mobile equipment for continuous
handling of bulk materials - Part 1: Rules for the
design of steel structures
Strain gauges measurements and FEM

analysis of elements of chassis of open
cast mining machines
P. Malak
Ph.D. candidate, M.Sc. Eng.
Wrocaw University of Technology
T. Smolnicki
Associate Professor
D. Pietrusiak
Ph.D. candidate, M.Sc. Eng.
In article are shown selective elements of chassis of open cast mining

machines: control steering track and caterpillars tracks of open cast
mining machines. Loads on each element are defined in accordance with
current standard requirements norms. After setting boundary conditions,
stress analysis were done. Results of analysis were shown in table.
Indication of the most endangered places were based on results of
analysis. Strain gauges measurements were also performed in 9 measuring
points: 6 points on track's supports, 2 on caterpillars support and one on
steering control. The measurements were taken by multichannel registrar
during the driving the conveyor. The measurements were taken for many
settings of the body and the chassis with different angle of steering set.
After examination the results from measurements there were shown some
figures, that show tubing of caterpillar sets, increasing and decreasing
steering force and track force on caterpillar during riding and turning.
Keywords: open cast mining machines, track chassis, strain gauges
measurements.
1. INTRODUCTION
2. MULTICATERPILLAR TRACK CHASSIS
The aim of the research was to identify the loads on

multicaterpillar track chassis and calculate the strength
of elements of chassis. The measurements were taken
on open cast mine machine: mobile transfer conveyor,
shown on figure 1. The biggest problem in such kind of
machines is to properly diagnosis the state of machine
and remove from usage before any dangerous, for
people and machine, accident would have take place
[1,2].
The aim of research, the mobile transfer conveyor
A2RsB 12500 was designed in early 70' last century, on
the basis of TGL Standards [7]. There were many
indefinite problems, which are still unknown. Nowadays
we cannot answer the question how long the machine
will work without any failure, therefore the assessment
of actual technical condition need to be done.
The chassis of open cast machines like mobile

transfer conveyor consists of up to 12 caterpillar track
connected into sets of 2 or 4, of which some are steered.
The scheme of chassis that is the aim of research is
shown in figure 2 [3,4].
Multicaterpillar track chassis consist of 6 caterpillar
tracks which are connected by axis and the steering
drawbar. The scheme of the chassis is shown in figure 3.
Two caterpillar tracks are connected into one set, where
there are 3 sets. Two of sets are fixed and do not have
the possibility to turn, one set is steered by driveshaft
and has an possibility to change the relational angle
between the portal of the machine and the main axis of
set. Tracks are powered by electric motor, one
caterpillar track by one motor.
Figure 1. Open cast mine machine
Correspondence to: PhD candidate, M. Sc. Eng. Pawe

Malak,
Ul. I. ukasiewicza 7/9, 50-371 Wrocaw, Poland
E-mail: pawel.maslak@pwr.wroc.pl
Figure 2. Scheme of chassis of open cast machine
125
3. BOUNDARY CONDITIONS
Nowadays standards state that the friction is held at

the value of 0.6. It is the maximum value that is taken
from the updates standards [6]. Several cases of loads
and boundary conditions are used for strain calculations.
According to the standards, loads cases do not include
all of the possibility of real loads[3,5]. In the presented
paper the most popular cases of used boundary
conditions are shown. In the figure 3 the boundary
conditions used for calculations of caterpillar track are
shown [6,7]. The caterpillar track is loaded on each arm
or on drive-wheel and tension-wheel. The caterpillar
track is fixed on its axis' bushing. The force F1 and F2
are generated by the reaction with the ground, the force
Q is the result of the interaction with the ground during
the turning, force Fb comes from the reaction of electric
motor.
Figure 4. Results of numerical stress calculation of

caterpillar track [Pa], load set 1

Figure 3. Scheme of load on caterpillar track
The most appropriate for the calculations of steering

drawbar case of boundary conditions is to fix one end of
the steering drawbar and apply force at the other end in
the horizontal direction, that is perpendicular to the
maim axis of the drawbar and the vertical force applied
to the place, where the ball joint is situated.
4. NUMERICAL MEASUREMENTS

Numerical analysis were done using the Finite

Element Methods. Calculations were done for 5
different schemes of loads on caterpillar track and for 2
different schemes of load on drivebar according to the
standards. Some of the results of calculations of
caterpillar track are shown on figures from 4 to 7 and
the calculations of drivebar are shown on figures
8 to 10. On figures 11 and 12 are shown results of
nonlinear calculations. The maximum value of stress
calculations are lower than in the linear calculations and
the field of maximum value is smaller.
126

drivebar [Pa], nonlinear type of material
drivebar [Pa], load set 1

5. STRAIN GAUGES MEASUREMENTS
Strain gauges measurements were performed in 9

measuring points. There are 6 points on caterpillar
tracks' where the traction forces were measured. Strain
gauges were located on the supports of caterpillars
track, where the motion is fitted. The other 2 strain
gauges were located on each truss and the last one was
located to the drawbar. The measurements were taken
during the drive in different directions: forward and
backwards, with different positions of center of gravity,
with different positions of the load carrying structure
and the chassis. The measurements were taken during
turning machine to the right and to the left, riding
forward and backwards with and without the
overburden. During the measurements over 30 sets were
recorded.
The data acquisition was conducted by multichannel
recorder. All of the signals were recorded parallel from
each strain gauge.
6. STRAIN GAUGES MEASUREMENTS
Results of the measurements show that the real

traction force is not linear, but very stochastic. Traction
force was gained during riding forward and backwards.
Traction force for forward drive is shown in figure 13.
The average value is at the level of minus 50 kN with
amplitude at the level of 70 kN.
Figure 13. Traction force of steering caterpillar track set

right and left caterpillar - forward drive
drivebar [Pa], nonlinear type of material
The results of measuring the steering force is shown

in figure 14. The most important thing in this
measurement is to show how the force changes its value
during turning the steering caterpillar track set. Steering
force changes from 0 kN to over 600 kN during turning.
127

REFERENCES
Figure 14. Steering force in trusses forward drive, turning

right from 0 to 13
Measured steering force is over 3 times higher than

the force calculated with use of analytical method.
Calculated steering force is at the level of 170 kN.
Calculated force depends on static variables and is not
related to the change of angle of steering set.
Measurements shows that the force changes its value
during the steering and riding the entire machine.
7. CONCLUSION
There are many indefinite problems with the loads

on chassis of open cast mining machines. Existing
equations do not take into consideration any stochastic
loads. The measurements show that the traction force
changes very rapidly and has a very high value of
amplitude. Currently there is lack of guidelines to
receive the appropriate boundary conditions
and
operational loads. It is necessary to conduct more
research on open cast mining machines to define more
properly the loads acting on multicaterpillar track
chassis. The measurements should be taken in different
conditions: during the winter and summer, when the
ground is frozen, wet and muddy or dry and sandy.
Research should be done in the different positions of the
entire machine and with or without transporting the
overburden.
ACKNOWLEDGMENT
Research co-financed by the European Union within

the European Social Fund.
128
[1] Bosnjak, S., Arsi, M., Zrni, N., Rakin, M.,

Panteli, M.: Bucket wheel excavator: integrity
assessment of the bucket wheel boom tie-rod
welded joint, Engineering Failure Analysis, Vol.
18, No. 1, pp. 212-222, 2011.
[2] Rusiski, E., Harnatkiewicz, P., Kowalczyk, M.,
Moczko, P.: Examination of the cause of a bucket
wheel fracture in a bucket wheel excavator,
Engineering Failure Analysis, Vol. 17, No. 6, pp.
1300-1312, 2010.
[3] Smolnicki,
T.,
Malak,
P.:Experimental
identification of loads in multi-caterpillar
mechanism of the ride of dumping conveyor, 6th
International Conference Mechatronic Systems and
Materials, MSM 2010.
[4] Bosnjak, S., Zrni, N., Gnjatovi, N.: Geometry of
the substructure as a cause of bucket wheel
excavator failure, edited by S. Kuzmanovi,
Machine Design, University of Novi Sad, Vol. 1,
pp. 135-140, 2009.
[5] Bosnjak, S., Zrni, N., Simonovi, A.: Computer
Aided Design and Calculation of Bucket Wheel
Excavators, monograph edited by S. Kuzmanovi,
Machine Design, University of Novi Sad, pp. 135142, 2007.
[6] Standard
PN-G-47000-2:2005
Grnictwo
odkrywkowe - Koparki wielonaczyniowe i
zwaowarki - Cz 2: Podstawy obliczeniowe, (In
Polish)
[7] DIN 22261-2 Bagger Absetzer und Zusatzgerte
in Braunkohlentagebauen
Analysis of vibrations of bucket wheel

excavator SchRs1320 during
mining process
Jakub Gottvald
Head of department
VTKOVICE AM a.s.
Presented paper deals with an evaluation of measuring of vibrations on

a bucket wheel excavator (BWE) SchRs 1320 during mining. Vibrations
were measured on the BWEs upper steel structure by using of 28
accelerometers. Measured signals were associated with operating data
from the BWEs central control computer. By connecting of these two
signal groups a complete set of valuable data was obtained. This data set
was analyzed by time-frequency transforms. This paper shows results for
three selected time periods. Results proved frequency changes in vibrations
of upper steel structure of the BWE during moving in mining process.
Keywords: Bucket wheel excavator, Natural frequency, Vibrations,
Accelerometer, Fourier transform, Frequency, Amplitude, Measuring,
Time-frequency transform.
1. INTRODUCTION
All machines that are used for mineral mining

especially bucket wheel excavators (BWEs) belong to
extremely dynamically loaded structures. In these
machines the digging forces are dominant source of
vibrations. Intensity and frequency of digging forces are
dependent on the construction of bucket wheel and on
the characteristic of overburden [1, 2]. Digging forces
are also dependent on the chosen method of mining,
there are differences between terrace and dropping cut
methods. In practice the influence of the digging forces
on steel structure of the BWE and on any of the
significant components are frequently analysed. Critical
nodes whose damage due to fatigue could be of fatal
consequences are determined numerically and/or
experimentally [3, 4, 7]. However digging forces are not
the only source of vibrations that could cause problems
during operation. The BWEs are mechanisms, i.e.
machineries, making different movements during
mining process. These movements alone or in
combination with digging forces could be source of
undesirable vibrations.
Presented paper deals with analysis and
measurement of vibrations at the BWE SchRs 1320
during mining process. The BWE SchRs 1320 was put
into operation in 2006 and is operated at the opencast
mine Doly Nstup Tuimice, Czech Republic. Since the
very beginning of its operating process the BWE faced
several problems with bucket wheel drive. During a
very short operating time the failure of gearbox
happened.
During the investigations on the causes of this
failure several measurements and tests were made; the
frequency changer of bucket wheel drive was identified
Correspondence to: Dr Jakub Gottvald, Head of department
VTKOVICE AM a.s,
Rusk 2887/101, 706 02 Ostrava-Vtkovice, Czech Republic
E-mail: jakub@gottvald.eu
as the main cause of the failure by the supplier of the

gearbox. In the first instance as the possible solution the
reduction of length of the cardan shafts between
gearbox and motors was suggested, subsequently it was
also suggested to put the hydro couplings in front of the
entrances to the gearbox. These changes lead to the
reduction of vibrations and were accepted by the
supplier of the gearbox who consequently permitted its
further operation. The outcome is that the frequency
changer puts the motor in motion and then runs at
nominal revolutions. However, above mentioned
changes lead to the operating limitations of bucket
wheel drive. The BWE SchRs 1320 has the bucket
wheel drive which is able to work but with restrictions
e.g. the corrections of the revolutions of bucket wheel
are not possible as required. In the contract the
possibility of regulation of revolution speed of the
bucket wheel in the interval of 50-120% nominal
revolutions was specified; what more very slow
revolutions during necessary cleaning process of
buckets are impossible too. However, the owner
naturally wants the BWE without any restrictions; this
need was the main reason for activities focused on the
correction of the bucket wheel drive. The presented
paper deals with analysis of vibrations of the steel
structure of the BWE SchRs 1320 especially of the
bucket wheel boom part.
1.1 Introduction of BWE SchRs 1320
The BWE SchRs 1320 (in accurate description

SchRs 1320/4x30, where 4x30 is the depth and height
reach of the bucket wheel boom) is operated at the
opencast mine Doly Nstup Tuimice, Czech Republic.
The main supplier of the BWE was the Prodeco Inc. in
cooperation with the German company TryssenKrupp.
The BWE was put into operation in 2006.
The BWE SchRs 1320 is conceived as an excavator
with non-telescopic bucket wheel boom. Movement of
the excavator is facilitated by crawlers. The theoretical
capacity of the excavator is 5500 m3 of overburden per
hour. The excavator is approx. 100 m long and approx.
129
60 m high. Together with the loading unit and

connecting bridge, it weighs 4193 tonnes. The diameter
of the bucket wheel over buckets, which are 26, is 12 m.
An overall view of the BWE SchRs 1320 is
presented in Figure 1.
Figure 1. Overall view of BWE SchRs 1320
2. MEASURING AT THE BWE SCHRS 1320
On the upper structure of the BWE 28

accelerometers were installed, for details see [5, 6, 9].
These accelerometers were installed on important parts
of top structures of the excavator. Accelerometers were
8
6
4
-40
BW boom horizontal position -80
-120
attached in triplets. Each triplet was able to log up

signals at all of three directions of oscillation. Measured
data was stored using EMS DV devices. For the
measuring the sampling frequency 25 Hz was set.
In evaluation process of vibrations that were
measured during operation it is very hard to determine
retrospectively the correct movements of the BWE. This
aspect was solved by measurement of the movements by
the probes that are used for control of the BWE. In the
controlling computer the logging of operating data was
set so it was synchronized with signal from
accelerometers. In the evaluations of vibrations during
mining process six general signals of movements were
used - horizontal and vertical location of the bucket
wheel boom, input power and revolutions of the bucket
wheel motors, input power of motor used for horizontal
rotation of the upper part of the BWE and overall
movement of the BWE by undercarriage.
During two week measurement at the BWE SchRs
132 very valuable data set was obtained. In presented
paper three selected time periods are analyzed, benefits
of this analyses are showed and also signals measured
by accelerometers A_06z and A_17y are presented.
Accelerometer A_06z was situated in right bearing of
the bucket wheel shaft in vertical direction.
Accelerometer A_17y was situated in the top of the
inclined tower in horizontal direction.
BW boom vertical position
Input power BW boom

Input power Bucket wheel
Revolutions Bucket wheel
Movement of BWE
Start of mining
Vertical moves of BW boom
Horizontal move
of BW boom
60
0
Rotation of BW
400
0
600
0
70
68
66
Move forward
Moves backward
11.3.2010 18:36:00
11.3.2010 18:48:00
11.3.2010 19:00:00
11.3.2010 19:12:00
Figure 2. Courses of operating signals for selected time period no. 1
Figure 3. Time-frequency amplitude spectrum [mg], accelerometer A_06z, time period no. 1
130
11.3.2010 19:24:00
Time [s]
Figure 4. Time-frequency amplitude spectrum [mg], accelerometer A_17y, time period no. 1
2.1 Methods of signal analyses
2.2 Selected time period no. 1
For calculation of the frequency spectrums many

kinds of transformations could be used. The best known
and most widely used is the Fourier Transform (FT) and
its modification the Fast Fourier Transform (FFT).
These types of transformations are particularly suitable
for analyses of the stationary signals. It can also be used
for analyses of non-stationary signals but we must be
aware that information about time occurrence of the
frequency spectrum peaks is lost by this procedure. For
localization of the frequency spectrum peaks in time the
Time-Frequency analyses methods must be used [6, 8].
By Time-Frequency analyses we can analyze frequency
spectrum as well as by classical frequency analyses its
benefit is that we obtain additional information on time
location of each of frequency peaks. Time-Frequency
analyses are generally divided into linear and nonlinear
types. In industry linear types are more used, especially
the Short-Time Fourier Transform (STFT) [8, 11] and
the Wavelet Transform (WT) [8, 11]. Both of these
Time-Frequency transformations are included in
program FlexPro [11] that was used for analyses.
The selected time period shows start of the mining

process of the BWE it is evident from time course of
operations signals, see Figure 2. Before start of the
mining the bucket wheel was rotated forth times. After
the first rotation of the bucket wheel two movements of
the bucket wheel boom (up and down) were made.
During the second lift the bucket wheel boom had
changed the horizontal position, too. Approximately in
the middle of the selected time period the BWE started
to mine. In Figure 3 results of STFT analyses for signal
from accelerometer A_06z and in the Figure 4 the result
for signal measured by accelerometer A_17y are
plotted.
The results show that vibrations of the upper steel
structure of the BWE started immediately after first
movement of the bucket wheel. Size of amplitudes
increased after the star of mining, especially when the
bucket started to cut the overburden. In the results
amplitude peaks at frequencies 0.52 Hz, 1.38 Hz, 1.70
Hz and 2.0 Hz are evident. Since the beginning of the
movement of the bucket wheel the significant amplitude
peak with strait base at frequency 2.26 Hz has appeared.
It was caused by oil pump of gearbox of the bucket
wheel.
-12
-30
BW boom horizontal position -90
-150
Input power BW boom
Change of terrace
100
0
1200
600
0
600
0
111
Stops of BW
Movement of BWE 105

99
12.3.2010 20:52:00
12.3.2010 20:56:00
12.3.2010 21:00:00
12.3.2010 21:04:00
12.3.2010 21:08:00
Time [s]
131
This entry shows record during the change of

terraces. The BWE mined at the bottom terrace and then
it moved to the upper terrace. During the lifting
movements of the bucket wheel boom the bucket wheel
was stopped two times. The course of the operation
signals are shown at Figure 2. In the Figure 6 the results
of STFT analyses for signal from accelerometer A _06z
and in the Figure 7 the result for signal measured by
accelerometer A_17y are plotted.
From the spectra of amplitudes showed in the
Figures 6 and 7 it is clear that start of the mining at new
terrace did not caused as much response on the structure
of the BWE as the end of mining on the previous
terrace. This was caused by mining of very low terraces
which is connected with reduced need of the input
power at the bucket wheel motor drive. On the results
from the accelerometer A_06z frequency amplitudes
peaks at frequency 1.65 Hz and 2.00 Hz during change
of horizontal movement of the bucket wheel boom in
the terraces are localized, see Figure 6. In a moment
when a terrace was changed and the bucket wheel drive
to mining face very height increase of input power at
bucket wheel motor drive occurred, see Figure 5. In the
results from accelerometer A_17x there are significant
amplitude peaks at frequency band around 1.9 Hz, see
Figure 7. Width of this frequency band depends on the
character of mining process, see comparison between
132
the end of the results from old terraces and results from
the new one. Throughout all the measurement the oil
pump of gearbox of the bucket wheel was in progress,
see significant amplitude peak at frequency 2.26 Hz.
During this measurement the change of terraces has

also occurred, but this time it was the change from up to
down, it means different movement of the BWE
(reversing). The course of the operating data is plotted
in the Figure 8. In the Figure 9 results of STFT analyses
for signal from accelerometer A _06z are plotted and in
the Figure 10 shows result for signal measured by
accelerometer A_17y.
From calculated results in the Figure 10
(accelerometer A_17y) and particularly from the Figure
9 (accelerometer A_06z) harmonic amplitudes in
frequency spectrum are evident, the highest amplitude is
at frequency 3.68 Hz. At the end of the bucket wheel
boom (accelerometer A_06z) amplitudes peaks at
frequencies 0.52 Hz, 1.30 Hz, 1.74 Hz, 2.00 Hz, 2.43
Hz are significant and there is also a strong peak of
constant amplitude at frequency 2.26 Hz. These
frequencies are evident during mining and are less
significant during change of terraces. Very important is
the shift of a value of the first natural frequency from
0.52 Hz to 0.49 Hz (accelerometer A_06z). It is caused
by change of position of the bucket wheel boom.
-10
-12
-14
0
BW boom -60
horizontal position
-120
Mining
Mining
Change of terrace
140
Input power BW boom

0
1200
600
0
1040
960
72
Movement of BWE
54
36
14.3.2010 8:30:00
14.3.2010 8:40:00
14.3.2010 8:50:00
14.3.2010 9:00:00
14.3.2010 9:10:00
14.3.2010 9:20:00
Time [s]
Accelerometer A_17y which was located at the top

of the inclined tower in horizontal direction has
different amplitude spectrum. There are significant
amplitudes in frequency band from 1.63 Hz to 2.12 Hz.
During the process of terrace change this frequency
band was changed at two amplitudes at frequencies 1.74
Hz and 1.96 Hz. Oil pump of gearbox of the bucket
wheel was in progress during the whole measurement,
see amplitude at frequency 2.26 Hz.
3. CONCLUSION
While analyzing dynamical properties of the BWE

SchRs 1320 several measurements were made. Several
interesting situations were analysed, such as moves of
some parts of the BWE, the start and the end of mining
or its interruption. The experiment of special sequence
of movements by the BWE was made. Series of
movements with bucket wheel boom, whole bucket
wheel, etc. and their influence on vibration were
analyzed. Measurement of the whole mining process of
133
20.5 m high block of overburden that was mined by

terrace cutting method in forth terraces was made. The
height of the block roughly corresponds with height of
the joint of the bucket wheel boom it means that the
bucket wheel boom was approximately in its horizontal
position. It was evaluated that the first natural frequency
of the BWE SchRs 1320 in the first terrace is 0.504 Hz,
in the second terrace it is 0.495 Hz, in the third terrace it
is 0.483 Hz, and in the fourth terrace it is 0.469 Hz [10].
There was a declining trend in the first natural
frequency. The difference between first and fourth
terrace was 0.035 Hz. The comparison of natural
frequencies during mining with natural frequencies that
was measured experimentally [5, 9] shows that effects
of digging forces cause the decrease of value of the first
natural frequency. In measuring of natural frequency the
value 0.545 Hz (0.6 Hz for bucket wheel in interaction
with overburden) was found out [5], but during mining
the values of the first natural frequency in the terraces
ranged from 0.5 to 0.46 Hz [10, 6]. These trends are
evident in the time-frequency spectra that are described
in the presented paper.
ACKNOWLEDGMENT
The author gratefully acknowledges the financial

support provided by the Ministry of Industry and Trade
of the Czech Republic within the project FR-TI1/086.
REFERENCES
[1] Schlecht, B. Simulation of the Bucket Wheel Drive

of a Compact Bucket Wheel Excavator, Krupp
Frdertechnik GmbH, p. 11.
[2] Schlecht, B., Wnsch, D., Deckers, J., Holtmann,
M. Experimentelle Analyse der Schreibkrfte eines
Kompaktschaufelradbaggers
mit
Hilfe
piezoelektrischer Kraftmedbel im Reizahn, p. 20
[3] Bosnjak, S.; Petkovic, Z.; Zrnic, N.; Simic G.;
Simonovic, A. Cracks, repair and reconstruction of
bucket wheel excavator slewing platform,
1631-1642, 2009.
[4] Rusinski, E.; Harnatkiewicz, P.; Kowalczyk, M.;
Moczko, P. Examination of the Causes of a Bucket
Wheel Fracture in a Bucket Wheel Excavator,
13001312, 2010.
[5] Gottvald, J. 2010. The calculation and measurement
of the natural frequencies of the bucket wheel
excavator SchRs 1320/4x30, Transport, Vol. 25,
No 3, pp. 269277.
[6] Gottvald, J. Experimentln a pravdpodobnostn
analza provozn spolehlivosti kolesovho rypadla
SchRs 1320/4x30 [Experimental and probabilistic
analysis of operational reliability of the bucket
wheel excavator SchRs 1320/4x30], Ph.D. thesis,
Brno University of Technology, p. 205, 2011. (in
Czech)
134
[7] Bosnjak, S.; Arsic, M.; Zrnic, N.; Rakin, M.;

Pantelic, M. 2011. Bucket wheel excavator integrity
welded joint, Engineering Failure Analysis, Vol.
18, No 1, pp. 212-222.
[8] Steven, W. S. The Scientist and Engineer's Guide to
Digital Signal Processing, California Technical
Pub, 1999.
[9] Gottvald, J. Measuring and comparison of natural
frequencies of bucket wheel excavators SchRs 1320
and K 2000. In Proceeding of the 4th WSEAS
international conference on engineering mechanics,
structures, engineering geology (EMESEG 11),
Corfu Island (Greece), pp. 335-340, 2011.
[10] Gottvald, J. Analysis of steel structure vibrations of
the bucket wheel excavator SchRs 1320. In 17th
International conference Engineering mechanics
2011, Svratka, Czech Republic, pp.159-162, 2011.
[11] FlexPro 7 - Program manual. Weisang GbmH,
2007.
Dragan Komljenovic
Adjunct Professor
Department of Mining, Metallurgical and
Laval University, Quebec-City, Canada
Reliability Engineer
Hydro-Quebec
Montreal, Canada
Samir Nuric
Associate Professor
University of Tuzla
Faculty of Mining, Geology and
Civil Engineering
Lazar Kricak
Professor
Faculty of Mining and Geology
Milorad Pantelic
Assistant Professor
Technical Faculty in aak
Impact of the Variability of

Technological Parameters on the
Effective Reclaiming Capacity of
Bucket Wheel Reclaimers
This paper presents a more reffined approach to calculate the effective
reclaiming capacity of bucket wheel reclaimers by incorporating the
impact of stochastic variability concerning geotechnical parameters. The
methodology takes into account the relationship between design
characteristics of the equipment and relevant parameters associated with
its working environment. It is based, among other, on the particular shape
of stockpiled material and the digging geometry of those types of machines.
Stochastic variability of main influence material characteristics has been
used to analyze their impact on the effective reclaiming capacity. The
validation of the developed model has been performed at a Canadian
mining company.
Keywords: Bucket-wheel reclaimer, effective reclaiming capacity, bucketwheel excavator, simulation.
1. INTRODUCTION
Handling and shipment of bulk solid materials plays

an important role in modern economy. It is due, among
other things, to steadily increasing volume of raw
materials being transported from often remote mine
sites on all continents to plants and facilities in both
industrialised and industrialising countries. Cost of
these operations has a sizeable impact onto prices of
final products. Therefore, bulk solids handling systems
need to be efficient, reliable, highly productive and
should enable a good material flow, at the least cost.
This requires more efficient reclaiming and stacking
machines.
The equipment employed to handle raw bulk
materials in stockyards is referred to as a reclaimer
(reclaiming operation only), and/or stacker/reclaimer
(both functions: stacking and reclaiming). The most
frequently used ones are the rail-mounted boom-type
machines, such as a stacker/reclaimer shown in Figure
1. To simplify the text that follows, these machines will
be referred to as R&SR.
During the reclaiming operation the bucket of such
machines follows a 3D trajectory defined by a
combination of three elementary movements (Figure 1):
-
Rotation of the bucket around its own axis at

speed, vr;
Slewing of the boom around a vertical axis to a
yard plane at speed, vzkr;
Travel of the machine on rails parallel to the pile at
speed, vtr.
The stacking (stockpiling), as the second operation,

can be carried out only by stacker/reclaimers. The
machine travels alongside the stockyard where bulk
material is stockpiled [1], [2], [3] [4].
Consequently, it is important to elaborate an
accurate methodology to calculate the effective
reclaiming capacity of those machines as part of their
overall selection process and operation. Some research
works discussed below provide a general framework in

this regard.
The paper aims at reffining some existing
methodologies to calculate R&S/R effective reclaiming
capacity. For that purposes, the study performs, among
other, simulations of dominant material properties for
determining this capacity.
Figure 1: Elementary movements of a bucket wheel

reclaimer or stacker/reclaimer in reclaiming operation [2]
2. LITERATURE REVIEW
There is a certain similarity between the basic design

of bucket wheel excavators (BWE), and bucket wheel
reclaimers and stacker/reclaimers. Numerous high
quality references world-wide regarding digging
performance of BWE have been published but they will
not be discussed here.
135
At earlier stages, the reclaiming operation and

reclaiming capacity of R&S/R has been calculated using
approaches based on BWE without necessarily
considering specific shape of stockpiles. Latter research
works have brought improvements by elaborating more
appropriate calculation methods regarding this matter
[1], [2], [3], [4]. Some simulation tools have also been
developed [5]. Discrete event simulation modeling
developed in this study provides a means to quantify the
throughput capacity of stockyards. Hu and Yao [6]
analyze raw material yards at dry bulk terminals as
temporary buffers for inbound and outbound raw
materials. Full automation of reclaiming and stacking
reclaiming operation has also been studied [7], [10].
Knappe [8] provides basics of reclaiming calculation
methodology but did not develop it at a sufficient level
of details. Bosnjak et al [9] discuss the problems of
identifying external loads of multibucket machines for
mechanization. The study points to the significance of
the problem of identifying the external load, as well as
to the potentially very detrimental and dangerous
consequences of eventual shortcomings during solving
the mentioned problem.
3. EFFECTIVE RECLAIMING CAPACITY
This section prsents an analysis regarding the

impact of the random variation of digging resistance
regarding bulk materials to the effective capacity. The
methodolodgy to calculate R&SR reclaiming
performance (effective capacity) is developed in a
sufficient level of details in studies [3], [4] and will
serve as a basis for obtaining results in the current
study. The latter uses simulations within a case study at
a Canadian iron ore surface mine.
3.1 Digging resistance of bulk
required bucket wheel power
materials
0.00144 exp(0.0145 d sr ) ( z co 1261) [kN ]
where:
dsr [mm]
[kN/m3]
c0 [mm]
136
average corn size;

specific weight of bulk material
cutting depth
Corn shape factor is calculated as follows:

f obl f g foz
(1)
(2)
where:
fg geometric factor representing a ratio between three
main dimensions of a sample. The value of this
factor for a ball is 1. In bulk materials, this value
varies between 1.3 to 1.6.
foz factor which depends on the corn shape and the
state of corn surface. For rough surfaces with sharp
edges, its value may vary between 1.7-2.5.
Values of the digging resistance of some bulk
materials are given in Table 1. The results show that the
corn size has a decisive impact on the digging resistance
of bulk materials. The second factor of importance is the
corn shape, and the third one involves the bulk density
[11]. For practical purposes (machine selection and
operation), equation (1) can generally be used [4]. Only
in the case where the corn size is extremely large, or the
machine operator expresses a need for special
requirements, detailed calculations and measurements
may be necessary.
As far as digging power calculation is concerned, the
approach developed for bucket wheel excavators may
apply [3], [4].
-
Peripheral force engaged on the bucket wheel

PkL k L Lsr [kN ]
(3)
Total length of bucket cutting edges in contact

with material (trapezoidal buckets)
Lsr
z
c (1 cos u ) b u [m]
2
(4)
By knowing the peripheral force (from equations 1

and/or 3) and the total length of bucket cutting edges in
contact with material, the specific digging resistance can
be calculated as kL = PkL/Lsr.
-
Digging power Nk includes:

-
cutting power,
power to overcome friction between a bucket wall
and material being dug,
power to overcome resistance due to material
ploughing.
All these components are summarized in digging

resistance. Therefore:
N k PkL vr [kW ]
Pk 1.4 exp(0.019 d sr ) f obl 1.26(0.1 1)
corn shape factor

number of buckets on the bucket wheel
fobl
z
and
The digging resistance is the most important

geomechanical parameter that influences the necessary
motor power on the bucket wheel. This power exercises
a significant influence on the whole design of the
machine. For this reason, an accurate assessment of the
digging resistance plays a key role on a design and/or
selection process of a R&S/R. There are numerous
research works in this field. However, this paper will
take into account a study based on experimental results
[11] which provides very useful practical insights.
Investigations [11] have been carried out on 31 R&S/R
operating in coal-stockpiles, and 55 machines working
in ore-stockpiles. According to measurement results, the
following relationship for the necessary digging force
has been obtained:
0.00036 exp(0.0175 d sr ) ( z co 5256)
(5)
Total power engaged Nr
Total power engaged on the bucket wheel is the sum

of the digging and lifting power. Applying the
efficiency of drive train, one obtains:
Nr
Nk Nd
(6)
If the digging resistance of the material kL is inferior

to the specific digging force of the machine kL(p), the
capacity will be maximized. Detailed calculations are

presented in [4]. The specific digging force is calculated
as follows [4]:
k L( p )
5540 N r Qthm D g
[kN / m]
D ni Qthm
69.25 u
15
6. Maximal linear acceleration/deceleration in the far

side pile slope (defined by angle k 2 i ) (Interval 6).
(7)
3.2 Effective reclaiming output
Effective capacity in reclaiming operation expresses

a real output of a system with a working R&S/R [3], [4].
It depends on equipment design, technological
parameters, as well as geomechanical properties and
characteristics of material handled. A general formula is
as follows:
Qeff
V
[ m3 / h ]
tk t m
(8)
Where:
V [m3] - reclaiming volume in a bloc
tk [h] - digging time
tm [h] - machine manoeuvring time in the working bloc
The manoeuvring time tm accounts for manoeuvres
of a the machine in a digging cut, such as positioning a
R&S/R during a reclaiming operation. It is necessary to
accurately determine the value of these three variables
to calculate the effective reclaiming capacity.
-
Digging time
As previously mentioned, the capacity strongly

depends on the block shape.
Figure 2 depicts main interrelations between a block
shape and machine working parameters in reclaiming
operation.
This block shape defines necessary variation of
boom slewing speed [3], [4] and thus the digging time.
Accordingly to Figure 3, the intervals of slewing speed
change are defined as follows:
1. Maximal linear boom slewing acceleration or
deceleration in the inner slope (defined by
angle k1i ) (Interval 1);
2. Automatic slewing speed regulation in the area
where the cutting height changes in the near-pile
slope (defined by angle a3i ) (Interval 2);
u
3. Automatic slewing speed control in the area of a

constant cutting height (Interval 3), where only the
cutting depth varies. (It is defined by angle a1i ; if
the pile has a triangular shape, this interval is absent
in the first /highest bench);
4. Automatic slewing speed regulation in the area
where the cutting height changes in the outer slope
(defined by angle
Figure 2 : Block parameters in reclaiming operation

a) Narrow block operation
b) Full block operation
v
a2
i ) (Interval 4);
5. Maximal slewing speed limited by maximal design

limit of the slewing speed. (defined by angle mi )
(Interval 5). When such limit is not reached, this
interval will disappear from Slewing angle
slewing speed chart.
137
operating time and an effective capacity in an entire

stockpile are provided in [4] and are not further
discussed in this paper.
4. CASE STUDY
The validation of the developed model is carried out

at Canadian iron ore mine. Its name is withheld due to
confidentiality matters. There are several category
products at the mine, but the developed model is used to
calculate the performance in the regular concentrate
66,3% iron content (CON). Concentrates are handled
(stockpiled and reclaimed) by the combined
stacker/reclaimer KRUPP, model Ldc (360x1000)/52.
The technical characteristics of the machine are detailed
in [4] and a typical stockpile is presented in Figure 4,
and a photo of the concentrate stockpile in Figure 5..
Figure 4:
Figure 3:
Typical stockpile cross-section
Change in bucket wheel slewing speed

a) Maximal slewing speed is reached
b) Maximal slewing speed is not reached
The detailed equations to calculate bucket wheel

slewing speed by interval (intervals 1-6) are provided in
[3], [4].
The obtained sleewing speeds represent a basis to
calculate digging times by interval and finally the total
digging time in a cut:
6
t k ( i ) t ji [ s]
(9)
j 1
Manoeuvring time in a cut
This is the time spent on the manoeuvring motions

of a machine in a digging cut without digging time. It
does not depend on the block-type (narrow or full
block) in a reclaiming operation. The detailed equations
to calculate manoeuvring time are provided in [3], [4].
-
Table 2: Geomechanical characteristics of the

concentrate
Rki hi c 1i sin vi sin 2i sin ui sin 1i

2 cos 1i
(10)
dsr [mm]
Reclaimed volume in a cut in a full block [m3]

Vz (i )
Rki hi c 1i sin vi 0.5 sin ui sin 1i

cos 1i
(11)
Hereby, all the variables required in equation (8) are

defined and determined for an accurate Qeff calculation
in a cut. The approach and equations for calculating an
138
Concentrate (CON)
pi [%]
Size [m]
Reclaimed volume of a cut in a narrow block [m3]

Vz (i )
According to mine data, iron ore concentrate

handled at the port, possesses the geomechanical
characteristics shown in Table 2.
Reclaimed volume
The reclaimed volume is calculated for either narrow

or full block operation in function of the actuel block
shape see equations (10) and (11).
-
Figure 5: Photo of the concentrate stockpile
1000
500
315
250
150
125
106
63
30
3.6
19.3
21.9
10.5
22.6
6.2
4.5
8.9
2.4
280m = 0.28 mm
[t/m3]
(average)
2.6
[0]
34
Corn shape and surface state
With sharp edges and a rough surface state; very abrasive
The standard deviation of the corn size is calculated

from Table 2 as per equation (12):
N
2 pi X i2 X
i 1
(12)
Which gives a value of dsr = 0.202 mm.

The geomechanical characteristics presented in
Table 2 are used to calculate the necessary digging force
as per equation (1). A simulation is used to describe
their behaviour given a stochastic nature of their
variations.
The following assumptions are considered for the
simulation purposes:
- The variation of the corn size is ruled in
accordance with a normal distribution with a
minimum value of 1E-04 mm, and a maximum
value of 1.2 mm; .
- Specific weight (): normal distribution with a
minimum value of 2.2, and a maximum value of
3.6 t/m3; = 0.39 t/m3
- Geometric factor fg: Uniform distribution with a
minimum value of 1.4, and a maximum value of
1.8
- Factor which depends on the corn shape foz:
Uniform distribution with a minimum value of 1.7,
and a maximum value of 2.7
In total 25 000 simulations have been performed
with each of above data in order to determine the
behaviour of the digging force as per equation (1).
The random numbers distributed as per a normal
distribution are generated as follows [12]:
(13)
where XN is calculated in accordance with equation
below [12]:
Figure 5: Distribution of required digging force
Figure 6:
Distribution of specific digging resistance of the

concentrate
Table 4: Confidence intervals of obtained results

for PkL and kL
Confidence
interval =
(14)
and
PkL [kN]
(15)
are uniformely distributed random numbers.
The random numbers XU described by a uniform
distribution are generated as follows [12]:
kL [kN/m]
(1-)/2 =
(1+)/2 =
Lower limit
Upper limit
Lower limit
Upper limit
0.90
0.95
0.99
0.05
0.95
9.41
14.08
7.65
11.45
0.025
0.975
8.97
14.53
7.29
11.81
0.005
0.995
8.09
15.40
6.58
12.52
where Xmax, Xmin are maximum and minimum values of

the simulated variable.
Figures 5 and 6 depict the variation of PkL and kL
obtained through simulations.
Table 3 presents main statistical result of the
simulations for PkL and kL, and Table 4 shows their
values for various confidence intervals.
The specific digging force kL(p) of the machine is

calculated in accordance with equation (7). The value of
kL(p) = 41.9 kN/m is obtained. Given that the specific
digging resistance kL is always inferior to kL(p), (see
Figures 5 and 6, and Tables 3 and 4) the reclaiming
capacity will be maximized.
Various values of the depth of the advance of the
machine L are taken into account while calculating the
effective reclaiming capacity as per equation (8). The
results are obtained by using the methodology presented
in [3], [4], and compiled in Table 5. The main value of
L is L=15 m.
Table 3: Main results obtained through simulations

for PkL and kL
Table 5: Effective reclaiming capacity as a function

of the depth of advance L
(16)
PkL [kN]
kL [kN/m]
min
8.8
7.1
max
16.8
13.7
Average
11.7
9.6
1.42
1.15
Standard deviation
L [m]
5.0
15.0
22.5
Qeff [m3/h]
743.1
766.2
770.4
The comparaison of the calculated values of Qeff and

the actuel ones observed over a period of four years at
139
the mine is presented in Figure 7. This comparaison

demonstrates that the methodology is adequate and
validatet through field data.
Figure 7:
Comparaison between calculated Qeff and

observed values at the mine
The difference between calculated and actual

capacity, recorded over four years varies within a
margin of 2.8%. By excluding the year 3 from
calculations due to some technical issues of the
machine, the accuracy of the calculations reaches the
value of 0.1%.
5. CONCLUSIONS
The study presented here has been focused primarily

on reclaiming capacity calculation of rail-mounted
bucket wheel reclaimers, and stacker/reclaimers
(R&SR). The effective reclaiming capacity represents
an actual output of this operation with regard to its main
influence factors, such as:
- Design parameters of the machine;
- Geomechanical properties of bulk material
(including its digging resistance);
- Technological parameters (block shape and mode
of operation)
A complex mathematical analysis was used to
elaborate an appropriate methodology for calculating
effective reclaiming capacity [3], [4].
Validation of the methodology has been performed
on an operating KRUPP stacker/reclaimer at a Canadian
iron ore mine. Simulations have been performed to take
into account the randomness of the geomechanical
properties of the iron ore concentrate. The obtained
results clearly confirm the applicability of this approach
in actual conditions. The difference between calculated
and actual capacity, recorded over four years varies
within a margin of 2.8% (or 0.1% while exculding
the year 3 in which the performance of the machine has
known some issues). Based on these results, it may be
concluded that the developed methodology is valid for
calculating effective reclaiming performance of railmounted bucket wheel reclaimers.

REFERENCES
[1] Wohlbier, R.H. Stacking, Blending, Reclaiming,

Trans Tech Publications, 858 pp, 1977.
[2] Bergonzoli, A. and C. Ferretti, Calculation Program
for the Analysis of the Performance of Boom-Type
Reclaimers, Stacking, Blending & Reclaiming of
Bulk Materials, Volume B/94,Trans Tech
Publications, pp. 95-108, 1994.
[3] Komljenovic, D., Drebenstedt, C., Paraszczak, J.,
Fytas, K., Methodology to Calculate the Effective
Reclaiming Capacity of Rail-Mounted Boom-Type
Bucket-Wheel Reclaimer and Stacker/Reclaimer,
Bulk Solids Handling, Volume 24, No 3, ClausthalZellerfeld, Trans Tech Publications, pp. 158-170,
2004.
[4] Komljenovic, D., Mathematical model of
functioning and technical selection of bucket wheel
reclaimers and stacker/reclaimers (PhD Thesis),
Laval University, Quebec City, 179 pp, 2002.
[5] Monrad, E., King, H., Simulation as a tool to
determine stockyard handling capacity, Bulk
Material Handling by Conveyor Belt 7, pp. 47-51,
2008.
[6] Hu, D., Yao, Z. Stacker-reclaimer scheduling for
raw material yard operation, 3rd International
Workshop
on
Advanced
Computational
Intelligence, IWACI 2010, art. no. 5585235 , pp.
432-436, 2010.
[7] Meller, E., Hellmich, J. Full automation of
combined stackers and reclaimers, Bulk Solids
Handling 21 (5) , pp. 534-538, 2001.
[8] Knappe, W., Performance of Bucket Wheel
Reclaimers (Method of Calculation in Principle),
http://www.saimh.co.za/beltcon/beltcon8/paper820.
html, Last time accessed on February 20th 2012.
[9] Bosnjak, S.M., Zrnic, N.D., Gasic, V.M., Petkovic,
Z.D., Simonovic, A.M., External load variability of
multibucket machines for mechanization, Advanced
Materials Research, 422 , pp. 678-683, 2012.
[10] Closs, R., Siemens, A. Compact solution for
steering a giant, Bulk Solids Handling29 (3) , pp.
168-170, 2009.
[11] Andreae, H.J. Ein Beitrag zur Grabkraftermittlung
an Schttgutschaufelrad-antrieben, Hebezeuge und
Frdermittel, H.12, pp. 363-366, 1981.
[12] Gharbi, A., Analyse de rentabilit, cole de
technologie suprieure, Montral, 2009.
Table 1: Digging resistance of some bulk materials [11]

Bulk material
Density
[kN/m3]
Bulk density
[kN/m3]
Chromite ore
41
Limestone
Gravel
Magnesite
Transported coal
22
26
29
12
140
Corn size
[mm]
19
26
25
22
15
14.2
15
9
8
7
Average corn
size dsr [mm]
2
0100
0100
0300
0200
100300
0100
0100
0200
2
24
42
171
57
49.9
203
20
48
110
Corn shape
factor fobl
Digging resistance
[kN/m]
1.8
2.3
2.3
2.3
1.8
1.5
2.3
1.8
1.8
1.8
4.3
7.2
9.6
83.0
10.0
8.3
13.05
5.2
8.1
22.0
Bonjak M. Sran
Professor
Petkovi D. Zoran
Professor
Gnjatovi B. Neboja
Assistant
Jerman Boris
Assistant Professor
Milenovi Lj. Ivan

Reserch Associate
Finite Element and Experimental

Strength Analysis of the Bucket wheel
Excavator Two-Wheel Bogie
This paper presents the results of the study dedicated to the problem of
two-wheel bogie (TWB) strength. Two variants of TWB structure were
analysed: the originaly designed and redesigned. For each variant three
calculation models are used to identify the stres state. The first of them do
not iclude the influence of the track wheel axle on lateral load distribution.
The scon model include mentioned influence, while the third consider the
track wheel axle as a structural part of TWB. Validation of the FE models
is done by FE simulation of the experiment carryion out on originally
designed testing bench. The obtained results fully clarify the occurrence of
cracks in original TWB structure, as well as the considerable impact of the
track wheel axles on TWB structure stress state.
Keywords: Bucket wheel excavator, Two-wheel bogie, Strength, FEA,
Experiment.
1. INTRODUCTION
The wheel, as widely known, is one of the oldest

inventions of mankind, figure 1. It essentially changes
the nature of friction, an unavoidable follower of every
mechanical motion. Namely, by applying the wheels,
sliding friction is replaced with rolling friction.
Naturally,
the
appearance,
development
and
performance improvement of various working machines
and means of transport which changed the face of the
Earth and substantially supported the progress of
civilization, were followed by appropriate developments
of traveling mechanisms, as well as the substructures for
their connecting with the whole machine structure.
Improvements in the methods of load identification,
stress state calculation as well as improvements in the
manufacturing technology, enabled a production of high
performance traveling mechanisms, especially when it
comes to carrying capacity.
Edgeworths idea (British patent in 1770) was realised

around 1834 [19], when Johan Heathcoat and Josiah
Parkes developed an unusual tracked vehicle a huge
steam-driven machine for pulling ploughs. Fortunately,
initial failure did not discourage investigators (On the
first day 12 hours of work were successfully completed
and British newspapers including the London News
reported this with enthusiasm. However, on only the
second day, the massive machine sank without trace
no further news is available! [1]). In 1858 Waren P.
Miller presented a steam-driven track-laying tractor
which had all the fundamental characteristics of modern
track vehicles [1]. In 1911 Bucyrus&Co. of Milwaukee
made the first two-crawler machine dragline mounted
on two-crawler tracks [2].
Figure 2. On-site replacement of the crawler two-wheel

bogie [10]
Figure 1. Use of wheels in ancient civilization
The introduction of the crawler undoubtedly

presents a milestone in the development and various
usage possibilities of working machines. Richard L.
Correspondence to: Dr Sran Bonjak, professor
E-mail: sbosnjak@mas.bg.ac.rs
However, albeit the history of crawler design and

manufacturing is very long, even today a relatively large
number of researchers are occupied with different
problems dealing with strength of traveling mechanisms
of the open pit machines and belonging substructures
[3-12]. It is important to note that failures of mentioned
travelling mechanisms are always followed by high
financial losses [13]. Furthermore, the replacement of
damaged parts is executed on site, often in hard working
conditions, figure 2, by that essentially prolonging the
downtime of the complete surface mining system [10].
141
Losses caused by machine downtime i.e. the system as a

whole, may significantly exceed direct material damage
several times [9,10].
This paper presents continuation of the
investigations dealing with problem of crawler twowheel bogie (TWB), figure 3, strength [6]. Namely, in
cited paper it was concluded that the main reason of
TWB structure failure, figure 4, is its insufficient
strength under lateral forces acting during curve travel.
Besides that, the redesigned TWB structure is presented,
as well as comparative results of testing both original
and redesigned TWB structure, figure 5.
The experimental results obtained on a test board

especially designed for this purpose [6], figure 6, as
perennial exploitation with no failures confirmed the
validity of the TWB reconstruction design.
Figure 6. Testing of redesigned TWB structure
Bearing in mind that FE models used in [6] do not

include the track wheel axles, the goal of the study
presented in this paper is to quantify their influence on
stressstrain state of TWB structure. The obtained
results are important because the wide usage of crawler
traveling mechanisms in various types of earthmoving
and conveying machines.
2. LOAD ASSUMPTIONS
Figure 3. 3D model of bucket wheel excavator Krupp 1760

TWB
The load analysis of the TWB structure, figure 7,

table 1, is carried out for load case H according to the
rules given in [1],[15], [16].
Figure 4. Typical failure of TWB structure
Figure 7. Load configuration of TWB structure

Table 1. TWB loads
Nomenclature
Vertical wheel reaction force
Horizontal wheel reaction
force
Vertical forces reduced to
track wheel axle supports
Horizontal forces reduced to
track wheel axle supports
Figure 5. Redesigned TWB structure (added elements are
red colored) [13]
142
Notation and value in kN

FV=384.3
FB=230.6
VA=354.8
VB=29.5
VC=354.8
VD=29.5
HA=HB=HC=HD=115.3
VE=879.4
Vertical forces reduced to

FWB axle supports
VF=110.8
Horizontal force reduced to

FWB axle support
HE=461.2
3. FE MODELS
FE models of the original and redesigned TWB

structure are obtained on the basis of corresponding 3D
models.
The manufacturing and assembling faults caused the
appearance of the relatively great axial gap (4 mm)
between TWB vertical plates and track wheel axles
subassemblies. That is the case considered in [6], where
FE models were created supposing that lateral forces
acts only on one vertical plate, while the second is the
support in the corresponding direction. In models shown
in figure 8, lateral forces acts on annular surface of the
holes strengthenings (blue colored surfaces).
(a) original TWB structure (model 3)

(b) redesigned TWB structure (model 4)
Figure 9. TWB structure loading in case of no axial gap
between vertical plate and track wheel axles
subassemblies

Figure 8. TWB structure loading in case of axial gap
between vertical plate and track wheel axles
subassemblies
According to project documentation, mentioned

axial gaps do not exist, and by the track wheel axles
subassemblies lateral forces equaly load both vertical
plates, blue colored surfaces in figure 9.
In FEM models which include track wheel axles
subassemblies lateral forces acts on one vertical plate annular surfaces of the holes strengthenings, blue
colored surfaces in figure 10.
In order to establish a reliable model of the contact

connection between track wheel axles and vertical
plates, i.e. to enable adequate vertical loads input in the
direction of global axis z into corresponding holes in
vertical plates of the model 1, 2, 3 and 4, contact virtual
parts are implemented [14], red coloured surfaces in
figures 8 and 9.
In models 5 and 6, track wheel axles are loaded by
vertical forces and bending moments (ML) gained by a
reduction of lateral forces, figure 10 Connections
between track wheel axles and vertical plates are
defined to be contact frictionless [14].
TWB are supported by four-wheel bogie (FWB)
structure. Connection between them is realised by axle
which is not included in the presented models. It was
supposed that it is absolutely rigid and immovable.
Connections between mentioned axle and TWB
structure is modelled by two virtual contact elements
(placed on red colored surfaces in figure 11) which
restrain displacements in vertical plane i.e. in the
directions of y and z axes, figure 11. TWB lateral
leaning on FWB structure is modelled by restraint of x
displacements of nodes on blue colored surface in
figure 11.
143
Their accuracies are high, that way the appearance

of isolated unrealistic stress values was avoided.
Figure 12. Detail of mesh in cracks occuring zone
4. VALIDATION OF FE MODELS
Validation of the models presented in Section 3. is

done by FE simulation, figure 13, of the experiment,
described in [6], figure 6.

Figure 10. Loading of TWB structure models which include
track wheel axles subassemblies
3D models shown in figures 8, 9 and 10 are

discretized by 4-node linear tetrahedron elements. In
order to provide fully comparability of the FE analyses
results the uniform meshes were generated, figure 12.
Figure 13. FE simulation of experiment (displacement field)
Comparative analysis pointed out the high

agreement of the results obtained by experiment and
FEM simulation, figure 14, table 2.
Table 2. Comparison of the results obtained by experiment
and FEM
Lateral
force
FB (kN)
Figure 11. Leaning of TWB structure
144
Displacement (mm)
experiment
Precentage
difference
FEM
700
5.2
5.4
3.8
800
5.8
6.0
3.4
900
6.5
6.5
0.0
1000
7.2
7.0
2.8
Figure 14. Exp

periment vs FE
EM
(a) mod
del 1
5. RESULTS
S OF FE ANA
ALYSES
m calculated stress values appear in the

Maximum
upper plate of TWB struucture, red coolored surfacee in
figure 15. Diistribution of von Misses stresses in crittical
zone are shhown in figgure 16. Avveraging of the
calculation stress values along
a
the uppeer plate thicknness
h
is done by 5tth order interppolation polynnomial with high
values of thee coefficient of
o determinattion (greater than
t
0.9).
(b) mod
del 2
Figure 15. Zon

ne (red colored
d) of maximum
m calculation
strssses
(c) mod
del 3
145
6. DISCUSSION
N
(d) model 4
(e) model 5
The presentted results off the numeriical analyses,,

fig
gure 16 and tabble 3, pointed out as follow
ws:
In
n all cases maximum
m
averaged von Misses
M
stressess
(M
MAvMS) aree considerablyy greater for original
o
TWB
B
structure than the redesignned TWB stru
ucture i.e. 3.55
o axial gap between TWB structure andd
tiimes in case of
trrack wheel axles
a
subassemblies, 3.2 times
t
if it iss
supposed that track wheel axles distribu
ute the laterall
oads equaly too both verticall plates and 2..6 times whenn
lo
trrack wheel axxles subassem
mblies are con
nsidered as a
structural partss;
If track wheel axles do not distribute the lateral loads,,
models
m
1 andd 2, figure 8,, MAvMS (8
862 MPa) forr
original
o
TWB
B structure (m
model 1) is considerablyy
greater
g
than ulltimate tensilee strength (UTS
a
U = 630 MPa
for
f steel quallity grade S3355J2G3). Th
his fact fullyy
clarify
c
occurreence of the cracks in casee of axial gapp
between
b
TWB
B structure and track wheel axless
subassemblies. Even in thatt case, MAvM
Ms (249 MPa))
for
f redesignedd TWB structuure (model 2) is lower thann
minimum
m
yieldd stress value (YS=355 MP
Pa);
If it is suppossed that track wheel axles distribute thee
e
to bothh vertical plattes, models 3
laateral loads equaly
and
a 4, figure 9,
9 MAvMS (431 MPa) for original
o
TWB
B
structure (model 3) are cconsiderably greater thann
minimum
m
yielld stress valuue (YS=355 MPa), whilee
MAvMS
M
(1333 MPa) for rredesigned TW
WB structuree
(m
model 4) is also lower thhan minimum
m yield stresss
value.
v
Besidess that, MAvM
MS for modell 3 is 2 timess
lo
ower than MA
AvMS for moodel 1, while MAvMS forr
model
m
4 is 1.9 times lower tthan MAvMS for model 2;
If track wheell axles are iccluded in mod
dels of TWB
B
structures, moodels 5 and 66, figure 10, MAvMS forr
both
b
original (249 MPa) aand redesigneed (95 MPa))
TWB
T
structuree are lower tthan minimum
m yield stresss
value,
v
while MAvMS
M
for m
model 6 is 2.6 timese lowerr
th
han MAvMS for model 5. Besides that,, MAvMS forr
model
m
5 is 1.77 times lower than MAvMS
S for model 3
which
w
do not include trackk wheel axless. Analogous,,
MAvMS
M
for model
m
6 is 1.4 times lower than
t
MAvMS
S
for
f model 4 whhich do not innclude track wheel
w
axles.
Tab
ble 3. Maximum
m averaged von Misses stres
sses
Model
(f) model
m
6
Figure 16. Dis
stribution of av
veraged von Miisses stresses
Stress value (MPa)
862
2
249
9
431
1
133
3
249
9
95
Based on facct that resultss of FE analysses indicate a

con
nsiderable reppercussion of track wheel axles
a
on TWB
B
146
structure stress state, the imact of their diameter was

investigated on model 5, figure 17.
The track wheel axles greatly influence on load

distribution and stress state, consequently. Besides that,
ther introduction in models of TWB structure leads to
considerable reducing of stress levels. Nevertheless, the
conservative approach to calculation of TWB structure,
using models which do not include track wheel axles,
provides sufficient TWB carrying capacity even in case
of unforeseen loads, which appearance is quite possible
having in mind extremely hard working conditions.
ACKNOWLEDGMENT
This work is a contribution to the Ministry of

Education, Science and Technological Development of
Serbia funded project TR 35006.
REFERENCES
Figure 17. Dependance of averaged von Misses stresses on

track wheel axle diameter (model 5)
If the MAvMS value for designed track wheel axle

diameter d=110 mm is accepted as a base for
comparison, it can be concluded that MAvMS value for
d=80 mm is greater for 20%, while MAvMS value for
d=125 mm is lower for 5%, table 4.
Table 4. Influence of track wheel axle diameter on
maximum averaged von Misses stresses
Track wheel axle

diameter (mm)
MAvMS (MPa)
Relative
MAvMS*
80
299
1.20
85
288
1.16
90
278
1.12
95
269
1.08
100
262
1.05
105
255
1.02
110
249
1.00
115
243
0.98
120
239
0.96
125
237
0.95
*As a base for comparision MAvMS value in the case of the

designed track wheel axle diameter d=110 mm is accepted
7. CONCLUSION
The results of a FEA fully explain the cracks

occurrence in case of axial gap between the original
TWB structure and track wheel axles subassemblies.
Even in that case, integrity of redesegned TWB
structure is not jeopardized. In all considered cases
stress state in redesigned TWB strtucture is
considerably lower than that for the original TWB
structure.
[1] Cohrs, H.H.: The classic construction series - 500

years of earthmoving. KHL international Ltd.,
Southfields (UK),1995.
[2] Rasper,
L.:
Der
Schaufelradbagger
als
Gewinnungsgerat. Trans Tech Publications,
Clausthal-Zellerfeld, 1975.
[3] Rusiski, E., Czmochowski, J., Smolnicki, T.:
Failure reasons investigations of dumping conveyor
breakdown, JAMME, Vol. 23, No. 1., pp. 75-78,
2007.
[4] Rusiski, E., Czmochowski, J., Moczko, P.: Halfshaft undercarriage systems designing and
operating problems, JAMME, Vol. 33, No. 1, pp.
62-69, 2009.
[5] Efstathiou, C., Sehitoglu, H.: Strengthening
Hadfield steel welds by nitrogen alloying, Mat Sci
Eng A-Struct, Vol. 506, No. 1, pp. 174-179, 2009.
[6] Bonjak, S., Petkovi, Z., Zrni, N., Panteli, M.,
Obradovi, A.: Failure analysis and redesign of the
bucket wheel excavator two-wheel bogie, Eng Fail
Anal, Vol. 17, No. 2, pp. 473-485, 2010.
[7] Zhi-wei, Y., Xiao-lei, X., Xin, M.: Failure
investigation on the cracked crawler pad link, Eng
Fail Anal, Vol. 17, No. 5, pp. 1102-1109, 2010.
[8] Dudek, D., Frydman, S., Huss, W., Pkalski, G.:
The L35GSM cast steel possibilities of structure
and properties shaping at the example of crawler
links, ACME, Vol. 11, No. 1, pp. 19-32, 2011.
[9] Bonjak, S., Arsi, M., Zrni, N., Odanovi, Z.,
orevi, M.: Failure Analysis of the stacker
crawler chain link. Procedia Eng, Vol. 10, pp.
2244-2249, 2011.
[10] Arsi, M., Bonjak, S., Odanovi, Z., Dunji, M.,
Simonovi, A.: Analysis of the Spreader Track
Wheels Premature Damages. Eng Fail Anal, Vol.
20, pp. 118-136, 2012.
[11] Savkovi, M., Gai, M., Petrovi, D., Zdravkovi,
N., Pljaki, R.: Analysis of the drive shaft fracture
of the bucket wheel excavator, Eng Fail Anal, Vol.
20, pp. 105-117, 2012.
147
[12] Bonjak, S., Petkovi, Z., Simonovi, A., Zrni, N.,

Gnjatovi, N.: Designing in Failures and
Redesign
of
Bucket
Wheel
Excavator
Undercarriage, Fifth International Conference on
Engineering Failure Analysis 2012 / Poster
Programme, ICEFA V, 2012.
[13] Bonjak, S., Zrni, N.: Dynamics, failures,
redesigning
and
environmentally
friendly
technologies in surface mining systems. ACME,
Vol 12, No. 3, pp. 348-359, 2012.
148
[14] Zamani N. CATIA V5 FEA Tutorials release 17.

Windsor Ontario: University of Windsor, SDC
Publication; 2008.
[15] DIN 22261-2. Bagger, Absetzer und Zuzatsgerte
in
Braunkohlentagebauen.
Teil
2:
Berechnungsgrundlagen. Berlin: Deutsches Instituts
fr Normung: 1998.
[16] Durst W, Vogt, W. Bucket Wheel Excavator.
Clausthal-Zellerfeld: Trans Tech Publications;
1989.
Petkovi D. Zoran
Professor
Bonjak M. Sran
Professor
Gnjatovi B. Neboja
Assistant
Mihajlovi M. Vaso
Reserch Associate
Redesign of the BWE SchRs 350

bucket wheel boom
Bucket wheel excavator SchRs 350/5x12 is one of the oldest mining
machines still operating in open pit mines in Serbia. Bucket wheel drive
gearbox of classical type had to be substituted with planetary one, in order
to eliminate the original design drawbacks. Integration of new bucket
wheel drive solution requires a subtle redesign of the bucket wheel boom.
Calculation verification of bucket wheel boom structure is realized on
basis of comparative stress analysis of the original and redesigned
construction. Sixteen different load cases were analyzed. Results of finite
element analysis are presented in this paper. Presented redesign solution
makes the installation of new bucket wheel drive possible, maintenance
process easier and prolongs the service life of the machine.
Milojevi Z. Goran
Reserch Associate
Keywords: bucket wheel excavator, bucket wheel boom, redesign, stress

analysis
1. INTRODUCTION
Bucket wheel excavator (BWE) SchRs 350/5x12,

figure 1, is the second oldest mining machine of that
type still operating in open pit mines in Serbia [1].
Bucket wheel (BW) drive integrated construction, figure
2, used on this excavator was developed according to
well known concept of father-and-son drive in order
to enable a choice of three fixed speed stages. Power
transmission of BW drive was realized by usage of
spur-geared gearbox of classical design. The connection
between output shaft and its gear is realized by conical
press fit. Dismantling of this kind of junction represents
a very complex procedure which requires application of
special hydraulic equipment, and is always followed by
failures of resting surfaces. In order to replace bearing
of the bucket wheel shaft, which is placed between BW
and gearbox, it is necessary to dismantle the complete
gearbox, including the output shaft gear. This kind of
procedure couldnt be realized before reclining of BW
boom, counterweight and discharging boom.
four-part bucket wheel gearbox casing has been

damaged in several cases, resting surfaces of the casing
parts and holes for the shaft bedding were machined
several times. Low reliability, followed by frequent
occurring of break downs dictates the necessity of
manufacturing new gearbox casing and almost every
part, and also production of new BW and its shaft,
according to the existing design. Manufacturing and
mantling of listed assemblies will unable proper
functionality of BWE, but will not eliminate the
problems which occur during the replacement of the
BW shaft bearing. On the other hand, substitution of the
existing BW gearbox of the classical design with a
planetary one eliminates the original design drawbacks
which deal with accessibility and possibility of repair or
substitution of the damaged subassemblies. In order to
realize substitution of gearboxes, two additional buckets
had to be installed on existing BW, since the original
BW drive enabled a choice of BW shaft rotational
speeds among the following values: 6 min-1, 7.5 min-1
and 9 min-1, while the speed of the planetary output
gearbox shaft is 8.2 min-1. The decrease in the speed
number of the redesigned BW drive is compensated by
increasing the number of buckets.
auxiliary drive
main motor
Figure 1. Bucket wheel excavator SchRs 350/5x12
gearbox
During more than fifty years of exploitation the

Correspondence to: Dr Sran Bonjak, professor
E-mail: sbosnjak@mas.bg.ac.rs
Figure 2. BW drive
The redesigned excavating device gives 82 bucket

discharges per minute, while the maximal number of
149
discharges in the existing device is 72. Redesign of the

BW excavating device is presented in [2] and [3].
The bucket wheel boom (BWB), figure 3, is the vital
part of BWE structure. It supports BW with drive and
belt conveyor. Thus, all the loads acting upon elements
of excavating device are throughout boom transmitted
to superstructure mast. Integration of new BW drive
solution requires a subtle redesign of the BWB head.
Installation of new structural elements is required in
order to unable proper positioning and undisturbed work
of drive equipment and to reinforce existing steel
structure in the zone of reconstruction.
Figure 4. 3D model of BW main drive kinematic chain:

1 main drive motor; 2 safety coupling; 3 cardan shaft;
4 break; 5 gearbox; 6 torque arm; 7 - BW
Figure 3. 3D model of the original bucket wheel boom

(BWB) structure [1]
2. REDESIGN OF THE BWB
Newly installed BW drive solution consists of main

and auxiliary drive. Transmission of power from main
motor (nominal output of 250kW) to planetary gearbox
(transmission ratio of 179.4) is realized by cardan shaft
which compensates the height difference between motor
output shaft and gearbox input shaft axis, figure 4.
The drive is also equipped with safety coupling
(overload factor of 1.3) and break (nominal breaking
moment of 500-3300 Nm). Separable connection
between BW gearbox and the BW shaft makes the
substitution of the BW shaft bearing easier and
downtime of the machine substantially shorter.
Prior to installation of new BW drive, the original
BWB steel structure had to be modified. Main girder
subassembly, figure 5, was implemented in to the
structure in order to unable mounting of the main drive
motor, torque arm, oil reservoir, walkway and roof
construction. Implementation of main girder also
provides greater rigidity of BW shaft girder. Doe to
installation of torque arm, vertical girder consists of two
segments: pillar basis and pillar. The pillar basis is
expanded to unable the positioning of torque arm
bedding, since this operation is done during mounting
process.
Bearing walkway and roof structures, figures 6 and
7, are attached to the construction providing access and
protection of power transmission system. These
structures are demountable, what makes the service and
repairs process of drive components easier.
Figure 5. 3D model of main girder subassembly:

1 horizontal girder; 2 pillar basis; 3 vertical girder
(pillar); 4 bracing; 5 walkway girder; 6 main motor
bearing structure
Figure 6. 3D model of bearing walkway structure with fence
Figure 7. 3D model of roof structure with girders
3D model of redesigned BWB is shown on figure 8.
150
Figure 8. 3D model of redesigned BWB [1]:

1 BWB; 2 main girder subassembly; 3 walkway bearing structure with fence; 4 torque arm; 5 breaking mechanism
girder; 6 auxiliary drive with girder; 7 Oil reservoir girder; 8 roof structure
Redesign of BW with its boom and implementation

of new BW drive present, essentially, partial
revitalization of the BWE, figure 9.
working regime and for excavation with overload.

Vertical and horizontal position of tangential component
of force resisting excavation (tangential digging force)
was also taken in to account.
Sixteen different load cases marked with i/j/k/l were
analyzed where:
i defines the structure which is analyzed
Figure 9. BWE 350/5x12 during erection process

3. FINITIE ELEMENT ANALYSIS OF BWB
BWB is designed as space truss structure.

Calculation verification of BWB structure is realized on
basis of comparative stress analysis of the original
(calculation model I) and redesigned (calculation model
II) construction. Stress state of analyzed models is
identified by usage of FEM. Load analysis was carried
out according to recommendations of standard DIN
22261-2 [4] for the case of main loads acting upon
structure H.
Doe to universality of BWE exploitation, loads
diagnostics was done for both coal and overburden
excavation. FEA [5] was conducted for nominal
i=1 for calculation model I

i=2 for calculation model II
j defines type of excavated soil
j=1 for coal excavation
i=2 for overburden excavation
k defines the working regime
k=1 for nominal working regime
k=2 for working with overload
l defines position of tangential digging force (WT)
l=1 for vertical position, figure 10
l=2 for horizontal position, figure 11
Figure 10. Vertical position of WT
151
Figure 11. Horizontal position of WT
Discretization of the 3D models shown in figures 3

and 6 is done by tetrahedron elements. Uniform FE
mesh of high precision is accumulated in order to
unable comparison of the results gain for both
calculation models.
Results of FEA are shown in figures 12 and 13.
zone 1
zone 2
Figure 13. Stress field of the redesigned BWB; load case

2/1/1/1
Two zones of high stress values were observed. The

zone of BW shaft girder which was redesigned (zone 1)
and the zone of original BWB structure which was not
the subject of redesign (zone 2). Gain maximum stress
values in mentioned zones are presented in table 1.
4. DISCUSSION
zone 1
Reconstruction of BWB head in the zone of BW

shaft girder i.e. the installation of main girder
subassembly, has a favorable influence on stress state of
analyzed zone. This can be proved by the fact that
maximum Von Mises stress values are on average lower
for 7.8%, figure 14.
zone 2
Figure 12. Stress field of the original BWB; load case

1/1/1/1
152
1/1/1/1
1/1/1/2
1/2/1/1
1/2/1/2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
159
200
142
196
165
204
146
200
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
171
218
153
212
181
222
157
217
1/1/2/1
1/1/2/2
2/1/1/1
1/2/2/1
2/1/1/2
1/2/2/2
2/2/1/1
2/2/1/2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
146
211
134
208
150
246
137
213
2/1/2/1
2/1/2/2
2/2/2/1
2/2/2/2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
Zone 1
Zone 2
159
227
143
223
163
231
146
227
Calculation model II
Load case
Maximum
stress value
(MPa)
Load case
Maximum
stress value
(MPa)
Load case
Maximum
stress value
(MPa)
Load case
Maximum
stress value
(MPa)
Calculation model I
Table 1. Results of FEA
Figure 14. Comparison of Von Mises stress values in the zone of BWB reconstruction
Figure 15. Comparison of maximum Von Mises stress values of the BWB structure
According to data shown on figure 15 it can be

concluded that the differences in stress values gain for
calculation models I and II, for all comparable load
cases in zone of maximum Von Mises stresses values
(zone 2), which wasnt subjected to reconstruction, are
not on average greater than 5.3%.
Presented results confirm the fact that partial
revitalization of BW with drive does not influence
greatly on global stress field of BWB structure.
5. CONCLUSION
The presented solution of BWE SchRs 350/5x12

BWB head redesign makes the installation of new BW
drive possible. Maximum stress values of the redesigned
BWB head are lower in relation to the original
construction. Proper work of BWE is not endangered by
slight increase in stress values in those parts of BWB
structure which were not the subject of redesign. BWB
redesign, and redesign of BW with drive prolong the
service life of one of the oldest BWE still operating in
Serbia, make maintenance process easier and eliminate
initial drawbacks of once obsolete construction.
ACKNOWLEDGMENT
This work is a contribution to the Ministry of

REFERENCES
[1] Bonjak, S., Petkovi, Z., Dunji, M., Gnjatovi, N.

and orevi, M.: Redesign of the vital subsystems
as a way of increasung the bucket wheel excavators
life, Proceedings of the 11th International
Conference on Research and Development in
Mechanical Industry - RaDMI 2011, Vol. 1, pp. 2130, Sokobanja, Serbia, September 2011.
[2] Bonjak, S., Petkovi, orevi, M. and Gnjatovi,
N.: Redesign of the Bucket Wheel Excavating
Device, Proceedings of the 19th International
Conference on Material Handling, Constructions
and Logistics - MHCL 09, pp. 123-128, Belgrade,
Serbia, October 2009.
153
[3] Bonjak, S., Petkovi, orevi, M. and Gnjatovi,

N.: Design Improvements of the Bucket Wheel
with Drive, Proceedings of the 10th Anniversary
Conference on accomplishment in Electrical and
Mechanical
Engineering
and
Information
Technology - DEMI 2011, pp. 111-116, Banja
Luka, Bosnia and Herzegovina, May 2011.
154
[4] DIN 22261-2. Bagger, Absetzer und Zuzatsgerte

in
Braunkohlentagebauen.
Teil
2:
Berechnungsgrundlagen. Berlin: Deutsches Instituts
fr Normung: 1998.
[5] Zamani N. CATIA V5 FEA Tutorials release 14.
Windsor Ontario: University of Windsor, SDC
Publication; 2005.
Miodrag Arsi
Professor
Institute for Testing Materials of Belgrade
Sran Bonjak
Professor
Marko Rakin
Professor
Faculty of Technology and Metallurgy
Neboja Gnjatovi
Assistant
Zoran Savi
B.Sc.ME
Institute for Testing Materials of Belgrade
RELIABILITY ASSESSMENT OF
WELDED JOINTS AT BUCKET- WHEEL
EXCAVATORS BASED ON
HYPERGEOMETRIC DISTRIBUTION OF
DEFECTS
In order to reduce costs of tests that need to be carried out on structural
welded joints and losses in the production due to excavator standstill, a
new method for reliability assessment of welded joints during exploitation
of bucket-wheel excavators has been developed. In this paper a part of
non-destructive testing results for the butt welded joints at bucket-wheel,
discharge and counter-weight boom structure is presented, prior to the
repair of the heavily damaged bucket-wheel excavator Sch Rs 1760x32/5.
It has been in operational mode for 17 years prior to the collapse, in other
words it has been subjected to 2.125.000 cycles of variable loading. For
the calculation of probability that x welded joints would be selected out of
overall Q, which comprise n welded joints with defects, hypergeometric
distribution has been used, while the reliability assessment for welded
jointed structures of bucket-wheel excavators has been performed on the
basis of defect analysis and probability of the growth of fatigue cracks in
welded joints. Through the use of this method testing costs have been
reduced by 70 %.
Keywords: bucket-wheel excavator, welded structure, experimental tests,
single selection method, reliability
1. INTRODUCTION
All bucket-wheel excavators at surface excavation
sites in the Republic of Serbia were manufactured by
german companies TAKRAF and Thyssen Krupp.
They have been designed in accordance with the
standard DIN 18800, through the use of structural steel
S 355 for all vital structures.
Class and quality of structural welded joints, as well
as definition of type and scope of non-destructive tests
are defined by standard DIN 22261-3, while the quality
assessment of welded joints during their creation, as
well as during exploitation of bucket-wheel excavators
is defined by procedure DR 16.20. Procedure 16.20 for
the testing of welded structures and standard DIN
22261-3 requires the following to be fulfilled: for class
B welded joints 100% non-destructive testing (visual
testing, magnetic particle testing, ultrasonic testing and
radiographic testing), for class C welded joints 20%
non-destructive testing and for class D welded joints
10% non-destructive testing. In available literature no
standards, norms, recommendations or methodologies
were found which prescribe a different method for
quality assessment of welded structures of bucket-wheel
excavators.
Plan and program of periodic testing of welded
joints at vital structures of bucket-wheel excavators
predict the inspection after 5.000 hours of service.
Taking into account the fact that there are many welded
joints that should be periodically tested, time required
for non-destructive tests, work that needs to be put in
and losses in production due to excavator standstill, its
a common occurrence that welded joints do not get

tested at all, which results in damaging and fracture of
components and whole structures - [1], [2], [3].
2. APPLICATION OF THE SIMPLE SELECTION
METHOD DURING THE TESTING OF WELDED
JOINTS AT THE BUCKET-WHEEL EXCAVATOR
SCH RS 1760x32/5
Simple selection method has been used for nondestructive testing of butt-welded joints at structures of
the bucket-wheel boom subsystem, Figure 1, as well as
at structures of the discharge boom and of the
counterweight, Figure 2, before the repair of the
collapsed bucket-wheel excavator Sch Rs 1760x32/5
(Thyssen Krupp, Germany). Bucket-wheel excavator
has been in operational mode for 85.000 hours (17
years) prior to the collapse, in other words it has been
subjected to 2.125.000 cycles of variable loading,
Figure 3.
Tests performed on welded joints at structures of the
bucket-wheel boom and counterweight proved the
existence of surface and internal crack-type defects, or
disorder of heterogeneity similar to cracks. For the
establishment of history of their initiation and
growth, which occur due to variable loading (fatigue), it
is necessary to perform experimental testing in order to
establish crack growth rate.
155
Figure 1. Appearance of the bucket-wheel boom after the

collapse
Dependency a - N was used as a basis for the

determination of crack growth rate per loading cycle
da/dN, Figure 5. Crack growth rate per loading cycle
was obtained through the use of the polynomial method,
for which the computer program is presented in standard
ASTM E647. For every current crack length a and crack
growth rate da/dN the suitable range of stress intensity
factor K was calculated, which depends on specimen
geometry, crack length and range of the variable force
F = Fmin - Fmax.
On the basis of this calculation, values of
coefficients m and C were obtained, which characterize
the resistance of material to crack growth and define
Paris equation for the middle part of the crack growth
rate curve (m = 3.516, C = 3.18x10-12). Obtained values
for m and C respond to those for steels with similar
mechanical properties. Dependency da/dN - K is
presented in Figure 5.
da
C (K )m p
dN
(1)
Figure 2. Appearance of the counterweight after the collapse
Figure 3. Bucket-wheel excavator Sch Rs 1760x32/5
Figure 4. Experimentally obtained a N curve
2.1 Fatigue Crack Growth Rate Testing
Premature fracture or damaging of welded structures

of bucket-wheel excavators is being caused by the
simultaneous action of a large number of technological,
metallurgical, structural and exploitational factors,
which explains the broadness of the tensile strength area
for welded joints, taking into account various
coefficients of non-symmetric loading R = min/max. For
that reason fatigue crack growth tests have been carried
out through the use of the controlled force by three point
bending, with the assymetrical load R = Fmin/Fmax =
0.5. Tests have been performed on a specimen with a=2
mm deep side notch. Specimen has been taken from the
sample with a K weld, because previous tests showed
that those are the most critical butt-welded joints of
bucket-wheel excavator structures.
Dependency curve a - N (crack length with respect
to the number of loading cycles), presented in Figure 4,
shows that the advancement of the 2 mm deep initial
fatigue crack, up to additional 1,5 mm (overall depth of
the fatigue crack was 3,5 mm) was slow, while from
that point crack started to advance fast for a relatively
low number of loading cycles. Dependency a - N could
be considered as uniform because the crack growth did
not slow down or advance rapidly.
156
Figure 5. Dependency da/dN K
On the basis of a large number of tests, which

showed that fatigue treshold occurs at low crack growth
rates, in the range from 10-6 - 10-8 mm/cycle, and

taking into account the dependency curve da/dN - K,
Figure 5, it can be concluded that fatigue threshold
value Kth = 7.24 [MPam] responds to the crack
growth rate of 10-8 mm/cycle. Stress intensity factor
range Kc, at which the maximum stress intensity
factor reaches the critical value at which fracture occurs
Kmax = Kc (ductile fracture), can be estimated at
around 40 [Pam].
2.2 Simple Selection Method
From the overall number of welded joints Q, a

random number m is being selected for testing (m Q).
If the number of welded joints with defects is d(m) C,
where C is a whole number called the acceptable
number, tested welded joints of the subsystem on the
bucket-wheel excavator are acceptable, and if d(m) > C
they are non-acceptable. This method is being
characterized by 2 parameters: scope of testing of
welded joints m and the acceptable number C, Figure 6.
This method is applicable for 2 groups of defects:
A Hidden defects within the welded joint and defects
which occur during the assembly,
B Unpredicted changes of original properties of
material and welded joints.
On the basis of testing results the following
solutions could be reached:
1. To accept the rest of welded joints without further
testing,
2. To perform testing on all welded joints, eventually
classifying them into a group of acceptable or nonacceptable group,
3. To reject the rest of welded joints without further
testing.
For the group of defects listed under A all 3
solutions could be used, while for the group of mistakes
listed under B only the first 2 solutions are valid.
Realization of the third solution is not possible due to
the equipment.
m x
selected from the group of (Q-x) welded joints in Q Q n
ways. The possibility to find x welded joints with

defects within the selected scope m is:
P( x )
C nx C Qmnx
C
m
Q
Q
Q!
, C Qm
m m! (Q m)!

(2)
Data of crack growth rate obtained through

laboratory tests are not reliable enough, because they
dont take into account realistic operating conditions,
opposite to data obtained during exploitation. Defects
detected during exploitation, which size is smaller than
the critical value, do not get repaired. Function of
probability of reaching the critical size of the crack
within the welded joint until the next testing, depending
on the cost of testing, is obtained taking into account the
following parameters: crack growth rate, scope of
testing, methods and periodicity of testing during
exploitation, overall number of welded joints and
damage rate of the welded structure as a whole in the
moment of testing.
The longer the period between tests is, the higher is
the probability that the maximum dimension of the
crack will be longer than allowed. That probability,
dependable on crack growth rate, could be determined
by processing the statistical data regarding the
dimensions of cracks determined during the testing of
welded joints. It is justifiable to express the period
between the tests by a number of loading cycles
between them (N), because the dependency between
the crack length a and the number of loading cycles N
is much clearer than the dependency between the crack
length and period of time between 2 tests. Regression
line in the first case has a bigger slope than in the other.
Number of loading cycles N, at a certain moment,
is not equal for all welded joints at bucket-wheel
excavator structures, and thats why it is possible to
oversee the testing of welded joints after the prescribed
period at certain structures.
On the basis of the equation for overall probability,
the probability of reaching the critical crack length until
the next testing could be determined:
Pj PNj P a a C , N j
(3)
j1
where:
PNj probability for the number of loading cycles
(Nj) between 2 tests,
k
P
j1
Figure 6. Scheme of the simple selection method
For the calculation of the possibility that from the

chosen number of x welded joints there will be n welded
joints with defects, Figure 6, the hypergeometric
distribution could be used [5].
If the number of welded joints with defects is n,
from randomly selected number of m welded joints, x
x
n
welded joints with defects could be selected in C ways.

Other (m-x) welded joints are acceptable and could be
Nj
k number of possible loading cycles (N) until the

next testing,
P(a > ac, Nj) - probability that after Nj loading cycles
maximum depth of the crack will be greater than ac.
Probability of not finding welded joints with defects
within the selected scope of testing is:
Piwj
CQmn
CQm
(4)
157
Probability that welded joints with defects will not

be found (probability that the cracks will not be
detected), Pcr, is:
Pcr 1 Pde 1 Pdef 1 Piwj
(5)
where:
Pde probability of detecting welded joints with defects
(cracks)
Pde Pdef Pp
(6)
Pdef probability of detecting the existing cracks during

defectoscopy,
Pp probability that the welded joint with defects will
be included in the scope of testing.
2.3 Results of the Application of the Simple
Selection Method for the Testing of Welded
Joints at the Bucket-Wheel Excavator
Simple selection method was used during the nondestructive testing of welded joints at the vital
structures of the bucket-wheel excavator Sch Rs 1760 x
32/5. Number of tests (magnetic particle testing and
ultrasonic testing) performed on welded joints of
structural subsystems is as follows: on the bucket-wheel
boom 89, on the discharge boom 42 and on the
counterweight 23. Two cracks, up to 1,5 mm in length,
as well as four cracks shorter than 1 mm, were detected
through the use of non-destructive testing on parts of
welded structures of the bucket-wheel boom and
counterweight, Figure 7. On the carrying structure of the
discharge boom no cracks were detected.
Results of tests which referred to fatigue crack
growth rate in the area of the welded joint (Figures 4, 5)
showed that it takes approximately N = 3 106 loading
cycles for the 2 mm long fatigue crack to be initiated
(initial fatigue crack on the specimen), while for the
period of operation until the collapse of 85.000 hours, or
to put it in a different way, for number of load changes
of N = 2.125.000 cycles, the 1.42 mm long initial
fatigue crack is to be expected.
Initial fatigue cracks, as shown in Figure 7, at first
grow most rapidly depth-wise (perpendicular to the
cross-sectional area of the welded joint), and in time
their growth rate may increase, decrease or stagnate,
which depends on conditions of exploitation, Figure 5.
Conditions of exploitation may change: because of the
different excavation environment, because of the
different operating mode of the bucket-wheel excavator
(vertical or horizontal cutting) and because of the way
of handling the bucket-wheel excavator. Figure 7 shows
that crack growth rate decreases with time. With the
increase of N the value of a/N, which responds to the
biggest length a, decreases.
Figure 7. Development of cracks within welded joints,

depth-wise, at undamaged parts of bucket-wheel boom
structure and counterweight structure, with respect to the
number of start-ups of the bucket-wheel excavator Nj
Depths of cracks with maximum lengths, detected

through non-destructive testing performed on damaged
parts of welded structures of the bucket-wheel boom
and counterweight, are presented in Figures 8 and 9 (1
regression line; 2, 3, 4 boundaries of one-sided trust
intervals for = 95, 97, and 99.5 %).
Figure 8. Test results regarding the crack lengths at

damaged parts of welded structures of the bucket-wheel
boom
Figure 9. Test results regarding the crack lengths at

damaged parts of welded structures of the counterweight
Figures 10 and 11 show graphs for the determination

of P(a > ac; ) = 1 , for cracks at welded joints of
the bucket-wheel boom and of the counterweight. Lines
1, 2, 3 refer to the following ranges of loading cycles
= 2,125 106 ; 4,25 106 and 6,375 106,
respectively.
158
of the bucket-wheel boom, because the initiation and

growth of cracks is accelerated due to a much higher
load. That's why the regression line for the maximum
depth of the crack detected on the counterweight, at
various intervals between tests N, has a smaller slope
than that of the regression line for the crack detected on
the bucket-wheel boom (Figure 10). Dispersion is the
same for welded joints on the bucket-wheel boom as is
for welded joints on the counterweight. In that case the
following results are obtained through the use of the
Figure 11:
Figure 10. Graph for determination of the value of P (a > ac;
), for cracks detected at welded joints of the bucketwheel boom
P(a > 3.0; N = 2,125 106) = 0.8%
(9)
P(a > 3.0; N = 4,250 10 ) = 1.5%
(10)
P(a > 3.0; N = 6,375 106) = 3.0%
(11)
If the situation occurs that during the initial testing

there are no cracks detected on welded joints, than the
value k=2 could be put into the equation (3), while PN1
and PN2 are equal to responding probabilities of
detection of welded joints with cracks during the inservice testing of the bucket-wheel excavator, as was
the case with the welded joint at the eye of the
counterweight [1]:
P = Pnd P(a > 3.0; N = 4,250 106) +
(1-Pnd) P(a > 3.0; N = 2,125 106)
Figure 11. Graph for determination of the value of P (a > ac;
), for cracks detected at welded joints of the
counterweight
Dispersion of points is typical for cracks in welded

joints. It is conditioned by a relatively low accuracy of
crack depth measurement and by the fact that, apart
from the number of loading cycles, other factors in close
relation to the conditions of exploitation affect the crack
growth rate.
Lowering of dispersion for values of crack depth
could be accomplished on the basis of the numerical
assessment regarding the influence of conditions of
exploitation.
Determination of P value (a > aC; N), for cracks on
welded joints of the bucket-wheel boom, is being
performed on the basis of data obtained from Figure 8.
For that purpose the graph from Figure 10 is being used,
which is being drawn through the intersection points of
trust boundaries for various probabilities and vertical
lines which respond to the last value of the loading
cycle N. Results are shown below:
P(a > 3.0; N = 2,125 106) = 1.8%
P(a > 3.0; N = 4,25o 106) = 5.3%
(12)
Probability of failure of welded joints with cracks

for different numbers of welded joints during the testing
based on the principle of random sampling at the
bucket-wheel boom (Q=42 tested welded joints), shown
at Figure 12, and at counterweight (Q=23 tested welded
joints), shown at Figure 13. Lines 2, 4 and 8 refer to
numbers of welded joints with cracks, respectively.
Value of Piwj is being obtained through the use of
equation (4).
(7)
(8)
Boundary depth of the crack (obtained through the

application of fracture mechanics) ac =3.0 mm, Figures
10 and 11, is two times smaller compared to the size of
the through crack which would cause the collapse of the
bucket-wheel excavator.
Calculation of the graph shown in Figure 8 has been
carried out under the assumption that refers to the
normal distribution of the crack size a. It has been
established that a smaller number of cracks occur at
welded joints of the counterweight than at welded joints
Figure 12. Probability of failure of welded joints with a

crack at the bucket-wheel boom
Probability that, during the following testing, there

will be cracks on welded joints at the bucket-wheel
boom structure with depth a > aC, changes from 5.3% if
the tests are not performed to 1.8% if all welded joints
are tested. For welded joints of the counterweight, even
without regular periodic testing, that probability is
1,5%. That's why the testing of these welded joints
could be easily prolonged. Calculation is performed
159
through the use of results of tests performed after 6,375

h 106 loading cycles, which responds to the first and the
second addend in the equation (12).
assembly of the bucket-wheel excavator SRs

2000x32/5.0 (TAKRAF, Germany) for the surface
excavation site Drmno near Kostolac, Figure 14.
Figure 14. Bucket-wheel excavator SRs 2000 x 32/5.0
ACKNOWLEDGMENT
Figure 13. Probability of failure of welded joints with a
crack at the bucket-wheel boom
The authors acknowledge the support from the

Serbian Ministry of Education and Science for projects
TR 35006.
3. CONCLUSION
REFERENCES
Calculations for various numbers of welded joints

with cracks, through the use of the simple selection
method, confirm the possibility of the rational approach
to their testing. In most cases it is justifiable to
introduce an interval between two testing periods, twice
shorter for welded joints on the bucket-wheel boom than
for welded joints on the counterweight and those on the
discharge boom, because welded joints on them are
subjected to lesser loads. Optimal scope of testing by
non-destructive methods varies for different bucketwheel excavator structures. It is recommendable to
perform the testing on 33% of welded joints per year at
structures of the counterweight and of the discharge
boom (tests on all welded joints would be performed
after a three-year period), while it is recommendable to
perform tests on welded joints of the bucket-wheel
excavator alternately in the scope of 50 and 100 % per
year. Such a scope of testing, which is not in the
collision with a complete testing of welded joints,
prescribed by standard DIN 22261-3, ensures reliable
operation of bucket-wheel excavators through the use of
the hypergeometric distribution of detected defects [6].
It should also be noted that this method is applicable
for the testing of welded joints during the production
and assembly of new steel structures, which has been
confirmed through the testing of welded joints of vital
steel structures during the production, delivery and
160
[1] Sedmak, S., Sedmak, A., Arsi, M., Tuma, J. V.: An

Experimental Verification of Numeralical Models
for the Fracture and Fatigue of Welded Structures,
Materials and technology, Vol. 41, No. 4, pp. 173178, 2007.
[2] Arsi, M., Bonjak, S., Zrni, N., Sedmak, A.,
Gnjatovi, N.: Bucket wheel failure caused by
Failure Analysis, Vol.18, pp. 700-712, 2011.
[3] Bonjak, S., Zrni, N., Simonovi, A., Momilovi,
D.: Failure analysis of the end eye connection of
the bucket wheel excavator portal tie rod support,
Engineering Failure Analysis, Vol.16, pp. 740-750,
2009.
[4] Hertzberg, R.: Deformation and fracture mechanics
of engineering materials, New York, John Wiley &
Sons, Inc, 1995.
[5] Vukadinovi, S., Popovi, J.: Mathematical
Statistics, Faculty of Transport and Traffic
Engineering, Belgrade University, 2004.
[6] Bonjak, S., Arsi, M., Zrni, N., Rakin, M.,
Pantelic, M.: Bucket wheel excavator: Integrity
assessment of the bucket wheel boom tie rod
welded joint, Engineering Failure Analysis, Vol.18,
pp. 212-222, 2011.
Experimental and numerical ball load

identification of large diameter slewing
bearing
Tadeusz Smolnicki
Associate Professor
Mariusz Staco
PhD
Damian Pietrusiak
MSc
Large diameter slewing bearings used in open cast machines are made of
unhardened raceways. As a consequence the major wear is caused by the
plastic deformations. Loads acting on the rolling elements of the bearing
depend on the load transferred though the bearing itself and on the
superstructure and undercarriage components stiffness.
As a consequence of the plastic wear, the load distribution in the bearing is
changing. The object of investigations was slewing bearing of the stackerreclaimer LZKS 1600 which operates on the coal homogenization yard in
open cast mine Belchatow, Poland. Numerical and experimental research
were carried out in purpose to determine the influence of the
superstructure and undercarriage stiffness on the ball loads in the new
bearing after short operation time. Moreover, the load distribution in
terms of plastic wear was determined.
Keywords: slewing bearing, load distribution, plastic wear, surface mining
machines, FEM.
1. INTRODUCTION
Structural rotation joint of the surface mining

machines is constructed, in most cases, as a double shell
element connected with the large size bearing [3].
Maximum ball load and the load distribution in the
bearing are the most important factors for the rotation
joint assessment. The physical and geometrical
nonlinearity of the investigated system, support
component rolling element support component, as
well as the non-uniform stiffness of the supporting
structure along the bearing circumference requires
numerical methods (FEM in this particular case
[12][16]) for the solution or direct field measurements.
As a primary solution for the superstructure rotation of

the machines of that type, standard three-row roller
slewing bearing with hardened raceways was applied.
Cylindrical rollers of 50mm diameter, distributed on the
4.5 meter pitch diameter, carried the loads. To face the
problem of complete bearing degradation after short
operation time, the rolling bearing of new design and
equivalent dimensions were applied. Superstructure of
566t mass is supported on the ball bearing of the
4450mm pitch diameter. Loads are carried by the 100
balls of 110mm diameter each (fig. 2). Supporting balls
diameter equals 2 with 4mm clearance. Raceways are
made of normalized steel Ck45. Raceway are assembled
of six sections.
2. INVESTIGATED OBJECT
The object of investigation was the bearing of main

rotation of the stacker-reclaimer LZKS 1600 (fig. 1)
which operates on the coal homogenization yard in open
cast mine Belchatow, Poland.
Figure 2. Bearing during assembly
Figure 1. Stacker-reclaimer LZKS 1600
Correspondence to: MSc Damian Pietrusiak

Wroclaw University of Technology,
Lukasiewicza 7/9, 50-371 Wroclaw, Poland
E-mail: damian.pietrusiak@pwr.wroc.pl
The stacker-reclaimer kinematic scheme and the

bearing load scheme is shown in figure 3.
In the roller bearing the degradation was caused by
pitting. In the newly installed ball bearings the main
degradation mechanism is the deflection wear and only
in the final destruction stage the tearing of parts of the
raceway is present. Operation time for actual solution
which uses ball bearing lasts from tenn up to couple tens
of thousands hours, which is still not satisfying effect.
161
Attempts for identification of the bearing low

durability causes were done [22]. As a first step, the
direct measurements of the rolling elements loads were
performed [20]. Up to now such attempt was not used,
mainly due to the high costs. Moreover, into the
construction of raceway must be implemented special
type of strain gauges.
Figure 3. Stacker-reclaimer kinematic scheme
Figure 5. Sensors location
3. MEASUREMENT METHODOLOGY
Table 1. Sensors angular location
In purpose to identify the loads acting on the bearing

rolling elements, special design force sensors were
assembled (fig. 4).
Figure 4. Measuring device.
The sensor was the part of the raceway with two

strain gauges. Outer surface was machined with the
whole raceway. Each sensor was scaled with use of the
hydraulic press in the force range between 0 and
100KN. The sensor number and its angular location are
listed in table 1. Scheme of the sensors location is
shown in figure 5
162
Angle () measured from

the ride direction
Sensor
Raceway Segment (undercarriage), from the
no
bucket wheel direction
(superstructure)
1.
2D
0
2.
322816
Low
3D
3.
873144
4.
4D
120
5.
2G
0
6.
45
High
3G
7.
873144
8.
5G
180
4. MEASUREMENT RESULTS
The measurements were taken on the new bearing

and after 190 and 1200 operation hours. During that
time changes in the load distribution are visible due tu
the plastic wear [7][21] of the unhardened raceway.
Selected traces of force are shown in figure 6.
Values of the maximum specific load and the number of
ball acting on particular sensor during rotation are listed
in the table 2.
In figures 7 and 8 selected levels of loads for 1st and
6th point/sensor are shown. On the diagrams,
confidence level of 95% related to the 6 measurement
series is marked. The maximum values are show in
figure 9.
Figure 6. Selected traces of the gauge 1 (2D) i 5 (2G).
Table 2. Number of the balls transferring the lad, average ball load for the three positions in full rotation new bearing
Gauge no
Superstructure
position
Number of balls
transferring the load
Maximum load [MPa]
down
horizontal
up
down
1. (2D)
2. (3D1)
3. (3D2)
4. (4D)
11
11
5
2
13
13
8
9
2
3
8
19,3
23,4
3,0
0,7
5. (2G)
6. (3G1)
7. (3G2)
8. (5G)
11
10
11
7
3
13
9
4
1
13
7,1
10,8
17,2
horizontal
up
Undercarriage
11,7
10,9
3,4
14,5
11,6
15,2
12,5
Superstructure
6,9
2,4
5,8
1,1
20,9
7,4
9,7
Minimum load [MPa]
Average load [MPa]
down
horizontal
up
down
horizontal
up
3,3
0,5
0,2
0,5
2,6
0,6
0,6
0,5
0,1
5,8
0,4
11,6
8,8
1,4
0,6
7,7
4,0
6,1
6,3
1,8
8,6
5,1
2,1
2,1
4,5
0,7
0,6
9,1
0,5
0,6
1,1
0,6
4,1
7,2
12,3
4,7
3,0
13,4
3,8
1,5
1,1
5,2
Figure 7. Ball specific load in measurement point 1 (2D)

Figure 9. Comparison of load in new bearing and after
short operation time bearing load
After 1200 hours of operation, loads acting on the

ball in the stiff regions of the superstructure decreased.
Loads acting on the ball in the lower stiffness areas of
the superstructure increased.
Figure 8. Ball specific load in measurement point 2 (3D1)
163

5. NUMERICAL MODEL
Load distribution of the rolling elements was

determined. For that purpose, the numerical model of
the superstructure platform, undercarriage portal frame
and replacement model of the ball bearing was
created[2][15][24] (fig. 10). The model for the detailed
simulations of the load distribution was separated from
the global model of the structure (fig. 11) in the places
where kinematic pairs are present and it was loaded
with the forces acting on that pairs.
Scheme of the replacements elements of the ball
bearing is shown in figure 12. Bearing rings were
modeled with use of the beam elements (1), and every
of the rolling elements with the replacements element
which connects middle of the curved upper and lower
surface (2) [4][5][8][9][14][21]. The bearing elements
and the shell elements of the load carrying structure (4)
were connected with the linear-elastic elements (3) with
stiffness related to the stiffness of the bearing in the
transverse direction.
Characteristics of the supporting row is clearance value

shifted. The numerical task is solved in the nonlinear
physical and geometrical additive process with NewtonRhapson iteration with stabilization [11].
Figure 10. Model of the system undercarriage portal frame

bearing superstructure platform
Figure 12. Scheme of the replacement elements in the ball

bearing
6. RESULTS OF FEA
Figure 11. Stacker-reclaimer discrete model
Characteristics displacement-force (F) of such a

element is determined with numerical methods with use
of the finite element volume models or with use of the
Hertz formulas. In that case, when the elements is under
tensile load, the characteristic looks as follows:
F ,
2
Ed
Cd
(1)
where E is modulus of longitudinal elasticity, d is ball

diameter and coefficients C and equals 2.65 and
0.727 [21].
164
Load of the bearing is reduced to the axial force V

located on the eccentric e (fig. 3) For the analyzed
bearing, value of the axial force equals 566t. The value
was obtained during experimental balancing of the
stacker-reclaimer. The balancing procedure allowed also
identification of the mass center of the machine in cases
of the up, down and horizontal position of the bucket
wheel boom. Measurements of the stresses in the rails
was the principle of the center of gravity position
determination [23].
Calculations were performed for the different
positions of the superstructure over the undercarriage
with the eccentric e and the magnitude force acting on
the bearing from 2m (eccentric on the bucket wheel
side) to 2m (eccentric on the counterweight side) with
the 0.1m step.
In figure 13 selected results of the rolling elements
load for three different eccentric value and the position
of the superstructure in relation to the undercarriage
with 68.4 angle.
As a measure of the load in the ball bearings, the

specific load of the rolling element is used:
F
(2)
d2
where F is the force acting on the rolling element and d
is the diameter. Use of such a unit of the load enables
comparison effort of bearings of different diameters [6].
pw
Figure 14. Comparison of the loads (experimental vs. FEA)

in the selected measurement point during rotation of the
superstructure new bearing
Figure 13. Selected load distribution of the rolling elements

in the 68.4 deg superstructure position
Numerical simulation pointed out significant non

uniform load distribution over rolling elements what is
caused by the different stiffness of the supporting
structure[13].
The experimental results are of good repeatability.

Because of the big plastic deformation of the raceways
and sensors placed in it, the measurements were not
possible to continue any more [18].
Currently the durability of the of slewing bearing
last up to 20000 operation hours. That result is not
satisfying. The numerical and experimental data
obtained, will allow to implement the new design of
main rotation joint. Stiffer supporting structure and the
new mount of the bearing will be applied [17].
REFERENCES
7. CONCLUSION
The results of the field testing proved, that in the

case of so big eccentricity, loads acting on the bearing
and the load acting on the rolling elements will exceed
the ultimate stress level. The maximum specific load of
the rolling element equals around 25MPa. For the
proper operation of the soft bearing and its high
durability, the maximum specific load should not
exceed 7.8MPa [10][19]. So, it is clearly visible that
from the very beginning the bearing is overloaded.
Moreover, if the mashine is to balanced properly it can
also negatively influence to the other subassmblies [1].
Experimental investigations pointed out significant
influence of the incorrect assembly (flatness deviation)
on the load distribution. During operation, due to the
plastic wear, the load distribution becomes more and
more uniform. In the regions of the maximum effort the
maximum specific load value decreases. In the regions
with initial low effort, the specific load value increases.
Also, number of rolling elements, transferring load
simultaneously, increases.
What additionally influence the load distribution, is
unequal stiffness of the supporting structure, what in
results, causes that the load transfer is limited only to
part of the rolling elements.
In figure 14 are presented selected results of the
numerical and experimental results.
The differences in the numerical and experimental
results are caused by the flatness deviation of the
supporting elements [20]. Even using of the epoxy
screeds do not provide the flatness deviation lower than
0.5mm.
[1] Bonjak, S., Petkovi, Z., Zrni, N., Panteli,

M., Obradovi, A.: Failure analysis and
redesign of the bucket wheel excavator two-wheel
bogie, Engineering Failure Analysis, Volume 17,
Issue 2, pp. 473-485, 2010.
[2] Bonjak, S., Panteli, M., Zrni, N., Gnjatovi, N.,
orevi, M.: Failure analysis and reconstruction
design of the slewing platform mantle of the bucket
wheel excavator O&K SchRs 630, Engineering
Failure Analysis, article in press, 2011.
[3] Bonjak, S., Petkovi, Z., Mateji, P., Zrni, N.,
Petri, S., Simonovi, A: Analysis of Stress-Strain
State of Bucket Wheel Excavator Revolving
Platform Structure Fundament of Efficient
Reconstruction, Structural Integrity and Life, Vol.
5, No. 3, pp. 129-142, Journal of the Society for
Structural Integrity and Life, 2005.
[4] Gao X., Hang, X. D., Wang H., Chen J.: Modelling
of ball-raceway contacts in a slewing bearing with
non-linear springs. Proceedings Of The Institution
Of Mechanical Engineers Part C-Journal Of
Mechanical Engineering Science Volume: 225
Issue:
C4
Pages:
827-831
DOI:
10.1177/09544062JMES2454
[5] Goncz P., Potocnik R; Glodez S.: Load capacity of
a three-row roller slewing bearing raceway. 11th
International Conference On The Mechanical
Behavior Of Materials (ICM11) Book Series:
Procedia Engineering Volume: 10 Pages: 11961201 DOI: 10.1016/j.proeng.2011.04.199
165
[6] Kania L.: Modelling of rollers in calculation of

slewing bearing with the use of finite elements.
Mechanism and machine theory 41:1111, 13591376, Elsevier, 2006
[7] Kunc R., Prebil I., Torkar M.: Doloitev
malocikline nosilnosti kotalnega stika. Kovine,
zlitine, technologije 1-2/1999.
[8] Liu Hongbin, Li, Jishun, Xue Yujun, Ma Wei:
Study on Load Distribution Calculating Method of
Slewing Bearing with the Link Elements. Advanced
Science Letters Volume: 4 Issue: 8-10 Pages: 27592763 DOI: 10.1166/asl.2011.1638
[9] Olave M., Sagartzazu X., Damian J., Serna A.:
Design of Four Contact-Point Slewing Bearing
With a New Load Distribution Procedure to
Account for Structural Stiffness Journal Of
Mechanical Design, 132 (2): Art. No. 021006 FEB
2010
[10] Potocnik R., Goncz P.. Flasker J., Glodez S.:
Fatigue life of double row slewing ball bearing with
irregular geometry FATIGUE 2010 Book Series:
Procedia Engineering Volume: 2 Issue: 1 Pages:
1877-1886 DOI: 10.1016/j.proeng.2010.03.202
[11] Przybyek G.: Method of Obtaining Uniform Load
Carrying in Rotation Couples with Non-Uniform
Flexibility (in Polish). PhD Dissertation. Report of
the Institute of Machines Design and Operation,
Wrocaw University of Technology, Wrocaw,
2003.
[12] Rusiski E., Czmochowski J., Smolnicki T.:
Advanced Finite Element Method, Wroclaw
University of Technology, Wroclaw 2000
[13] Rusiski E., Zasady projektowania konstrukcji
nonych pojazdw samochodowych. Wrocaw
University of Technology Publishing House,
Wrocaw, 2000.
[14] Shang ZG, Gao TY, Wang H: Modeling of Load
Distribution in Large-size Wind Turbine Blade
Bearings. Advances In Mechanical Design, Pts 1
And 2 Book Series: Advanced Materials Research.
Volume: 199-200 Pages: 1410-1413 DOI:
10.4028/www.scientific.net/AMR.199-200.1410
[15] Smolnicki T., Derlukiewicz, D., Staco, M.:
Evaluation of load distribution in the superstructure
rotation joint of single-bucket caterpillar
excavators. Automation in Construction. 2008, vol.
17, nr 3, s. 218-223.
166
[16] Smolnicki T., Rusiski E.: Superelement-based

modeling of load distribution in large-size slewing
bearings. Journal of Mechanical Design. 2007, vol.
129, nr 4, s. 459-463
[17] Smolnicki T., Staco M.: Modernizacja ustroju
nonego adowarko-zwaowarki wspomagana MES.
Przegld Mechaniczny. 2010, R. 69, nr 7/8, s. 2126
[18] Smolnicki T., Staco M.: Wybrane aspekty
eksploatacji wielkogabarytowych oysk tocznych.
Eksploatacja i Niezawodno - Maintenance and
Reliability. 2009, nr 2, s. 25-30
[19] Smolnicki T.: Large - size bearings in opencast
mining machines. Design and selection of bulk
material handling equipment and systems : mining,
mineral processing, port, plant and excavation
engineering. Vol. 1 / ed. by Jayanta Bhattacharya.
Kolkata : Wide Publishing, 2012. s. 105-130
[20] Smolnicki T.: Methods of identifying geometry of
large-size bearing tracks. 21st Danubia-Adria
Symposium on Experimental Methods in Solid
Mechanics. Pula, Croatia, 2004. p. 54-55
[21] Smolnicki T.: Physical Aspects of the Coherence
Between the Large-Size Rolling Bearings and
Deformable Support Structures (in Polish).
Wrocaw University of Technology Publishing
House, Wrocaw, 2002.
[22] Smolnicki Tadeusz, Harnatkiewicz Piotr, Staco
Mariusz: Degradation of a geared bearing of a
stacker. Archives of Civil and Mechanical
Engineering. 2010, vol. 10, nr 2, s. 131-139
[23] Smolnicki Tadeusz, Staco Mariusz: Determination
of centre of gravity of machines with the rail
undercarriage. Solid State Phenomena. 2010, vol.
165,
s.
359-364,
DOI:
http://www.scientific.net/SSP.165.359
[24] Zrni, N., Hoffmann, K., Bonjak, S.: Modelling Of
Dynamic Interaction between Structure and Trolley
for Mega Container Cranes, Mathematical and
Computer Modelling of Dynamical Systems, Vol.
15, No. 3, 295-311, 2009.
Complex Projected Trajectories of

Hydraulic Excavators with Buckets or
Grapples
Janko Jancevski
Ph.D. Professor
University Sts.Cyril and Methodius
Skopje, R.Macedonia
This This pper has as its goal to illustrate the possibility and capability of
the method "TRET", which is intended for analysis of the multi-body
mechanisms. This computer based methodology has considerably different
calculation approach vis-a-vis traditional methods in mechanics.
Many mechanical systems have a task to accomplish some particular
trajectories in the working process. Every trajectory is consisted of many
position points, which should be touched by the mechanism during the
motion. The examples presented in this article are actually visual computer
simulations of the bucket hydraulic excavators or loaders with buckets or
grapples. The animation on the screen gives confirmation that the
projected trajectory is performed. Trajectories can be assigned with
several subsequent position points in these cases: translation, rotation or
combined motion of some element (part) of the working mechanism. All
trajectories are consisted of many points placed on a straight or curved
line parts.
Keywords : Trajectory, excavators, loaders, computer simulation,
positions, mechanisms, robots
1. INTRODUCTION
There are many machines used in industry that

include complex mechanisms in theirs structures. If a
mechanism is consisted of higher number of parts
(elements), it is very difficult to calculate and analyze
its work. Excavators, loaders, cranes, crushers and other
construction and mining machines and also agricultural
or farm mechanization (like combines in all variants)
are usually consisted of complex multi-body
mechanisms. The link-bar mechanisms, because of
some of their advantages - especially the strengths - are
used very often. To give the best performances of a
machine, all of those mechanisms can be calculated
with traditional methods of engineering mechanics.
During the last three decades, simultaneously with the
development of computer hardware, new computer
based methodologies for kinematical and dynamical
calculations of most complex mechanisms are created.
With the increasing of the speed of the computer
processor, those methods were developed and became
more complete. Beside of processor speed, the graphical
performances also increased.
One of the most widely used link-bar mechanism
incorporated in mechanization is the so called four-bar
linkage mechanism with rotating kinematical-pairs
(joints). The extended variant (six-bar) including
additional "dada" (couple) (C-M-O3), using program
MEH6.EXE draws the trajectories of T1 and T2 points,
which can be adjusted. Fig.1.
Figure 1. Sequence of a six-bar linkage. Trajectories of T1

an T2 points.
The module "TRET" and "SCREEN CONTACT"

are both computer based methodologies and they
rapidly increase calculations of Descartes-coordinates of
the complex mechanisms. The computer modules based
on those methodologies embedded into appropriate
computer programs make very fast calculations that
give results instantly. To perform animation of a
mechanism, it is necessary to accomplish calculations of
the positions of the whole mechanism in short interval
(less than 0.05 sec) [1]. That was not possible to achieve
using the traditional methods, or embedding such
modules into program code. The computer animation of
the complex mechanisms using both of the modules
(TRET or/and SCREEN CONTACT) was very good
(no blinking) even on the slow quondam personal
computer (1988 to 1994).
167
2. POSITIONS OF THE WORKING MECHANISMS IN

EXCAVATORS, LOADERS AND MANIPULATORS
AND THEIR TRAJECTORIES
For example, giving the "working area" of a

hydraulic excavator is the most representative example.
The first sparkles for TRET methodology were in 1984,
and programs modules are written in program languages
Basic, and later, after 1989 all modules and programs
are rewritten in program language C. Thus execution
speed was rapidly increased and computer animation of
the excavators and displaying their trajectories became
very good even for these computer configurations.
Figure 2. Hydraulic excavator's working zone (closed

trajectory) (Program HBOL.EXE, 1994).
After 1990 other module was created based on the

"SCREEN CONTACT" methodology. The possibility
of trajectory calculation of complex mechanisms
consisting kinematical-groups of 3-rd class, and even of
4-class, became much easier with insertion of the that
modules. Many complex mechanisms were impossible
to be calculated without the use of this module. The
introduction of the both methods officially was done
and explained in the dissertation [1]. The basics of this
methodology are the contacts and distances between
particular points of the mechanisms on the computer
screen, so computer graphic attributes and performances
are essential.
One of the most important issues for a mechanical
system are the trajectories of some points of paricular
elements. The creation of appropriate modules written
in C/C++ program languages for Windows (after 1995),
or other operating systems (earlier for DOS), give good
results.
Many traditional and also modern approaches [2],
[3] use different methodologies often based on the
numerical algoritms. But many mehodologies are based
on clasical mathemetics - using complex numbers,
differential equation systems etc. The TRET and
SCREEN CONTACT methodologies are essential
different of traditional and also of the other [2],[3]
modern approaches.
Next figures illustrate movement through straight
horizontal or vertical trajectory (Loader with grapple
VOLVO BM 160).
168
Figure 3. Sequences of animation of a Loader with grapple

(prog.VL16.exe) Straith trajectories - Vertical and horizontal
translation
Industrial robots often demand projecting some

trajectory which will be the shortest path to the object. It
means straight lines with less time and energy
consumption. Also the translation should be ideal and
the process to be controlled easy (with as few elements
as possible).
There are many cases in industry where additional
conditions can be included.
The fig.4. shows loading mechanism with fork often
built-in on the loaders for boxes. It is clear that boxes
should move without any rotation or tilting.
Figure 4. Sequences of animation of a fork-loader

(translation )
3. CONDITIONS TO PROJECT TRAJECTORIES IN

EXCAVATORS AND LOADERS
One particular trajectory can be accomplished in

many ways. Here are presented some of them used in
excavators with buckets or grapples. In all cases, the tip
of the bucket teeth should cross through all points of
projected trajectory. Other conditions are:
1. The bucket or grapple motion is pure translation
from the beginning to the end of trajectory line
(Fig.3,4);
2. The bucket or grapple motion is rotation with
rotation-center located into joint O2, O3 or in the
any other point outside of the bucket;
3. Bucket makes complex motion (some combination
of rotation and translation) during the tip touches
the trajectory in all points).
The first case is more often applied in loaders (fig.3,
and fig.4) which should accomplish straight motion
lines. This type of programmed translation is also used
in industrial robots which use stepper or servo motors
with appropriate controllers. The excavators use some
type of parallelogram linkage mechanisms for
translation of the bucket - and better imbuing of the
bucket. Such examples are Liebhher 982 shovel,
Caterpillar - many models of hydraulic shovel
excavators, etc.
The second case, the rotation of the bucket can't
accomplish the projected trajectory only in cases when
the points of the trajectory are a part of some circle.
The third case is the most interesting for analyzing.
It gives a possibility to work with only two of the
hydraulic cylinders simultaneously and easy to move
the tip of the bucket through a complex trajectory.
Here are three main different approaches :
a). The hydraulic cylinders No.1
operable. The hydraulic cylinder
it means: L3=const.
b). The hydraulic cylinders No.1
it means: L2=const.
c). The hydraulic cylinders No.2
it means: L1=const.
Figure 5. Three different approaches to accomplish motion

through projected trajectory of the excavators
However, if the trajectory is much more complex, in

some parts of entire line, it is possible to make a
combination of these three approaches, even to use
single rotation (two of cylinders being blocked) or
translation. It is useful to set additional conditions
depending of working processes.
and No.2 are

No.3 is blocked,
and No.3 are
No.2 is blocked,
and No.3 are
No.1 is blocked,
Figure 6. Several position of an excavator's bucket (third
cylinder is blocked , L3=const)
Figure 7. Hydraulic excavator with grapple - The tip A of

bucket teeth goes through projected trajectory (Program
CASE.EXE - 2012)
169
Achieving the projected trajectory on the real object

(excavator, loader) can be successfully done after
computer simulation, and then the proper parameters
should be saved in the files. (fig.8).
4. CONCLUSION
Figure 7. Two positions of a hydraulic excavator - The tip of

bucket teeth goes through projected trajectory (Program
LIEBH922.EXE - Reaction forces module included)
Research departments in the companies which

produce excavators, loaders and other construction and
mining machines are engaged on the computer guided
devices and equipment. Computer control of the
working mechanisms enables efficiency and precise
motion of all elements of the system.
The paper presents the abilities of the different

working mechanisms in excavators, loaders,
manipulators etc., to accomplish the complex
trajectories according the working processes. Here are
used TRET and somewhere SCREEN CONTACT
modules, and presented testing results of many complex
mechanisms. The main issue of the conclusion is: If the
mechanism has two or more powered elements (like
hydraulic cylinders) it is possible to achieve any
projected complex trajectory. The results can be
memorized and repeated many times afterwards.
REFERENCES
[1] Jancevski, J., Algorithm Approach of Synthesis and

Analysis of Working Mechanisms of Loaders,
Dissertation, Faculty of Mechanical Engineering Skopje, 1996.
[2] Hall, A.S., McAree, P.R., Robust bucket position
tracking for a large hydraulic excavator,
Mechanism and Machine Theory, Vol. 40, No. 1,
Pages 116, 2005.
[3] Jung, H.K., Crane, C.D., Roberts, R.G; Stiffness
mapping of compliant parallel mechanisms in a
serial arrangement, Mechanism and Machine
Theory, No. 43, Elsevier Ltd., 2007.
Figure 8. Optimal data collected after computer simulation,

can be saved in the files, and used for computer control of
the real mechanisms of the excavators
170
PhD Nenad Ivanievi, MSc

(Civ. Eng),
Assistant Professor
University of Belgrade,
Faculty of Civil Engineering,
Belgrade, Serbia
PhD Predrag Petronijevi, MSc

(Civ. Eng),
Assistant Professor
Belgrade, Serbia
PhD Dragan Arizanovi, MSc

(Civ. Eng),
Assistant Professor
Belgrade, Serbia
OPTIMIZATION OF CONSTRUCTION
EQUIPMENT SELECTION BY
APPLYING AHP METHOD
Construction equipment has a great impact on the overall cost of
construction projects. Therefore, careful planning and selection of
appropriate combination of equipment is essential for the economic
success of the contractor. In practice, the process of equipment selection is
mainly based on manufacturers recommendations and the contractors
intuition without using any scientifically based method.
This paper discusses a model for selection of an optimal set of construction
machines by applying the multi criterion AHP method. The model is based
on comparison of alternative sets using the selected criteria functions
which are defined by the user at the start of each optimization. The
proposed method has been successfully tested on a case of construction of
embankment on a highway section on Corridor X in Serbia. The criteria
functions were: output, unit price and profit per unit. A sensitivity analysis
was also performed to check the stability of the final decision.
Keywords: construction equipment, optimization, AHP method, CESAD
1. INTRODUCTION
The problem of selection of construction equipment

is often a weak point in construction planning. Due to
the lack of scientific approach to this problem and
absents of adequate methods of selection and
optimization in this area, the selection of machines is
mainly based on the recommendations of the
manufacturer and intuition of the contractor in selecting
the type, brand and model of equipment to be used.
The selection process of an optimal set of equipment
among several alternatives requires both, a technical and
economic analysis. In this process it is necessary to
consider all relevant influences and constraints.
Optimization of construction equipment selection
belongs to the group of well mathematically formulated
problems with several static and discreet variables.
Input for the optimization includes machine's working
hour cost, machine's output and the characteristics of
machines working as a work group [1].
The goal is to choose an optimal combination of
machines that meet the technical requirements and have
the optimal combination of criteria calculated in the
goal function (which has to be clearly defined and
mathematically formulated at the start of each
optimization). The importance of each criteria in the
multi criteria optimization can vary depending on the
contractor's needs and is reflected in the goal function.
The criteria are (usually):
Price per unit of product,
Profit per unit and / or
Achieved output
In the process of optimization, alternatives are sets
of machines. The number of alternatives can vary
depending on the constraints (predefined output, limited
labour front, pre-mobilized equipment, etc. ...). The
assumption is that over time, characteristics of
alternatives, criteria and goal function do not change.
Selection of construction equipment is by its nature

a multi criteria optimization. The criteria can be defined
by technological conditions, techno economic
parameters, etc. In the process of equipment selection, it
is possible to reduce the number of possible alternatives
by adding technological constraints. Also, the number
of alternatives can be reduced by selecting only the sets
of machines that give the best characteristics measured
by each of the criteria. In our case only the top three sets
for each of the following criteria were qualified for the
final ranking: minimum price per unit of product,
expected maximum profit per unit and maximum
production.
By using an appropriate computer program
(CESAD) it is possible, to generate all possible
combinations that meet the required technical criteria
and to select those which have the best requested
techno-economic parameter [3]. In general (in practice it
is usually the case) a combination of equipment which
is best by one of the criteria is usually not the best by
other criteria. Therefore, combinations that have the
greatest profit, for example, provide less productivity
than other combinations. Therefore, it is not possible, in
general, using the technological limitations, to get a
combination that will have maximum output, minimum
cost per unit and the maximum profit per unit. Selection
of the optimal combination is, in fact, the selection
procedure which ranks sets of machines not only by one
criteria, but takes into account all the criteria and their
relative importance (relative weight of criteria) which is
given in the goal function.
For the final selection of the set of equipment, in this
paper, method of AHP (Analytic Hierarchy Process AHP) has been accepted.
Analytic Hierarchy Process (AHP) is a technique
used in the field of multi criteria decision making [3]. It
is based on the decomposition of a complex problem
into a hierarchy, where on the top level is the goal, the
171
criteria and sub criteria are on the middle levels and the
alternatives are on the bottom level. At each hierarchical
level, the decision-maker benchmarks elements in pairs,
considering the element at a higher level, using socalled Saaty scale. The results of comparisons are
vectors of relative importance (priority) of criteria and
alternatives for achieving the goal.
The central issue in the evaluation of elements, when
applying AHP method, are the matrix of comparison.
The first step is the transformation from the semantic
values of the mutual importance of the compared
elements given by the decision-maker into numeric
values. The second step is creating the matrix of
comparison.
2. THE MATHEMATICAL BASIS OF AHP METHOD
Mathematical and conceptual foundations of the

AHP method are defined by Thomas Saaty [Saaty,
1980]. This method belongs to a class of soft
optimization methods. AHP is a tool for creating and
analyzing decision making hierarchy and is carried out
in four steps:
1. The first step is to develop a hierarchical model,
with the main goal on the top, criteria and sub
criteria on middle levels and alternatives on the
bottom of the hierarchy.
2. After defining the hierarchy model (skeleton), for
each level of the hierarchical structure, its elements
are compared in pairs, according to the verbally
expressed intensity of preferences of the decisionmaker. Preferences are transformed into
corresponding numerical values in line with an
appropriate scale (Saaty scale of relative
importance), valuing them from 1 to 9 (Table 1).
There are five main values (intensities) and four
intermediate values.
3. Based on the preferred relative importance of
elements in a level of hierarchical structure, by
applying the appropriate mathematical model, the
local priorities (weights) of criteria, sub criteria
and alternatives are calculated and then merged
into the overall priorities of alternatives (final
ranking of alternatives).
4. The final step is to conduct a sensitivity analysis of
the ranking.
Hierarchically structured decision making model, in
general, consists of the goal, criteria, several levels of
sub criteria and alternatives (Figure 1). The goal is at
the top of the skeleton of hierarchy and it is not
compared to other elements. The criteria are on the next
level. They are compared in pairs (one with another),
considering the parent (higher level) element. Number
of comparisons is N, where
N
n n 1
2
The same procedure is repeated at all hierarchical

levels, until the last (lowest) level.
In their papers (Saaty, 1986; Aphonce, 1997; Harker
and Vargas, 1987) the axioms on which AHP is based
172
are given and the mathematical model of calculations is

defined.
The possible values in the comparison matrix - as a
result of comparing two elements using Saaty scale are:
1 1 1 1 1 1 1 1
S , , , , , , , ,1, 2,3, 4,5, 6, 7,8,9
9 8 7 6 5 4 3 2
Results of comparison of elements at one level of the
hierarchy are stored in the comparison matrix A, where
aij is the ratio of the element i and the element j. If there
are n elements, the comparison matrix is the dimension
n x n. To preserve the consistency of reasoning, the
elements aji have the reciprocal value of the appropriate
element aij and diagonal matrix elements are equal to 1.
Intensity
1
Definition
Equal
importance
Weak
dominance
Strong
dominance
Very strong
dominance
Absolute
dominance
2,4,6,8
Intermediate
Values
Explanation
Two factors contribute
equally to the goal
Experience and judgement
slightly favour one over
the other.
strongly favour one over
the other
very strongly favour one
over the other.
Its importance is
demonstrated in practice.
The evidence favouring one
over the other is of the
highest possible validity.
When compromise is
needed
Table 1 The Saaty Rating Scale
In "perfect world", which corresponds with an ideal

consistent evaluation, comparison matrix A, given to the
relationship of the relative weights of criteria as follow:
w1 / w1
w / w
A 2 1
...
wn / w1
w1 / w2
w2 / w2
...
wn / w2
w1 / wn a11
... w2 / wn a21
...
... ...

... wn / wn an1
...
a12
a22
...
an 2
... a1n
... a2 n
... ...
... ann
Where wi is the relative weight of the element i.

The next step is the calculation of a list of relative
weights (importance) of factors which are relevant to
the problem in question. The final stage is to calculate a
Consistency Ratio (CR) to measure how consistent the
judgements have been relative to large samples or
purely random judgements. If the CR is much over 0.1
the judgements are untrustworthy and the whole
procedure must be repeated. It is easy to make a
minimum number of judgements after which the rest
can be calculated in order to achieve a perfect
consistency.
3. OPTIMIZING OF CONSTRUCTION EQUIPMENT
SELECTION USING AHP METHOD
AHP is one of the most popular methods of scenario

analysis and decision making through the process of
evaluating alternatives in a hierarchy consisting of the
goal, criteria, sub criteria and alternatives. This method
is suitable for use in optimizing the selection of

construction equipment for many reasons:
There are many criteria by which one can evaluate
alternatives. Criterion functions are usually wellstructured mathematically, so it is possible to
precisely evaluate alternatives.
It is often necessary to change the relations
between criteria. These changes can easily be
included in the calculation.
In the process of optimization there can be many
alternatives.
Each alternative can be accurately evaluated by
each of the criteria.
Consistency of decisions is usually satisfied, since
there is no subjective evaluation of alternatives.
Based on the AHP method, clearly defined ranking
of alternatives to reach the goal can be given.
A hierarchical model of AHP method for
optimization of construction equipment selection is
shown in Figure 1. The goal of optimization is selection
of optimal combination of equipment (machines).
Criteria for the evaluation of alternatives shall include:
1. Achievable production (output) of each
combination
2. Profit per unit of processed material
3. Price per unit of processed material
Criteria for output and profits require the maximum
of the function, while the cost per unit requires a
minimum function.
Criterion1:
PRODUCTION(OUTPUT)
Criterion2:
PROFITPERUNIT
Criterion3:
PRICEPERUNIT
Alternative
Alternative
Alternative
Alternative
Alternative
Alternative
Alternative
Alternative
Alternative
Figure 1 A hierarchical model of AHP method to optimize

selection of construction equipment
The evaluated alternatives are the combinations of

machines generated through the program CESAD or
otherwise. In the following example three of the best
combinations for each of the above criteria were
selected (it is also possible to choose any number of
criteria and any number of best combinations for each
of the criteria). AHP method can also be applied in the
same manner for any number of randomly selected
combinations, regardless of their evaluation relative to
any of the defined criteria.
After selecting alternatives, it is necessary to define
a measure for comparison of alternatives considering
each of the criterion in order to verbally express
preference of alternatives in line with the appropriate
scale (Saaty scale of relative importance), which has
five basic values and four intermediate values. These
verbally described preferences are converted to
corresponding numerical values, between one and nine
(Table 1).
Based on estimated relative importance of the
criteria, by applying the described mathematical model
local priorities (weights) of criteria, sub criteria and

alternatives are calculated and then merged into the
overall priorities of alternatives.
4. OPTIMIZATION OF CONSTRUCTION EQUIPMENT
SELECTION FOR EARTHWORKS
The proposed methodology for optimizing

construction equipment selection is shown on the
example of equipment (machine) selection for the
"Mechanical excavation of earth material category III
and IV with loading, unloading and transport with
transport in situ, hauling up to 1000m and construction
of embankment". The project is the construction of the
highway E-80, Nis - Dimitrovgrad, Section 1: Prosek Bancarevo. The amount of material to be processed is
1.454.499m3.
This item of works has been chosen for the
presentation of the proposed optimization of equipment
selection method due to the following reasons:
The amount of material is enormous. The entire
excavation and embankment has 1.454.499m3 of
material which has to be embedded, so any savings
in cost per unit of processed material has a great
influence on the final cost of works. Optimization
of such positions is always profitable, no matter
which method is applied.
Considering the type of work (earthwork), there
are many possible combinations with a large
variety of machine types and models that can be
used. In such situations it is very difficult to obtain
an optimum combination without the use of some
method of optimization.
The costs of this item of work are dominantly
influenced by the costs of the machine work (no
material costs), which also increases the
importance of optimizing the equipment used.
No.
Comb.
Output
[m3/h]
Price/unit
[/m3]
Profit/unit
[/m3]
1057
113,46
6,77
1,56
1070
113,46
6,77
1,56
1073
142,58
6,78
1,56
2016
104,27
9,25
2,13
2017
122,28
9,24
2,13
2025
142,13
9,22
2,12
2418
170,8
7,80
1,80
2417
171,25
7,73
1,78
2416
146,54
7,72
1,78
Average
136,31
7,92
1,82
Standard deviation
Standard Deviation/
Average
24,64
1,07
0,25
17%
13%
13%
Table 2 Recapitulation of equipment combinations
Calculation of parameters for various combinations

of machines has been performed by CESAD software.
In the analyzed combinations excavation is done by
excavators, dampers transport and unload, graders do
173
the spreading and rollers compact the soil.

Combinations are formed with the prerequisite that for
each work operation a maximum of two different
models of machines can be used. Out of the total
number of 2418 combinations, CESAD software
selected three best combinations for each of the
following criteria: output, cost per unit and the profit per
unit of processed material. Recapitulation of
combination obtained is shown in Table 2.

4.2 Ranking of the alternatives
If all criteria have equal weight, the alternatives are

evaluated as follow:
4.1 Comparing the alternatives
Criteria for the evaluation of alternatives

(combinations) have different nature. To perform the
final evaluation, it is necessary to define a single
measure for all of the criteria (although they are of great
diversity) before the evaluation can take place. The
AHP method allows combining different types of
criteria, and provides that all criteria define a common
measure. The measure is represented by Saaty's scale, as
shown in Table 1.
The first step is to define the methodology for
comparing criteria values (given in table 2) between
pairs of alternatives in order to verbally express the
intensity of preferences of the decision-maker. The
second step is to convert these preferences into values
of Saaty's scale. The proposed solution is to first define
"strong dominance" of one alternative over another. The
adopted measure for comparing two alternatives is the
standard deviation for the criteria.
When the standard deviation is defined, it is divided
into 5 successive intervals each covering 1/5 of the
standard deviation. The same principle of having 1/5 of
the standard deviation as an interval is also used for the
values above the value of the standard deviation. The
difference between two combination falls into one of the
intervals and is awarded a value according to the scale
of Saaty.
So, alternative "i" is "strongly dominant" compared
to alternative "j" if their difference is between 4/5 and
5/5 of the standard deviation for the criteria. In the same
way alternative "i" has "weak dominance" compared to
alternative "j" if their difference is between 2/5 and 3/5
of the standard deviation for the criteria.
1
1
2
1
1
3
1/7
1/7
1
4
2
1/3
7
1
5
1/3
1/3
4
1/5
1
6
1/7
1/7
1/2
1/9
1/6
1
7
1/9
1/9
1/6
1/9
1/9
1/6
1
8
1/9
1/9
1/7
1/9
1/9
1/6
1
1
9
1/7
1/7
1
1/8
1/5
1
6
6
1
1
2
3
4
5
6
7
8
9
CI=0,1470, CR=0,1014, =10,1757

Figure 3 - comparisons of alternatives according to criteria
of output, using values from Saaty's scale
Comparisons of alternatives according to criteria of

output, using the values from Saaty scale are shown in
Figure 3.
In the same way the matrix of comparison is created
for criteria Profit per unit and Price per unit.
174
Figure 4 Evaluation of alternatives showing their relative

importance with criteria having equal weight
The calculation shows that the optimal combination

is No. 8 (w8 = 0.155), and it is very close to
combination No. 7 (w7 = 0.153). The degree of
consistency is 0.02, and since the result is less than the
limit of 0.1, the result can be considered consistent.
Note that the overall best combination of machines
(No. 8) is only the best combination for one of the
individual criteria, while according to other criteria it is
below other proposed alternatives. Also, the
combination with minimum price per unit (combination
No. 1) is overall ranked on the seventh place, while the
combination with the highest profits per unit
(combination No. 4) is only slightly better and is ranked
on the sixth place.
Comparative ranking of alternatives, according to
individual criteria and overall rankings are shown in
Figure 5:
Figure 5 ranking of combinations according to the

individual criteria and overall
4.3 Sensitivity analysis
Optimizing among various combinations rarely

assumes equal weights for all criteria. With only one
dominant criterion, the choice is trivial the optimal
solution is a combination with extreme values of the
required criteria, and the multi criteria optimization is
reduced to solving a one criteria function. The area for
optimization is in the case where the maximum output
requires a combination that will bring maximum profit,
while achieving a minimum price per unit. The actual
weights of individual criteria depend on the phase of
project (initial phases, making deals, creating a global
plan or operational planning ...), the overall goal of the
project and its constraints and conditions.
In the presented case, the best ranked alternatives combinations 6, 7 and 8, are combinations which have
the maximum outputs. If the importance of the "output"
criteria increases compared to the criterion "Price per

Unit" and the criteria "Profit per Unit" (rank changes
from "equal importance" to "weak-dominant"), the
position of these combinations will be even more
dominant (with CI = 0, 06).
Figure 6 Ranking of alternatives with weakly favoured

criteria "Output"
In the initial ranking, combinations with minimum

price per unit (combinations 1, 2 and 3) were ranked
lowest. If this criteria is awarded "weak dominance"
compared to the other two criteria, the best combination
according to this criterion becomes the best overall
ranked combination (No. 3) while the other two best
combinations according to this criteria are positioned
fourth and fifth in the overall ranking (with CI = 0.08).
To examine the stability of the solution and to

analyse the sensitivity of the solution, it is necessary to
repeat the previous calculations with a changed criterion
measure. The new criteria measure (interval) is 1/3 of
the value of the standard deviation as the adopted
measure for dominance. So, in this case, alternative "i"
as the "better" alternative has "weak dominance (3)"
compared to alternative "j" if their difference is between
2/3 and 3/3 of the standard deviation for the criteria.
Based on this newly defined measure for dominance,
comparison of alternatives according to Saaty scale, are
given. In Figure 9. matrix of comparison according to
criteria of output is shown.
1
1
2
1
1
3
1/4
1/4
1
4
1
1/2
4
1
5
1/2
1/2
2
1/3
1
6
1/5
1/5
1
1/6
1/4
1
7
1/7
1/7
1/4
1/8
1/6
1/4
1
8
1/7
1/7
1/4
1/8
1/6
1/4
1
1
9
1/4
1/4
1
1/5
1/3
1
3
3
1
1
2
3
4
5
6
7
8
9
CI=0,0413, CR=0,0285, =9,3301

Figure 9 - comparisons of alternatives according to criteria
of output, using new criteria measure for values from
Saaty's scale
Figure 7 Ranking of alternatives with weak dominance of
"Price per unit" criteria
The best combinations according to the criteria

"Price per unit" will become the best overall ranked
only after awarding "strong dominance" intensity of
preferences, for the "Price per unit" criterion compared
to the other two criteria.
If the criteria "Profit per unit" is assigned "weak
dominance" compared to the other two criteria,
combinations which are best for "Profit per unit"
criterion,
will become the overall top-ranked
combinations (with CI = 0.04)
When ranking of alternatives is carried out by the

AHP method, according to the newly defined measure,
the ranking is as shown in Figure 10:
Figure 10 Ranking of alternatives with newly defined

measure
Calculation was performed for the case when all

criteria have equal importance (weight). The calculation
shows that the optimal combinations are No. 8 (w8 =
0.150) and combination No. 7 (w7 = 0.150). The degree
of consistency is 0.02, and since the result is less than
the limit of 0.1, the result can be considered consistent.
Figure 8 Ranking of alternatives with weakly favoured

criteria "Profit per unit"
In the analyzed example of earthworks for the

construction of highway, the proposed methodology for
comparing two combinations is by using 1/5 of the
value of the standard deviation as the adopted interval
for measuring preference. Alternative "i" as the "better"
alternative is "strongly dominant" compared to
alternative "j" if their difference is between 4/5 and 5/5
of the standard deviation for the criteria.
When evaluating, the preference between two
alternatives for a criteria were marked according to
Saaty scale.
Adopted measure for evaluation of alternatives leads
to a high number of relationships among alternatives
marked "extreme dominance - 9" or "very strong
dominance - 7".
Figure 11 - ranking of combinations according to the

individual criteria and overall according to newly defined
measure
Comparative ranking of alternatives, according to

individual criteria and overall rankings are shown in
Figure 11.
The results are very close to those obtained by the
previous measure for evaluation of alternatives. By
175
changing the measure for evaluation of alternatives the

degree of consistency has not significantly changed, so
the solution can be treated as stable and consistent.
4.4 The results of optimization
The presented optimization procedure is carried out

in two stages. The first stage is finding the best
solutions for each of the criteria (price per unit, profit
per unit or output). The second phase is finding the
optimal solution from the set of best solutions according
to each of the criteria. Current practice is to select
machines by only one criteria (most often - the price per
unit of processed material). In the analyzed example,
based on the results of calculations in CESAD, it can be
seen that from 2418 possible combinations, the average
price per unit is 7.68 / m3, the average value of profit
per unit is 1.77 / m3, and the mean value of outputs is
105.3 m3 / h. The total quantity of work is 1.454.499m3.
If we assume that a selected combination has a mean
output, price or profit, compared to the optimal
combination it can easily be shown what benefits can be
achieved by selecting the optimal combination.
Best combination by the criteria of price per unit is
the combination No.1057 with a value of 6.77/m3.
Selection of this combination of machines leads to the
lowering of the total cost of works for an amount of
1,326,196.
Best combination by the criteria of profits per unit is
the combination No.2016 with a value of 2.13 /m3.
Implementation of this combination of machines leads
to an increase of profit of 521,208.
If the optimal combination by the output criteria
(combination No. 2418) is used, the duration of the
works is shortened for 665 days (with a 8-hour work
day).
The performed calculation shows that the optimal
combination, when using multi criteria optimization
with criteria having equal weight, is combination No.
2417 having price per unit 7.80/m3, profits per unit
1.80/m3 and output of 171.25 m3/h. In case of varying
the weights of the criteria (preferences), different
alternatives can be ranked as the best. If one of the
criteria is highly preferred, it becomes dominant with
the best combination for this criteria being the overall
best solution.
5. CONCLUSION
Since the selection of construction equipment needs

to meet more than one criterion, it is necessary to adopt
a method of multi criteria optimization. AHP is one of
the most popular scientific methods of scenario analysis
and decision making by evaluating alternatives in a
hierarchy consisting of goals, criteria, sub criteria and
alternatives.
In the given example of equipment selection
alternatives for the multi criteria optimization processes
are pre-defined combinations of machines with their
parameters - price per unit of product, profit per unit
and output. Preparation of the list of possible
combinations, calculation of each combinations
parameters and selection of the combinations which
176
entered the multi criteria optimization process was

performed using CESAD software.
Since the criterion can have different nature, method
for comparison and evaluation of alternatives must be
defined based on their mutual relationships. The
proposed measure that one alternative is "strongly
dominant" over another, according to a certain criteria,
is if the criterion values differ equally to the standard
deviation of the criteria.
The ranking of alternatives depends directly on the
weights which were set for each of the criteria. This fact
is expected. If there are several similar alternatives,
placing greater weight to a certain criteria will directly
favour better alternatives according to the preferred
criteria.
If the criterion for mutual evaluation of alternatives
is changed so that the difference among the two
alternatives (according to certain criteria) which is the
size of the standard deviation is rated as "weak
dominance" rather than "strong dominance", this will
not have a great influence on the ranking of alternatives.
The ranking is consistent and stable to small changes
in the rating. However, further lowering would lead to
increasing similarities among alternatives and the results
would not be appropriate.
In addition, different criteria can also be applied.
The number of machines, machine types, energy
consumption, maintenance of machines, are just some
of the criteria which can also be applied in the
optimization process.
Based on all mentioned assumptions and the
obtained results of optimization, it can be concluded
that the AHP method, as described in this paper, can be
fully applied to optimize the selection of construction
equipment. Application of the results of the machine
selection optimization has a significant influence on the
succesful planinng and practical results of construction
works.
REFERENCES
[1] Gates, M., Scrapa, A., Criteria for the Selection of

Construction Equipment, ASCE, Journal of the
Construction Div., Vol. 106, No. 2, 1980.
[2] Kamal, M. et al., Application of the AHP in project
management,
International Journal of Project
Management Vol. 19, No. 1, Pages 19-27, 2001.
[3] Petronijevic, P., Ivanisevic, N., Rakocevic, M. and
Arizanovic, D., ethods of calculating depreciation
expenses of construction machinery, Journal of
Applied Engineering Science, Vol. 10, No. 1 (2012),
ISSN 1451-4117 UDC 33, doi: 10.5937/ jaes101664 Paper number: 10(2012)1, 220, 43 - 48
[4] Petronijevic, P., Ivanisevic, N., and Arizanovic, D.,
Using CESAD in construction equipment selection
DGKS, 13. Conference, Zlatibor Serbia, 22-24th
september 2010. ISBN 978-86-85073-09-0,
page.397-402)
Determining the load spectrum of axial

bearing slewing platforms of hydraulic
excavator
D. Janoevi
Full Professor
University of Nis
The paper would contain presentation of mathematical model and

developed software for determining the load range of axial bearing of the
slewing platform hydraulic excavators using a computer. With
mathematical models are covered the general configurations of kinematic
chain of hydraulic excavators with enforcement tools in the form of deep
bucket. Defined are the equivalent load on the basis of which done the
choice of the size of axial bearing. At the end of the paper, as an example,
are given load spectrum of axial bearing slewing platforms, specific types
of hydraulic excavators, obtained using the developed software.
V. Nikoli
Teaching Assistant
University of Nis
N. Petrovi
Teaching Assistant
University of Nis
Keywords : slewing platform, axial bearing, hydraulic excavator
1. INTRODUCTION
slewing platform of hydraulic excavator is performing

For realization its spatial manipulation, kinematic chain
the following procedure: ) selection of conceptual
of hydraulic excavators have slewing segment (platform)
solution drive, b) selection of axial bearing, c) defining
L2 (Fig. 1), which is for thrust-motional segment L1 linked
elements of bolted connections and supporting structure
slewing joint 2, of fifth class, with vertical kinematics
which is linked bearing, d) selection of drive revolving,
axis 2y2 in relation to substrate reliance. Joint 2 is axial
hydro-motor and reductor. This paper presents the
bearing 7 (Fig. 1.b), which is internal toothed ring 7.1 with
selection procedure for axial bearing hydraulic excavators
screws 7.4 linked for thrust-motional mechanism L1, and
based on the spectrum of equivalent load bearing.
not-toothed outer ring 7.2 is with screws 7.3 linked for
Determination of the load spectrum is necessary for the
slewing platform L2. Driving mechanism of slewing
reliable selection of bearings size due to the same
platform build hydro-motor 5, reductor 6 coupled over the
excavator model can be equipped with a variety of
output gear 6.1 with toothed ring of axial bearing 7.1.
enforcement tools that can have many different positions
Synthesis of the complete driving mechanism
and working conditions in the whole workplace of
machine.
Y
b)
mc4
L3
y2
m
c4
3
Mp3
rc41
2
L2
F2y
O3
3
M2y
m2
x3
mc3
rc42
c
O
rt2
3
4
O2
M2 F2x
Mp4
r4
4
m4
x2
r2
mc5
rt4
L1
c5
M2z
L4
O12
F2z
X
r
r
11
12
O
z2
O11
Mp5
5
6.
6
a)
6.1
DL
5
W
M2r
O2
L5
7.1 7.4 7.3
F2a
rw
2
L2
z5
F2r
Wz
L1
7.2
Correspondence to: Dr Dragoslav Janoevi, full professor

A. Medvedeva, 18000 Nis, Serbia,
E-mail: janos@masfak.ni.ac.rs
Wxy
Ow
x5
Wxy
Wy
Ow
m5
x4
w
Wx
x5
Fig. 1 Determining the load of axial bearing slewing

platforms of hydraulic excavator:
) driving mechanism of slewing platforms,
b) mathematical model of excavator.
177

2. MATHEMATICAL MODEL OF EXCAVATOR
For the load analysis of axial bearing is developed a

general mathematical model of excavator which consists
a mathematical model of kinematic chain and a
mathematical model driving system of machine [1][3].
Mathematical model is included in the five-segment
configuration of kinematic chain excavator consists:
thrust-motional segment L1 (Fig. 1b), slewing segment L2
and three-segment plane manipulator with: boom L3, arm
L4 and bucket L5. Space of excavator model is determined
by absolutely coordinate system OXYZ (Fig. 1b) with
unit vectors . The substrate reliance excavator lies in a
horizontal plane OXZ of absolute coordinate system,
while the vertical axis OY of the same system, coincides
with the axis of axial bearing kinematic pair, thrust
segment-slewing segment (platform).
Segments of the kinematic chain excavator build
kinematic pairs of the fifth class - slewing joints with one
degree of freedom. The center of the joint O2 kinematic
pair, thrust segment-slewing segment, is point of normal
irruption joint vertical axis through the horizontal plane in
which lies the centers of axial bearing rolling elements
which are linked thrust-motional and slewing segment of
chain. The centers of manipulator joints (Oi, i =3, 4, 5) are
points of joints horizontal axis irruption through symmetry
plane of the kinematic chain manipulator excavator.
Irruption of cutting edge bucket through the plane of the
manipulator is the center of the bucket cutting edge Ow.
Each segment of the kinematic chain Li model is defined
in its local coordinate system Oi xi yi zi with values set:

Li ei , si , ti , mi i 1, 2,3, 4,5 . (1)
where: ei eix , eiy , eiz - joint axis unit vector Oi by
center Oi+1 by which are segment Li linked for to the

following segment Li-1 (the vector intensity si represent
kinematic length of segment), ti tix , tiy , tiz - the
position vector of center of mass segment, mi - segment

mass.
Mathematical model of excavator driving system are
includes driving mechanisms of boom, arm and bucket
which for actuators have bidirectional hydro-cylinders
c3, c4 and c5 (Fig 1b). Each driving mechanism Ci of
excavator manipulator determined by a values set:

Ci d i1 , d i 2 ,cip ,cik , ai ,bi ,ci , mci , nci
i 3,4 ,5 (2)
where: di1,di2 diameter of the piston and piston rod of

hydro-cylinder,
cip,cik - start and final length of hydro
cylinder, ai , bi - vectors of joint center position in which
the hydro-cylinders linked to the segments of the
kinematic chain, ci - length of transmission levers if
drive mechanism has, mci - mass of hydro-cylinder, nci number of hydro-cylinder driving mechanism.
The assumptions of a mathematical model of
kinematic chain excavator are:
The substrate reliance and segments of excavator
kinematic chain are modeled with rigid bodies,
178
During manipulative task, excavator work is

stable, ie possible displacement in zero-joint does
not occur,
kinematic chain excavator is an open configuration
with the fact that during the digging operation, when
has a closed configuration, is viewed as an open
chain configuration, on which the last segmentbucket acting resistance to digging W at the center of
the cutting edge Ow,
During manipulative task on kinematic chain
excavator operating gravitational forces and
resistance to digging. Vector of digging resistance is
determined by the equation:
(3)
W Wxy cos w i Wxy sin w j Wz k
where: Wxy - potential resistance to digging, which operates

in the plane of the manipulator, Wz - lateral resistance to
digging, w - angle directions of possible digging resistance.
For a certain direction and course activity, size of
possible digging resistance is defined by equation [1]:
Wxy min Ws , W3 , W4 , W5
(4)
where: Ws - maximum limit value digging resistance

determined from the condition of stability of the excavator,
W3, W4 ,W5 - maximum limit values for digging resistance
that can overcome the driving mechanisms boom, arm and
bucket manipulators with influence the maximum pressure
of the hydraulic system of excavator.
For a certain position of kinematic chain excavator, the
size of the lateral digging resistance is defined by the
equation:
Wz
which are segment Li linked for previous segment Li-1,
si six , siy , siz - the position vector of the joint
m g L
o
4 xw
(5)
m - mass of the excavator, L - length of adjacent

caterpillar, o - resistance coefficient swivel of
caterpillars in relation to the substrate reliance excavator,
xw - the horizontal coordinate the center of cutting bucket.
3. THE LOAD BEARING
Fictitious break of kinematic chain excavator in the

joint 2 slewing platform L2 and reduction of all load, of
the rejected parts, in its center, are obtained of the
resultant force (Fig.1b):
5
5
F2 W g mi j g mci j gmz j
i 2
(6)
i 3
and the joint moment:

5

M2 ((rw r2 ) W ) g mi ((rti r2 ) j ) gmz ((rt5 r2 ) j )
i 2
5 n m
n m

(7)
g ci ci ((rci1 r2 ) j ) g ci ci ((rci2 r2 ) j )
2
2
i3
i 3
where: rw - position vector of the center of the cutting

5
edge of bucket, r2 - position vector of the center joint

(axial bearing) 2, rti - position vector of the center of
mass the segments of the kinematic chain, rcij - position
vector of the joint in which are linked hydro-cylinders
of driving mechanisms for kinematic chain segments of
excavator, mz - mass of material seized by bucket

(where it is assumed that the center of mass of the
material coincides with the center of mass of bucket).
The components of force F2 and moment M2 of joint O2
along the coordinate axes:

F2 x F2 i ,
M 2x M 2 i

(8)
F2 y F2 j ,
M2y M2 j

F2 z F2 k ,
M 2z M 2 k
According to the manufacturer's catalog ROTE

ERDE in addition to static are determined equivalent
time (permanent) load bearing [5]:
fR
Load components of axial bearing slewing platforms

of excavator are (Fig. 1b): ) axial force F2, b) radial
force F2r and moment M2r
F2a F2 y
F2r F22x F22z

M 2r
2
2x
F2r/F
(9)
0,5
M 22z
0,5
(10)
(11)
Moment 2r, whose vector lies in the horizontal plane

strain axial bearing, while the moment 2y, whose holder
vector coincides with the axis of the bearing, balancing the
drive moment Mp2 of platform slewing mechanism.
fR
>2
4. SELECTION OF BEARING
Manufacturers of bearings in their catalogs define

the equivalent load according to which are selected the
size of bearing. According to the manufacturer's catalog
INA bearing load equivalent amounts [4]:
) Equivalent static force:
Fes F2a f A f S f R
F2r/F
(12)
b) Equivalent static moment:

M es M 2 r f A f S f R
(13)
where: F2, M2r - axial force and moment load of

bearing, fA - factor of application (for mobile machines
fA =1,25), fS - additional safety factor (for normal
application with no special requirements fS=1), fR - static
radial load factor (determined using the diagram (Fig. 2)
depending on the coefficient of eccentric load and
relation F2r/ F2a radial and axial force. Coefficient of
eccentric load is determined by expression:
2 M 2r
F2 a DL
(15)
(16)
) Equivalent static moment Mes:

M es f s M 2r
) Equivalent time force Fed:

n
Fed f L
pi F2kai
k
i 1
100
(19)
b) Equivalent time moment Med:

n
where: DL - pitch circle diameter of the bearing rolling

elements (Fig. 1).
According to the manufacturer's catalog ROTE
ERDE bearing load equivalent amounts [5]:
) Equivalent static force Fes:
Fes a F2a b F2r f s
Fig. 2 Diagrams of factors equivalent load
(18)
where: a - factor of influence the axial force, b - factor of

influence the radial force, fs - conditions factor of bearing.
Values of factors a, b, fs are given depending on the
type bearing (single-row, double-row, ball, roller), types
and sizes of machines and their working conditions.
M ed f L
pi M 2kri
k
i 1
100
(20)
where: fL - load factor, k - exponent depends on the shape

of rolling elements bearing, (k=3 - for the balls, k=10/3 for the rollers), F2ai, M2ri axial force and load moment
certain collective load bearing, pi - proportional share of
the collective load in a particular area of workspace for
the life of the machine, n - number of areas on which is
divided the whole workspace of excavator. Load factor fL is
determined with relation [5]:
fL k
N
30000
(21)
179
1400
Mes
[kNm]
2000
a)
b)
Mes
[kNm]
1800
1200
III
1600
II
1400
1200
1000
800
III
II
I
1000
600
800
600
400
400
200
200
Fes[kN]
Fes[kN]
0
0
100
200
300
400
500
600
700
800
900
200
400
600
800
1000
1200
1400
Fig. 3 Spectrums of load axial bearing slewing platform of hydraulic excavators equipped in-depth manipulator:
) mass 26000 kg and b) mass 58000 kg.
where: N - expected number of revolutions (cycles)

bearing for the life of the machine.
Based on the previously given calculation procedure has
been developed the program for selection of axial bearing
slewing platform drives of hydraulic excavators using a
computer. At the entrance of the program are entered:
parameter segments of the kinematic chain excavators Li,
parameters of driving mechanisms of excavator
manipulators Ci, maximum pressure of hydrostatic system of
excavator, number of desired position of the machine
kinematic chains in whole workspace, number of desired
directions of action possible resistance digging of excavator
enforcement tools. At the output of the program are obtained
bearing load spectrum for the whole workspace of excavator
which make the equivalent load bearing for each position
kinematic chain machine and for any given direction of
action for digging resistance [1][3].
Diagrams of static and time (permanent) bearing
capacity, which provide specialized manufacturers [4]
[5], showing dependence of allowed static equivalent
force Fes and allowed static equivalent moment Mes (Fig.
4, curves I, II, III, IV), ie dependence of the allowed time
equivalent force Fed and the allowed time equivalent
moment Med. Comparing the spectrum of equivalent load
bearing with diagrams capacity of bearing, reliably selects
is required size bearing.
For example, in the diagram of available bearing
capacity (Fig. 3 , b - curves I,II,III,IV), shows the
spectra of the load bearing, in the form of constellations,
which make the coordinates of equivalent forces Fesi and
equivalent moments Mesi load bearing excavator, mass
26000 kg (Fig. 3) and 58000 kg (Fig. 3b), with depth
manipulator calculated for 10,000 positions in the whole
range of machine and in each position for 10 different
directions of action digging resistance. The diagrams
show that as solutions can be adopted I (Fig. 3a) and II
(Fig. 3b) bearings because the allowable load bearing
values greater than of all possible calculated equivalent
load bearing in the whole workspace of excavators.
180
5. CONCLUSION
The procedure of synthesis drives the slewing platform

of hydraulic excavators, inter alia, it is necessary to size
selection axial bearing. Structure and functions of
hydraulic excavators are characteristic the large number of
enforcement tools and a variety of different positions and
working conditions. For these reasons, in this paper, is
defined the mathematical model and developed software,
which provides a comprehensive analysis of the equivalent
axial load bearing platform, in the whole workspace of
excavators, based on which it can reliably selected size of
the bearing.
ACKNOWLEDGMENT
This paper is financially supported by the Ministry

of Education and Science of Republic of Serbia, Project
No. 035049.
This support is gratefully acknowledged.
REFERENCES
[1] , .,
, ,
, 1997.
[2] , ., , .,
: -
, XIII , ,
1994.
[3] ,
.,
,
, 2006.
[4] Slewing rings, INA Walzlager Schaeffler KG, catalogue 403, 2002.
[5] Kugel-Drehverbindungen, Hoesch Rothe ErdeSchmiedag AG, katalog, 2006.
Emeljanova Inga Anatoljevna

Full Professor
Kharkov state technical university of civil
engineering and architecture, Kharkov,
Ukarina
Aniscenko Anna Igorevna

Full Professor
Kharkov state technical university of civil
engineering and architecture, Kharkov,
Ukarina
ovnjuk Jurij Vasiljevi

Full Professor
Kyiv National University of Construction and
Architecture, Kyiv, Ukarina
RESERCH ON WORKING CONDITIONS

OF CONCRETE MIXER WITH
GRAVITATIONAL AND FORCED
ACTION IN CASCADE OPERATION
The paper analyses the process of moving of concrete mixture particles in
the working space of the mixer. The mathematical models are developed to
describe the paths of mixture particles after falling from the vanes of
rotating drum and horizontal shaft.
Keywords: concrete mixer, vanes, paths, concrete mixture, particle.
1. INTRODUCTION
The characteristics of concrete mixer with

gravitational and forced action were presented at the
seventh international conference Heavy Machinery
HM 2011 (KRALJEVO-SERBIA). Also, the position
of working vanes was described because it provides the
preparation of concrete mixture having high level of
homogeneity (figs. 1a, 1b) [1].
The structure properties of above mentioned
machine indicate the complex motion of the mixture
particles in the working space. A new method for
mixing the concrete particles is defined for those mixers
and it is based on the cascade type of operation.
The concrete mixer with gravitational and concrete

action (fig.1) has the properties of gravitational action
mixer, and on the other hand, it has the properties of
forced action mixer. Application of two mixing
operations within one machine resulted in combined
method for mixing the components. Thus, there is
intersection of particle paths which fall freely from the
vanes of rotating drum onto the vanes of rotating
horizontal shaft. There is a cascade motion of mixture
particles (fig.2).
(a)
(b)
Figure 1. a) Concrete mixer with gravitational and forced action: 1 - mixer frame; 2 - drum; 3 - shaft; 4 - shaft vane; 5 - corpus
vane; 6 - bearing; 7 - bearing supports; 8 - coupling; 9 - worm reductor; 10 - belt drive; 11 - electromotor; 12 - chain wheel
gear; 13 - port for loading and unloading; b) Concrete mixer with gravitational and forced action - appearance
Correspondence to: Emeljanova Inga Anatoljevna, Full professor

Kharkov state technical university of civil engineering and architecture
E-mail: aanishenko87@mas.bg.ac.rs
181
Figure 2. Formation of cascade motion of concrete components in the mixer housing

1. vanes shaft; 2. mixer drum; 3. component paths realized by drum vanes; 4. component paths realized by shaft vanes
When falling from the rotating drum vane the

particle is influenced by its weight G. The falling is
described by the velocity V (fig.4).
2. MATHEMATICAL MODEL
In order to enable the cascade operation of concrete

mixer it is necessary to define the path of mixture
particles when falling from the housing vanes and shaft
vanes, which qualifies the structure characteristics of
their position.
The conditions of concrete particles moving along
the rotating drum vanes, without the influence of air
resistance, are defined by the system of equations (1)
and (2) according to scheme of forces acting on the
concrete particles (Fig. 3). [2]:
a e t b e t c sin t d cos t l ;
1
a
b
(1)
A f B ;
f A B ; l r D;
d
0
2 2 (1 f 2 )
2 2 (1 f 2 )
1 ( f 1 f 2 ) ; 2 ( f 1 f 2 ) ;
A g
sin( 0 ) ;
cos( 0 ) .
cos( 0 ) ;
D
Bg
cos
cos
cos
where: g - acceleration of gravity; - angle speed of

drum; f - friction coefficient of concrete particle and
vane surface; - friction angle (tg = f); - angle
between vanes and drum; k0 - coefficient of air
resistance; r sin r0 sin 0 const .
a2 e t b2 e t c2 sin t d 2 cos t l ;
3
a2
b2
c2
( f A B ) 4 ( A f B ) r0 4 D
2 2 (1 f 2 )(4 3 )
4 3
( A f B) ( f A B) 3 r0 3 D ;
4 3
2 2 (1 f 2 )(4 3 )
;
(2)
2
A f B ;
;
f A B ;
p
p
d2
3 2 ;
2
2
2
2
2 (1 f )
2 (1 f )
2
2
p
;
p
4 2 ;
2
2
182
p 2 f k0 ;
r12 .
R12
(3)
where: V,V - circumferential velocity and relative

velocity of the particle; r1 - minimum radius of the vane;
R1 - maximum radius of the vane. It is necessary to
define the path of concrete mixture particle after falling
from the vane without the action of resisting forces. In
that case, the starting conditions of particles motion are:
t = 0; x = 0; y = 0; x V cos ; y V sin ,
where - the angle of particles falling from rotating
drum vanes.
Differential equations for particle motion at the
projection in the axes OX and OY are:
( f A B ) 2 ( A f B) r0 2 D ;
2 1
2 2 (1 f 2 )( 2 1 )
( A f B ) ( f A B ) 1 r0 1 D ;
2 2 (1 f 2 )(2 1 )
2 1
2
2
V V
V
R 1
2
2
2
md 2 x
; md y mg ; d x 0 ; d y g .
0
dt 2
dt 2
dt 2
dt 2
(4)
dx
C1 for starting conditions:
dt
t=0;
dx
V cos . C1 V cos .
dt
In that case, the equations which define the paths of

particles after falling from the vanes are:
x V t cos ; y V t sin
gt 2 . (5)
2
When the concrete mixture falls from the drum

vanes [3] the equations in the parameter form (t parameter) have the form (6), whereas their form is (7)
when the mixture falls from the shaft vane:
(1)
(1)
y1 (t ) V
t sin 1; x1 (t ) V
t cos 1;
2
(1)
r1 1 / 2
V 1 R1 (1 R 2 ) ;
1
( 2)
( 2)
y2 (t ) V
t sin 2 ; x2 (t ) V
t cos 2 ;
2
( 2)
r2 1 / 2
V 2 R2 (1 R 2 ) ;
2
(6)
(7)
where y1, x1, y2, x2 - related projections of particles

falling from the drum vanes and shaft vanes at the axes
OX, OY in dependance of the time t; V(1), V(2) related absolute velocities of particles falling from the
drum vanes and shaft vanes; 1, 2 - related angles of
vanes rising with the mixture at the drum and shaft, r1 inner radius of drum vanes; R1- drum radius; r2 minimum radius of shaft vanes; R2 - maximum radius of
shaft vanes, 1, 2 - related angular velocities of drum
and shaft rotation.
The paths of particles falling from the drum vanes
into concrete mixture are defined by equation (6),
whereas the paths of particles faling from the shaft are
defined by equation (7) (fig. 5) [4].
Finally, the motion of particles along the intersecting
paths is observed in the working space of the mixer
(fig.5).
The vanes of horizontal rotating shaft are set
according to the path of particles falling from the drum
vanes onto the shaft vanes. In that case, it is done by
relation [5]:
2
2
;
n.. 2 n.. (1 2 )
(8)
When the vanes of horizontal shaft move at the

angular velocity 2 and number of revolutions n.., the
vanes of drum housing n.. move towards them at the
relative angular velocity (1 + 2).
The velocity of rotation of drum vanes with respect
to shaft vanes should be such that mixture particle falls
onto the next shaft vane in compliance with the relation
(8).
Therefore, the number of horizontal shaft vanes can
be determined by the following dependence:
n . . n . .
(1 2 )
(9)
Distance between the vanes of rotating shaft is:
2
4
(10)
Thus, the implemented research provides the base

for defining the working conditions so that the concrete
mixer with gravitational and forced action could have a
cascade operation.
Figure 3. Forces acting on the concrete particle which is displaced along the vane having regular form
Figure 4. Determination of particles path after falling from the drum vane
183
Figure 5. Path of concrete mixture particle in the mixer working space
3. CONCLUSION
[3]
1. The analysis of paths and motion of concrete

mixture particles has been done for the case of
their falling from the vanes of rotating drum and
shaft.
2. The number of vanes was defined as well as their
distance at the horizontal shaft.
REFERENCES
[1]
[2]
, . ., , . ., , .
., , ..: Analysis of the operation
of concrete mixer with gravitational and forced
action, Proceedings HEAVY MACHINERY
HM 2011 - The seventh international triennial
conference: - Kraljevo Serbia Session B, pp. 1114, 2011.
, . ., , .., ,
..: Determination of motion model of concrete
particles with gravitational and forced action
(
),
. , , .
. 62, pp. 193-198, 2011.
184
[4]
[5]
.., .., ..:

Determination of paths of concrete particles after
falling from the vanes of rotary drum in the
concrete mixer with gravitational and forced action
(

,
. , ,
. . 51, pp. 258-262, 2009.
. ., . ., .
.: Characteristics of working process of the
concrete mixer with gravitational and forced action
(
- ). , . 52,
: , pp. 317-325, 2009.
.., .., ..:
Determination of distance between vanes of rotary
shaft (
), .
, , . . 57, pp.
439-443, 2010.
Mitrovic M. Bojan
M.Sc. Student
Faculty of Forestry
Cupric Lj. Nenad

Assistant Professor
Faculty of Forestry
Danilovic N. Milorad
Asociate Professor
Faculty of Forestry
Skyline systems for wood extraction

and possibility of application in forest
utilization in Serbia
In this paper the main characteristics and basic types of the skyline cable
logging systems, also known as cable cranes, are presented, as the first
step of development of the future decision making model for selecting the
appropriate wood extraction system in forest utilization in Serbia. The
previous set of criteria, which consists of mostly economic ones, is
extended with ecological and environmental criteria and they all have
similar importance. Although Serbian experience in skyline logging
systems dates from the early 1900s, Serbian forests have a poor forest road
network and the most of the forest are in mountainous areas, the usage of
this systems is completely neglected today.
Keywords: skyline logging, yarder, skyline carriages.
1. INTRODUCTION
About 29.1 % of Serbian territory is covered with

forest, 7.1 % in Vojvodina and 37.6 % in central Serbia
which is mostly mountainous area often with very steep
slopes [3]. The network of primary and secondary roads
Serbian forests is unsatisfactory [1]. The density of lorry
roads network (hard-surface and rough- seasonal roads)
in state forests is about 7.23 m/ha. The density of the
hard surface roads network is 5.24 m/ha [2]. At the
same time in forests of Western Europe countries road
density of macadam roads and asphalt roads network are
20 to 40 m/ha. On the other side, building forest roads
are great investment for the forest owner. One of the
possible ways to overcome all this difficulties is
implementation of skyline systems for wood extraction
in the first transportation phase from the stump to the
roadside landing.
The purpose of this paper is to define framework of
present skyline systems as the base of a future
developed decision making model for selecting the
appropriate wood extraction system in forest utilization
in Serbia. The previous set of criteria, which based
mostly on economic ones, is extended with ecological
and environmental criteria and now, they all have
similar weight. Also, a clear cut is unusual and
constrained by the low in Serbia and countries of the
Central Europe which is additional constrain.
2. PREVIOUS EXPERIENCE
Serbian experience in skyline logging systems dates

from the early 1920s. The best known skyline is the
stationary skyline on mountain Tara [11]. Its
construction was started in 1907 and exploitation lasted
until 1932. It was built in four phases. During the first
phase 3.6 km of the skyline was set between altitudes
Correspondence to: Dr Nenad Cupric, assistant professor
Faculty of Forestry,
Kneza Viseslava 1, 11030 Belgrade, Serbia
E-mail: nenad.cupric@sfb.bg.ac.rs
225 and 685 and the year latter additional 2.41 km to the
altitude 1059. During the third phase in 1911 it was
extended with additional 2.8 km to the altitude 1430 and
in the final phase in 1913 with additional 1.16 km to the
altitude 1150. At the end it was a 9.970 km long
stationary skyline with four cables and with a automatic
regulation of the tension force in the skyline depending
of the load weight. The skyline cable was a 40 mm steel
cable for 2000 kg load mass and 15 m load length. Daily
capacity was about 250 m3 and yearly 24000 m3 was
transported. After that time the usage of the skylines is
completely neglected and today there is almost no
experience about skyline logging.
In the other European countries, at the beginning of
application, the increased use of forest skylines was
noted. A more intensive use occured after the First
World War in mountain regions of: Italy, France,
Austria and Switzerland [18]. Latter on, the high wood
extraction costs of skyline are less favored than the
other transportation equipment, particularly tractors,
which significantly decreased use of skylines. The
introduction of hydraulic drives and mobile systems
during the 1970s contributed to their widespread use
again [9].
The analysis of costs and productivity of the Koller
K300 skyline, in Austria in the period of 12 years
(1986-1998) has shown that the working cost is 20.23
EURO/pmh [8]. The cable system consisted of one
yarder, one tractor and a crew of three members. The
percentage distribution of costs was as follows: (32%) is
related to the wire ropes, (25%) is related to winches.
The remaining 43% of costs were related to the engine,
gears and tower (17%), the carriage (14%), and
miscellaneous items (12%). In general, total
transportation costs could be two to three times more
expensive, compared to ground systems and vary from
case to case. As a rule of thumb, there should be at least
1m3 of wood per one meter of skyline to make the
operation economically viable. Planning and
organization of the cable system wood extraction must
be thorough and serious and nothing can be overlooked.
[4],[7], [13] and [16].
185
In European counties today less than 3% of the

annual timber harvested is extracted by cable systems
[10]. More intensive use was recorded in the last ten
years. They are used mostly in Austria, where 17 % of
annual cut extracts by cable systems, which can be
directly attributed to the inherent terrain where 25% of
the forest cover is on slopes with average grade in
excess of 60%. Also, more intensive use was recorded
in Turkish and Italian forests. The use of cable systems
on short, medium and long distances in Turkey started
in the 1970s. In Italy 16 % of the forest cover is on
slopes with average grade between 60% and 80% and
short distance cable systems are used for extraction. In
Slovenia cable systems are used in alpine region close
to border with Austria. According to data for the period
2000 to 2004, 5% to 6% of annual cut is extracted by
cable systems [18].
North American countries very intensively use cable
systems and they have a hundred years of experience.
Cable systems are irreplaceable in Alaska [4].
The key reasons for the decreased use of the cable
systems for wood extraction are [18]:
Cable system operation is labor intensive, requires
specialist training, and there is difficulty in
engaging and retaining suitably trained staff;
Load carrying capacity of a skyline system is
limited, especially if the load must be fully
suspended which results in low productivity;
Well-rooted and stable support and anchor trees
must be carefully selected, hence, there are
practical difficulties in harvesting sites with
shallow root plating;
Problems of crew movement especially on wet
sites with high ground roughness reduce the
productivity in wood extraction;
Setting up is time consuming and more portable
equipment may be desirable, and this has
necessitated the use of mobile plant in some cases,
which may incur additional operational costs, and;
Difficulties in obtaining adequate insurance cover.
Despite these shortcomings it should be noted that in
conditions of today forest utilization, cable systems are
good replacement either for forwarders in Cut-ToLength technology or for the skidders in Full tree
technology [9]. Modern mobile systems have lot of
advantages compared to earlier stationary constructions.
New trends in wood harvesting with cable systems
include, the improvement in technology, logistics,
working operations and ergonomics. They could be
mounted on a tractor, a forwarder or a lorry, they cost
less than before, the setting up time is much shorter and
they need less working crew compared to the older
systems.
Regardless of the sometimes very high
transportation costs, in conditions of very steep terrain
with a grade over 50 %, poor or very poor soil bearing
capacity, constrains from environment protection and
sustainable forest management, cable systems for wood
extraction becomes the only possible solution. The most
important benefits are [18],[15]:
During wood extraction they cause low soil
disturbance, mainly on the beside-road landing,
186
Low influence on the upper stream and river flows,

Reduce the possibility of damage of the remaining
trees and offspring,
Reduce the possibility of damage of the load (logs
etc) during transportation,
Except in very rough weather, weather conditions
has lower influence to transportation possibilities
compared to ground skidding,
Provide wood extraction on slopes with a grade
greater then 100 %.
3. CLASSIFICATION AND BASIC CABLE SYSTEM
ELEMENTS
The classification of cable systems is based on many

criteria. In accordance with results presented in [14] the
forest cable yarding system are classified in three
groups:
1. Forest winches, (consists of: a power source, a
transmission, a winch drum and a hauling cable),
2. High-lead systems (with a hauling line, haul-back
line and a two drums winch),
3. Skyline systems (with a carriage running on a
skyline), also called cable-crane systems (Figure
1).
The simplest cable system is in the first group and
they are usually a part of a forest tractor or a skidder.
High-lead systems are the second group. They are used
very rarely because they are purposed for clear cut
which is unusual way of harvesting in Europe. The load
is dragged whole or with the back end on the ground
which causes lot of damage to the soil and offspring.
There are two basic types of high-leads: high-leads with
but rigging and high-leads with high-lead carriage
(monkey block, rider block).
Figure 1. The basic components of a forest skyline system

(with slack-pulling carriage) [17]
The main difference between high-lead and skyline

systems is that the first use two cables to carry the load
and the skylines use a carriage running on a cable to lift
the logs fully or partially off the ground (Figure 1). In
[6] the following characteristics of skylines system are
presented. A supporting rope skyline, is elevated over
two or more supports (spar tree etc.) and it is the
cableway for carriage. Supports can be natural and
artificial spars or live trees. Stumps and anchors are
used for anchoring. The carriage, a wheeled carrier
mechanism, rides along the skyline cable to carry the
load to the landing and to go back to the felling site.

Another cable called the skidding line is used for
attaching the load to the carriage. Some mechanism are
usually provided for increasing the length of the
skidding line. In that way it is possible to pull logs
positioned laterally from the cableway. The load is then
skidded laterally under the cableway by the skidding
line. After that the load is lifted up and conveyed to the
landing. This could be done by pulling the carriage with
a "mainline" cable, if the landing is uphill from the
felling site, or by un-spooling the main-line cable under
the force of gravity, if the landing is downhill from the
felling site.
The basic system elements are: the yarder with
winches and the carriage. The type of yarder and the
carriage will determine the type of the cable system that
can be used. About 90 different types of skyline systems
are in use today and the most of them are of older
design.
Depending on the number of lines skyline systems
could be classified as [19]: one-rope systems, two-rope
system (skyline and mainline), three-rope system
(skyline, mainline and haulback-line), four-rope system
(sky, main, haulback lines, and strawline), five and
more rope systema (Figure 2). Ropes are used for
carrying (Skyline), pulling (mainlain), taking the
carriage back to the felling site (haul-back line),
skidding logs (hoisting line, skiding line), auxiliary line,
for attaching logs (choker), for stabilization and
anchoring (guyline) and multi purpose lines.
Depending on the number of the skyline spans
system could be mono-span or multi span. Depending
on the length of the skyline systems could be:
1. Short distance skylines up to 300 m (light),
2. Middle distance skylines between 300 m and
800 m, (medium)
3. Long distance skylines over 800 m up to 2000 m
(heavy).
Depending on the payload capacity the skyline
systems could be classified as:
1. Very light, up to 0.5 t,
2. Light between 1 t and 2 t ,
3. Middle heavy between 2 t and 3 t,
4. Heavy, between 3 t and 5 t, and
5. Very heavy, more than 5t.
Three basic types of the skyline systems are in use
(Figure 3):
Standing skyline, with fixed skyline position
during yarding.
Live skyline, with yarder with two drums for
skyline and mainline. Depending on terrain and for
downhill yarding additional haul-back line drum is
required. It is possible to lower and to lift skyline
during the yarding.
Running skyline, the carriage runs on the haulback
line. The lift is provided when the haulback line is
tensioned against the mainline with variable
deflection depending of the load weight. It is very
similar with highlead carriage systems.
In [14] it is noted that the most of modern skyline
systems belong to the first and third type where the
skyline lowering is automatic for obtaining different
tension in skyline and haulback line, depending of the
load weight.
One-rope system used with self-propelled carriages (i.e.

Woodliner)
Two-rope system (skyline and mainline)
Three-rope system (skyline, mainline and haulback-line)
Four-rope system (sky, main, haulback lines, and

strawline)
Figure 2. Skyline systems with different number of ropes.
Porinsky and Stanki [14] suggested a new

classification depending on the type of the power
source:
187
1. Skyline with its own engine mounted on the lorry,

2. Skyline which uses power from the vehicle engine
where it is mounted,
3. Skyline with its own engine mounted on the trailer,
4. Skyline with its own engine mounted on the
sledge,
5. Self-propelled carriages.
A yarder can have 1 - 12 working winches with

braking system. Modern yarders all use hydraulic for
smoother and more continuous transfer of power.
Brakes dissipate a large amount of energy as heat and
they have to be cooled by air or by water cooled brakes.
Hydraulic power systems allow solving the interlock
problem successfully. The energy from breaking is
used to power other hydraulic components by using
direct drive interlocks. [4]
The operator cabin on modern mobile yarders is
mounted high on the chassis to provide the best possible
visibility for the operator. [9]
3.2 Carriers
Standing skyline
Carriages may be classified depending on: their

payload capacity, the power source which they use, how
they accomplish the slackpulling function and the
locking/clamping possibility (Figure 4).
Carriages could be pulled by the main line or self
propelled by their own internal combustion engine,
electromotor or hydraulic motor [17]. Today remote
control locking carriages convey automatically on preset distances and they are used extensively [9]. While
the carriage is traveling in and out workers can do the
other logging activities.
Live skyline
Running skyline
Figure 3. Tree basic types of the skyline systems
Figure 4. Carriages classification [7]
3.1 Yarders
4. MODERN SKYLINE SYSTEMS
Yarders could be with a swinging boom or a fixed

boom. The first has booms with height of 6 m to 9 m
and they permit wider corridor and reduce the number
of the yarder moves. The second has towers as tall as 30
m. The carrier of the yarder can be on: tracks, wheels or
sladge. It could be: self-propelled (mobile yarder),
towed (a yarder mounted on a trailer) and carried Some
yarders use the power from auxiliary engine (tractor
etc), while the others have their own power source.
Tower of a yarder is often made of steel, a tubular type
is more suitable than a lattice one. It could be folding or
telescoping.[4]
188
Modern forest skylines are systems with great

mobility. The yarder could be mounted on a tractor, a
lorry or a trailer and it could be powered by own engine
or by the engine of the vehicle. The skyline set-up time
lasts only few hours with only three or four workers
[12]. The tower could be between 4 m and 15 m high
(Steyr KSK 16 has a tower of 17.5 m high and was the
highest in Europe at that time) [9]. Modern skyline
systems have a hydraulic crane on the same chassis of
lorry (Figure 5). The crane could work with a grapple or
with a processor or with both (e.g. Woody
processor/grapple) on its end. The system composed in
this way could be successfully implemented as a

transportation sub system in Cut-to-Length and Fulltree technologies of wood harvesting.
Mobile skyline systems could be used in semiopened forests where forest roads already exist, but with
inaccessible parts of the forest complex (wet, rough or
sensitive terrain, steep slope, intersected relief etc). An
important benefit of these systems is possibility to
enable opening of inaccessible parts of the forest
quickly and accurately, without any need for additional
forest road construction and to enable logging of the
very valuable trees which couldnt be logged in the
other ways.
Figure 5. A mobile skyline with a crane equiped with a

grapple/processor for Full tree logging and processing
As the Heinimann noted [9], by the end of the 1990s

processor tower yarders (PTY) equipped with radio
controlled carriages and automatic carriage movement
and stop have become standard for all skyline
manufacturers. Automatically carriage guiding system
provides enough time to yarder operator to work on the
crane to log or to pile wood on the landing. In the future
the intensive development of self propelled, radio
controlled, carriages with the own the propulsion device
should be expected. The propulsion device provides
power for carriage drive and the winch of the skidding
line, also mounted on the carriage chassis (Figure 6.).
Figure 6. Woodliner self-propeled carriage [5]
The main disadvantage of self propelled carriages is

their great weight, it could be three times heavier than
the similar classic one, which decreases skyline payload
capacity and makes its price higher.
5. CONCLUSION
The skyline logging systems certainly have a good

future as a transportation system in the first
transportation phase from the sump to the road side
landing especially under constrains and limitations set
by the directives from sustainable forest management
and environment protection. Skyline systems enable
envirogentle extraction of wood especially on
sensitive forest sites. Two main reasons for their
previous low implementation are:
1. Compared to the ground systems the transportation
cost is higher and production rates are lower,
2. Demands for specially trained crew. Skyline
logging is a highly technical logging method
which requires competent management and
planning by knowledgeable supervisors/managers
if it is to achieve its optimum potential.
Instead of that, the reasons for more intensive
implementation of skyline systems are:
More and more forests are declared as protected
areas. During wood extraction they cause low soil
disturbance, mainly on the beside road landing and
reduce the possibility of damage of the remaining
trees and offspring,
During wood extraction they have low influence
on the upper stream and river flows, when usage of
heavy mechanization directly and indirectly
pollutes,
They reduce noise which the other heavy
mechanization makes during work and less disturb
forest animals which have to stay on their own
habitat,
Possibility of the load (logs etc) damage during
transportation is low.
The future increase of the skyline usage could be
expected in the semi-accessible forests. They enable
wood extraction in forests with poor road network and
slopes with a grade greater than 100 %. In that way they
reduce a need for an additional forest road which
construction is very expensive and has great influence
on the whole forest eco-system. Also, they enable
extraction of wood with significant value, which was
neglected because it grows on the inaccessible terrain
(steep slopes, wet, rough terrain, terrain susceptible to
erosion, rough relief etc).
In accordance with the experience of countries with
similar forest and terrain characteristics, a live skyline
system with skyline and mainline drums and a gravity
carriage seems most acceptable. In Serbia and Central
European countries selective cutting and thinning is
common. For that reason it is necessary for a skyline
system to have skidding line for skidding loads placed
laterally to skyline. It should be highly mobile and
capable of yarding not less than 500 m (midium size). It
should have a mainline speed not less than 5 m/s, should
be operable by a 4-man crew. It should also have:
189
hydraulic guy winches, hydraulic outriggers for

leveling, and about 12 m high "swing boom'' tower.
At the end it should be concluded that modern
skyline cable systems are good replacement for the
forest heavy mechanization, either for forwarders in
Cut-To-Length technology or for the skidders in Full
tree technology.
ACKNOWLEDGMENT
The research presented in this paper was developed

by the project TR37008: Sustainable management of
total potential of forests in the Republic of Serbia,
2011 2014 founded by the Ministry of Science and
Education of the Republic of Serbia, Belgrade.
REFERENCES
[1] Baji, V., Danilovi, M., upri, N.: Mechanization

in the utilization of Serbian forests: current state
and requirements, Journal of Yugoslav Society of
Power Machines, Tractors and Maintenance,
JUMTO, Vol. 10, No. 5, pp. 23 30, (in Serbian),
Novi Sad, 2005.
[2] Baji, V., okovi, P., Danilovi, M.: Some current
problems in Serbian forestry and possible solutions,
Journal of Yugoslav Society of Power Machines,
Tractors and Maintenance, JUMTO, Vol. 4, No. 5,
pp. 50-54, (in Serbian), Novi Sad,1999.
[3] Bankovi, S., Medarevi, M., Panti, D., Petrovi,
N., ljuki, B., Obradovi, S.: The growing stock of
the Republic of Serbia - State and problems,
Bulletin of the Faculty of Forestry, University of
Belgrade, No. 100, pp. 7-30, (in Serbian), 2009.
[4] Cable yarding systems handbook, WorkSafeBC
Publications, British Columbia, Canada, 2006,
www.worksafebc.com/publications/health_and_saf
ety/by_topic/assets/pdf/cable_yarding.pdf
[5] Catalog of Woodliner skyline Crane System,
Konrad
Forsttechnik
GmbH,
Austria,
www.forsttechnik.at
[6] Dykstra, D.P., Heinrich, R.: FAO model code of
harvesting practice, FAO, Rome, pp. 1-85, 1996.
[7] Forest Engineering Southern Africa: Sauth African
Cable Yarding Safety & Operating Handbook,
FESA Publications, Scottsville, Pietermaritzburg,
South Africa, July 2001.
[8] Ghaffariyan, M.R., Stampfer, K., Sessions, J.:
Production Equations for Tower Yarders in Austria,
International Journal of Forest Engineering, Vol.
20, No. 1, pp. 17-21, 2009.
[9] Heinimann, H. R., Stampfer, K., Loschek, J.,
Caminada, L.: Perspectives on Central European
Cable Yarding Systems, Proceedings of The
International Mountain Logging and 11th Pacific
Northwest Skyline Symposium 2001, Seatlle, WA,
USA, 268-279, December 10-12, 2001.
[10] http://www.fao.org/
[11] http://www.srbijasume.rs/
190
[12] McCarthy, M. J., Myles, D., Young, E.: An

Evaluation of a Steyr KSK 20 Cable yarder in
Western Newfoundland, FEIS Technical Report No.
89, Newfoundland Department of Forest Resources
& Agrifoods, Forest Engineering & Industry
Services, Canada, 2002.
[13] Oregon OSHA Yarding and Loading Handbook,
Oregon Occupational Safety and Health Standards,
Department of Consumer & Business Services,
Oregon, USA, 2009, www.cbs.state.or.us/osha/pdf/
pubs/1935.pdf
[14] Porinsky, T., Stanki, I.: A contribution to
understanding timber yarding by forest skylines,
Nova mehanizacija umarstva, Vol. 26, No. 1, pp.
3954. (In Croatian), 2005.
[15] Peters, P.A., LeDoux, C.B.:Stream protection with
small cable yarding systems, Proceedings of the
1984 Penn State Forestry Issues Conference Forest
management and water quality, Pennsylvania State
University, pp. 53-69, USA, March 13-14, 1984.
[16] Saunders, C. J.: Cableway extraction, Technical
development, Forest management division, Forest
Research, UK, 2006.
[17] Studler, D: Carriages for Skyline, Research
Contribution 3, Forest research laboratory, Oregon
State University, Corvallis, SAD, pp. 1-14, 1993.
[18] Tiernan, D., Owende, P.M.O., Kanali, C.L.,
Spinelli, R., Lyons, J., Ward, S.M.: Selection and
operation of cable systems on sensitive forest sites,
Project deliverable D2 of the Development of a
Protocol for Ecoefficient Wood Harvesting on
Sensitive Sites (ECOWOOD). EU 5th Framework
Project (Quality of Life and Management of Living
Resources), pp. 1-73, 2002
[19] Trzesniowski, A.: Wood transportation in steep
terrain, Proceedings of the Seminar on
Enviromentally Sound Forest Roads and Wood
Transport, FAO, Rome, 1998, pp. 405-424, Sinnaia,
Romania, 17-22 June, 1996.
Dr Aleksandar Dj. Dedic

Assistant Professor
Faculty of Forestry
Dr Miroslav M. Stanojevic
Professor
Dr Nenad Lj. Cupric

Assistant Professor
Faculty of Forestry
Selection of a wood-chipper for logging

residue woodchip production from
wood waste after timber harvest
In this paper, in accordance with the calculation of the required
productivity, chippers were analyzed from the following aspects: mobility,
type of propulsion source and the method of delivery to the site. In this
analysis small capacity mobile wood chippers which are generally used for
branch and leaf chipping left after wood harvesting in lowland plantations
and parks, are considered first. Comparative characteristics of wood
chippers with much bigger capacities (up to 30 m3/h) of the three leading
manufacturers are also given. Those wood chippers are usually used on
temporary stationary bases, placed closed to higher density plantations or
forests in mountainous regions, where tree waste is shipped.
Keywords: woodchips, mobile wood chipper, CHP plant.
1. INTRODUCTION
About 30 % of territory in Serbia is covered with

forests, which means that Serbia is a medium forested
country. The most represented species of deciduous
trees are: beech (40%), poplar and oak; the most
represented species of conifers are: black pine and
spruce. In the total amount of yearly harvested wood the
percentage of deciduous trees is 90.1 % and conifers is
only 9.9 %. [2]
In Serbia, the yearly energy potential in biomass is
estimated as 2.7 Mten, in accordance with the Action
plan for biomass 2010 to 2012 [1]. The energy potential
of biomass in forestry production and wood processing
industry, which includes: wood harvesting, primary
wood processing and industrial wood processing, is
estimated as 1.0 Mten. The remaining 1.7 Mten is in
agricultural biomass which includes: agricultural
wastes, residues from crops, including liquid manure. In
2009 the total yearly consumption of primary energy in
Serbia was 16 Mten, which clearly shows that the
energy from agriculture, forestry and wood processing
industry biomass could cover about 6.25 % of the
total year energy needs, if it is used rationally and
adequately.
The main task of Project TR 33049, supported by
the Ministry of Science and Education of the Republic
of Serbia, is development and construction of a demo
plant for combined production of heat and electrical
energy (CHP) using wood chips as fuel.
The future demo CHP plant is planed to be installed
on the location of the enterprise Agrosava in the
village imanovci, 25 km on the west from Belgrade.
The state forest around the village, from where the
wood waste would be collected and wood chips would
be produced, is managed by the public company for
Correspondence to: Dr Aleksandar Dedic, assistant professor

Faculty of Forestry,
Kneza Viseslava 1, 11030 Belgrade, Serbia
E-mail: aleksandar.dedic@sfb.bg.ac.rs
forest management Vojvodinaume, the forest holding

Sremska Mitrovica. The whole area is lowland.
The purpose of this paper is to present technical
characteristics of wood chippers which could be used
for wood chip production in the future demo CHP plant.
2. THE CALCULATION OF REQUIRED AMOUNT OF
WOODCHIPS FOR THE DEMO CHP PLANT
In accordance with the Report for project TR 33049

[4], the demo CHP plant with a power of 200 kWe,
needs 1752 t of wood chips from residuals and wood
waste, for continuous operation. For 300 working days
per year it is necessary to produce at least 5.840 t wood
chips per day, or 973.4 kg/h if the working day lasts 6
hours. For the average density of wood chips of
approximately 550 kg/m3 the minimal wood chipper
productivity has to be 1.62 m3/h, which can be realized
using any of the presented machines.
If wood chips are produced only from the waste left
by commercial timber harvest including branches,
brash, tree tops, stumps, etc, which is called Logging
residue chips, the required amount of 2920 m3 of the
wood waste is about 1.71 % of the total yearly amount
of the wood waste which the state enterprise
Srbijaume has in their yearly production [6].
Compared to the average amount of waste of about
26000 m3/year, which remains during production in one
of the biggest forest estates Sremska Mitrovica, part
of the public company Vojvodinaume, the required
amount is about 11 % (calculated on estimation that
12 % of the total year production is wood waste) [7].
3. SELECTION OF A WOOD CHIPPER
Machines called chippers or bio shredders are

used for shredding wood waste and producing wood
chips. There is a wide offer of different types of
chippers on the market and they differ in:
1. The site delivering method (self-propelled, towed
or carried)
2. The undercarriage construction (tracks or tires),
191
3. The propulsion source (PTO and engine drive

chippers)
4. The technical characteristics and construction.
Selection of an adequate chipper includes the
following aspects: site configuration, the average
density of plantings, and the network of existing roads.
The technical characteristics of wood chippers define
the dimensions of the biomass that can be chipped, the
amount of chips which can be produced, the size and
uniformity of the chips. All these characteristics
together with the transportation cost of the wood chips
or the wood waste, have to be taken into account when
making the decision which concept is appropriate. The
main dilemma is: is it cheaper to produce wood chips
directly on site using mobile equipment and then
transport wood chips (Figure 1), or on some bio-base
where wood waste collected from sites would be
processed using more productive stationary equipment?
Drum chippers are an older construction, (Figure 2 b) suitable for chipping both whole trees and forest
residues. They use a rotating drum with a diameter of
about 450-1800 mm in which the knives are inserted in
2 to 4 longitudinal grooves. Drum chippers require more
power than disc chippers. Drum chippers can be
attached to tractors with more than 100kW of power and
can also be attached or mounted onto forwarders and
lorries. Drum chippers are less sensitive to the
heterogeneity of the wood waste and they are suitable
for processing waste from primary and final wood
processing and also for forest residues.
The third type of wood chippers is rarely used for
the processing the forest residuals and is out of the
scope of this analysis.
a)
b)
Figure 2: The basic principle of producing wood chips [8]
3.2 Mobile disc wood chippers
Figure 1: A temporary bio-base during wood cutting
3.1 Basic types of wood chippers
From the technical aspect, there are three basic types

of chippers: disc chippers, drum chippers and cone
chippers.
Disc chippers (Figure 2 - a) have a steel rotation disc
with radially attached chipper knives placed over the
openings on the disc. Reversible hydraulically powered
rollers or belt conveyer push the wood waste from the
hopper towards the disk, which is mounted
perpendicularly to the wood waste moving direction.
The disk rotates and the knives cut the material into
chips. On the other side of the disc, flanges are placed
acting as a fan. The air stream transports the chips
through the output chute. Disc chippers generally
produce more consistent wood chip size. Sliver breakers
are usually used to reduce the proportion of oversized
chips. They are usually mobile machines powered from
a tractors PTO and require about 50 to 76 kW of
power, but they could be much more powerful with
using discs with a diameter of 4 m and require more
than 3000 kW of power. Feeding is usually manual or
by hydraulic light cranes. Disc chippers are more
suitable for round wood chipping and for homogeneous
raw material such as de-limbed trees. Currently this type
of chippers is mostly used by forest commercial
companies.
192
Disc chippers with medium working capacity and

productivity are most suitable for shredding wood
residuals after timber harvest which includes small
wood, branches, brushwood and leaves, which remains
after wood cutting in plantations in lowlands. The
German factory Schliesing which produces a wide
range of chippers with different capacities, productivity,
overall dimensions and engine power is one of the
leading manufacturers of these machines. These mobile
chippers could be carried or towed to the working site
by a tractor, or by a lorry. Undercarriage for towed
machines is a one-axle or two-axle trailer and that type
has a MX label (Figure 3). They usually use diesel
engines, but others can also be used.
Figure 3: A Schliesing, type 105X mobile chipper
Smaller capacity chippers are carried on a tractor by

a three point linkage system on the rear end, or by a
Mercedes Unimog or similar type of lorry on the front
end (Figure 4). They are labeled as ZX and U,
respectively. The are powered by a PTO axle from the

vehicle engine.
Figure 4: A Schliesing, type 400/550U mobile chipper
Self-propelled chippers on a special undercarriage

with tracks are intended for sensitive terrains with a low
loading capacity, or for terrains with steep slopes. They
are labeled as EX (Figure 5).
There are several manufacturers of chippers on the

market with a much larger capacity than the previously
presented chippers. They could be fed by a crane or
hand fed. These types of chippers are suitable for use on
stationary bases positioned close to mountain regions or
large plantations where wood residues after wood
cutting are delivered and processed. Leading
manufacturers
are
in
Germany:
Heizomat
(www.heizomat.de), Bruks (www.bruks.com), and Jenz
(www.jenz.de). All chippers presented here are powered
by a PTO axel. Their capacity depends on the power of
the tractor or lorry engine. All of them have discharge
chutes which could load trailers up to 4.5 m high.
For the demo CHP plant the Heizomat company
has in its offer the smallest compact mobile drum
chipper HM 4-300 with a capacity of 300 kg/h. It has a
hydraulic screw in-feed conveyer with an adjustable infeed speed depending on the tractor power.
Bruks offers a mobile drum chipper 605 PT
installed on a trailer with a crane, intended to be towed
and powered by a larger tractor. It has an in-feed system
with rollers on the feed-deck, an efficient rotor and
unique chip discharge via a chip accelerator. The drum
has a rotor set-up system that facilitates changes
between logging slash/parts of trees and larger roundwood.
Jenz offers a mobile chipper HEM 360 Z which is
on the lower performance end of mobile chipper class.
The optimum throughput can be achieved using a tractor
power of 75 kW (100 hp). An in-feed system has a short
belt on the in-feed deck and a top in-feed roller.
The main technical characteristics of these machines
are given in Table 2.
Table 2. Comparative technical characteristics of chippers
for more intensive production by three leading producers
Figure 5: A self-propelled chipper on a special

undercarriage with tracks, Schliesing, type 220X, Crawler
The proposed types of this class of chippers are

presented in Table 1.
Table 1. Chipper types manufactured by SchliesingGermany
Chipper tech.
characteristics
105X/ZX
Max. diameter
12
of the trunk (cm)
Diameter of the
600
cutting disc (mm)
Chip granulation
Up to 25
(mm)
Productivity
5-6
(m3/h)
Engine type and 1) Diesel;
power (kW)
14,7
2) Petrol/gas;
9,5 and 14,7
Dimensions
3080
(length x width) x1460/1630
(mm)
x1120
Mass (kg)
650-750
Price (U)
Type
200MX/ZX
350EX
14
30
660
800
Up to 30
Up to
33
Up to 8
12-13
Diesel;
16 and 21
Diesel;
35,8
and 44
3440 x1600
980
25000/15000 29000/18000
3340
x1995
17101740
43000
Characteristic
Maximal
diameter of the
trunk (cm)
Diameter of
wood chips (mm)
Productivity
(m3/h)
Required tractor
power (kW)
Crane
Price (EURO)
Manufacturer and type of chipper

Jenz
Bruks
Heizomat
HEM
605PT
HM4-300
360Z
30 - 40
do 30
27-36
15-40
15-30
do 40
20-30
18-30
20-25
130-220
150
75-140
Yes
167000
No
116000
Yes
130000
All of these machines have a much bigger

production capacity in regard to the requirements of the
demo CHP plant.
It is possible to find much cheaper machines on the
market from unknown manufacturers from Far East
countries. They offer a large spectra of machines but
with unknown quality. All parts and sets of the chipper
construction are important. The in-feed system, the
cutting system and the out-feed system are the main
parts and they must work synchronously to prevent jams
and stops.
193

4. CONCLUSION
Selection of a suitable chipper planed to be used in

forest sites depends on many factors and all of them
have a significant influence on the realized productivity
and the final price of wood chips. The main factors are:
forest site configuration, forest wood structure, tree
density, road network density, transportation costs etc.
All of these factors need to be included in the multifunctional analysis for each concrete case.
In accordance of the presented analysis it can be
concluded that the mobile low capacity disc chippers
have enough capacity to assure continuous operation of
the future demo CHP plant with 200 kWe power in the
village imanovci near Belgrade, Serbia. For bigger
power plants it is necessary to use stronger machines
with a larger capacity and they could be mobile or
stationary. Three types of higher capacity machines,
presented here, are on the lower end of the capacity
level of that class.
ACKNOWLEDGMENT
The research presented in this paper was developed

by project TR33049: Development and construction of
demo plant for combined production of heat and
electrical energy with bio mass gasification, funded by
the Ministry of Science and Education of the Republic
of Serbia, Belgrade.
Part of the research presented here was developed by
project TR37008: Sustainable management of total
potential of forests in the Republic of Serbia, 2011
2014, also funded by the Ministry of Science and
Education of the Republic of Serbia, Belgrade.
REFERENCES
[1] The action plan for biomass, 2010 - 2012, Sl.

glasnik RS, br. 56, pp. 5-17, (in Serbian) 2010.
194
[2] Bankovi, S., Medarevi, M., Panti, D., Petrovi,

N., ljuki, B., Obradovi S.: The growing stock of
the Republic of Serbia - state and problems,
Bulletin of the Faculty of Forestry, No. 100, pp.
7-30, (in Serbian), 2009.
[3] Dedi, A.: An analysis of the usage of biomass
from wood waste after timber harvest and industrial
wood processing in Serbia, Proceeding of the First
Conference of Renewable Energy Sources,
Belgrade, pp. 199-208, (in Serbian), 2011.
[4] Dedi, A.: The report of project 33049: The
analysis of the state and usage biomass from the
timber harvest and the final wood processing in
Serbia with logistics, Faculty of Mechanical
Engineering, University of Belgrade, pp. 1-16, (in
Serbian), 2011.
[5] Catalogs and technical information of the leading
manufacturers:
(www.holzzerkleinerer.de),
(www.bruks.com)
and
(www.heizomat.de),
(www.jenz.de).
[6] Vasiljevi, A: The activities of the state enterprise
Srbijaume in production and usage of the wood
biomass in Serbia, Wood Energy Workshop:
Woody biomass the fuel of choice for Serbia,
Belgrade,
Serbia,
(in
Serbian),
2008,
http://www.unece.org/fileadmin/DAM/timber/workshops/2008/b
elgrade/Presentations/day2/13vasiljevic.pdf
[7] The official site of the public company

"Vojvodinaume", www.vojvodinasume.rs
[8] Searcy, E.M., Hess, J.R.: Uniform-Format
Feedstock Supply System: A Commodity-Scale
Design to Produce an Infrastructure-Compatible
Biocrude from Lignocellulosic Biomass, Idaho
National Laboratory, Bioenergy Program, Idaho
Falls, Idaho, 2010.

SESSION C
LOGISTICS AND INTRALOGISTICS
SYSTEMS
Dipl.-Wi.-Ing. Dominik Berbig

Research Associate
Institute of material handling and logistics
Karlsruhe Institute of Technology
Prof. Dr.-Ing. Kai Furmans

Head of Institute
Institute of material handling and logistics
Karlsruhe Institute of Technology
Dipl.-Wi.-Ing. Michaela Kker

Dipl.-Wi.-Ing. Philipp Gehrke
M.Sc. Maximilian Altefrohne
A new comprehensive approach for

choosing proper charge carriers in
order to guarantee efficient material
supply of production areas
In order to guarantee efficient material supply of production areas, it is
crucial to choose the adequate charge carrier for every single part
number: The larger this carrier is, the larger is the required space, the
number of contained pieces and, as a result, fixed capital increases. The
smaller it is, the higher is the necessary transportation frequency. These
are only some dependencies, but they show: choosing a charge carrier is
subject to many parameters. Yet, surveys show that this choice is often
based only on the size, ignoring other aspects. This means wrong choices
and wasted capital. Thus, an approach to solve this problem, a new model
and possible benefits are shown in this paper.
Keywords: (Standardized) charge carriers, expert interview, Total Cost of
Ownership, Analytical Hierarchy Process, comprehensive decision model
1. INTRODUCTION
Charge carriers, especially small load carriers, have

an important role in many logistical processes. For
example, it is hard to imagine the material supply of
assembly lines or the transportation of (small) goods
without any bin. This leads to the consequence that you
can find an almost endless amount of bins for many
different uses (see fig. 1)
of the Toyota Production System, especially the

concept of lean-thinking, and as a consequence the
avoidance of waste are getting more and more
important, one could assume that all the possible
influences which the decision on a charge carrier holds
are regarded seriously in order to choose the right one.
However, surveys in different corporate groups have
shown that this decision is often taken only
superficially: based on the experience of planners or
simply based on choosing the smallest possible bin
which guarantees a minimum inventory coverage of
goods at the assembly stations. This means that
potentials are wasted as choosing a bin is subject to
many parameters and has manifold effects. Concerning
scientific literature, you can find that the process of
choosing adept bins has not yet been satisfactorily
looked at.
Figure 1. "Diversity" of bins (source: SSI Schfer)
Another consequence is that large companies have a

huge amount of bins. Take Volkswagen (VW) for
example: The total worth of the charge carriers (ch.
carr.) in use is (more than) 200 Mio [1]. Further, VW
owns more than 10 million bins which circulate month
after month throughout Europe. This is to guarantee a
just-in-time material supply with more than 700.000
different parts from 5.000 suppliers. Here, 32 different
types of uniform charge carriers are used as well as
about 2.500 special charge carriers [2]. As the principles
Correspondence to: Dipl.-Wi.-Ing. Dominik Berbig
Institute of material handling and logistics (IFL)
Karlsruhe Institute of technology (KIT)
Gotthard-Franz-Str. 8, D-76131 Karlsruhe
berbig@kit.edu
Concerning scientific literature, one can find that the

topic of charge carriers or especially packing and
packaging is getting more and more important. But a
definite model which includes all the relevant aspects
and factors of the decision of choosing the proper
charge carrier cannot be found, yet. There are research
projects concerning the necessary amount of charge
carriers in general [3] or the project repac [4], a
project which aims to reduce the packaging assortment
cost. But even if these projects have a similar concern,
they cannot be used for the decision of the best-suited
charge carrier as they focus only on a certain aspect
(namely the number of required charge carriers in [3])
or they have a different focus, namely (product)
packaging and reducing the total amount of different
packaging in use ([4]). This means that in this case no
loop is regarded (as it is the case with re-usable charge
carriers) and different influencing parameters can be
found. Above all, concerning especially the (German)
automotive industry, the universal charge carriers have
195
3. INFLUENCING PARAMETERS AN EXPERT

INTERVIEW
Now, to bridge the above shown gap and to create a

comprehensive model, the first important questions to
be answered are: Which influencing parameters
concerning the choice of the proper charge carrier exist?
Which factors are really important and have to be
regarded?
In order to answer this question sufficiently,
practical expertise is necessary. Thus, expert interviews
have been performed. The interviewed persons have a
broad knowledge of the topic of charge carriers and
associated aspects as they have been or are still
responsible for choosing and designing charge carriers
or charge carrier management in general. Thus the
results are quite applicable, although the total number of
participating experts is rather small.
As previous researches have shown, there are costas well as use-related factors which influence (or are
influenced themselves by) the choice on a certain bin.
Consequently, the interview and the results as well as
this paragraph are divided in two parts: one part which
concerns the cost-related factors, the other one which
has a look on the use-related ones.
3.1 Results concerning costs
Concerning costs, the results showed that there are

more cost-related influencing factors than use-related
ones. Thus, one could assume that costs are of grave
importance or at least more important than the use of a
special charge carrier. But the opposite is the case: the
cost-related aspects are in general less important than
the use-related ones. This can be seen in the fact that for
the single aspects the mean is lower (not a single factor
is all in all very important), but the squared coefficient
of variation is in only one case smaller than 0,5. This
shows that the experts do not agree with each other.
196
Above all, the interviews showed that in the current

situation not all of the relevant costs have an influence
on the choice of a charge carrier although they are of a
quantitative nature. Once again, this fact shows the
necessity of a new comprehensive method for choosing
the proper bin. Above all, it shows that the exclusive
regarding of costs is not enough for choosing the adept
charge carrier. Also qualitative, use-related factors have
to be taken into account. The following table shows the
summarized results.
Squared Coefficient
of Variation
0,5
very unimportant (1)
3,8
unimportant (2)
Influencing Factors
Costs (of the charge
carrier itself)
Costs (capital lockup
of materials in the
charge carrier)
Costs (goods exit)
Costs of handling
(packing)
Costs of handling
(storage or decollating)
Costs (disposal,
cleaning)
Costs (internal
transport)
Costs (space at
warehouse/assembly)
neutral (3)
Importance
Mean
Table 1. Cost-related results of the expert interviews
important (4)
already been standardized [5] and as a consequence, no

further standardization is required (as done in [4]).
Nevertheless, even if a standardization has been
performed, a comprehensive model or even a systematic
for choosing the proper charge carrier is still unknown
even to big companies. This means that there is a gap to
be bridged in scientific research as well as in practices.
There is the need for a comprehensive model as the
importance of comprehensiveness in logistics is wellknown (see [6] for example).
Even if first steps of such a systematic or model can
be found, no definitive model is shown although the
importance is made clear [7]. Generally, the importance
of the topic of charge carriers and associated aspects is
exhaustively shown in [8]. This means that the
importance of charge carriers in general as well as the
necessity of a comprehensive model and systematic for
choosing the right one is getting more and more clear.
But this question has not yet been (sufficiently)
answered. Thus, in this paper we present a new, general
and comprehensive model which is in a first step bound
to the so called VDA-bins, but still easily extendable
to further charge carriers.
very important (5)
2 2,0
1,5
1 2,7
0,7
1 3,5
0,8
3,5
0,6
1 3,2
0,7
2 2,5 0,5
1 2,9
0,8
4,0
0,3
3.2 Use-related results
As mentioned in the previous paragraph, the

decision on a certain charge carrier must also be bound
to qualitative aspects. Thus, the experts have also been
asked to name the use-related factors and to estimate
their influence on the choice of a bin. These interviews
showed that use-related aspects play an important role
in the decision process. This means that they have to be
taken into account in a comprehensive model. These
aspects are:
- Quality (avoidance of damages)
- Flexibility (rearrangement of the production line)
- Flexibility (suitable for different products or parts)
- Ergonomics (e.g. weight)
- Recycling
- Lifetime
These surveys made it clear that apart from
recycling the use-related aspects are at least important.
Also the squared coefficient of variation is lower which
shows that the experts agree mostly with each other.
Above all, the results showed that apart from aspect 3
these aspects are already now taken into account, but
only as boundary conditions (for example for a small
load carrier, the weight needs to be less than 15 kilos)
and are not really actively implemented in a
comprehensive model. Summarizing, one can say that
they are of a great importance and need to be actively

included in the decision process on a certain charge
carrier. The following table 2 illustrates these results.
Lifetime
Mean
Squared Coefficient of
Variation
5,0
0,0
3,9
0,5
1 3,6
0,8
5 1,5 0,5
4,6
0,1
1 2,9
0,8
4,0
0,0
very unimportant (1)
unimportant (2)
neutral (3)
Influencing Factors
Quality (avoidance of
damages)
Flexibility
(rearrangement of the
production line)
Flexibility (suitable
for different products
or parts)
Ergonomics (e.g.
weight)
Recycling
important (4)
Importance
very important (5)
Table 2. Use-related results of the expert interviews
4. A NEW, COMPREHENSIVE MODEL
As shown in the above paragraphs, there is the need

of a comprehensive model to make the right decision on
a charge carrier and to avoid wasted costs or wasted
potentials. With the expert interviews, we also showed
that these model needs to imply quantitative (i.e. costrelated) as well as qualitative (i.e. use-related) factors.
Thus the following question needs to be answered:
How can these be integrated in a generally
applicable and comprehensive model?
The answer to this question is that they have to be
looked at separately as the monetarization of qualitative
aspects is not always possible or it is quite difficult (and
very subjective, too). Also, the transformation of
quantitative factors into qualitative factors is not
suitable. And above all: Why should it be done if the
costs can already be directly measured? This means that
two independent analyses have to be performed and
the results have to be merged so that the ideally suited
charge carrier can be chosen.
more parts in it. As a consequence, it has to be handled

more often. Therefore it needs less space and the capital
lockup is smaller. These are only a few aspects but they
show the consequences of the choice of a certain charge
carrier. Above all, the new method shall be generally
applicable and not only be suited for one or two special
cases. Thus, a total cost of ownership (TCO) analysis
following the dollar-based approach extended with a
process analysis (compare [9]) is very well suited for
this analysis. But which process steps are the relevant
ones? Concerning the processes a charge carrier needs
to pass in a loop through the respective process chain,
one can find that there are five basic process steps with
which each charge carrier process chain can be
modeled (a closer look will be performed in paragraph
5):
1.) Transportation
2.) Storing
3.) Transacting and handling (e.g. change of means of
transport)
4.) Picking (e.g. parts are taken out of or put into it)
5.) Return or recycling process (e.g. it returns empty
to the first-tier supplier)
With these elements, the process chain can be
modeled, costs can be allocated to the place of origin
and the TCO-result for each possible charge carrier j
(TCOj) can be calculated. Thus, all cost-related factors
are taken into account. This means that the demand of a
comprehensive approach is fulfilled at least for the
quantitative factors.
In order to prove the applicability of such a TCOanalysis, a first research has been conducted in a real
manufacturing plant (due to confidentiality, detailed
numbers and descriptions may not be presented here). In
this analysis, six different parts (small or big, high
demand as well as low demand) have been looked at
closely. The results were overwhelming, as savings up
to 30% could have been possible even if this analysis
has been bound only to costs and to small load carriers
corresponding to [5]. These results show the necessity
to bridge the above identified gap once more and also
the potentials a comprehensive approach can have. The
following figure 2 shows these results for each of these
six different parts.
4.1 Modeling quantitative factors
Generally, many possibilities for modeling

quantitative as well as qualitative factors can be found.
But which way is the right one? The interviews made it
clear that there are manifold costs that have to be taken
into account. These costs originate in different parts of
the supply chain and in many cases not only once. Also,
the decision on a charge carrier itself influences all the
processes of the corresponding process chain in which
the charge carrier circulates: A smaller charge carrier
has to be transported more often than a bigger one with
Figure 2. Results of a first TCO-analysis
197

4.2 Modeling qualitative factors
The problem in modeling qualitative factors is that it

is always bound to subjectivity at least to a certain
degree. This can lead to discussions if the results are
really valid or not, depending on the point of view of
different persons. Thus, a broadly accepted method, if
possible with analytic elements, is necessary.
Additionally, the qualitative factors are very important
and manifold and the model needs to be comprehensive
as well as generally applicable. And we have to keep in
mind that a decision has to be taken. Concerning all
these facts, the Analytic Hierarchy Process (AHP; see
[10] for further details) is ideally appropriate for
performing these analyses and it is a common method
for making comprehensive decisions.
In order to perform such an analysis, it is necessary
to define the goal, the criteria and the alternatives. Here,
the goal is quite simply to choose the ideally suited
charge carrier. The criteria are the results of the expert
interviews with one exception: recycling can be
neglected as the corresponding costs are already taken
into account in the TCO-analysis and re-usability is (at
least concerning the automotive industry) a postulate.
The alternatives are the charge carriers (e.g. carriers
corresponding to [5]) which are theoretically suited
carry the currently focused material. With these, the
AHP-analysis can be performed and as the result we get
the Overall Profit of Ownership (OPOj) for every
possible charge carrier j. To minimize the degree of
subjectivity, this analysis can be performed by a group
of experts which makes the result even more valid.
due to the AHP systematic, the OPOj-values are

already in the interval [0, 1] and sum up to 1.
Thus, this coefficient reduces round-off errors as
the TCO-value can be very high but the OPOvalue is lower than 1. This means that when
employing it, less fractional digits are necessary.)
With this formula, it is possible to choose the ideally
suited charge carrier for every single part number and
this comprehensively, concerning costs as well as use.
Concluding, the new, comprehensive model consists
of the following four steps:
1.) Calculation of the TCOj-value for each possible
bin as shown in 4.1, 5 and [11]
2.) Calculation of the OPOj-value for each possible
bin as shown in 4.2
3.) Calculation of the OTQj-value for each possible
bin
4.) Choosing the charge carrier with the maximum
OTQj-value
5. COST-RELATED PROCESS ANALYSIS A
CLOSER LOOK
In this paper, we can only present a detailed view on

some of the above mentioned basic process steps to
create a better understanding of the model. You will be
able to find further details in [11] when this work will
be finished. Thus, in this paper we will have a closer
look on the basic process steps of storing as well as
picking.
4.3 Synthesis of the comprehensive model

5.1 Storing
Both, qualitative and quantitative factors have now

been extensively taken into account and the results of
each analysis are known. But they are still separated
from each other and need to be united. But how can this
be done? A hint to the answer of this question is having
a closer look at the aim of the decision process: The
charge carrier that causes the lowest costs but the
highest use has to be identified. If there is no such a
charge carrier, the one which leads to the highest use for
each monetary unit spent is the right one. This means
that use-cost-ratio (OTQj) has to be calculated for each
possible charge carrier j (as it is quite commonly done
in cost-benefit-analyses). We get (1):
OTQ j
OPO j
TCO j
TCO j j ch. carr.
(1)
j 1
mS
Where:
- OTQj = use-cost-ratio of charge carrier j
- TCOj = TCO-value of charge carrier j
- OPOj = Overall-Profit-of-Ownership-value of charge
carrier j
n
TCO
j 1
= normalizing coefficient (In order to
standardize the TCOj-value on the interval [0, 1]

such that their sum equals 1,too. It is necessary as,
198
According to [12], the logistical storing costs consist

of the replenishment and stock-keeping costs. All costs
for the storing system itself (including area costs) are
comprehended in the so-called area-dependent storage
fee. This enables to regard the different sizes of charge
carriers. (Please note that in this case the assumptions
are made that small load carriers can only be modularly
stapled on pallets and that storage and retrieval take the
same time and only here personal costs are caused).
In order to be able to calculate actual costs, it is
necessary to know the average stock level (mB). In [12],
it is shown that it equals the safety stock (mS) plus half
of the replenishment quantity (mP, N). The safety stock
can be calculated from the necessary stock reach (RS,
[h]) by dividing it with the daily consumption (VEP):
RS
VE P
24
(2)
The necessary replenishment quantity can be

computed as:
mP , N mPLT * mLt , Lg * mLg , Pl

Thus we get mB as:
(3)
m B mS

5.2 Picking
mP ,N
(4)
Where:
- mPLT = parts per charge carrier
- mLt,Lg = charge carriers per layer
- mLg,Pl = layers per pallet
Now, it is possible to calculate the resulting
inventory costs, KBs, as:
K Bs
t
* m B *WP * z
365
(5)
Where:
- t = review period [d]
- WP = price of product []
- z = interest on fixed-capital [%/a]
k
mB
* LLE * BLE * t * Bm, m , day
mP , N
1000000
(6)
Where:
- LLE = length of stored unit [mm]
- BLE = width of stored unit [mm]
- kBm,m,day = storage cost rate [/m*d]
k
mB
* LLE * BLE * t * Fl , m , day
1000000
mP , N
(8)
Where:
- tin/out = time for storage or retrieval [min]
- kPer,h = personal expenditure rate [/h]
Finally, the total costs for the basic process step
storing, KStoring, can be calculated by summing up all
these partial costs as done in the following formula (9):
K Storing K Bs K Bm K FL K Per
k
mB
* LLE * BLE * t * Bm, m , day +
mP , N
1000000
k
VE
t
t * P * mLg , Pl * mLt , Pl * Pick * Bm, Pick , h (11)
mP , N
60 1000000
K Fl
k
mB
* LLE * BLE * t * Fl , m , day
mP , N
1000000
K Per t *
(12)
VEP 2 * tin / out t Pick

*
* k Per , h (13)
mP , N
60
Consequently, the total costs for picking, KPick,

result by summing these formulas (10) (13). We get:
K Pick K Bs K Bm K FL K Per
(14)
6. CONCLUSION
Further on, the process of storage and retrieving

requires the following personal expenditures, KPer:
VE P 2 * t in / out
*
* k Per ,h
mP , N
60
(10)
(7)
Where:
- LLE = length of stored unit [mm]
- BLE = width of stored unit [mm]
- kFl,m,day = area and space costs rate [/m*d]
K Per t *
t
* m B *WP * z
365
Where:
- tPick = picking time [min]
- kBm,Pick,h = operating resource for picking rate
[/h]
If this process does not cause any operating

resources costs, there nevertheless result area and
space costs, KFl:
K Fl
K Bs
K Bm
In order to store goods, operating resources and

equipment (e.g. fork-lifts or shelves [12]) can be
necessary. The resulting costs, the operating resources
costs KBm, can be calculated by the storage costs during
the review period as follows:
K Bm
Regarding the cost function, a picking system can be

seen analogously to a storage system. The only
difference is that there is a change in the configuration
of the storage unit either during the process of storing or
during the process of retrieving. This means that the
times for storing and retrieving are not the same
anymore. In this model, we calculate the necessary time
for picking with regard to a single charge carrier. Thus,
we get the following formulas:
(9)
In this paper we presented a new, comprehensive

model for choosing the proper charge carrier. Such a
model is necessary as it is unknown in scientific
literature as well as in real-life. In order to identify the
relevant parts of such a model, expert interviews have
been conducted. They illustrated that the decision on a
certain charge carrier is bound to many factors and has
got manifold effects. They made clear the relevant
factors as well as their importance. Moreover, they
showed that especially qualitative factors influence the
decision of the right charge carrier.
Thus, a comprehensive model has been developed to
identify the best-suited charge carrier regarding these
relevant aspects. This model includes a cost analysis,
based on the idea of a TCO-analysis, as well as a
qualitative analysis, based on the AHP-systematic.
These results are united by calculating the use-cost-ratio
OTQj for every charge carrier j. With this method, it is
possible to make the right decision, avoid wasting
resources and to create savings as shown in a casestudy.
199

REFERENCES
[1] Wannenwetsch, H.: Integrated Logistics (Integrierte

Logistik, Beschaffung, Materialwirtschaft und
Produktion), Springer Verlag Berlin Heidelberg
New York, 2007
[2] Engelhardt-Nowitzki, C., Lackner, E. (Editors):
Batch Tracing: Possibilities, Limitations and
Examples (Chargenverfolgung: Mglichkeiten,
Grenzen und Anwendungsgebiete) (1st Edition),
Deutscher Universittsverlag Wiesbaden, 2006
[3] Fraunhofer IML, Charge Carrier Management
(Ladungstrgermanagement, Ergebnisprsentation),
http://www.iml.fraunhofer.de/content/dam/iml/de/d
document/OE%20150/Flyer1/Ergebniszusammenfa
Ergeb%20LTMStudie%20Fraunhofer%20IML.pdf, access on
2012/06/12
[4] Fraunhofer IML, Unit Repac, IML, Dortmund, 2010
[5] VDA, Recommendation 4500 (Empfehlung 4500),
Verband der Automobilindustrie, Frankfurt, 2006
[6] Rebitzer, G., Integrating Life Cycle Costing and Life
Cycle Assessment for Managing Costs and
Environmental Impacts in Supply Chains, in:
Seuring, S., Goldbach, M. (Editors), Cost
Management in Supply Chains, p. 127-146,
Physica-Verlag Heidelberg New York, 2002
[7] Wildemann, H., Charge Carrier Systems
(Behltersysteme) (2nd Edition), Transfer-Centrum
Mnchen, 1995
[8] Hofmann, E., Bachmann, H., Charge Carrier
Management (Behlter-Management in der Praxis
Die St. Galler Behltermanagement Studie),
Deutscher Verkehrs-Verlag Hamburg, 2006
[9] Ellram, L., Total cost of ownership - An analysis
approach for purchasing, International Journal of
Physical Distribution & Logistics Management,
Vol. 25 No. 8, pp. 4-23, MCB University Press,
1995
[10] Saaty, T. L., How to make a decision: The analytic
hierarchy process, European Journal of Operational
Research 48, S. 9 26, Elsevier B.V., Amsterdam,
1990
[11] Berbig, D., Development of a Comprehensive
Model for Choosing Proper Charge Carriers,
Working Paper
[12] Gudehus, T., Logistics (Logistik : Grundlagen Strategien Anwendungen), Springer Verlag Berlin
Heidelberg New York, 2011
NOMENCLATURE
ch. carr. = charge carrier

TCO = Total cost of ownership
OPO = Overall profit of ownership
TCOj = TCO-value of charge carrier j
OPOj = OPO-value of ch. carr. j
OTQj = Use-cost-ratio of charge carrier j
mB = average stock level
mS = safety stock
mP, N = replenishment quantity
200
RS = stock reach
VEp = daily consumption
mPLT = parts per charge carrier
mLt,Lg = charge carriers per layer
mLg,Pl = layers per pallet
KBs = inventory costs
KBm = operating resources costs
t = review period [d]
WP = price of product []
z = interest on fixed-capital [%/a]
LLE = length of stored unit [mm]
BLE = width of stored unit [mm]
kBm,m,day = storage cost rate [/m*d]
KFl = area and space costs
kFl,m,day = area and space costs rate [/m*d]
KPer = personal expenditures
tin/out = time for storage or retrieval [min]
kPer,h = personal expenditure rate [/h]
KStoring = total costs for storing
tPick = picking time [min]
kBm,Pick,h = operating resource for picking rate [/h]
KPick = total costs for picking
Definition of cycle times for packing in

distribution centers
Judith Weiblen
Research Associate
Karlsruhe Institute of Technology (KIT)
Institute for material handling and logistics
Kathrin Breiner
Master Student
Institute for material handling and logistics
Packing is one of the most important processes in a distribution center

regarding time and costs. Still, there is not much research on packing. For
a proper planning and dimensioning of packing areas, it is necessary to
know how long a certain packing process takes. So far however, no
formula exists to assist planning. To close this research gap, cycle times
for packing are required. In this paper, we present the first steps
performed in order to achieve this goal. We give an overview of relevant
literature and process steps in packing. After that, we show the findings of
a morphological analysis. The resulting morphological box focuses on
technical implementations, which is why we also consider structuring
according to the effort needed. The outcomes will be used in further
research to derive a general mathematical description for cycle times.
Keywords: distribution center, warehouse, shipping, packing, unitization,
shipping container, cycle time
1. INTRODUCTION
Within a supply chain there are many nodes, at

which it is necessary to store goods in different
processing stages. As a first reason for this necessity,
[1] mentions a better possibility to match supply with
costumers demand. Second, he sees the option to
consolidate products for transportation or to provide
customer service.
Those functions usually are performed within a
distribution center, where goods are stored either for the
next production step or for a customer order. Given one
of those events, in a following step those goods are
picked and sent to the next node in varying shipping
container sizes. For example, this might be pallets or
corrugated cardboard boxes. The step of packing the
picked goods is necessary according to [2] to be able to
handle individual products efficiently within the supply
chain.
As a consequence, packing was (cf. [3]) and still is
(cf. figure 1 and [1]) one of the most important
processes regarding costs and time in distribution
centers.
Figure 1. Distribution of working time within distribution

centers (Source: Results of the Warehouse Excellence
Study, IFL as of May 2011, n=21)
Correspondence to: Judith Weiblen, research associate

Institute for material handling and logistics (IFL)
Kaiserstr. 12, 76131 Karlsruhe, Germany
E-mail: weiblen@kit.edu
Furthermore, for the planning and dimensioning of

areas, it is necessary to know how long a certain process
takes (cf. [4] and [5]); particularly with regard to the
fact that costs inside a distribution center are mainly
determined during the design phase (cf. [6]). In material
handling such times for planning are usually referred to
as cycle times. They exist for many processes,
especially for storage and picking (cf. [7, 9, 10]).
For packing however, planning typically depends
solely on the planning staffs experience. Therefore,
many packing areas have workplaces which proved to
be inappropriate for the required amount of packages to
be packed per day. We could identify this within a
research project in distribution centers in Germany and
the Netherlands. Both the lack of cycle times and the
practical relevance of the issue lead to the need to
develop cycle times for packing.
Literature distinguishes mostly between three kinds
of packaging (cf. [11, 12, 13, 14 et al.]): primary
packaging - consumer or sales packaging; secondary
packaging - multi-unit packages of the same product;
and tertiary packaging - transport packaging. Packing in
distribution centers, as described before, fits best into
the last group as the purpose is to handle products
efficiently in order to transport them.
A lot of literature on tertiary packaging focuses on
identical products which need to be packed after the
production process (cf. [15, 16, 17, 18, 19, 20 et al.]). In
distribution centers in contrast usually different products
need to be packed in or on one shipping container.
Literature on packing of shipping containers so far
covers mainly basic definitions of the process and
possible technical implementations (cf. [21, 22, 23, 24,
2 et al.]). But that research is missing the dimensioning
of packing areas.
[12] identify process steps in packing of products
into primary packages. To be able to estimate time
requirements they measure the time for process steps
several times and calculate the mean. As those times are
very specific for the observed packing operations we
201
need to investigate if parts of it can be used for packing

of shipping containers as well.
[25] takes a closer look at the packing process to be
able to calculate process costs. Some specific manual
packing workplaces mainly for product/primary packing
are enquired, also with regard to the time necessary for
packing. Still, some of the ideas can be used to develop
a model for packing of shipping containers as well. For
example, she differentiates calculating depending on the
required effort, which is definitely necessary to be able
to calculate cycle times.
In his work [26] focuses on consolidation systems
and sorters. As part of those systems he also enquiries
packing workplaces as destinations at the end of sorters.
Based on several assumptions he calculates time
requirements for packing to be able to dimension the
sorter and its necessary number of destinations. He
divides the packing time into time requirements for
waiting, packing, traveling as well as base time and time
to finish the packing process. For the waiting time
calculation he uses queuing theory, other parts are partly
assumed or calculated. As this system might be one of
the technical implementations in a distribution center,
we have to consider this approach.
That is why want to create a general mathematical
description for cycle times for packing in distribution
centers. In this article we describe the steps taken so far
in order to derive this description.
arranges the packing material. First, he picks the loading

unit required and usually it is also necessary to prepare
the packaging, e.g. by forming the box.
Now it is possible to actually fill the loading units
with the products. While putting items into the box or
on the pallet, usually it is checked whether the
respective order is complete or if items are missing.
Then filling material is chosen and inserted, if required.
In some cases documents such as invoices or flyers are
included.
The next step depends on the process performed.
Having a small load carrier or for example a pallet box,
it is necessary to close it. Flaps of corrugated board
boxes are usually fixed using tape. For pallets this step
is not necessary, but they need to be secured, either by
using strapping, stretching or shrinking. Strapping, for
example, might be required also for small load carriers,
mainly if they are heavy.
Before providing the packed unit for the following
process, the unit needs to be marked. Usually it is
labeled. Finally, the workplace needs to be ready for the
next order. This step can include the transport of the
unit to a distinct area and the confirmation of the
finished order within the software system.
2. PACKING IN DISTRIBUTION CENTERS
In the following section, the steps taken to reach this

intention are described. It starts with a description of the
processes and their morphological analysis on task
level. As the resulting box focuses on the technical
implementation, the next paragraph shows an effort
driven classification, which is also used for a market
study to identify the most common tasks.
2.1 Process steps
In this subsection, we identify all typical process

steps that are part of packing shipping containers within
a distribution center. The process steps are identified
according to [27, 26, 28et al.].
It is very common in distribution centers that picked
products first need to be consolidated into one small
load carrier, for example a corrugated cardboard box. In
a next step, those boxes are packed into one large load
carrier, which might be a pallet. Often those processes
are separated spatially and are regarded as two separate
packing processes, according to [25]. Therefore, it is
also possible to align several packing processes.
Typically products arrive from one or several
picking areas. They might be provided on trolleys, in
shelves, boxes etc. or, as mentioned earlier, the packing
workplace is a destination of a sorting system. Before
the packing process starts, it might be necessary to
transports items to the packing workplace.
To initialize the packing process, the packer needs to
identify the order, to find out which tasks need to be
performed. Based on the information, he is also able to
choose necessary packing material. After that, he
202
Figure 2. Process steps in packing of shipping containers
Figure 2 summarizes the 14 process steps, some of

which are optional, as described before. For quantifying
the performance, it is also necessary to know how those
steps are performed regarding technique (e.g.
manual/automatic), information (e.g. label/hand written)
and organization (e.g. packer/support).
2.2 Morphological analysis
A morphological analysis was chosen for this

purpose. This analysis gives a holistic view of possible
parameter specifications while, at the same time,
information still is arranged clearly. [29] states that
therefore it is especially useful to analyze complex
problems. The methodology applied to the packing
process was used according to [30].
As result of the holistic approach, we identified 14
morphological boxes with parameter specifications for
every process step. This ends up in almost 4,7*1043
possible combinations. To be able to handle this variety
we synthetized a selection according to the methods of
[31].
Not all process steps are part of every packing
process in distribution centers, as mentioned before. So
we ranked them according to probability of
implementation and concentrated on the frequently used
ones. We reduced the number of options further by
identifying processes with a comparable low effect or

which are very specific for certain packing goods.
In the next step of the methodology, a matrix should
show
dependencies
of
different
parameter
specifications. For packing, there are not many
dependencies. So within this step possible parameters
could not be reduced a lot, which shows again the
variety of packing. Also the variation tree didnt help to
reduce the number of entities.
As a result, figure 3 shows the synthetized
morphological box. Further reductions can only be
made for specific scenarios. The matrix entries focus
mainly on the technical implementation, as this
influences strongly the packing process. This is one
point to consider, while developing a mathematical
description. With regard to the many possible
combinations, another idea is to structure the process
according to the necessary effort, without paying
attention to the technical implementation.
2.3 Identification of tasks
Therefore, we want to focus on possible

combinations of process steps which lead to a different
effort and classify them.
[25] also structured packaging processes according
to the necessary effort to be able to calculate costs. She
distinguished if one or several products need to be
packed. Further she subdivided the category several
products into
Identical products
Transport packages
Different products/same combination
Different products/varying combination
The packing of shipping containers is mainly part of
the last group, as usually customers dont order a single
item or same items only. Further, it is one function of a
warehouse to store a big variety of products and
distribute them according to preferences.
This last group is not subdivided further. In order to
characterize this process more precisely, we identified
twelve tasks (cf. figure 4 and [33]). According to [32] a
task is defined by its particular start and final state.
These start and final states are chosen in a way that the
resulting effort for a task is comparable. Thereby, it is
not focused on the technical implementation used to
reach the final state.
Those tasks describe different processes which will
need a different mathematical calculation, because
different process steps are included. Thus, the effort to
perform them differs. Even while designing the general
mathematical description those cases have to be
considered. They give a hint on what general parts need
to be included within the mathematical description and
whether, for example the duration depends on the
number of items to be packed or on the number of
shipping units.
Figure 4. Identified tasks [33]
Another result of the research project might also

influence the further development of cycle times for
packing. We already know that, according to the market
study (25 distribution centers of different industry
sectors, cf. [33]), the most common task is to pack
articles in small load carriers (cf. P10 figure 4). It is
followed by packing of packing units on pallets (P5)
and into small load carriers (P8). Those tasks sum up to
67,5 % of all tasks performed. Therefore, their modeling
should be considered for verification of the general
mathematical description.
3. CONCLUSION
In this paper, we showed the importance of packing

in distribution centers. We also pointed out that it is
important to dimension and plan such systems
effectively in order to avoid high costs. To be able to
dimension systems it is necessary to have cycle times,
which have not been developed for packing yet.
This paper showed the first steps within the
approach of deriving cycle times for packing. The steps
taken already showed that packing varies a lot regarding
technique, organization and information flow.
Accordingly, it is hard to structure the process
generally. But it is possible to identify tasks, which
allow to group packing according to required effort.
This will not only help identify the general description
of cycle times but also to verify it by refining it for the
most common cases.
Those will also be the next steps: First identifying
the general mathematical description of cycle times for
packing in distribution centers and then modeling the
most common tasks to verify the general mathematical
description.
REFERENCES
[1] Bartholdi III, J. J. and Hackman, S. T.: Warehouse

& distribution science release 0.95, 2011.
[2] Bowersox, D. S., Closs, D. J., and Cooper, M. B.:
Supply Chain Logistics Management, McGrawHill, 2010.
[3] Lange, V.: Integration and Implementation of
reusable transport packaging systems in existing
logistic structures, Logistik fr die Praxis, Verlag
Praxiswissen, 1998.
[4] VDI 3978: Throughput and cycle times for general
cargo in material handling systems, Technical
report, Verein Deutscher Ingenieure, Dsseldorf,
1998.
203
[5] VDI 4418: Automatic warhouses for long- and flat

goods, Technical report, Verein Deutscher
Ingenieure, Dsseldorf, 2000.
[6] Rouwenhorst, B. et al.: Warehouse design and
control: Framework and literature review, European
Journal of Operational Research, Vol. 122, No. 3,
pp. 515-533, 2000.
[7] Lippolt, C. R.: Cycle times for high bay storage
with double-deep storage, PhD thesis, University
Karlsruhe (TH), Karlsruhe, 2003.
[8] Seemller, S.: Throughput calculation for
automatic small parts store considering ecommerce, PhD thesis, Technical University
Mnchen, 2005.
[9] Gudehus, T.: Logistics: basics strategiesimplementations, Springer, Heidelberg, 2011.
[10] ten Hompel, M., Sadowsky, V., and Beck, M.:
Material handling 2 planning and calculation of
picking for logistics, Springer, Heidelberg, 2011.
[11] Livingstone, S. and Sparks, L.: The New German
Packaging Laws: Effects on Firms Exporting to
Germany, International Journal of Physical
Distribution & Logistics Management, Vol. 24, No.
7, pp. 15-25, 1994.
[12] Lee, S. and Lye, S.: Design for manual packaging,
International Journal of Physical Distribution &
Logistics Management, Vol. 33, No. 2, pp. 163189, 2003.
[13] Gustafsson, K., Jnson, G. and Sparks, L.:
Packaging logistics and retailers profitability: an
ikea case study, 2005.
[14] Hellstrm, D. and Saghir, M.: Packaging and
logistics interactions in retail supply chains,
Packaging Technology and Science, Vol. 20, No. 3,
pp 197-216, 2007.
[15] Harsch, W. and Wichmann, A.: Manual packaging
worksystems: guide for planning, Number 3, TV Verlag GmbH, 1990.
[16] Isermann,
H.:
Verpackungsplanung
im
Spannungsfeld zwischen kologischen und
konomischen Anforderungen an die Verpackung,
OR Spectrum, Vol. 13, No. 4, pp. 173-188, 1991.,
10.1007/BF01719393
[17] Brody, A.L. et al.: The Wiley Encyclopeia of
packaging Technology, John Wiley & Sons, 1997.
[18] Kirwan, M. J.: Paper and Paperboard Packaging
Technology, Blackwell Publishing Ltd, 2005.
Figure 3. Morphological box for packing.
204
[19] Chan, F., Chan, H., and Choy, K.: A systematic

approach to manufacturing packaging logistics, The
International Journal of Advanced Manufacturing
Technology, Vol. 29, No. 9-10, pp. 1088-1101,
2006., 10.1007/s00170-005-2609-x
[20] Bleisch, G. and Majschak, J.-P.: Packaging
processes: food, pharma and chemical industry,
Theorie und Praxis, Behr, Hamburg, 2011.
[21] Martin, H.:
Transportation and warehouse
logistics: planning, structure, control and costs of
material handling systems, Vieweg+Teubner GWV
Fachverlage GmbH, Wiesbaden, 2009.
[22] Arnold, D., Isermann, H., Kuhn, A., Tempelmeier,
H., and Furmans, K.: Manual for Logistik, Springer,
2008.
[23] Pfohl, H.-C.: Logistc systems: basics in business
economics, Springer, Heidelberg, 2010.
[24] ten Hompel, M. and Schmidt, T.: Warehouse
Management, Springer, Heidelberg, 2010.
[25] Dzeik, V.: Development of a process cost model to
calculate packaging costs for manual workplaces,
PhD thesis, Technical University Dortmund, 2008.
[26] Radtke, A.: Contribution to optimize operation
strategies for sorting systems, Verlag Praxiswissen,
Dortmund, 2000.
[27] Menk, J.: Contibution to plan quality ensureing
picking systems- a human oriented approach, PhD
thesis, University Dortmund, 1998.
[28] Frazelle, E. H.: Logistics megatrends, Presentation,
Logistics Resources International, 2002.
[29] Schlicksupp, H.: Innovation, creativity and brainstorming, Management-Wissen, Vogel, Wrzburg,
1992.
[30] Zwicky, F.: Discovering, invent, research in a
morphological conception of the world, Droemer
Knaur, Mnchen, 1966.
[31] Meier, M.: Innovation process, learning material,
ETH, Technical University Zrich, 2003.
[32] Wisser, J.: The process storage and picking within
the Distribution Center Reference Model (DCRM),
PhD thesis, University Karlsruhe (TH), 2009.
[33] Weiblen, J., Berbig, D. and Furmans, K.:
Development of a systematic to evaluate packing
areas, EURO XXV conference, Vilnius, 2012.
Ensuring urban supply by enhancing

logistics productivity of large factory
sites
Zoran Miodrag
Research Assistant
TU Dortmund University
Institute of Transport Logistics
Christian Tesch
Research Assistant
Prof. Dr.-Ing. Uwe Clausen

Managing Director
Logistical equipment such as terminals, distribution centers, and

production sites are essential factors in determining the performance,
quality, cost, and carbon emissions of supply-chains and transportation
networks. The main objective of operators is to increase the efficiency of
logistics systems, specifically quantity, speed, and increased quality for the
same amount of resources. Due to the growth in shipment volumes in
recent years, many plants have reached the limits of their capabilities,
leading to bottlenecks in the transport chain. Thus with the development of
Efficiency in Logistics Facilities (ELA), there is great potential for
increasing the efficiency of the processes in the logistic systems and thus
ensuring economic growth.
The primary goal of the collaborative project ELA is to create a software
prototype called EcoSiteManager (ESM). This technology will increase the
amount of information available at logistic facilities including shipments
and their properties in relation to resources and their current status.
Keywords: Logistics Facilities, Efficiency, Mathematical Optimization,
Simulation, Logistics Management
1. INTRODUCTION
Next to Paris and London the Ruhr metropolis is the

third biggest population center in Europe with
approximately 5.2 million inhabitants [1]. With an
accessibility of approximately 20 million people within
a two hours travel the Ruhr metropolis and its adjacent
regions represents a unique consumer region and thus a
center for work and consumption in Germany and in
Europe. Due to its geographical location in Europe the
Ruhr metropolis has a central role in the global goods
stream during the past decades. 20% of the federal
freight haulage is generated in North Rhine-Westphalia
and a majority of it in the metropolis Ruhr [2]. As a
result a high number of logistics facilities established in
the Ruhr metropolis to supply the population in urban
regions and resident enterprises.
However, in recent years the performance and
quality requirements affecting logistic facilities grew
constantly. Resulting from an increase of shipment
quantities many logistics facilities such as terminals,
distribution centers, or production sites reached the limit
of their performance ability and thus become a
bottleneck in supply-chains.
They turn into an endangerment for defined cost and
service goals in superordinate transport, procurement or
distribution nets. Solving the problem by building new
facilities seems to be obvious. Though, additional
surface and financial investments for facility
Correspondence to: Zoran Miodrag, project manager
TU Dortmund University, Institute of Transport Logistics ,
Leonhard-Euler-Strae 2, 44227 Dortmund, Germany
E-mail: ela@itl.tu-dortmund.de
enhancements is not always obtainable. An efficient

operation of existing logistic facilities is essential for the
development of metropolitan regions. Regarding the
economic power and the global commodity flows of the
region and in addition against the tightening of space for
logistic facilities innovative control and steering
mechanisms are needed.
Various unused potentials exist for increasing
efficiency of logistic facilities instead of enhancing
through building operations [3]. For example, processes
and procedures have to be steered intelligently and
indistinct or decentralized information can be made
transparently and available. In order to strengthen the
productivity of logistic facilities (i.e. quantity, speed and
quality by the same amount of resources) first of all the
general survey of existing resources has to be enhanced.
Thereafter, scientific methods can be applied in order to
increase the capacity utilization.
Referring to the operators requirements, the aim of
the collaborative project Efficiency in Logistics
Facilities is to develop a prototypical software socalled EcoSiteManager - ESM. The ESM will be a
suitable modular software tool for the control of large
logistics facilities or factory sites. The development of
the prototype is based on three areas of innovation.
These Innovations are:
unitCV Storing relevant shipment information in
an electronic CV and an IT-platform,
HugO Application of human guided optimization
methods and therefore interactive software and
X-Ray Monitoring functions of all resources within
the system.
To implement these fields of innovation
mathematical optimization and forecast methods are
205
developed and used. This technology will increase the

amount of available information at logistics facilities
including shipments and their properties (e.g. volume,
form, handling requirements) in relation to resources
and their current status (e.g. use of warehouse floor
space). Results will be integrated in an application-GUI
that has intuitive handling and user assistance.
2. THEORETICAL FOUNDATIONS
A logistics facility can be understood as a terminal, a

distribution or a production site [4]. In Fig. 4 relevant
processes of a logistics facility are shown. These
processes span from the loading ramp, shipment
delivery places to the processes inside the transhipment
hall or logistics buildings.
In the following necessary modules are shown to
picture a logistics facility [5]:
Objects can be understood as shipments or
vehicles. It is im portant to describe their
characteristics such as volume, form, arrival plans,
and technical criteria accurately and continuously.
It is obvious to coordinate, plan and steer these
objects optimally and in a transparent way.
Anyhow, transportation characteristics are not
often recorded in an appropriate way.
Resources of a logistic facilities and their current
status such as filling degrees, orders on forklift
trucks and allocation of unloading points have to
be accurately described. Scientific methods, e.g.
mathematical
optimization,
material-flow
simulation or target-oriented key performance
indicator systems have not reached a sufficient
cover in logistics applications. The mentioned
methods are actually inadequatly developed to fit
in logistics applications due to missing real time
data and a missing comprehensive fielding. In
particular, the results are based on hypothetical
conditions of resources.
Human experts decision mechanisms are the
basis for current control and planning mechanisms
for logistics facilities. In practice decisions highly
depend on human experts knowledge and
experience. The mentioned scientific methods are
used rarely or only in sub-sectors like picing.
Especialy a transmission of expert knowledge in
formalized and automated procedures is missing.
Here, a specified software tool is missing. With
such an application of formalized expert
knowledge, logistics facilities can be managed
more efficient and their productivity can be
increased.
To picture such a logistics facility, the infrastructure
and the operating resources has to be visualized in an
approprate way. As shown in figure 5 such an universal
model has been developed. It includes:
Dock (with various possibilities of loading)
Rail handling and loading stations, railway gates
Different types of Warehouses
Conditioning areas (for various branches)
206
Gates and weighting stations.
Furthermore, operational stuff e.g. trucks, forklifts,

or stuff can be modelled. The primary aim is to cover 80
% of common logistics facilities.
The primary aim of the build software prototype is
to improve knowledge in logistics facilities and to
support the dispatcher with a decision support tool. To
fulfill these tasks, the ESM consist of three control
levels:
The first Level is the Management Level. It enables
the human expert to recognize the facilities status at first
sight. Therefore, a Management Cockpit has been
modelled which summarizes the necessary data and
arranges the specified information in an appropriate
way. In Summary, the Management Cockpit contains
aggregated information and is the highest control level
of the EsoSiteManager.
The second level is the Sector Level. It manly
contains a forecast module and offers the possibility to
optimize the sector utilization. Herfore, the sector level
focusses on comparable stations such as weighting or
loading stations.
The thrid and last Level is the Resource Level which
is an operational level. It enables the human expert to
choose or disable specific resources. In addition, the
Dispacher has the chance to allocate transports a higher
priority, to redirect transports or even to close roads.
3. SOLUTION APPROACH
For the sector and resource levels one approach for

the loading point planning has been built as a sub
algorithm. Therefore, different types for dispatching of
incoming vehicles to unloading gates are developed to
reflect usual practice strategies. Figure 1 shows a typical
less-than-truckload facility, which consists of 7
unloading gates, 28 loading areas and 9 forklift trucks
for transshipment. Each forklift truck is configured with
process durations for carrying Stock inside the facility.
A real set of 80 vehicle bringing 1136 pieces has been
used for dynamic data.
Figure 1. Less-than-truckload facility layout
As a first step, each piece of stock has to be carried

from the unloading gates to the unloading buffer by the
truck driver. In the following, transshipment is done by
forklift trucks starting at the buffer, picking up one
piece and driving to the destination area. After that, the
forklift trucks are returning to the unloading buffer. The
forklifts process duration relies on the driving time,
which depends on the specific package destination.
Therefore, the shortest paths have been pre-calculated
by Dijkstra algorithm and stored in a database.
Concerning the truck process on the yard we consider
the duration for registration and waiting time [6] [7].
Efficiency in Logistics Facilities is sponsored by the

Federal Ministry of Education and Research.
ACKNOWLEDGMENT
Figure 2. Schedule of unloading gates
To visualize the calculated schedules Gantt diagrams

are produced. Therefore, seven gates with specified
waiting and unloading durations are shown in figure 2.
Various vehicles bringing time sensitive shipments are
marked in red.
The presented results are parts of the work from the

research project Efficiency in logistic facilities within
the research project EffienzCluster LogistikRuhr
funded by the German Federal Ministry for Science and
Education (BMBF) which takes place in cooperation
with the companies DB Mobility Logistics AG, ESG
Elektoniksystem- und Logistik GmbH, Khne + Nagel
AG & Co. KG, Logwin Solutions Deutschland GmbH,
AMETRAS nobab GmbH and Technische Universitt
Dortmund.
REFERENCES
Figure 3. Schedule of forklift trucks
The corresponding transshipment of packages in the

facility is shown in figure 3. The transshipping duration
differs because of the mentioned distances to the
unloading areas. Time sensitive shipments are marked
in red color.
The tested strategies reflect current operation
methods of dispatching trucks. Whereas the First-ComeFirst-Serve (FCFS) heuristic has no impact on the
incoming order, the second strategy gives unloading
preference to vehicles bringing time sensitive shipments
[8][9].
Both strategies show that the fleet of forklift trucks
needs 92,565 meters for transshipping 1,136 packages.
4. CONCLUSION
With this background, the goal of the project ELA is

to create a software prototype which can be used at
large logistical facilities or production sites by
embedding methods of mathematical optimization,
simulation and forecasting. The ESM will increase the
amount of available information and usable data at
logistic facilities and lead to a better resource utilization
and economic growth. The collaborative project
[1] Wirtschaftsfrderung Metropole Ruhr, 2010.

[2] Statistisches Bundesamt: Verkehr - Verkehr im
berblick, Fachserie 8, Reihe 1.2, Wiesbaden,
2006.
[3] Gbel, M. and Froschmayer, A.: The power of
logistics, Gabler Verla; Springer Fachmedien:
Wiesbaden, 2011.
[4] Pfohl, H.C., Logistiksysteme:
Betriebswirtschaftliche Grundlagen 8th ED.,
Springer: Heidelberg, 2009.
[5] Miodrag, Z.: Efficiency in logistics facilities,
Proceedings of ICLT 2011, Mal, Maledives, 2011.
[6] Arnold, D.: Handbuch Logistik, Springer Verlag,
2008.
[7] Schulz, F., Wagner, D. and Weihe, K.: Dijkstra's
Algorithm On-Line: An Empirical Case Study from
Public Railroad Transport, In Algorithm
Engineering, pp. 110-123, 1999.
[8] Cormen, T., et al.: Algorithmen- eine Einfhrung,
Oldenbourg Wissenschaftsverlag, Mnchen, 2007.
[9] Blazewicz, J., et al.: Handbook on Scheduling,
Springer-Verlag, Berlin, 2007.
Figure 4. Key Processes
207
Figure 5. Modeling a logistic facility
208
Energy Efficiency in Material Flow

Systems (effMFS)
Dr. Norbert Hafner
Ass.-Prof., Deputy head
Institute of Logistics Engineering (ITL)
and Economic Sciences
Graz University of Technology
Dipl.-Ing. Florian Lottersberger

Research Assistant
Institute of Logistics Engineering (ITL)
and Economic Sciences
Automated in-plant Material Flow Systems (MFS) increase in most

industries. Their energy efficiency becomes high important.
After the introduction, we will shortly illustrate the main points of the
research project effMFS founded by Austrian Research Promotion Agency.
In chapter 3 we focus on detailed efficiency studies of different conveyor
types. Results of the first research-year are approved measurement
methods and rated potentials for improvements.
To improve overall MFS energy efficiency, it is necessary to have indicator
standards meeting real life conditions. A discussion of a comprehensive
approach of MFS energy efficiency indicator (EEI) model is focused in
chapter 4, including a specific EEI example for conveyors.
Finally, the conclusion sums up and gives a lookout to further research.
Keywords: Material Flow Systems, Conveyor systems, Energy
Consumption, Energy Efficiency Indicator, Power Measuring Methods
1. INTRODUCTION
Material Flow Systems (MFS) are main components

of most in-plant logistic systems. Automated MFS
increase as well as their energy consumption. Energy
efficiency becomes high important, from point of
economy as well as from the overall goal of
environmental sustainability [1].
Today there are punctual standards and optimization
tasks for efficiency improvements of single elements
specified (e.g. electric drives). However, no standards
for benchmarking energy consumption of MFS, in
relation to characteristic operations, are available. There
are only few optimization tasks for overall MFS
processed in the past.
At the Institute of Logistics Engineering a research
project (titled effMFS) was arranged and started in
March 2011 in close cooperation with the industrial
partner SSI Schfer PEEM GmbH funded by FFG
Austrian Research Promotion Agency.
Figure 1. Schemas of a Material Flow System
Figure 1 basically illustrates aspects of the three

levels of MFS to optimize: Enterprise Resource
Planning (ERP), Manufacturing Execution System
(MES), device/component (field).
Improvements of design (e.g. conveyors) must be
based on verified potentials, extensive pre-studies and
measurement tasks.
In this paper, we present the verified promising
results of the first project year of three. This includes on
one hand investigations of different conveyor designs in

relation to energy efficiency and potentials for
improvements. On the other hand, a conveyor-related
approach for standardized energy efficiency indicators
and methods to determine them has been worked out.
2. OVERVIEW - OVERALL PROJECT
The published research findings about energy

consumption of Material Flow Systems (MFS) and their
efficiency most times focus on transportation problems.
In general, these results are not portable to intra-logistic
systems.
There are no standards available to calculate or
measure characteristic energy efficiency indicators for
MFS. The available standard methods for determining
losses and efficiency meet only single components like
electric drives (EN 60034).
The research project focuses on two main areas of
interest. First focal point is the overall optimization
approach for automated MFS. This includes electric
drive technology, detailed designs of drivetrain and
mechanical conveyor-systems as well as control and
operation strategies to improve energy efficiency.
Second core area is the design of a standardized and
generalized model of characteristic values to get the
ability to compare energy efficiency of MFS
independent from manufacturers and technical
solutions. Optimized energy efficiency of MFS becomes
possible if efficiency factors in relation to current
orders, loads and modes of operation are available. The
specific power consumption at nominal system
performance (payload, throughput ) is no sufficient
indicator.
The project effMFS is divided into six work
packages (WP) as follows for a period of 36 month.
WP1 and WP2 include extensive pre-studies of state
of the art and an overall roadmap for a successful
settlement of the project.
WP3 and WP4 handle approach and development of
well-structured model of energy indicators (devices and
209
processes) as well as efficiency investigations of

conveyor systems.
Strategic operation and control arrangements to
increase efficiency will be processed in WP5.
WP6 will include realizations and validations of
specific improvements (e.g. drive train, modes of
operation) and tasks to discuss the elaborated overall
standardized efficiency indicator-model and calculation
methods within the scientific and industrial community.
3. ENERGIE EFFICIENCY OF CONVEYOR SYSTEMS
Conveyor technology forms a widely spread

standard element of intra-logistic systems for many
years. Indeed, investigations were hardly done under the
aspect of an increase of energy efficiency up to now.
The characteristic actual energy consumption of these
facilities is often unknown.
This main chapter illustrates the potentials and
possibilities for increasing energy efficiency of
conveyors. The project effMFS covers three different
types of conveyors for standard boxes or trays with a
payload up to 50kg. Results of two types of roller
conveyor are detailed shown; one operated by drum
motors; the other by an internal flat belt and one central
motor.
optimization potentials exists, by the basic decision of

the conveyor design and by improvements of the carried
out specific component-losses of the conveyor-types.
Figures 3 and 4 show two test rigs, both in a circular
layout. Each rig is buildup of two identical conveyors
and two auxiliary transfer units. There is the ability for
multi measurement cycles fulfilled to improve the
reliability of the results. Both conveyor types are able to
convey without traffic jam, because of the possibility
to stop the boxes on the track.
First conveyor test rig is installed with several drum
motors (RC-DM), one for each section (figure 3). The
power unit processes 24VDC.
The other test rig (figure 4) is buildup of conveyors
operated by one asynchronous gear motor and one
internal flat belt system (RC-FB) for all sections.
3.1 Conveyor systems and investigations
A look to the detailed conveyor designs shows a

complex
optimization
problem.
The
energy
consumption of electronics (system power-supply,
power converters, controllers), motors, drivetraincomponents and the specific conveying elements itself
must be considered. The mechanical components are
buildup of many pulleys, tensioning devices and
different flat and multi-ribbed belts (poly-V) for power
transmission. Figure 2 shows general schemas of
conveyors; a block diagram of the basic elements and a
layout of a possible drivetrain.
Figure 3. Roller conveyor - drum motors (RC-DM)
Figure 4. Roller conveyor flat belt operated (RC-FB)
3.2 Detailed design of experiments

power
converter
motor
drivetrain
conveying
units
Figure 2. Schemas of roller conveyors
No information of the losses of the single

components of the conveyors exists. First investigations
focus on the share and range of these single losses.
Later for the efficiency indicators relations to the
single load, number of units and velocity must be
considered.
For that purpose, three test stands were installed at
the Institute of Logistics Engineering. In general
210
To be able to determine the specific potentials for

conveyor design based improvements of energy
efficiency all part losses have to be measured.
Therefore, in a first task useful breakpoints were
specified to separate the main assemblies.
To get results for interesting subunits and single
elements, strip-down procedures are specified in a
second task. The Strip-Down method is based on a
successive following measuring series. Element by
element is successively removed from the total unit. The
losses of the elements can then be calculated from the
comparative measuring results.
Examples therefore, roller section by roller section
as well as single rollers and poly-V-belts for the
transmission from roller to roller within one roller
section.
Figure 5 shows the construction of the flat belt

operated conveyor unit.
Figure 5. Layout of the flat belt operated conveyor

Figure 7. Measurement setups for mechanical power
Figure 6. Schematic buildup and measuring points (RC-FB)
Figure 6 illustrates the schema of the specified

measuring points (MP) and the strip-down tasks. This
was processed in three different levels of detail. That
allows a structured identification of all relevant losses,
related to the basic assemblies (figure 2) or to single
components. Partial losses of single components could
be determined by means of theoretical investigations,
literature studies or additional test stands if necessary.
More details of the measuring tasks (strip-down) for
both conveyor systems are carried out at the results.
3.3 Detailed discussion of measurement tasks
This subchapter deals with the specific measurement

demands, devices and tasks.
Three sections follow focusing mechanical and
electrical power measurement problems and realizations
as well as a detailed discussion of the processed
measuring series.
The mechanical power (figure 6, MP2) is
determined with two different methods, both using the
measured variables torque and angular speed.
On one hand, the torque is directly measured using
an industrial torque transducer (M) (figure 7, right), on
the other hand, the torque is determined via a
combination of industrial force transducer and specific
designed torque compensator (Fr) (figure 7, left).
The angular speed () information is provided in
both cases by a standard speed-indicator.
These two setups are necessary to fit the different
geometric boundary conditions of the test benches. An
additional benefit is the possibility to validate all the
involved components of the measuring chains (HW and
SW). Meeting the specified measuring points (figure 6,
MP2), for mechanical power, reconstructions at the
conveyors had been designed and realized.
Electrical power measurement (figure 6, MP1)

includes high sophisticated demands depending on the
realized power converter and motor installation.
The accurate determination of the electric power
consumption could require very high sample rates for
the data acquisition. There is the need to oversample all
relevant frequencies (voltage and current) and calculate
their share of power based on Fourier analysis.
Frequency converters have switching frequencies of
e.g. 16 kHz. The high harmonics of the signal can form
a substantial share of the total electrical power in the
system. For the power calculation, all relevant
harmonics of the signals have to be considered as
particularly root-mean-square (RMS) values. The
calculated values must be arithmetic average values
(means) over several periods (times of oscillations).
A similar measuring problem is given in the VDI
4707 Lifts energy efficiency [2], where demands for
the power measuring instruments are prescribed:
- Determination of 3-phase RMS power with a
minimum of three values per second
- Consideration of harmonics caused by voltage of
frequency converters
- Sufficient measuring range for acceleration and
standby
- The RMS values must be processed while continuous
data acquisition
- Recovered energy must be considered
The measurement equipment in use is an IPCbased universal measuring system from Dewetron. It is
perfectly suited for high-end flexible instrumentation,
equipable with up to 16 modules. The current used
configuration includes three high-voltage channels as
well as three low-voltage modules extended with
current clamps. The system allows sample rates up to
500 kS/s.
In addition, for the determination of the mechanical
power other low-voltage channels are arranged (force,
torque, speed).
For data recording, visualization as well as power
calculation and data analysis the appropriate measuring
software DeweSoft is in use.
Test sequences are carried out based on the
specified test- and measuring plan. It is necessary to
meet most representing cycles.
The actual load of the whole conveyor is depending
on the throughput () in general. The considered
specific parameters are the number of boxes (#), the
current load (m) of the boxes as well as the conveyor
velocity (v).
There is no clear definition available for the test
cycles. Anyway, they must be specified considering the
actual conveyor properties.
211
Both focused conveyors operate with fixed speed.

Therefore, the available parameters to adjust throughput
() are number (#) and the load (m) of the boxes. The
following table shows the structure of test sequences.
Selected table elements in brackets (x) means that not
all subtests are applicable.
Table 1. Structure of test sequence for parameters #, m
Number of
boxes (#)
Load (%) of boxes (payload 50 kg)
0%
(x)
50%
(x)
100%
(x)
(x)
(x)
(x)
Data processing and interpretation is still a

sophisticated task independent from the powerful test
equipment. The reasons are the dynamic behavior of
the total test benches. It is caused on one hand by stop
and go operation on the other hand by the sub sequences
of incoming and outgoing boxes at the conveyor
sections. Other problems and limits are based on the
strip-down aspects. Accordingly, there are high numbers
of measurement and analysis tasks to carry out accurate
cluster of values.
Figure 9. Power losses of RC-DM (load 25kg)
It is obvious, that 27% of the total electrical input is

necessary to run the power supply and the control unit
(electronically converters AC/DC and DC/DC). The rest
of the input power (73%) is used to operate the
conveying group of four segments. So, 18,3% is the
share of one segment incl. the transportation of the load.
The drum motor itself requests 4,8% of.
As a specific result of the strip-down measurement
procedure the share of the single rollers (including polyV-belt) could be evaluated.
3.4 Power losses of conveyors detailed results
As mentioned before, in focus of the investigations

of the first project year were two roller conveyors of
three. The detailed investigation of the belt conveyor
will follow in the second project year.
Roller conveyor operated by drum motors (RC-DM)
Meeting the basic structure of conveyor systems
(figure 2) the RC-DM consists of the main components
as shown in figure 8. The figure also illustrates the
specific strip-down procedure as mentioned in chapter
3.2 in general. Each conveying segment is powered by
one drum motor and includes 5-7 driven rollers. A
cluster of drum motors (segments) is powered by one
common control-unit. The power supply is realized as
an AC/DC converter.
Figure 10. Power consumption of roller elements
The range of the needed power for a single roller is

the one-digit watt range. It is obvious, that there is a
linear dependence of power consumption between the
numbers of driven rollers. Figure 10 spreads the results
normalized to the value of the drum motor. The absolute
values are private.
Roller conveyor - internal flat belt system (RC-FB)
Figure 11 illustrates the layout of the RC-FB
consisting of the subunits: gear-motor, drivetrain (flat
belt system) and the conveying roller sections. Based on
the single speed operation there is no power supply unit
to consider. In opposite to the RC-DM only a simple
contactor is in use.
Figure 8. Schematic representation of RC-DM
The results of the investigations as discussed in

chapter 3.2 are illustrated in figure 9. The quantified
relative power losses of the components and some
elements are figured out for a load of 25kg.
212
Figure 11. Schematic representation of RC-FB
Carrying out the adequate test sequences give the

results for the RC-FB related Sankey-diagram of power
losses (figure 12, load 25kg).
Figure 12. Power losses of RC-FB (load 25kg)
Results show that the used gear motor has a very bad
overall efficiency. Depending on the load, there is an
efficiency of 20-42%.
On one hand, this can be explained by the low
efficiency of the worm drive of approx. 0,7-0,8 [3],
which is part of the gear motor. On the other hand, the
asynchronous motor runs far below his nominal load,
which means far outside his optimum efficiency range.
Here, the fact comes up that asynchronous motors of
smaller nominal power have a lower efficiency ( =
f(Pn)) [4] than motors of higher nominal power.
Figure 14. Life cycle costs for different motor types [4]
It is to aim to replace existing drives with new highefficiency-drives. Additional discussions have to
consider saving potentials in relation to optimized
controlled operation modes. Application of frequency
converters e.g. supports optimized speed, considering
the current throughput-needs.
Clear energy-efficiency ratings in general need
benchmark and indicator specifications, which are
currently not available compare [6]. That is another
heavy work package of the research project effMFS.
Next chapter illustrates an overall draft and some
specifics for energy-efficiency-indicators of conveyors.
4. ENERGY EFFICIENCY INDICATORS (EEI)
Figure 13. Efficiency of asynchronous motors [4]
In addition, we recognize an oversizing of the gear

motor at the RC-FB test rig.
We find a similar situation at the RC-DM system for
power supply and control units. Their efficiency
depends on nominal power range and current load too.
3.5 Scientific findings
The carried out expertise (figures 9, 12, 13) indicates

the saving potentials in context of construction units.
Analyzing the results with a focus on the just abovementioned RC-FB facts important findings are as
follows. Of course, the motor sizing is to discuss under
consideration of overall aspects. That means e.g. one
motor-unit for a group of applications and system
variants.
Figure 14 shows the share of life cycle costs of
small-sized standard asynchronous motors in
comparison to synchronous motors [5]. The figure does
not include converters and gearboxes. Nevertheless, it is
clearly recognizable that the predominant share of the
costs of drives results for energy.
A consequent consideration of share of lifecycle
costs should affect future decisions about drive-system
realizations. However, alternative drive technologies
cause higher investment but should safe money in short
time. An ROI calculation could be done for specific
systems only.
Energy efficiency is an increasing hot topic in

general and in in-plant MFS too [1], as mentioned in the
introduction. However, the provided information
concerning energy efficiency and possible savings are
not usable (insufficient statements). It is unknown how
and under which conditions the respective MFS
manufacturers determine their information of energy
consumption or savings. This leads to an uncertainty in
industry as well as by customers and manufacturers.
Soon it could be necessary for manufacturers to join
the trend: What is about the energy efficiency and the
depending lifecycle costs? Due to the fact of missing
standards in determination of energy savings, proposed
information about the increase of the energy efficiency
currently cannot be compared.
One
important
precondition
to
establish
improvements (technology and sales) is the ability to
compare performance under clear condition. Thus,
demands a standardized rating system fulfilling overall
requirements of the problem in focus. There is the need
to establish comprehensive models of energy efficiency
indicators (EEI) for material flow systems (MFS). That
has to include methods for calculation and measuring
too.
Each standardized EEI-model has to be based on
system requirements independent from used technology,
actually deployed MFS and manufacturers.
The comprehensive approach of EEI-model was
developed under consideration of classified system
levels of material flow systems (MFS). Represented are
different degrees of complexity of intra-logistic systems
as well as depth of details in focus.
213
Energy efficiency indicator models for process level

(EEI_Process) have to consider process specific
requirements and operation cycles. The calculation has
been based on the determined EEI of included devices.
The approach of process level model is currently under
construction and therefore not addressed.
5. CONCLUSION
Figure 15. Levels of MFS and EEI
Our approach specifies three levels of MFS as

shown in figure 15. The level structure is similar to the
common levels of system automation: Enterprise
Resource Planning (ERP), Manufacturing Execution
System (MES) and Device/Unit. A conveyor system is
an example for the device level. The process level
includes groups of devices of the same or of more than
one types, e.g. conveyor plus automated warehouse
systems plus order picking units of a distribution center.
The plant level represents the overall facilities at the
location but will not be addressed in this project.
At device level, the actual physical technology,
components and elements of devices must be
investigated to calculate EEI, e.g. conveyor systems,
sorters, automatic storage and retrieval systems, etc.
A standardized representative operation cycle
(ROC) is an important part of each EEI model. Figure
16 illustrates an example. ROC must be specified on
common requirements of the type of addressed
devices/processes. A single evaluation at nominal
load/operation is never adequate for real life conditions.
So, energy efficiency indicators are introduced under
consideration of general energy efficiency definition,
according to EU-directive 2006/32/EC [7].
Figure 16. Example - representative operation cycle (ROC)
Several approaches are already under discussion and

validation. An EEI example is described as follows.
Example EEI_conveyor: The specification leads to
the equation based on the definition as follows.
Definition: Energy consumption (E) of conveyors (C)
for one load unit (LU) for a distance of one meter (s).
The related ROC is roughly illustrated in figure 16.
214
The results of the first of three effMFS project

years show great promise.
The carried out power consumption details, of both
investigated conveyors (RC-DM, RC-FB), give clear
information about the saving potentials (figure 9 and
12). Higher investment affected by design decisions for
more efficient components (e.g. gear motors) could be
recovered soon (figure 13 and 14). A comparison with a
third common conveyor type (belt conveyor) will
follow. Further project tasks will include realizations of
improvements with high efficiency potentials too, in
relation to specific conveyor types.
A systematic approach for an energy efficiency
indicator model (EEI-model) is carried out, classified
for device and process level of MFS (figure 15). First
device EEI (for conveyors) are specified as well as the
needed representative operation cycles (ROC, figure
16). The specification of a comprehensive EEI-model
for typical overall MFS will be in focus for the next
months. That has to include subtask dialing with clear
boundary conditions, standardized ROC and measuring
as well as calculation methods.
We would be glad about any feedback!
REFERENCES
[1] Gnthner W. (2009): Change to Green, Wege zu

einer energieeffizienten Logistik (en: ways to
energy efficiency in logistics); 1. Symposium
Energieeffizienz
und
Klimawandel
C.L.I.M.A.T.E. 2009, Mnchen

[2] VDI 4707 Part 1 dt/en: Lifts - Energy Efficiency;
VDI-Handbuch Technische Gebudeausrstung,
Band 5: Aufzugstechnik, 2009-03
[3] Niemann, G., Winter, H.: Maschinenelemente,
Band 3 (en: basic machine elements, volume 3);
Springer, 2. Auflage, S. 81, 2004.
[4] Burt, M., Piao, X., et al.: Electric Motor Efficiency
under Variable Frequencies and Loads, Journal of
Irrigation and Drainage Engineering, ASCE, pp.
129-136, March/April 2008.
[5] N.N.: Asynchron- oder Synchrontechnik: Wer
arbeitet energieeffizienter? (en: Asynchronous or
synchronous technology: Which is more efficient?);
Fachzeitschrift Konstruktion, Springer VDI-Verlag,
Vol. 10, pp. 36-38., 2011.
[6] DIN prEN 16231: Energy efficiency benchmarking
methodology; 2011
[7] European Parliament and the Council: Directive
2006/32/EC, energy end-use efficiency and energy
services and repealing; Official Journal of the
European Union, L 114/64ff, April 2006.
Miel Radosavac
Research Associate
Tobias Krhn
Research Associate
Ludger Overmeyer
Affiliatiate Professor
Scalable Cognitive Conveyor for

Material Handling
Due to dynamically changing conditions such as shorter innovation cycles
and an increased number of product variants, future material flow systems
have to be characterized by increased flexibility and adaptivity. In this
work a novel scalable cognitive conveyor with integrated intelligence is
presented. By using standardized and interchangeable modules, each
equipped with intelligence, an increased flexibility in configuring
warehousing systems is achieved. Besides transportation, the conveyor can
perform tasks such as sorting, buffering or sequencing goods.
Keywords: Cognitive Conveyor, Warehousing, Routing, Decentralized
Control
1. INTRODUCTION
Changing requirements in production and logistics

such as shorter innovation cycles, the trend to mass
customization and an increasing number of product
variants lead to a challenge within production industry
[1]. Due to dynamically changing conditions future
material flow systems have to be characterized by increased flexibility and adaptivity [1, 2].
Nowadays material handling systems in warehousing applications have to transport units, which can differ
from not packed parts up to large boxes. The design of
material flow systems follows a hierarchical structure
and is individually customized for the specific application scenario. From the mechanical point of view, the
material flow is given by the application. Elementary
logistic events such as distribution, discharge or sequencing are locally defined on the route. Such elementary functionalities are designed for the largest transport
unit, which has to be transported. As consequence,
transporting smaller sized goods results to inefficient
power consumption.
Changing requirements in production and logistics
can lead to different needs for the material handling
system such as e.g. route changes or discharge instead
of inward transfer. Due to the fixed design of the system, changes towards the route topology require special
effort. Especially aspects such as re-cabling and reprogramming of the material handling system are time
and cost consuming.
Within the research project CogniLog (Cognitive
Logistic Networks) in this work a novel scalable cognitive conveyor as modular material flow system is discussed [3]. By using small conveyor modules, which are
identical in construction, the overall flexibility can be
increased due to the interchangeability. The following
figure shows the principle of the proposed flexible material flow system from the top-view.
Every module, which has smaller geometrical dimensions concerning the bearing area than the transport
unit, can perform transport operations in different kind
of directions. Figure 1 shows exemplary a possible
shape of the Cognitive Conveyor with its principle.
Figure 1. Principle of the Cognitive Conveyor
In the shown example, a packet is placed on the

Cognitive Conveyor, which itself consists of a combination of single conveyor modules. Dependent on its destination the packet is routed over the shaded conveyor
modules in figure 1 to the designated output area. During the transportation process, different operations such
as distributing, piling-up, merging, separating, sorting,
aligning, transporting, rotating or buffering can be performed. Figure 2 gives an overview of the elementary
logistic operations which can be performed by the Cognitive Conveyor.
Figure 2. Elementary logistic operations
Whereas for conventional conveyors only few elementary logistic operations are possible, the Cognitive
Conveyor allows thanks to its unidirectional functionali215
ty and individual operation of the single modules, a

wide range of logistic operations. In contrast to larger
modules, higher throughput rate and sorting performance are feasible, because the gap between single
transport units can be minimized during the transportation process. The combination of single modules to a
matrix enables a wide area of positions to perform actions such as sorting, discharging or others given in
figure 2. The combination of single modules to a matrix
finally leads to functional emergence, because of the
increase of functionality, which can be achieved by the
combination of modules.
The transportation task as well as its complexity
herein is not controlled by a central system. Furthermore, the task is distributed to the conveyor modules,
which are equipped with an intelligent embedded controller. The overall material flow is organized and controlled in the cross-linked infrastructure by the network
of modules. In contrast to centrally organized control
structures, the self-controlled modules quickly can
process unforeseen events such as local disturbances or
changing destinations. Furthermore, the whole system
stability can be improved, because in contrast to centrally controlled structures the failure of a single module
does not lead to a complete system failure.
2. PROTOTYPICAL DESIGN OF THE COGNITIVE
CONVEYOR
In previous research activities a modular conveyor,

based on rotatable driven rolls was built up [4]. As further development an alternative drive principle for the
conveyor is proposed in this work. Similar to the axial
piston pump principle a rotatable and tilting disc is used
to convey goods. Figure 3 shows the drive assembly
design of a single module of the Cognitive Conveyor.
Disc
(tilting)
Sensor
(optical)
The main drive rotates the disc around the middle

axis. Hence, an object placed on the disc is diverted to a
specific direction. The second drive adjusts the tilting
angle so that every possible direction can be set. The
combination of several drives side by side to a matrix
allows the transportation of transport units and the execution of different elementary logistic operations as
shown in figure 2. As a matter of course, the dimension
of the matrix is dependent on the largest to be conveyed
transport unit.
On the top of each module, an optical sensor detects
whether an object is placed above. This feature makes
sure that only required modules are used so that the
drive for the other modules can be switched off. Thus,
electrical energy can be saved. Another advantage is the
possibility to automatically detect the transport unit
dimensions, dependent on the occupied optical sensors.
This information is an essential input for the routing
algorithm, which is subject of the third section.
As communication interface, an illuminating diode
for sending and a photodiode for receiving data are
embedded in the body case (figure 4). In contrast to
cable-based communication the time from installation to
operation can be reduced as well as the time for reconfiguration. The circuit for the photodiode is based on a
transimpedance amplifier. Thereby bit-rates of up to
1 Mbit/s for the data communication can be achieved.
Through the possibility of free arrangement of single
modules to a matrix, each of the four sides of a module
has to be equipped with a separate communication interface. Thereby, to ensure proper communication, mechanical connectors limit the distance between two
modules.
Mechanical
Connector
Communication
Interface
Tilting
Drive
Drive
Base
plate
Figure 4. Prototype of the Cognitive Conveyor
Figure 3. Drive assembly in a single module of the

Cognitive Conveyor
In contrast to the rolls based prototype [4], the tilting

drive principle consists of two separated single drives,
which are connected along a common axis to a tilting
disc. Through the coaxial alignment of the drives, the
required space for the mechanical and electrical components can be reduced to the required minimum.
216
The mechanical connectors also are responsible for

the geometrical alignment of several modules, which
can be combined to a customized shaped matrix. All
modules are mounted on a common base plate and can
subsequently be integrated in existing material flow
systems. In case of malfunction, for example another
module can quickly replace the faulty module.
For the electrical supply of the components with
24 V DC, on the one side, the module is plugged
through a connector over the base plate to the positive
terminal. On the other side, the negative terminal is
provided through the electrical conductive body case of

the modules. For that purpose, contact plugs are
mounted on the body case. The following figure gives
an overview of the power supply concept.
Figure 6. Routing with conventional algorithms fails due to

physical width of transport units
Figure 5. Power supply concept
Finally, the control unit to process and execute information is located in the lower part of the module,
surrounded by the body case. All module components
are connected to the respective circuit board with a
microcontroller. Therein tasks like motor control, communication with other modules, sensor detection and
application of the routing algorithm (section 3) are
planned and processed. Thus, the flexibility and the
modular concept of the single module are underlined.
3. ROUTING
To give an example for the decentralized control of

the proposed conveyor system, this section will explain
the developed routing algorithm. Known routing algorithms with a huge variety of metrics for transport and
communication systems are designed to transport a
packet from one node to another; the packets only occupy one node at a time [5, 6]. Algorithms for smallscaled modules have to work in a completely different
way. Transport units have a fixed shape and always
cover multiple modules at a time, which has wideranging consequences. For instance, it is possible that a
route from one location to another exists, but it is too
narrow for the transport unit to pass (Figure 6). Another
possibility is that two transport units run into a deadlock
on an intersection. Moreover, in narrow parts of the
conveyor, the rotation of the transport unit is reasonable.
Furthermore, multiple modules have to act in a
coordinated and synchronous way to move the transport
unit located on them. The transport units movement is a
result of multiple forces affecting it. The movement
depends on physical constraints such as its mass centre,
size, friction and system boundaries. The enumerated
factors are outside the scope of common routing algorithms.
For the Cognitive Conveyor, a distance vector

routing metric with split-horizon and temporarily locked
dependencies is used, which is proven to be loop-free
and quickly converging [7]. The cost function considers
other routes in the system, the transport unit dimensions,
necessary rotations and the physical system boundaries.
Of importance is the constraint that the span of two
reserved routes running in opposite directions must not
overlap. The metric value M of a module is given by:
,
,
,
With
depends on the distance of the module to the

system boundary.
are the costs for rotating the transport unit if
necessary.
is the metric value of the best neighbor.
is the transport cost to move a transport unit by
one module in the direction of an existing route.
is the transport cost to move a transport unit by
one module against the direction of an existing
route.
routing costs only based on the physical distance of
one module to another.
The quotient of M /M defines the maximum detour a planned route will accept, before the system tries
to plan a route conflicting with an existing route. This
may result in a situation where the existing route will be
re-planned. If this is not desired, the value of M /M
must be larger than the longest route in the system. The
determination of the specific values is an optimization
problem and depends on the desired system behavior.
Routes that are near to each other and run in the
same direction are combined to save system resources.
The quotient M /M defines what near means in that
case, because the routing costs along existing routes are
smaller than on free modules. The larger the quotient,
the more the system tries to sum up routes in larger
areas.
Every time a module changes its metric value, the
neighbors are informed and hence update their metric.
Thus, each time a transport unit is inserted into the system and a new route is planned, the metric values of the
modules may change.
217
The route reservation starts after a transport unit enters the Cognitive Conveyor. An arbitrary module beneath the transport unit starts the reservation and informs the neighbor with the best metric, so that it must
continue the route planning. That neighbor in turn informs its neighbor with the best metric and so on.
Hence, a route reservation runs from the transport unit
to the destination. Each route segment starts with the
state planned. After the route reaches the destination,
the target module confirms the route. This confirmation
propagates the route backwards and changes the state of
each module from planned to reserved. After the whole
route is reserved, the transport unit starts moving
through the system. Before a route segment changes its
state from planned to reserved, the following conditions
must be met:
The further processing of the transport unit is encapsulated and completely hidden to the environment.
The span of the route must not overlap with

another reserved route.
The physical system boundary leaves enough
space for the transport unit.
The route segment still has an incoming route
segment.
The route segment is not located on an
intersection, which is currently occupied.
Figure 7 shows an example of a planned and reserved route and illustrates the resulting metric gradient
field. Each square represents a small-scaled conveyor
module. Route A runs from a transport unit source to
the destination A. The second route B is planned from
another source to destination B. The figure 7a) shows
the metric for destination A for each module as a color
value. The better the metric for a module, the brighter is
the color. Figure 7b) shows the corresponding gradient
for each module. The gradient points in the direction in
which a new route would be planned.
In figure 7b) an area is marked, in which the gradient does not point in the shortest direction. As explained above, the metric considers other planned routes
in the system. Thus, the metric has to plan a detour to
solve the potential routing conflict. This example illustrates that the solving of routing conflicts is possible
with a fully decentralized control.
A major purpose of the Cognitive Conveyor is the
efficient use of transportation resources. Hence, the
planned routes are fitted to the transport units dimensions. For small transport units, narrow routes are
planned. This claims less space on the module matrix
and thus demands less system resources.
An existing route may be re-planned with one constraint: After a route was confirmed and the transport
unit starts moving, it must be ensured that a reserved
and confirmed route always exists. Thus, if an alternative route is planned, the existing route can only be
cancelled if the alternative route is already confirmed.
As explained above, the Cognitive Conveyor can
transport any information attached to the transport unit
and thus provides a good service to the surrounding
system. On the other hand, the conveyor needs only
sparse information to fulfill its task: When the surrounding system inserts a transport unit into the conveyor,
only a unique identifier and the destination is required.
218
Figure 7. Two planned routes affect the routing metric for

destination A.
4. APPLICATION SCENARIO
For the evaluation of the Cognitive Conveyor a

cross-docking scenario is discussed as an application
scenario. The proposed scenario is characterized by
handling of transport units at a dispatching point. Usual
operators of cross-docking centers are for example parcel service providers, freight forwarding companies or
large retail store chains. The cross-docking strategy is a
mixture between supply using temporary store and direct supply without any store so that both advantages
can be combined.
In our proposed scenario units that consist of several
packages are delivered to given pickup points, which
itself are equipped with RFID technology. Dependent
on the target information saved on a RFID tag, a trans-
portation request is submitted to a suitable forklift truck.

The selection process for the appropriate discontinuous
ground conveyor follows a reinforcement learning method [8, 9], which is also a research topic at the Institute
of Transport and Automation Technology. After picking
up, the unit is transferred to the pickup area of the conveyor system on which the sorting process of the single
packages can be started.
The conveyor system is currently being manufactured and consists of belt conveyors, belt curve conveyors and two combined pickup and delivery areas.
Figure 8 gives an overview concerning the relevant
elements.
Figure 8. Design of the application scenario
After delivery, the packages are identified by RFID

technology at the delivery point and then manually
inserted into the conveyor system. Therein the presented
Cognitive Conveyor, which consists of 36 modules, is
an essential component. Besides merging and diverting,
all other elementary logistic operations can be performed in that area.
On the one hand, existing conveyor systems are to
be compared to the Cognitive Conveyor regarding aspects such as performance and flexibility for various
scenarios under different workload situations. On the
other hand an important evaluation topic is the application of suitable routing algorithms. In case of several
transport units being placed on the Cognitive Conveyor,
the routing algorithm has to determine a suitable way
for routing the transport units without collision. Furthermore, the aspect of rearranging the modules for
reconfiguration purposes is being tested.
Through the cable-based control and light barriers,
which are installed at the begin and the end of each
conveyor element (not shown in figure 8), it is possible
to determine the location of every package at any time.
This feature can be used for tracking purposes. The
wireless communication at the pickup and delivery area
and the forklift trucks is for the coordination between
continuous and discontinuous ground conveyors.
When the sorting process is completed, the packages
are routed to a delivery area and merged to a single unit,
which can afterwards be transported by a forklift truck
to a destination point.
5. CONCLUSION
The subject of the presented work was the development of a scalable Cognitive Conveyor for material
handling purposes. For increasing the overall flexibility
of a material handling system, small modules are used
that are identical in construction and therefore interchangeable. The modules have a smaller geometrical
dimension concerning the bearing area than the transport unit, which has to be transported. Moreover, transportation in every possible direction is possible. The
combination of several modules allows the execution of
different logistic operations like distributing, piling-up,
merging, separating, sorting, aligning, transporting,
rotating or buffering. By comparison with centrally
controlled architectures, the whole transportation task is
distributed to single conveyor modules, which are
equipped with an intelligent embedded controller.
To prove the functionality a prototypical model
based on a drive with a rotatable and tilting disc was
built up. Elementary components of the modules are:
the optical sensor to detect objects, the communication
interface for data transfer between single modules, the
mechanical connectors for the proper geometrical
alignment, the electrical supply through the base plate,
the body case and the control unit, which is responsible
for data processing and executing.
Due to the different possible logistic operations,
which can be performed, an appropriate algorithm for
routing is necessary. Known routing algorithms focus
on packets, which only occupy one node at a time. As
consequence an algorithm for the Cognitive Conveyor
was developed, which uses a distance vector routing
metric with split-horizon and temporarily locked dependencies. This method is proven to be loop-free and
quickly converging.
For the evaluation of the Cognitive Conveyor currently an application scenario that is characterized by
handling transport units, is being built up within the
research project CogniLog (Cognitive Logistic Networks) in cooperation with different industrial partners.
Therein the Cognitive Conveyor is integrated in a conveyor system. Evaluation criteria will be the comparison
of aspects like throughput, routing, reaction and reconfiguration.
Aim of our future research is the validation of the
presented conveyor in a real scenario under real conditions. Therein, the functionality of the routing algorithms and the steadiness of the conveyor are an important aspect. Another scope is the appropriate design of
whole conveyor systems, because the use of the Cognitive Conveyor only makes sense in specific areas, the
so-called highly functional logistic nodes, where additional logistic functions are required.
ACKNOWLEDGMENT
This contribution was supported by the German federal state of Lower Saxony with funds of the European
Regional Development Fund (ERDF) within the scope
of the research project Cognitive Logistic Networks
(CogniLog).
219

REFERENCES
[1] Gnthner, W., Hompel, M.: Internet der Dinge in

der Logistik, Springer Verlag, 2010.
[2] Cox, W.M., Alm, R.: The Right Stuff: Americas
Move to Mass Customization, Federal Reserve
Bank of Dallas, Annual Report, 1998.
[3] Overmeyer, L., Krhn, T., Ventz, K., Falkenberg,
S.: Interfaced multidirectional small-scaled
modules for intralogistics operations, Logistic
Research, Springer Berlin/Heidelberg, Vol. 2, No.
3-4, pp. 123-133, 2010.
[4] Krhn, T., Heiserich, G., Overmeyer, L.:
Modellierung
und
Steuerung
kleinskaliger
Frdermodule mittels Zellulrer Automaten, 6.
Fachkolloquium
der
Wissenschaftlichen
Gesellschaft fr Technische Logistik e.V. (WGTL),
PZH Produktionstechnisches Zentrum GmbH, Vol.
1, pp. 265-276, 2010.
[5] Krhn, T., Heiserich, G.: Kooperative Wegplanung
fr dynamisch konfigurierbare Transportmodule,
at-automatisierungstechnik, Oldenbourg Verlag,
Vol. 59, No. 4, pp. 235-241, 2011.
[6] Baumann, R., Heimlicher, S., Strasser, M., Weibel,
A.: A Survey on Routing Metrics, Technical report,
Computer Engineering and Networks Laboratory,
ETH-Zentrum, Switzerland, 2007.
[7] Jaffe, J., Moss, F.: A Responsive Distributed
Routing Algorithm for Computer Networks,
Communications, IEEE Transactions, Vol. 30, No.
7, pp. 1758-1762, 1982.
[8] Heiserich,
G.:
Kooperative
adaptive
Ablaufsteuerung
fr
innerbetriebliche
Materialflusssysteme, PZH Produktionstechnisches
Zentrum Hannover, 2011.
[9] Radosavac, M., Heiserich, G., Overmeyer, L.: A
Reinforcement Learning Method for Dispatching
Strategies in Intralogistic,. Proceedings of the
Distributed Intelligent Systems and Technologies
Workshop, St. Petersburg, Russia: Distributed
Intelligent Systems Department, St. Petersburg
State Polytechnical University, pp. 33-45, 2011.
220
Momilo S. orevi
Serbian Armed Forces
Nenad . Zrnic
Assistant Professor
Mili R. Milievi
Assistant Professor
Military Academy
Ministry of Defense, Belgrade
Vasilije V. Mikovi
Assistant Professor
Military Academy
Ministry of Defense, Belgrade
THE OPTIMIZATION OF INFORMATION

FLOWS AND MATERIAL FLOWS IN
THE PROCESS OF PARTS
REGENERATION IN MULTI-LEVEL
SUPPLY SYSTEM
This paper examines a possible optimization of information flows and
material flows by management decisions making in the parts regeneration
process in multi-level spare part supply system. The optimization process
consists of generating functional variants of the supply system by
repairable parts, determining the values of characteristics these variants
and formation model of multi-criteria decision making. The process of
forming management decisions are based on the application of modeling
and simulation and selecting operational research methods, multi-criteria
decision analysis in this case by AHP. Input data for simulation were
obtained by recording, processing and using applied methods of
mathematical statistics.
The paper deals with one of possible influence on The Parts regeneration
to effectively achieve meeting the needs of users in complex spare part
supply system. That means, at the right time when the need arises, with a
mandatory reduction in costs, whether are direct or indirect in that system.
Keywords: Regeneration, Repairable parts, Multi-level supply system,
Model and Simulation, Multi-criteria decision analysis, AHP.
1. INTRODUCTION
The Parts regeneration represents a source of spare

parts supply system, in addition to production, domestic
and foreign market. Each of these sources has a duty to
fill or refill spare parts inventory at certain level, in
order to provide adequate service response which
resulting from need for a spare parts.
The term Parts regeneration includes a number of
technology programs and maintenance procedures, with
strictly defined procedures and technological activities
which provide the characteristics and quality to
defective part that is as a new part.
The Parts regeneration is a dynamic system, it's
interactive and in constant communication with other
supply subsystems. It is in close relation with the
maintenance system of technical material resources
because it meets the needs of maintenance system. Also,
defective part is returned in proper condition with
maintenance procedures and put back into the supply
system.
The inventories as an economic category are the cost
for the system. When inventories are not used in the
right way, the costs become enormous, and the basic
problem exists: There are no spare parts at a certain
level of maintenance at the moment of need, and on the
other side there are unnecessary, the accumulated stocks
Correspondence to: sc Momilo orevi, MSc, PhD student
Serbian Armed Forces
Mije Kovaevia 6, 11000 Belgrade, Serbia
E-mail: momcilo.djordjevic@vs.rs
of material that represent a burden in the process of

storage.
The information system is imperative to modern
period and technological development in all spheres of
life, including in the Parts regeneration. It has to provide
command and control on the system, assessing the
validity of the system, and to provide timely impact on
the system when necessary, to the necessary extent.
Monitoring process provides a faster response to any
disorder in system that affects the efficiency and/or
effectiveness of the system. It is enabled by information
system.
The Parts regeneration is interesting for several
reasons, but mainly because the costs of regeneration
are typically lower than purchasing of new parts (up to
70%), than the parts regeneration process is multiply
simplified in comparison to the legislation and
regeneration can become the only possible way of
replenishment in time of interruption of production.
2. DESCRIPTION OF THE CURRENT PARTS
REGENERATION SYSTEM AND PROBLEMS
WHICH OCCUR IN THE SYSTEM
The Parts regeneration is organized in various

spheres of society and has considerable influence in
them, as in the army, in the maintenance of complex
systems in mines and the power systems, in
maintenance of the power plant, then in maintenance of
construction machinery, in railway facilities, in
shipbuilding, in the maintenance of systems in the
industry.
System that is the subject of this paper is 3-levels
spare parts supply system and it is in direct function
221
multi-levels maintenance system (in our case 3-levels or

4-levels system, depending on the type of assets that are
held). The first level of supply system is directly to the
user (the primary means) and it is in function of the
support first level of maintenance (user level). The
second level is in spare parts warehouse at the
workshops (user warehouses) in order to support of the
second, third and possibly fourth level of maintenance.
The third level of supplying is in the central storehouse.
It represents the stocks to fill any supply levels. The
above supply system works in practice, and was created
as a necessity for organizational change in the army in
recent years.
The most important feature of the system is that the
user can fill warehouses of spare parts from the central
storehouse and that the user warehouses are not
connected to each other and cannot to fill between them.
Upon the occurrence of the needs, user warehouses
provide spare parts to the workshops, with mandatory
return a defective (the correct replacement parts for the
defective part). Similarly, user warehouses provide
spare parts directly to the user to implement
maintenance activities on their user level with
requirement to return a defective. In this manner, the
system can collect parts or components that can be
regenerated. Defective parts, whose regeneration is not
economically justified, are used up.
The central storehouse analyzes the need for
regeneration in relation to the bearing assets in stocks,
assortment and quantities, and after processing the data
collected pieces and handing them to regenerate. Upon
completion of the regeneration, it receives regenerated
parts and put them in the spare parts supply system.
Regeneration of defective parts, as planned activity
is carried out systematically within specific time
periods, four times in a year.
sources
levels
1st and 2nd level

of maintenance
Production
Domestic
market
Foreign
market
Regeneration
User
warehouses
Central
storehouse
Depot
warehouses
3rd level
of supply
3rd and 4th level

of maintenance
1st and 2nd

level of
supply
Figure 1. The Part regeneration in spare part supply system
Several various problems exist in the system of

regeneration, of which the largest are:
- A large number of hoppers (congestion), which
causes slow response of the system on demand for
spare part.
- A large inertia of the system, which is reflected in
slow delivery of the required spare parts.
- A slow flow of information from the highest to the
lowest level and vice versa, which has a direct
impact on response time on demand
- Incompatibility information system with system for

inventory tracking (material accounting) and lack
of links between systems for inventory tracking
- No links between warehouse on the user's level
- No filling spare parts between warehouses - only
from the central storehouse
- A lack of knowledge and ignorance of the
participants especially at the lower levels of the
supply (it is not a topic of this paper and is solved
by the continued education of all participants).
To overcome the problem caused a couple years ago,
there is initiated a project to develop information
systems, just to allowed mutual communication between
two systems (information system with material
accounting) and established links between the user
warehouses, then started to creation of a new
organizational structure of spare parts supply system.
The project is currently in the process that does not
allow a fast solution to the problem.
In such a situation, it is projected to be operational
remedy the problems or at least mitigate the effects of
existing problems. As part of the project in the logistics
of The Serbian Armed Forces, with the aim of
upgrading of spare parts supply, treated as a separate
segment of the need for improving The Parts
regeneration.
The conclusion of analysis was possible
optimization of the flow of information and material
flows that exist in the system between the participants1.
3. DESCRIPTION OF THE MODEL AND SIMULATION
One way for finding a solution of described problem

is to construct the model. It was decided to form a
model similar (simplified) as real system and make a
simulation which is presented with computer software.
With the aim of making quick and easy software for PC
it is chosen licensed object-oriented simulation language
MODSIM III (The Modular Simulation Language,
SIMSCRIPT today), and a visual representation of the
flow simulation allows SIMGRAPHICS II, as an
integral part of the language.
The model is consisted of a central storehouse and in
this case, four user's warehouses of spare parts which
meet the needs of maintenance system. That means,
users warehouses have defined assortment and quantity
of spare parts required for the maintenance in a given
time period. Based on the needs, users warehouses
have a duty to respond to the request and provide spare
parts on stock. As in real time, spare parts are provided
on users demand, with requirement to return defective
parts. In this way, spare parts are collected for the
regeneration and it is described by probability
distribution. Time of sending defective parts to the
regeneration is also a random variable described by
distribution of probability.
The Figure 2 presents the elements involved in the
regeneration process and their mutual relations.
On the time of the regeneration (reparation) is not possible to

effectively influence, because the reduction of repair time can directly
affect the quality of execution of the repair.
222
End-users
User
warehouses
Management
Unrepaired
parts
Central
storehouse
High Level
Management
Regeneration
Workshops
Information flow
Material flow
Return parts flow
Unrepaired parts flow
Figure 2. The Part regeneration scheme and flows in

regeneration
Flows of information are shown by blue color and

material flows are shown by pink and orange (flows of
defective parts are presented by pink and the return of
regenerated parts in supply system is presented by
orange). Used up parts are described by black. User
warehouses provide spare parts for the first and second
levels of maintenance. Depot warehouses provide spare
parts for third and fourth levels of maintenance and
there are also treated as a users warehouse.
Users warehouses are not connected to each other as
in reality and are filled from a central storehouse. In a
situation when part is not in stock, users warehouses
put request into process to fill with spare parts. This
situation is called an unmet consumer demand and it is
formed a queue. Central storehouse fills user
warehouses with required range and quantity of parts
according to the delivered demand. Users warehouse
can be filled completely or it can be filled partially by
assortment and/or quantities. In that way, the condition
of unsatisfied demand of warehouse is recorded and it is
formed a queue again.
Fill of users warehouse is described by the model
(s,Q) inventory management2, as well as in reality. Time
of delivery is a random variable described by
distribution of probability, and the demand for part of
the warehouse described by the Poisson probability
distribution. A queue is emptied on a method "First InFirst Out" (FIFO) as in reality, this inventory is
consumed in the order in which they are acquired.
Inventory that are purchased first and firstly are
expended, and therefore the remaining items of
inventory are those most recently bought.
The Central storehouse is filled from an
inexhaustible source of supply and is described by the
inventory management model (S,S)3. Fill time is a
random value described with some probability
distribution. If needs are existed, filling is performed
2
Model (s,Q) is the model with the ongoing decisions about ordering.
Time period of control level of inventory is not written and is
performed after each issuance of goods from the warehouse. If the
stock level at the time of control lower than the ordering, always turns
out to be the same order of size. Otherwise, there is not ordering.
3
Model (S,S) is a modified form of the model (s,S) with periodic
decisions about ordering. Time period of control level of inventory is
periodically and ordering is at each time when is control the level of
inventory.
from the inexhaustible source of parts and the queue of

waiting is emptied completely or partially.
The central storehouse supplies user warehouses on
request. There are the possibilities of partial delivery,
and the unmet demand is queued. In this case, the queue
of waiting is emptied on "FIFO" principle. Time to send
parts warehouses of spare parts is described by a
random variable size probability distribution.
The central storehouse can receive parts from
regeneration too, with the same procedure as when
receiving parts from another source, and then empty the
queue in whole or in part.
Perpetrators
of
regeneration
perform
the
regeneration of defective parts with a certain
probability. Time for regeneration is a random variable
described by distribution of probability.
The model is designed so that the regenerated parts
can be back only to the central storehouse or just the
user warehouses or one part in central storehouse, and
another in users warehouse according to the defined
variants. Time to return the repaired part in system is
described by a random variable described by
distribution of probability. Consequently, the flows are
defined - all the parts are returned to the users
warehouses where they came from (variant V1) and all
parts are returned to the central storehouse (variant V2).
The third variant V3 is return one part of stock in central
storehouse and another part of the stock in users
warehouses.
Regardless of the variant, it is necessary to
determine the characteristics that, given the importance
of vital elements which decide in the system. That
means, the goal is get the variables that actually
represent outputs or data of software:
- Load factor of users warehouses (Kp) - represents
the number of realized requests without delay to the
total number of requests into users warehouses. In
fact, it is the probability of realized demands
without waiting.
- Middle time waiting in line (W) - is the ratio of the
total waiting time and the number of requests that
are queued.
- Total costs of the system (Lg) - is the sum of the
costs of procurement of spare parts from an
inexhaustible source, of cost regeneration,
transportation costs and storage costs. Simplified,
the cost will be on an annual basis, although they
can be counted by the structure of each element of
the system, and at this point it is irrelevant.
The experiment is performed as follows. The
parameters of the model are defined like:
- The level of inventory in the central storehouse,
which show low, medium or high levels,
- The level of inventory in users warehouses, which
show low, medium or high levels,
- The intensity of demand in users warehouses,
which show low, medium and high intensity.
After that it chooses one of the variants of flows.
The simulation is started with defined parameters for a
period of 11 years; the first year is discarded (for
"running" of the system). When simulation is
completed, we read outputs data. In the following step it
is performed only change of one parameter, while the
223
values of other parameters are unchanged. When you

exhaust all the possibilities of changing the parameters
in one version, we change the variant and the simulation
is repeated again. The simulation is repeated until it is
exhausted all the combinations of parameters and all
variants. Figure 3 gives us a visual presentation of the
simulation.
Figure 3. A visual presentation of the simulation
The results of experiments are grouped according to

defined characteristics. We can conclude the system
characteristics in according to intensity of demand in
users warehouses to levels of inventory in users
warehouses and central storehouse for all combinations
and all variants.
4. ANALYSIS OF THE RESULTS OF SIMULATION
The obtained values are the values of level of

inventory in central storehouse and in users
warehouses, then the value of the intensity of demand
expressed by middle time waiting in line and total costs
in the system. The goal is to be obtained table of
decision, as a tool for making decisions on which
version of the flow of materials and information could
be influenced.
By analyzing variables, for all levels of inventory in
users warehouses and central storehouse and all
variants, it is concluded:
- Load factor of users warehouse declines in all
variants with increasing intensity of demand, as
expected. At the middle level of inventory in users
warehouses, load factor is the highest for the first
variant flow (back in users warehouses), regardless
of level of inventory in central storehouse and
intensity of the demand. Under the same conditions,
load factor is the lowest for the second variant
(back to the central storehouse). There is no
conclusion for other combinations of inventory
levels in central storehouse and users warehouses.
- The middle time waiting in line is the lowest and
slightly increases with intensity with increasing
demand, for low level of inventories in users
warehouses and all levels in the central storehouse
for variant V2 (back to the central storehouse). With
increasing intensity of the demand came to a
sudden jump in the middle time waiting in line. The
aforementioned is especially evident in the situation
of low stock levels in the users warehouse and in
the central warehouse.
224
- The total costs are very similar for all three types of
flows of repaired parts, with all combinations of
inventory levels. That means that the graphical
representation is unclear. However, it is observed
that the total cost increases linearly with the
increase of intensity of demand at all variants and
combinations of inventory levels. However, there is
a significant difference in cost between the first and
the third variant in favor of the first option (back
into users warehouses), and between the second and
the third variant in favor of the second option (back
into central storehouse).
The obtained results will be considered as
hierarchically structured criteria, or the criteria with
level of significance. The most important criterion is
assigned to load factor users warehouses, then the
middle time of waiting in line, then the total costs of the
system. The reason why the total costs are just in third
place is a little difference between the costs per variants.
In this situation, the costs are difficult to use as an
important criterion for the formation of decision tables.
The next step is to select an optimum variant, which
given the conditions provides the best characteristic of
the functioning of the system. We will continue to use
defined characteristics.
The obtained results are the basis for creation of
tables of decision. Firstly, it is observed the load factor
for defined variants in the conditions of a certain level
of inventory in the central storehouse and users
warehouses and on intensity of demand. When a variant
is much more important than the other one, it gets the
lead. In a situation concurrently results (the
uncertainty), the following characteristics by relevance
is introduced middle time waiting in line, and total
costs at the end.
Table 1. Decision table for variants of sending repairable
parts
Level of
inventory in
central storehouse
S2
Low level
Medium level
High level
Level of
inventory in
users warehouse
S1
The intensity of demand
Low
Medium
Low level
V2
V2
High
V1
Medium level
V1
V1
V1
High level
V3
V1
V1
Low level
V2
V3
V1
Medium level
V1
V1
V1
High level
V3
V3
V1
Low level
V3
V3
V1
Medium level
V1
V1
V1
High level
V3
V1
V3
Based on analyze of the decision table, it can be

concluded that in addition to the three variants derived a
new variant where the decision of sending repaired parts
made on the basis of rules from decision tables (variant
V4).
It is used the model of multi-attribute decision
making to determine the option of sending repaired
parts with best characteristics.
Four new experiments are performed based on same
criteria for evaluation and comparison of variants,
software has remained the same, but it was introduced
new constraints. Requests for parts are no longer a
simple Poisson process, but stream of request has
r
intervvals,
seasonal chaanges. During the year, at regular
alternating there
t
are chhanges of sm
mall, large and
medium-inteensity demandds. Now streaam of requesst is
described byy normal probaability distribuution.
Experimeents are perfformed with set the systtem
parameters, determine thhe sending system variaants,
define valuess the probabillity of sendingg parts for reppair
and repair prrobability. That is to determ
mine the criterrion
value of thee first three versions of sending
s
repaiired
parts. The sim
mulation goess on for 31 yeears; the first year
y
is not takenn when calcullating the outtput values. The
T
simulation iss carried out inn two passes. Firstly, whenn all
users warehhouses have the
t same leveel of intensityy of
demand and secondly, whhen the user warehouses
w
h
have
T
mutually diffferent levels of intensity of demand. The
option of seending repaireed parts is deetermined durring
the executioon of simulation based onn the rules frrom
decision tabbles for an experiment
e
too determine the
criterion valuue of fourth vaariant.
In experim
ments we obtaained new feaatures that will be
monitored and
a
analyzed as follows: middle levell of
inventories in
i the centrall storehouse (Y
( C) and midddle
level of invventories in the
t
whole syystem (YS). The
T
reason for annalyzing the newly
n
introduuced parameteer is
estimated staability functioon model. Thee obtained vallues
in the first paass will be coompared with the results off the
second pass. The analysis only show
wed the slighhtest
fo the middlee time waitingg in
deviation values except for
f
variant sending repaiir parts.
line, for the fourth
To furtheer exploration it is used obttained data in the
first pass. Acccording to reesults it can be
b concluded the
following:
v
V2, inntermediate levvels of inventtory
- For the variant
in a cenntral storehouuse and interm
mediate levelss of
inventorry in the systeem are the sm
mallest, but total
costs arre the higheest at the saame time. Low
L
intermeddiate level of inventory in the
t system is the
result off low stock levvels in users warehouses,
w
a is
as
expectedd. That is ressult of sendinng parts into the
central storehouse.
s
A very importaant feature is that
t
the low
west load facttor of users warehouses for
variant V2.
- The highest load facctor of users warehouses and
me waiting in line
l
is for variant
the loweest middle tim
V4, wheen regenerateed parts referr to the ruless in
decisionn table. Then is also relativvely low averrage
total coost of the syystem. Interm
mediate level of
inventorry in central sttorehouse is thhe largest andd an
intermeddiate level of inventory
i
in the
t system is also
a
high.
r
is to determine orrder
The finall step of the research
of defined variants by determinationn the values of
m
is givenn in Table 2.
criteria weighhts. Starting matrix
Today, there
t
are seeveral methoods for solvving
problem withh multi-attribbute decision making methhods
such as AH
HP, PROMETHEE, ELEC
CTRE, VIKO
OR,
MENOR, LINMAP, etc.. Each method has its own
o
characteristiccs and speciffic requiremeents in termss of
defining the parameters of
o the model. In this paperr, in
order to deteermine the besst variation it is used Analyytic
Hierarchy Prrocess methodd (AHP).

Tab
ble 2. Startin
ng matrix of model for multi-attribute
e
dec
cision
Criterions
Starting
Matrix
Load factor of
users storehouse
Kp
Total costs
Lg
Middle time
waiting in line
W
V1
0.9658
3.783.727
2.654
V2
0.8899
3.889.245
2.895
V3
0.9262
3.834.639
3.464
V4
0.9664
3.804.817
1.840
W
Weight
factor Wj
1.5
max/min
max
min
min
V
Variants
By using thhe AHP and E

Expert Choicce software itt
waas obtained the
t
final rankk of variantss of sendingg
rep
pairable parts.. The variant V4 occupies the
t first rank;;
thee second rankk takes variannt V1, followeed by variantss
V2 and V3.
Weight factor
The Optimum
m Solution
Load factor of
users warehouuses
KP
Variant V1
Total cossts LG
Variant V2
Variant V3
Meaan time
waitinng in line
W
Variant V4
Fig
gure 4. The criterions and alte
ernatives by AHP
A
When we changed weeight factor of criteria,,

con
nclusion indiccates that thee obtained so
olution is nott
sen
nsitive to the values
v
of criteeria weights. Obtained
O
dataa
is fully
f
usable ass validity.
Fig
gure 5. The ran
nk of variants b
by AHP
Finally, the variant

v
V4 givves the best results, becausee
it currently
c
responds to changges in operating conditionss
of the system. Application
A
oof variants V4 receives thee
besst coverage raatio; users speend minimal time in orderr
at relatively
r
low
w cost.
225

5. CONCLUSION
The paper analyzes the operation of a realistic

system, in this case the system of the parts regeneration,
its features, and then describes the real problems that
occur in the system and the consequences arising in the
system. Observed systems are encountered in the army,
railways and power supply systems.
Because of that, we developed a model that
describes the approximate real system and computer
software is designed to simulate the functioning of that
system. Software is previously given by certain
assumptions, and as a simulations output - the results of
which were processed by the methods of operations
research and statistics. Legality are properly described
and discussed.
Specifically, the model was created as simplified
system and its functions with goal to solve problems
that occur in it. Thus has achieved that the discussion
can be applied to many real-world systems.
As a final result, the experiment is demonstrated
potential on scientific principles to reach conclusions
that are necessary to influence the system - optimize it.
This paper presents the possibility to choose the most
suitable variant among several options, according to the
best results, and also provides a framework in which it
is possible to optimize the system in a short period of
time, without any particular investment in the system.
There are given possible courses of action, including
possibility to find the best option, without specific
experiment on a real system, which can often be time
consuming, costly and uncertain. That is exactly the
particular value of the experiment. The system is not
exposed to special costs, and provides the vision of a
more efficient system operation while reducing costs.
The results are especially important for repaired
assemblies and aggregates (parts) with larger value. If it
would be introduced classes of parts or if it would be
used other methods, for example ABC analysis and
forecasting techniques, the results can be even more
significant.
It is interesting that this work can be upgraded when
the new requirements are set in front of the system, for
example finding proper time when we will send parts
into the central storehouse or into the user's warehouse.
Otherwise it is possible to put the problem of
uncertainty in filling with new parts in the system (with
other sources of filling), because this experiment doesn't
take that condition.
Finally, taking into account the results obtained, it is
defined a new way of functioning of the parts
regeneration with new material flows and information
flows, which can eliminate the problem or at least
reduce their impact and consequences in system.
226

REFERENCES
[1] Bonjakovi, M.: Multicriteria inventory model for

spare parts, Tehnicki Vjesnik - Technical Gazette,
Vol. 17, No. 4, pp. 499-504, 2010.
[2] Braglia, M., Grassi, A., Montanari, R.: Multiattribute classification method for spare parts
inventory management, Journal of Quality in
Maintenance Engineering, Vol. 10, Issue: 1, pp.
55-65, 2004.
[3] Fazlollahtabar, H. and others: A multi-objective
decision-making process of supplier selection and
order allocation for multi-period scheduling in an
electronic market, The International Journal of
Advanced Manufacturing Technology, Vol. 52,
Issue: 9-12, pp. 1039-1052, 2011.
[4] Garrido, J.M.: Object Oriented Simulation - A
Modeling and Programming Perspectives,
Springer, e-ISBN: 978-1-4419-0516-1_5, II, pp.
59-67, 2009.
[5] Kalchschmidt, M., Zotteri, G., Verganti, R.:
Inventory management in a multi-echelon spare
parts supply chain, International Journal of
Production Economics, 81-82, pp. 397-413, 2003.
[6] Karakaneva, J.: The Modular Simulation
Language-A powerful Tool For Computer
Simulation, Information & Security, Vol. 3, ISSN
1311-1493, 1999.
[7] Law, A.M, Kelton, W. D.: Simulation Modeling
and Analysis, 3rd edition, Singapore: McGrawHill, 2000.
[8] Milievi, M.: Management of spare parts supply
in hierarchical organizations, master's thesis, VTA
VJ, Belgrade, 2000.
[9] Ng,W.L.: An efficient and simple model for
multiple criteria supplier selection problem,
European Journal of Operation Research, 186, 3,
1059-1067, 2008.
[10] Nikoli,
I.,
Borovi,
S.:
Multi-criteria
optimization, CV VJ, Belgrade, 1996.
[11] Panteli, V: Supplying with technical material
resources, CVT KoV JNA, Zagreb, 1986.
[12] Panteli V.: Inventory management in a
hierarchical supply system of spare parts, PhD
thesis, Belgrade, 1996.
[13] Petkovi, R., Kokanovi, M., irovi, M.,
Maintenance organization of the technical
material resources, CVT KoV JNA, Zagreb,
1988.
[14] Saaty, T. L.: How to make a Decision: The
Analytic Hierarchy Process, Interfaces, 24, 6,
(November-December), pp. 19-43, 1994.
[15] Saaty, T. L.: The Analytic Hierarchy Process, New
York, NY, McGraw Hill, 1980.
[16] Staff analysis: Improving in organization of spare
parts supply system in function of maintenance of
weapon and other systems in The SAF, The
General Staff of The SAF, Belgrade, 2011.
[17] Vaidya, O.S, Kumar, S.: Analytic hierarchy
process: An overview of applications, European
Journal of Operational Research, 169(1), pp. 1-29,
2006.
Ph. D. Zoran Marinkovi

University of Ni
Ph. D. Dragan Marinkovi

University of Berlin
Faculty of Mechanical Engineering and
Transport Systems
Msc Vojislav Tomi

University of Ni
Msc Goran Markovi

Faculty of Mechanical Engineering of
Kraljevo
Concept solution of logistic center in the

free zone Pirot
Logistic centers are important nodes of transport networks characterized by
transformations of transport flows. The flows of micro- and macrodistribution
within the supply chains meet at the logistic centers. The paper presents the
development of logistic center in the free zone of Pirot. Such a center contains
a number of subsystems and components, and offers a great synergic effect and
influence onto the industry development of the city and region of Pirot.
The paper discusses the subsystems of distribution and container transport.
Special attention is given to concept solutions of distributive centers (public
warehouses). The equipment needed for transport, manipulation and
warehousing of goods within the subsystems is analyzed with the aim of getting
the most suitable solutions.
Keywords: free zone, logistics center, warehouse, container terminal
1. INTRODUCTION
Within the modern concept of economy, logistics

implies systematical and overall observation of flows of
materials (goods), energy, finances and information in the
processes of procurement, production and distribution,
from the very source of raw materials and up to the
customer of the final product. Logistic centers have one of
the most important roles in the logistic supply chains, i.e. in
transport networks. Various types of transport meet each
other at logistic centers, where also transformation of
material flows is accomplished [1, 2, 3, 4, 5].
The paper gives the procedure of developing a
technical project of a public warehouse in the free zone
Pirot. Structural and parametric solutions of all
necessary elements of the logistic center are given,
including the design of a public warehouse. Such a
system, consisting of a number of subsystems, offers a
great synergic effect as well as a great influence onto
the industrial development of the city of Pirot [6, 7, 8].
are over 10000 free zones in 102 countries [6]. In Serbia

there were 14 free zones till 2006 and today there are 7
functional free zones (Subotica, Novi Sad, Zrenjanin,
abac, Kragujevac, Uice and Pirot), and 3 more, in
Apatin, Smederevo and Ni, are in preparation.
The free zone Pirot is situated in the Eastern Serbia,
oriented toward Middle-East, on the international highway E80 (corridor Xc) and has about 17 hectares of total area with a
developed infrastructure and with a possibility of extending it
up to 50 hectares. It began to work in April 1998, with Tigar
corporation as the very first customer. The main program in
the free zone is warehousing of passenger vehicle tires and
truck tires, whereby the main investments are provided by
Mechelin (France) and Tigar (Serbia). Today the list of
customers of the free zone includes over 200 companies from
the country and abroad [6, 8].
2. FREE ZONE PIROT
Free zone is a designated area, in which economic

activities are encouraged by guaranteed facilities and
benefits as well as favorable regulations defined by
national laws and international legal documents. The
objective of the free zones is to attract investments, thus
enabling regional development, providing new jobs,
concentration of services and needs by means of logistic
centers, business savings and canalization of international
marketing. The free zones aim at an accelerated industrial
development and increase in the employment rate [6].
Free zones are institutions with a long tradition and an
important role in the development of national industries
and new projects worldwide. The idea of free zones is
practically as old as the civilization itself. Nowadays, there
Figure 1. Position of corridor X with respect to the city of

Pirot
Correspondence to:
Dr Zoran Marinkovi, full professor
A. Medvedeva 14, 18000 Ni, Serbia
E-mail: zoranm@masfak.ni.ac.rs
Figure 2. Layout of the free zone Pirot
227
An analysis of the free zones infrastructures, provided

in this paper, discovers certain drawbacks within the
logistics of raw-material supply and distribution of final
products. The drawbacks are related to the systems of
warehousing and transport, and they include: the lack of
warehouse capacity, insufficient technical support,
outdated mechanization and IT technology, etc [8].
As a solution to the problem, the paper proposes
development of a modern logistics center that would integrate
the functioning of the free zone Pirot. Special attention is
given to the concept solutions of public warehousing center.
3. TECHNOLOGICAL DESIGN OF PUBLIC
WAREHOUSE WITHIN FREE ZONE PIROT
Design of logistic centers, which includes their public

warehouses, is a complex technical task that requires the
work of an expert team involving different professions. In
order to create an efficient, economic and safe storage
system, a systematic approach is required in the process of
variant technological design [5, 9].
The basic steps of systematic approach are:
setting the problem,
gathering and analyzing information,
development of variant solutions,
system modeling and assessment of solutions.
Technological design of a complex storage system has a
basic structure that includes:
analysis of technological requests,
choice of system elements (resources) by deriving
technological concepts,
system modeling and dimensioning of its elements,
assembling elements into a complete structure to
form technological solutions,
assessment and choice of solutions.
In the first part of the paper, the procedure of developing

a technical project of a public warehouse with 34 selective
racks in two variants is presented. The first version is a high
rack warehouse with 7 rows and 8 columns of racks, served
by 2 rack cranes. The second version is based on low-height
racks in 5 rows and 10 columns, served by 2 telescopic
forklifts. In both versions, a storage slot provides enough
space for 2 storage units pallets. Table 1 gives basic data
for both warehouse variants.
Table 1. Basic data for both warehouse variants
Warehouse properties
Total area
Commissioning area
Operative surface
Total office surface
Forklifts
Manual forklifts
Palletizers
Roller transporters
Loading/unloading decks
Employees
Racks
Pallet slots
Rack cranes (I var) or
telescopic forklifts (II var)
Total number of pallets - capacity
3808
3400
Design of the public warehouse has been realized by

means of the software packages Flexim and ArchiCad.
Figs. 3 and 4 depict the warehouse layout for both variants.
For the choice of storage mechanization, the AHP
(Analytical Hierarchical Process) method has been applied.
The analysis of construction and equipment costs yields the
total of 1.221.000 for the first variant and 1.185.000 for
the second one. The analysis of results yields the first
variant as a more suitable one.
st
Figure 3. 3D design of the public warehouse of logistic center Pirot for the 1 variant with high rack cranes
228
I var.
II var.
3000 m2
1200 m2
1800 m2
200 m2
4
4
5
41
8
5
20
34
1904
1700
2
2
nd
Figure 4. 3D design of the public warehouse of logistic center Pirot for the 2 variant with telescopic forklifts
4. FLOW ANALYSIS AND CHOICE OF THE INDOOR

STORAGE EQUIPMENT
Upon modeling the public warehouse in two variants,

the analysis of the material flow inside the warehouse has
been conducted in order to determine the necessary
number of forklifts, rack cranes, equipment, staff
members and other factors required for a functional
storage. The functional and parametric analyses have
been done in this manner, which is the aim of this paper.
Furthermore, for the chosen variant, the method for
determining the required amount of equipment is given
(Fig. 3). For this variant, the properties of which are
given in Table 1, one should determine:
number of forklifts in the receipt area,

storing and shipping time,
type and properties of the forklift,
type and properties of the rack crane,
design of the warehouse.
In order to determine the required number of forklifts, it

is necessary to set the forklift paths in the receipt area (Fig.
5). Three possible paths can be noticed: the longest one (I),
the shortest one (II) and the middle/average one (III).
The average path length Sms, as a summation of partial

paths S1, S2 i S3, is shown in Fig. 5, is computed as:
S ms S1 S 2 S 3 .
(1)
Using the average path length Sms and the forklift

properties provided by the producer, the average time to
transport a pallet from a truck to the rack (Sms) and back
(S = Sms), i.e. the time of an average work cycle (tms), is
determined as::
t ms tup S ms t pv t s S te ,
(2)
with all the quantities defined in Table 2.

Table 2. Times of forklift manipulation
Taking goods from a palletizer tup

Storing goods into a rack ts
Taking goods from a rack tu
Loaded forklift drive tpv
Unloaded forklift drive te
Dropping goods onto the ground to
0,29 min
0,43 min
0,43 min
0,012 min/m
0,008 min/m
0,18 min
In this procedure, the forklift proceeds according to the

flow diagram in Fig. 6. Using the same principle, one may
compute the time required for shipping a pallet tis, i.e. the
time for transporting a pallet from its rack slot to the truck.
Forklift takes
a pallet
drives
the pallet
drops
the
pallet
returns to
the original
position
Figure 6. Forklift pattern diagram
Figure 5. Lay-out of the public warehouse and forklift pathsin

the receipt area
For the specific task, the time required for the forklift to
perform this operation for a single pallet is 0.98 min. Using
this information as well as the annual turnover of the
warehouse, which is additionally augmented by 20%, it is a
straightforward task to compute the time necessary to store
all the pallets in the warehouse (GOD):
GOD 1.2 t ms GOP ,
(3)
where:
GOP the annual turnover of
(the total number of pallets).
the
warehouse
229
Assuming P = 22 as the number of work days per month

and T = 6h as the number of effective work hours per day,
one may compute the number of effective work hours per
year tg by means of Eq. (4) and, furthermore, the required
number of forklifts, Nv, by means of Eq. (5):
t g 12 P T ,
N v t ms tis t g
(4)
(5)
For the considered case, the computed number of

forklifts is 2, with the usage coefficient of a forklift of
approximately 60%. In practice, this is, however,
considered to be quite high usage, so it was a posteriori
decided to take 4 forklifts. This offers safety in the case of
a forklift failure or if some other unexpected events appear
during the work. In a similar manner, the number of rack
cranes has been determined for the storage area.
The basic technical parameters of a single mast rack crane
given in Fig. 7 are capacity of 1 t, lifting
height 12 m, lift drive with asynchronous
cage electromotor for operational
velocity of 16 m/min, nominal power of
13 kW and 1.6 kW and with the
horizontal drive realized by means of an
AC motor with thyristors and velocity of
up to 80 m/min. The drive mechanism
contains a worm gear, a reducer and a
clutch. Telescopic fork motion is realized
by means of a two-speed asynchronous
cage electromotor and a reducer, yielding
velocities of 12 i 3 m/min. Lift drive
mechanisms includes two chains driven
by chain gears mounted onto the output
shaft of the reducer (each on each side).
Figure 7. Rack crane
The number of rack cranes in the warehouse is to be

determined based on the time that a rack crane needs to
store a pallet. Gudehus [2] proposes an approach to
compute the time for a dual work cycle, TDC , that implies
summation of the following partial times:
TDC t ZN tU tV 1 to t ZN tU tV 2
to t ZN tU t ZN tV 1 ,
(6)
where:
tZN
tU
tV1,2
to
- mean operational time of the device for picking

and dropping the load,
- mean time for acceleration and deceleration,
- mean time for the drive between the points of
picking and dropping the load,
- mean time for positioning the crane.
The computation yields the overall time that the rack

crane needs to store a pallet TDC = 2.37 min, which is also
the time it needs for shipping the pallet. Hence, the number
of work cycles done by the crane per hour is given as c =
60/TDC = 24 cycl/h. The overall storing time is a summation
of the time needed for the forklift to take the pallet from the
loading deck to the conveyer tus and the time needed for the
rack crane to store the pallet into the rack slot, TDC, so that:
TUSK tms TDC 098 2.37 3.35 min .
230
(7)
Since the turnover is not very large and the time

needed to store a pallet is relatively short, it was decided
to take the economic solution with two rack cranes
covering the whole warehouse. The rack cranes are
rather expensive and a solution implementing a rack
crane in each corridor would not be justified.
5. CONCLUSIONS
The first part of this paper gives an analysis of free

zones activity and it has been emphasized how important
their influence was on the development of the countries
that have accepted them as an instrument of export and to
attract direct investments from abroad.
For a long term success of the free zones in Serbia, it
would be necessary to precisely define the type, aims and
strategies of development of the free zones. Industrial
investments are attracted by creating an efficient background
for industry and business, which implies governments
activity on setting favorable conditions for investments.
The key part of this paper is related to the idea of a modern
logistic center that would provide conditions for a successful
work of the free zone Pirot. The very focus is put onto the
technological design of a public warehouse within the logistic
center. 3D design of the warehouse with the surface of 3000
m2 has been done by means of modern software tools, while
the analysis of required machines and staff has been done
using the classical analysis tools (computations) from the field.
The authors have designed the warehouse based on the
analyzed examples of similar objects [5]. The purpose of
the warehouse is the storage of tires, raw and processed
materials. The warehouse has been analyzed and modeled
using software packages. Upon modeling, a thorough
analysis of material flow through the warehouse has been
conducted in order to determine the required number of
forklifts, rack cranes, equipment, staff and other parameters
important for the warehouse functionality.
Hence, a functional and parametric analysis of the
complex storage system has been done, which was actually
the original aim of the work.
REFERENCES
[1] Arnold D.: Materialflusslehre, Vieweg & Sohn
Verlagsgesellschaft mbH, Braunschweig/Wiesbaden, 1998.
[2] Lippolt C.: Lager-und Distributationssysteme, Vorlesung,
IFL, Universitaet Karlsruhe, Karlsruhe, 2005.
[3] Zeevi S.: Robni terminali i robno-transportni centri,
Saobraajni fakultet Univerziteta u Beogradu, Beograd, 2006.
[4] Kosti D.: Slobodne proizvodne zone i industrijski parkovi,
Megatrend Univerzitet, Zajear, 2008.,
[5] Martin, H.: Praxiswissen Materialflussplanung, Reihe
Fachbcher der Technik, Braunschweig/ Wiesbaden, 1999.
[6] Marinkovi Z., Marinkovi D., Tomi V., Markovi G.:
Znaaj osnivanja logistikog (kargo) centra u Niu i njegov
uticaj za privredni razvoj regiona, TIL 2011., Mainski
fakultet Univerziteta u Niu,, Ni 2011., str. 31 38.
[7] Markovi G., Gai M., Marinkovi Z., Tomi V.: Sutina i
znaaj formiranja regionalnog koncepta strateki pravci
razvoja regiona, TIL 2011., Mainski fakultet Univerziteta u
Niu, Ni 2011., str. 7 14.
[8] Vasi G.: Inenjerski pristup dizajniranju distributivnog
centra u okviru slobodne zone Pirot, diplomski rad, Mainski
fakultet u Niu, Ni 2012.
[9] Vukievi S.: Skladita, PREVING, Beograd, 1995.
Nenad P. Bjeli
Research and Teaching Assistant University
of Belgrade
Faculty of Transport and Traffic Engineering
Gordana M. Radivojevi
Associate Professor
Institute Mihajlo Pupin
Draen M. Popovi
of Belgrade
Branislava V. Ratkovi
of Belgrade
Analysis of Neighborhood Structures

in the Variable Neighborhood Search
Algorithm for the Truck Scheduling
Problem with Time Robustness
Most logistics companies use freight terminals based on the cross-dock
concept. Efficiency of this type of terminals is a consequence of the quality
of numerous operational planning decisions, such as: the assignment of
inbound and outbound trucks to shipping doors, clustering of inbound and
outbound trucks in order to form groups, determination of the number of
groups etc. The problem considered in this paper appears after clustering
and grouping problems are solved when the task is to determine order of
truck service at a dedicated set of docks. This problem is known in
literature as the truck scheduling problem for inbound trucks. Because of
the computational complexity of the considered problem some heuristic
approach in solving the problem is required. In this paper we propose a
heuristic approach based on the variable neighborhood search
metaheuristic as a procedure for solving the problem. We present several
neighborhoods used for searching solution space and compare obtained
results.
Keywords: cross-dock terminals, truck scheduling, time robustness, VNS.
1. INTRODUCTION
Cross-dock concept is a warehouse management

strategy that accomplishes a reduction of warehouse
costs by minimizing storage and order picking functions
of a warehouse while preserving required service levels.
General framework of a cross-dock terminal implies
that after incoming trucks arrive at the inbound doors of
the terminal, each arrived item is sorted in accordance
with its destination and moved onto the shipping door
where outgoing truck waits for making delivery to the
designated destination. The movements of items from
the inbound to the outbound doors are usually made
either by fork-lift trucks or conveyors. Efficiency of this
type of terminals is dependent on the quality of
numerous strategic, tactical and operational planning
decisions, for example: the assignment of inbound and
outbound trucks to shipping doors, clustering of
inbound and outbound trucks in order to form groups,
determination of the number of groups etc.
Because of stochastic nature of terminal related
activities, modifications of already established
operational plans are relatively frequent. These
disturbances are mainly induced by inaccurate
assessment of inbound trucks arriving times, caused by
unpredictable traffic conditions, as well as by stochastic
nature of unloading operation within a terminal. High
intensity of transshipment processes within a cross-dock
terminal implies that any deviation from original
Correspondence to: Nenad Bjeli, Research and Teaching
Assistant
University of Belgrade, Faculty of Traffic and Transport
Engineering,
Vojvode Stepe 305, 11000 Belgrade, Serbia
E-mail: n.bjelic@sf.bg.ac.rs
operational plans has multiplicative impact of system

performances by influencing all activities after the
disorder point.
Because it is practically impossible to influence on
traffic conditions in order to reduce truck arrival time
inaccuracies, and very difficult to reduce stochastic
nature of unloading activities, the best way to reduce
influence of operational plan disturbances is generation
of robust operational plans. Such plans are capable of
absorbing some level of variations in arrival and
unloading truck times.
In this paper we present metaheuristic approach of
generating robust operational plans for serving inbound
trucks in cross-dock terminals. After that we compare
effectiveness and efficiency of eight variations of
presented metaheuristic approach, and compare them to
approaches already used in the literature. Accordingly,
the rest of the paper is organized in such way that in the
following section we give the problem description and
brief literature review; in section three we present a
heuristic and metaheuristic approach for solving the
problem; in section four we compare proposed solution
procedures to existing solution procedures. Finally, in
section five we give conclusion on obtained results.
2. PROBLEM DESCRIPTION AND LITERATURE
REVIEW
Problem considered in this paper regards inbound

truck to dock door assignments in a cross-dock
terminals with temporal constraints included in decision
process. In the case when set of inbound trucks is to be
allocated on a set of available docks in such way that
not more than one truck is assigned to each dock we
deal with the dock assignment problem (DAP). The
DAP is very similar, and often misplaced for the
231
problem considered in this paper. The distinguishing

feature of the DAP is absence of temporal constraints
which meaning it is not possible to assign multiple
trucks to the same door sequentially.
The truck scheduling problem (TSchP) on the other
hand considers the dock doors as resources (used by the
trucks) that have to be scheduled over time. The
problem decides on the succession of inbound trucks at
the dock doors of a cross-dock: where and when the
trucks should be processed [1].
Because of its importance on effective realization of
cross-dock operations, the TSchP has been subject of
numerous research papers. As a result of problem
complexity different cross-dock structures are
considered in the literature, all with intention to get
insight into the problem by reducing the size of a
problem. Some authors decided to consider only
inbound or outbound parts of a cross-dock terminal,
while others reduced a number of available dock doors
in a terminal. For the reader interested in comprehensive
literature review regarding the TSchP we recommend
papers [1] and [2].
Another differentiate feature of the TSchP models is
observed objective function. By classification used in
[2] authors presented six the most widely used objective
functions and leave place for some surrogate goals of a
model. Objective function considered in this research is
firstly used in [3] with the goal to increase the
robustness of the operational plan to deviations in
arrival times and unloading times of inbound trucks.
Therefore in the rest of the paper we refer to the
problem as the TSchP with Time Robustness
(TSchPTR).
Aforementioned
goal
has
been
accomplished by using objective function that aims at
spreading the slack times as evenly as possible in order
to create buffers to absorb variability in scheduled
arrival and service times. This is achieved by
minimizing the square of the slack time since this is
equivalent to minimizing the variance. It should be
mentioned that the slack time is defined as the idle time
between the departure of the last truck at a dock door
and the entering time of the current truck.
Because of the quadratic objective function of the
TSchPTR mathematical model is formulated as the
MIQP with binary and continuous variables with all
linear constrains. For a detailed insight the reader is
referred to [3] for the notation and mathematical model
of the TSchPTR.
3. HEURISTIC AND METAHEURISTIC ALGORITHMS
FOR THE TRUCK SCHEDULING PROBLEM WITH
TIME ROBUSTNESS
The MIQP formulation of the problem is able to

provide optimal solutions only in cases of small
problem instances. In cases of medium and large
problem instances some kind of heuristic solution
procedure is required to obtain solution of acceptable
level of quality.
Therefore in this section we firstly present existing
heuristic procedure for solving the TSchPTR, and after
that, two new approaches for solving the problem.
232

3.1. Dock assignment heuristics
The first presented heuristics for solving the

TSchPTR is the Dock Assignment Heuristics (DAH).
DAH is presented in [3] as a solution procedure for
solving practical size problem instances.
The main idea of the DAH is to minimize the
makespan on n parallel docks in order to maximize idle
times at each dock which can then be evenly distributed
between the tracks assigned on that dock.
The DAH is executed through the following four
steps:
step 1. The trucks are sorted in ascending order of
estimated arrival times.
step 2. Considered truck is assigned to the dock with
the smallest end of service time of previous truck, or the
smallest value of dock availability for the service, in the
case there are no previously assigned trucks to the dock.
step 3. Data about the beginning and end of a truck
service is updated. Steps 2 and 3 are repeated for all
unassigned trailers.
step 4. Find the total idle time at a dock and distribute
it evenly between the assigned trucks, with respect that
beginning of service can not start prior to the truck
arrival time. Repeat Step 4 for all docks.
Some experimental tests on small problem instances
in [3] indicate that this heuristic gives results on average
within 4.41% of the optimal solution
3.2. Insertion heuristics
Insertion heuristics is well known heuristic approach

in solving combinatorial optimization problems. It is
proven to be very efficient for solving vehicle routing
and traveling salesman class of problems. However, in
this research we used it as a framework for solving
TSchPRT. The insertion heuristics is deterministic
iterative heuristic algorithm whose general steps are:
step 1. The trucks are sorted in ascending order of
estimated arrival times.
step 2a. Consider the first unassigned truck from the
sorted list.
step 2b. Insert the truck into a position in current
solution while preserving increasing order of values of
truck arrivals in a dock sequence.
step 2c. Distribute evenly total idle time on a dock
where the truck is inserted, and calculate objective
function of a solution.
step 2d. Repeat step 2b for every possible position in a
solution and remember inserting position with the
minimal objective value.
step 3. Insert considered task in the position with the
smallest objective value. If there are unassigned trucks
return to step 2a, otherwise end procedure.
3.3. Variable Neighborhood Search Algorithm
Metaheuristic approach in solving TSchP is not new.

So far one can find several papers that already used it,
and for example authors in [4] used it for solving
complex case of the considered problem. In this
research we used variable neighborhood search (VNS)
as a foundation for solving the problem.
VNS ([5] and [6]) is a relatively new metaheuristic

framework for developing heuristics algorithms that
have been intensively used in solving a variety of
combinatorial optimization problems. VNS is based on
straightforward facts that a local optimum of one
neighborhood structure does not have to be a local
optimum of another neighborhood structure; that a
global optimum is a local optimum of all of the
neighborhood structures; and that for many problems,
the local optima of one or several neighborhood
structures are close to each other. Therefore, because of
the expectation of finding an improved solution in a
neighborhood structure of the current solution x , VNS
is based on the systematic exploration of
k max neighborhood structures of the current solution
( N k ( x), k 1,2,..., k max ).
Neighborhood structures are changed sequentially
until a better solution is found. Afterwards, the
N1 structure is explored with respect to the new best
solution.
In the rest of this paper we will only give basic
characteristics of the VNS used for solving the
TSchPRT while the main algorithm for implementing
the VNS is taken from [5].
The main feature of the VNS is the number and
relationship of the neighborhood structures used in
algorithm implementation. For the case of the TSchPRT
we considered three neighborhood structures:
The 2OPT* move (Figure 1) is executed by breaking
sequence of assigned tasks and reconstructing sequences
by connecting remaining parts of opposite docks. For
example on Figure 1 sequence of tasks on dock X is
broken between tasks and , and on dock Y between
tasks and . Finally, tasks after breaking point on dock
Y are connected to tasks before breaking point on dock
X to be served on dock X, and the same thing is done to
the remaining parts docks x and Y to be served on dock
Y. The whole structure is generated by executing
procedure for each possible pair of breaking points.
Figure 2. Example of the swap move
The insertion move attempts to improve a solution

by removing a task from a dock, and inserting it at all
possible locations on other docks. The neighborhood
structure is formed after the relocation move is executed
for all of the tasks in the best solution. An example of
the relocation move is presented in Figure 3, where task
, served between tasks and , is moved between tasks
and , to be served by another dock.
Figure 3. Example of the insertion move
Presented neighborhood structures are used for

execution of the local search algorithm (Variable
Neighborhood
Descend
VND).
However,
determination of the number of implemented structures,
as well as order in which structure are explored is one of
the objectives of this research. Considered relationships
between structures are explained in more details in the
next section.
The same set of neighborhood structures is used also
for the shaking procedure of the VNS algorithm.
However, in this case we considered use of only two
structures and implemented nested relationship between
structures. Nested neighborhood structures are formed
by four successive implementations of the implemented
moves.
The VNS algorithm stops after all nested initial
solution are examined without solution improvement.
As an initial solution of the algorithm we used
solution obtained by the reduced VNS (RVNS) [5] with
the same stopping criterion as in the VNS but with the
difference that in the RVNS sixteen nesting structures
are used for every implemented move.
4. COMPUTATIONAL EXPERIMENTS
Figure 1. Example of the 2OPT* move
The swap move attempts to find an improved

solution by exchanging a task served on different docks.
The swap neighborhood structure is generated by
execution of swap move for each pair of task on all of
the docks. An example of the swap move is presented in
Figure 2, where tasks and exchanged positions in the
solution after the swap move.
In order to get insight into the effectiveness and

efficiency of presented approaches for solving the
TSchPRT we tested them on randomly generated
problem instances. Three sets of problem instances are
generated, each with different problem complexity. The
first set consists of 10 trucks (small problem size), the
second of 25 (medium problem size), and the third of 50
(large problem size) trucks. Each truck has randomly
generated arrival time according to uniform distribution
on the [0, 8] h interval, as well as randomly generated
duration of service time uniformly distributed on the
[0.4, 2.4] h interval. It is supposed that service time of a
truck is the same for all docks. The number of available
docks changes with the number of trucks in the planning
233
horizon. Accordingly, there are four, six and ten

available dock doors for the small, medium and large
problem instances, respectively.
We observed planning horizon of 16 hours during
which all, except first four docks, are available for
service during [0, 16] h interval. The first dock is
supposed to be available during [12, 16] h interval, the
second during [8, 12] h interval, the third during [9, 16]
h interval, and the fourth during [4, 14] h interval.
Notice that first four docks are always used in serving
trucks, regardless of problem size.
As it has been previously mentioned one of the
papers objectives is determination of appropriate
relationships between neighborhoods used in the VNS
algorithm. In order to achieve that goal we considered
four different variants of neighborhoods used in the
VND part of the VNS, and two relationships of nested
structures in the shaking part of the VNS.
The shaking relationships considered in this research
are: 1 the swap neighborhood nested within the
2OPT* neighborhood; and 2 - the 2OPT* neighborhood
nested within swap neighborhood.
As for the VND relationships following alternatives
differentiate by the number and sequence of
implemented neighborhoods are considered: (1)
k1=swap, k2=insertion; (2) k1=swap, k2=2OPT*; (3)
k1=insertion, k2=2OPT*; and (4) k1=swap, k2=insertion,
k3=2OPT*.
By combining every combination from the shaking
part with the every combination from the VND part of
the VNS eight alternative VNS algorithms are
considered. Each VNS alternative is named by stating
shaking followed with VND combination. For example
notation VNS 2-3 represent the VNS alternative
obtained by combining second shaking structure with
the third VND structure.
Because of the problem complexity only small size
problem instances are solved to the optimality by using
CPLEX 12.2s quadratic optimizer. In the cases of
deterministic heuristics every instance is solved once,
while in the case of the VNS every instance is solved
ten times. Average objective function values, as well as
standard deviations, for the variants of the VNS, are
reported in the Table 1, and Table 2, respectively. Time
efficiency of implemented algorithms is reported in
Table 3.
It should be mentioned that all of the test runs were
executed on a Windows XP OS powered by an AMD
Phenom II 2.61 GHz processor with 1GB of RAM,
while all of the coding was done in Python 2.5.
5. CONCLUSION
According to the Tables 1 and 2 it is noticeable that

VNS alternative 2-1 has proved to be the most effective
one. Namely, beside the lowest average value of
obtained objective functions it also had the lowest
deviation in objective functions. Therefore in further
comments of results when we mention the VNS we
refer to the VNS 2-1 alternative.
Effectiveness of the VNS is the most obvious when
results are compared to the optimal results of the
MIQLP. Namely, for all small instances VNS achieved
234
optimal solutions. Even more, only in the case of the

seventh instance it did not achieved optimal solution in
every repetition.
According from the Table 1s results DAH has
proven to be very inefficient in situations when all
docks are not available from the beginning of a planning
horizon. Although in [3] the author announced only
approximately 4% deviation from the optimal solutions
in our test instances it provided solutions that deviate
around 300% from the optimal ones. However, as the
number of docks available from the beginning of a
planning horizon increases the DAHs results increases
in quality, but still remaining the worst compared to the
other algorithms solutions.
On the other side, DAH has proven to be the most
time effective algorithm because it needed less than
0.01s for solving the large problem instances. However,
when objective function quality is considered
simultaneously with the time efficiency we believe that
the insertion heuristics is better choice for solving large
problem instances because it needed less than 0.1s to
solve large problem instances.
When the VNSs time efficiency is considered it
should be noticed that maximum required time of
around 300s is still acceptable for practical
implementations of the algorithm. However, the steep
increase in required time, e.g. when problem size
changes from medium to large indicates, indicates that
for the larger problem sizes the time efficiency of the
VNS has to be improved. Because problems of more
than 50 tasks are not so rare in the cross-dock terminals
our intention for further work is related to improvement
of the VNSs time efficiency.
ACKNOWLEDGMENT
This work was supported by the Ministry of

Education and Science of the Government of the
Republic of Serbia through the projects TR36005 and
TR36006, for the period 2011-2014.
REFERENCES
[1] Van Belle J, Valckenaers P, Cattryse D, (2012)

Cross-docking: State of the art, Omega 40, 827846, 2012.
[2] Boysen N., Fliedner M., Cross dock scheduling:
Classification, literature review and research
agenda, Omega 38, 413-422, 2010.
[3] Acar M K., Robust dock assignments at less-thantruckload terminals. Masters thesis, University of
South Florida, 2004.
[4] Soltani R, Sadjadi SJ, Scheduling trucks in crossdosking systems: A robust meta-heuristics
approach, Transportation Research Part E 46, 650666, 2010.
[5] Mladenovic N, Hansen P, Variable neighborhood
search. Computers and Operations Research 24
(11), 1097-1100, 1997.
[6] Hansen P, Mladenovic N, Variable neighborhood
search. In: Glover F, Kochenberger G (eds)
Handbook of metaheuristics. Kluwer Academic
Publisher, 145-184, 2003.
Table 1. Average objective function values of the TSPTR instances [h]
Number
Instance MIQLP DAH Insertion
of Tasks
10
1 7.33 20.54 8.05
2 7.44 21.57 8.38
3 8.38 23.35 8.53
4 5.65 20.29 6.04
5 6.52 20.28 6.88
6 8.12 21.25 8.41
7 8.49 24.16 9.93
8 9.62 23.19 10.19
9 11.52 25.22 11.99
10 5.30 18.17 5.32
25
11 NA 39.34 20.58
12 NA 43.23 21.91
13 NA 30.62 17.23
14 NA 43.52 23.03
15 NA 28.47 14.85
16 NA 32.93 18.86
17 NA 39.58 20.16
18 NA 36.22 18.39
19 NA 37.42 16.31
20 NA 45.17 22.97
50
21 NA 59.29 43.61
22 NA 57.30 43.54
23 NA 59.50 46.26
24 NA 138.11 137.89
25 NA 246.68 235.54
26 NA 187.09 189.18
27 NA 161.19 156.36
28 NA 166.37 165.88
29 NA 161.24 155.01
30 NA 148.88 142.15
Average
66.00 53.11
VNS
1-1
7.34
7.44
8.40
5.66
6.52
8.15
8.51
9.63
11.56
5.32
19.85
20.66
17.09
22.16
13.91
18.28
19.21
17.24
14.96
22.36
43.03
42.15
45.24
55.28
55.25
42.31
44.40
46.24
51.15
46.02
24.51
VNS
1-2
7.62
7.48
8.43
5.81
6.55
8.54
8.75
9.64
11.92
5.46
19.97
20.93
17.36
23.05
14.06
18.27
19.22
17.55
15.27
22.50
43.21
42.14
45.33
55.67
59.90
43.04
44.66
46.70
52.63
46.99
24.96
VNS
1-3
7.52
7.46
8.39
5.73
6.54
8.31
8.56
9.66
11.53
5.33
20.40
21.25
17.20
22.62
13.91
18.28
19.23
17.37
15.15
22.52
43.63
42.56
45.47
58.53
62.05
44.36
45.43
49.42
53.66
51.53
25.45
VNS
1-4
7.49
7.44
8.41
5.70
6.52
8.28
8.64
9.67
11.80
5.38
19.85
20.65
17.12
22.27
14.07
18.31
19.21
17.22
14.96
22.52
43.11
42.14
45.21
55.51
58.75
42.53
44.30
46.69
51.62
46.59
24.73
VNS
2-1
7.33
7.44
8.38
5.65
6.52
8.12
8.51
9.62
11.52
5.30
19.84
20.65
17.07
22.15
13.85
18.27
19.21
17.22
14.94
22.31
43.01
42.14
45.21
55.08
55.44
42.34
44.06
45.87
51.16
45.28
24.45
VNS
2-2
7.43
7.44
8.38
5.69
6.52
8.26
8.49
9.69
11.52
5.30
19.84
20.65
17.07
22.21
13.83
18.27
19.21
17.22
15.07
22.40
43.01
42.14
45.21
55.47
58.01
42.78
44.27
46.79
51.84
45.24
24.64
VNS
2-3
7.34
7.49
8.40
5.69
6.56
8.23
8.51
9.67
11.53
5.37
20.01
21.00
17.08
22.47
13.97
18.29
19.22
17.25
15.04
22.43
43.60
42.49
45.57
58.29
61.27
43.78
46.80
50.51
54.20
51.74
25.46
VNS
2-4
7.36
7.44
8.38
5.72
6.52
8.33
8.54
9.63
11.54
5.30
19.84
20.65
17.07
22.15
13.84
18.27
19.21
17.22
14.95
22.31
43.01
42.14
45.20
55.72
58.17
42.34
44.07
46.01
51.23
45.69
24.59
Table 2. Standard deviation of objective function values of the TSPTR instances [h]
Number
Instance VNS 1-1 VNS 1-2 VNS 1-3 VNS 1-4 VNS 2-1 VNS 2-2 VNS 2-3 VNS 2-4
of Tasks
10
1 0.05
0.40
0.39
0.29
0.00
0.24
0.01
0.12
2 0.00
0.08
0.02
0.00
0.00
0.00
0.07
0.00
3 0.05
0.12
0.02
0.08
0.00
0.00
0.03
0.00
4 0.01
0.21
0.19
0.08
0.00
0.08
0.06
0.17
5 0.00
0.06
0.04
0.00
0.00
0.00
0.06
0.00
6 0.07
0.54
0.54
0.30
0.00
0.26
0.17
0.44
7 0.03
0.30
0.13
0.16
0.03
0.02
0.03
0.10
8 0.03
0.03
0.03
0.09
0.00
0.14
0.04
0.02
9 0.05
0.64
0.00
0.60
0.00
0.00
0.01
0.07
10 0.06
0.16
0.03
0.18
0.00
0.00
0.10
0.00
25
11 0.01
0.41
0.68
0.02
0.00
0.00
0.46
0.00
12 0.01
0.47
0.66
0.01
0.01
0.01
0.54
0.00
13 0.02
0.62
0.38
0.16
0.00
0.00
0.02
0.00
14 0.02
0.72
0.54
0.35
0.01
0.16
0.49
0.01
15 0.06
0.42
0.06
0.61
0.04
0.02
0.17
0.03
16 0.00
0.00
0.01
0.11
0.00
0.00
0.02
0.00
17 0.01
0.02
0.02
0.00
0.00
0.00
0.01
0.00
18 0.02
1.06
0.37
0.01
0.00
0.00
0.05
0.00
19 0.02
0.52
0.51
0.01
0.01
0.34
0.20
0.01
20 0.08
0.58
0.42
0.43
0.00
0.27
0.35
0.00
50
21 0.03
0.42
0.65
0.31
0.01
0.00
0.61
0.00
22 0.01
0.00
0.59
0.00
0.00
0.00
0.50
0.00
23 0.02
0.39
0.49
0.01
0.01
0.01
0.55
0.01
24 0.61
0.65
1.29
0.53
0.25
0.72
1.27
0.50
25 0.62
1.58
1.98
2.26
0.42
1.50
1.85
1.94
26 0.09
0.59
1.23
0.41
0.18
0.84
0.91
0.13
27 0.99
0.81
0.87
0.52
0.01
0.46
1.50
0.04
28 0.78
0.85
1.16
1.05
0.02
1.04
2.44
0.45
29 0.38
1.23
1.22
0.75
0.61
0.70
0.67
0.60
30 1.63
1.53
2.31
1.71
0.75
0.41
1.94
1.34
Average
0.19
0.51
0.56
0.37
0.24
0.50
0.20
0.08
235
Table 3. Average running times of the TSPTR algorithms [s]
Number of
Instance MIQLP
Tasks
10
1 2426.19
2 3161.33
3 2719.44
4 2804.20
5 1867.72
6 2191.50
7 4441.86
8 2840.05
9 3241.08
10 2914.75
25
11
NA
12
NA
13
NA
14
NA
15
NA
16
NA
17
NA
18
NA
19
NA
20
NA
50
21
NA
22
NA
23
NA
24
NA
25
NA
26
NA
27
NA
28
NA
29
NA
30
NA
Average
NA
236
DAH
Insertion
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
>0.01
0.01
0.01
0.01
0.01
0.01
0.01
0.01
0.01
0.01
0.01
0.06
0.06
0.06
0.08
0.08
0.08
0.07
0.08
0.08
0.08
0.03
VNS
1-1
0.30
0.21
0.17
0.21
0.22
0.23
0.23
0.27
0.38
0.22
5.52
10.58
9.27
8.90
5.44
8.22
6.93
6.55
7.59
6.38
146.25
212.21
167.52
192.19
289.62
194.95
168.86
175.58
258.22
195.76
69.30
VNS
1-2
0.40
0.35
0.30
0.34
0.46
0.54
0.44
0.40
0.42
0.36
12.02
12.69
9.86
14.72
12.14
10.26
12.60
11.89
12.20
9.59
205.64
191.26
251.58
344.92
419.85
301.47
194.32
308.59
265.44
249.68
95.16
VNS
1-3
0.38
0.28
0.25
0.25
0.29
0.33
0.35
0.35
0.33
0.31
6.27
7.12
7.40
7.07
6.80
7.71
6.42
8.92
7.02
6.76
112.85
122.04
125.56
120.92
132.58
134.38
134.82
125.84
151.41
156.52
46.38
VNS
1-4
0.45
0.37
0.50
0.36
0.47
0.49
0.46
0.41
0.70
0.42
10.75
13.40
8.68
13.20
13.71
9.47
8.92
12.39
9.85
18.29
189.76
237.73
212.91
271.48
397.14
256.99
246.58
208.22
292.46
251.22
89.59
VNS
2-1
0.30
0.27
0.26
0.26
0.23
0.26
0.29
0.31
0.35
0.25
9.82
9.12
9.08
10.89
9.90
8.73
10.50
10.22
11.58
11.36
221.14
300.09
236.69
224.78
313.02
223.79
200.45
215.51
246.69
266.70
85.09
VNS
2-2
0.46
0.48
0.41
0.43
0.39
0.45
0.47
0.49
0.60
0.35
12.21
12.55
13.55
16.87
12.50
12.61
11.40
14.92
14.36
15.31
209.07
268.15
295.50
319.91
440.69
343.71
311.41
298.06
349.08
369.87
111.54
VNS
2-3
0.38
0.27
0.26
0.30
0.21
0.28
0.30
0.29
0.33
0.22
8.98
7.25
6.29
6.97
6.21
7.07
7.22
7.13
7.84
6.72
103.00
106.64
105.31
155.78
127.81
135.28
111.45
123.52
130.33
160.36
44.47
VNS
2-4
0.49
0.39
0.45
0.42
0.41
0.50
0.65
0.56
0.58
0.50
9.65
16.12
11.07
13.59
11.39
11.48
11.55
14.91
10.36
13.60
210.76
205.15
310.76
314.23
384.39
327.02
261.63
252.14
302.80
301.42
99.96
Marco Dewitz
Research assistant Institute for
Materials Handling Material Flow Logistics
Technical University of Munich
Department Mechanical Engineering
Stefan Galka
Research assistant Institute for
Materials Handling Material Flow Logistics
Willibald A. Gnthner
Professor Institute Institute for Materials
Handling Material Flow Logistics
Drive-Thru Loading Concept for

InPlant Milk Runs
At the Institute for Materials Handling, Material Flow, Logistics of the
Technische Universitt Mnchen a fully automated loading system for
tugger trains is currently under development. The new concept can solve
the major disadvantages of available technologies such as long duration of
loading tasks, and higher lead times, high manpower requirements,
physical stress and an increased error rate within the milk run process. In
addition to the detailed process and technical description of the concept,
this paper shall give a overview on the currently available automated
loading technologies following a comparison and benmchmark between
the concepts.
Keywords: Tugger train, Milk run, Material supply, automated loading,
Automated Storage and Retrieval System
1. INTRODUCTION
The provision of materials for production areas is

becoming increasingly demanding. A motivator for this
trend is especially the more frequent production of
different products on the same industrial facilities and
the thus following higher number of different materials
which must be supplied in production. The compression
of material necessary for this can only be achieved with
smaller load carriers which are supplied in high
frequency. The trend towards smaller load carriers is
also enforced by the desire to lower stocks in
production. [1 pp.32]
To attain these goals and nevertheless guarantee the
security of supply of production, a synchronisation
between production and logistics is necessary. [2,1
pp.275] The supply of replenishments for production
stands in conflict of goals between strategies which are
resource-poor and thus affordable, and a securityoriented and flexible interpretation of the supply
processes. A possibility to counteract this conflict of
goals is the use of tugger trains (in-plant milk runs,
routine trip) for the supply of material. This trend is
catching on increasingly, especially in the automotive
industry. [3,1 pp.275]
In practice mostly manually operated trucks with
several trailers are used as tugger trains. The driver of
the tugger train supplies the material in production and
takes emptied load carriers with him at the same time.
Highly diverse load carriers can be transported with
tugger trains, in the further progress of the article only
concepts for the provision of small load carriers (SLC)
shall be observed.
The starting point for the provision is a warehouse
close to the production site or a supermarkt (SuMa)
from which the required material is taken and loaded
onto the tugger train. On its route the train transports the
material to the places of need in production. There, the
driver of the tugger train supplies the full load carriers
and takes emptied load carriers with him. At the end of
the tour, the tugger train transports the collected empties
to an empties buffer and starts the new tour beginning
with the loading process at a predetermined point in

time.
The location of the warehouse and the conditions in
production decisively determine the transport path and
the effort for the supply of material. There is
significantly more organizational flexibility when
loading the tugger trains. There are concepts in which
the tugger train driver loads the trailers in the warehouse
or supermarket by himself (figure 1a). In other
applications, a further logistics employee loads the
trailers and the driver of the tugger train exchanges the
entire train or the trailers in a transfer area (figure 1b).
In some companies the tugger trains are loaded
automatically in which case the tugger train is not
loaded directly but transport racks are taken from the
trailers and are supplied to the automatic loading by
materials handling technology (figure 1c).
A new approach being developed and tested by the
Institute for Materials Handling, Material Flow and
Logistics of the TU Munich is depicted in digram 1d. In
this case a drive-thru concept is used, in which the
tugger train stops at a loading station and is loaded there
automatically.
The advantage of an automised loading is the
possibility of almost entirely neutralising physical stress
in this process. A second significant advantage is the
prevention of mistakes during loading. In manually
operated warehouses there is the possibility that the
employee takes the wrong material. Such mistakes are
mostly only realised at the place of demand and must be
alleviated with a lot of effort. Also in the supply of
material mistakes can be reduced if the driver of the
tugger train is supported in the material supply. For the
employee it is simplest to take the material in a
determined order. Corresponding with the order of
supply the material is arranged on the tugger train. The
employee must only take the material in the defined
order and supply it corresponding to the information on
the SLC. This way the search effort when taking the
material and the possibility of mistakes is almost
eliminated.
The creation of a specific order of SLC is very
elaborate in manual systems and not practicable due to
237
the high steeering effort. Inn automised syystems this orrder

can be createed by materialls handling tecchnology.
a) Direct manual loa
ading
WS 1
WS 2
3
4
Material Source
3
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
3
4
WS 3
3
4
WS 4
5
6
Em
mpties buffer
3
4
3
4
WS n
...
Production
upermarket
Su
inv
vestments andd elongates thee time necessaary for takingg
outt of stock annd supply. D
Due to this the
t
orderingg
serrvice for a tour
t
must be completed earlier,
e
whichh
leaads to an inncrease of thhe replacemen
nt time. Thee
rep
placement tim
me is definedd as the maaximum timee
bettween the reetrieval of m
material and a supply forr
pro
oduction. [4, pp.203] A lower replaacement timee
enaables the reduuction of stocks in production withoutt
deccreasing the suupply tact.
3. CONCEPT
b) Bufferd manual loading

WS 1
WS 2
3
4
Material Source
3
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
3
4
WS 3
3
4
WS 4
3
4
WS 3
3
4
WS 4
3
4
WS 3
3
4
WS 4
5
6
Em
mpties buffer
3
4
3
4
WS n
...
WS 1
WS 2
3
4
Production
Su
upermarket
System-Trray
Buffer
3
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
P
5
Empties buffer
3
4
3
4
WS n
...
WS 1
WS 2
4
3
Production
Automated
Loading
Material Source
ASRS
c) Automated loadin
ng of system trays on chain
n conveyer
3
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
43 14 4314 431 4 43 14
4 314 431 4 43 14 4 314
431 4 4314 4314 4 314
Explanation
Empties buffer
3
4
3
4
WS n
...
oods onto trailer

Loading go
Transport of em
mpties to empties buffer
Pick-up of loaded trailers
Unloading of empties
e
of goods to production
Transport o
Retrieval
Provision at
a workstations / pick-up of em
mpties
nsportgeselle
Pufferung Tran
Production
Automated
Loading
Material Source
ASRS
d) Direct automated
d loading (Drive-Thru)
a the Institutee
A new conceept which wass developed at
forr Materials Handling,
H
Maaterial Flow and
a
Logisticss
(fm
ml) of the Technische
T
U
Universitt Mnchen
M
andd
anaalysed in a sim
mulation studdy can reduce the technicall
efffort in the prezone of the wareho
ouse withoutt
deccreasing the performance
p
of the STCs. The conceptt
intends an auttomised loadiing of the tugger trainss
hering to seqquence. Signiificant compo
onents of thee
adh
auttomatic loadinng of tugger ttrains are an ASRS
A
for thee
sto
ocking of maaterial as weell as materiials handlingg
tecchnology whicch leads the SL
LCs from the warehouse too
a loading stationn. The loadinng station itsellf is made upp
of loading shelvves and a techhnical appliance (e.g. smalll
w
sorts thee
staacker cranes orr hubben-staccker cranes) which
SL
LCs into the loading sheelves. With these
t
loadingg
sheelves the SLC
Cs are loaded into the transsport racks onn
thee tugger train. Both the loadding shelf and
d the transportt
fraame are flow racks.
r
The SLCs arre taken out off stock from th
he small partss
sto
ore, transporteed over the conveyors to
o the loadingg
staations sorted directly
d
into thhe loading sh
helves withoutt
intermediate stoorage (see figgure 2). Throu
ugh this new
w
ncept the last order service can be set tem
mporally veryy
con
clo
ose to the taking out of stocck and thus a fast supply iss
enaabled.
Figure 1. Diffe
erent concepts
s for the supply
y of SLC tugge
er
trains
2. AUTOMIS
SED LOADING OF TUGGE
ER TRAINS
There arre three basicc approachess how the orrder

(sequence) can
c be createed. In the siimplest case the
material is taaken out of sttore based on the route andd an
employee creeates the sequuence manuallly. However, this
approach crreates furtherr sources off mistakes. The
T
second approoach is based on the idea off already creatting
the sequencee in the autoomated storaage and retrieeval
system (ASR
RS) with thee stacker crannes (STC). This
T
leads to inteeractions betw
ween the diffferent warehoouse
gangways whhich cannot be
b kept busy. Corresponding
C
gly,
the SLC musst be arrangedd for a higherr performancee. If
the finding of
o material in the
t warehousee is inhibited due
to many frinnge conditions, this conceppt can no lonnger
fulfill the tassk. The approaach used mostt frequently is the
sorting of SL
LCs in the AS
SRS prezone. This
T can be done
d
by different sorting
s
levels with conveyoor technologyy for
example, or through
t
an addditional level of handling with
w
storage and taking out off storage in a highly dynam
mic
h
buffer. This approach frrequently leadds to very high
238
Fig
gure 2. Loading
g station for the
e automatic loa
ading of
tug
gger trains
At a definedd point in tim

me t1 (see figure 3) rightt
beffore the beginnning of the unloading fro
om the smalll
parrts store, the loading order for the transport racks on a
tou
ur is calculated using the existing retrrieval orders..
Th
his is based onn the driving rroute of the tu
ugger train soo
thaat the driver of the tugger trrain has a deteermined orderr
of removal andd his search effort is min
nimized. Thee
ntrol checks the loading order and deetermines thee
con
exaact target placce (transport rack, shaft, position in thee
shaaft). If this IT
T process is completed, th
he warehousee
maanagement sysstem assigns tthe unloading
g orders to thee
SL
LCs. In this caase the typicaal unloading strategies
s
cann
be used which intend that all warehouse aisles are

working to capacity. Then the small parts store conducts
the cleared unloadings. With a slight temporal delay due
to the delivery time of stacker cranes and supply of the
storage prechamber, the first SLCs arrives at the transfer
point of the loading stations. These facilities arrange the
SLCs in the predetermined shaft of the loading shelf. If
all containers are loaded into the loading shelf, the
loading of the transport racks on the tugger train can
happen. For an improved decoupling between the
supply and loading, the capacity of the loading shelves
can be doubled. This has the advantage that in the case
of possible irregularities in the tugger train timetable the
supply of the next tour can be conducted independently.
The performance of small parts stores and loading
stations are coordinated with one another. As the
loading stations sort into every shaft but cannot change
the order of containers within a shaft, this must already
be guaranteed by the unloading of the small parts store.
That is why all small parts stores, which have the same
position in the shaft as a place of destination, are
combined in one retrieval wave. The different retrieval
waves are then cleared for unloading to the small parts
store (see figure 2). As per wave there is a maximum of
one small parts store for every shaft, the loading station
can reliably create the sequence. Within one wave there
are therefore no requirements of sequence for the small
parts store. A possible strategy to prevent the mixing of
SLCs within a shaft is to clear the single retrieval waves
strictly one after the other. For this all SLCs of the last
waves must have passed the control point (c-point) of
the warehouse before the next wave is cleared.
Due to this there are waiting times for the single
stacker cranes during the transition to the next retrieval
wave. The waiting times result from the different
number of SLCs to be unloaded per warehouse
gangway, differently long stracker crane running times
and the supply time to the c-point.
In another strategy the retrieval waves are
additionally combined with each other. As soon as an
SLC of the previous retrieval wave has passed the cpoint, the next container in the corresponding shaft from
the next wave is cleared. Thus the number of SLCs
ready for retrieval at the same time is kept more stable
than with the first strategy and waiting times for the
stacker cranes are reduced.
However a problem with both strategies is the high
number of SLCs which come to the loading stations in
short time and must be temporarily buffered during the
conveyed way. The maximum security of supply of the
loading stations is thus contrasted with high investments
of conveying technology and a lowered performance of
the small parts store.
Closing order process

for Tour A1
Utilization ASRS
100%
Start
Tour A1 W1
ASRS
Start
Start
Start
Tour A1 W1 Tour A1 W1 Tour A1 W1
A1W3
B1W3
t5
t6
t7
B0W4 A1W1 B1W1 A1W2 B1W2 A1W3 B1W3 A1W4 B1W4 A2W1 B2W1 A2W2
Loading station A
A0
A1
B0
Loading station B
A2
B1
B2
Start Tour A1
t0
t1
t2
t3
t4
t5
t6
t7
t8
t9
t1
t1
t1
Start Tour A1
Transport time for
SLCs from ASRS to
the loading station
Loading time
Start Tour B1
Figure 3. Interaction of the information technology, the

autmatic small parts store and loading station for the
sequenced loading of tugger trains
To prevent this disadvantage and keep the waiting

times of the stacker cranes as low as possible, it is
sensible to mix the retrieval waves of different loading
stations. Wave 1 for the loading station A then follows
wave 1 for loading station B (see figure 3). Up to the
starting point of the unloading of wave 2, all containers
have thus surely passed the c-point. The mixing of
waves also enables the temporal distribution of the
arrival time of the retrieval waves over the loading time
of a loading station. Therefore there are less stacking
places on the conveyance technology intended for the
single stations. The steering must however observe that
the last wave of an order is cleared in time, so that all
SLCs are unloaded, transported over the conveyor and
can be sorted into the shafts on the loading station.
4. CHALLENGES IN THE TRANSFER OF THE SLC
TO THE TUGGER TRAIN
As mentioned before, to make the process of feeding

the loading shelves independent from the milk run
process the loading shelves can hold two complete
batches. To separate the SLCs of both batches, the small
stacker crane automatically releases the first depth
(collection depth) and the batch glides into the second
depth (transfer depth). The transfer of SLCs from the
collection depth to the transfer depth and the transfer
into the transport racks are the critical interfaces. In
respect of a cost effective and lean processing solution
no power driven equipment or sensor systems were
used. Within the loading shelves the SLCs glide gravitydriven on inclined planes. Due to this passive solution
possible error sources are created which in operational
use cannot be detected or resolved automatically.
One possible undetected error occurs in the case of
SLCs getting stuck in the collection depth. This leads to
a mixing of SLCs of different tours which, in the worst
case, is unnoticed until the tugger train driver delivers
the goods. This error source must be eliminated by
suitable constructive measures. The prototype tests have
shown that especially the tilt angel, roll type, the SLC
weight and the type and positioning of goods inside the
SLC influence the rolling characteristics. A high tilt
angle of the flow racks has a positive effect on the
process stability but is restricted by the translational
239
momentum when the SLC collide with stop bar (fragile

goods could be damaged or bulk goods could fall out of
the SLC). Therefore, special brake rollers with a
acceleration dependent breaking effect are used to slow
down the SLC smoothly.
Possible error sources while transferring the SLCs
from the loading shelves into the transport racks are
tipping of SLCs in the transfer-gap or getting stuck in
the transport rack. First of all, an exact positioning of
the transport racks in front of the loadings shelves is
necessary. Therefore, several factors must be considered
(see Table 1).
Table 1. Influencing factors on the relative position of the
transport racks
Influencing factor
Impact on
x
Manufacturing tolerance of tranport racks
Manufacturing tolerance of loading shelves
Clearance in trailer couplings
Positioning tolerance of transport racks on trailers
Positioning tolerance of tugger train
Directional stability of trailers
Bowing of flow planes under load

Abrasion
Explanation
o
o
x
y
z
+
o
the roller tracks. On the other hand, full-width rollers

differ considerably in starting torque and rolling
characteristics. Manufacturing tolerances (imbalance)
and the quality of ball bearings must receive special
attention.
If, despite all constructive meassures, a SLC is not
transferred into the loading shelve correctly, this error
must be resolved by the tugger train driver manually.
Therefore, a solution was chosen in which the driver has
to release every loading shelve manually so he can see
possible errors directly in contrast to the automatic
release of the collection depth.
5. COMPARISON OF CONCEPTS FOR AUTOMISED
LOADING
Due to the absence of buffering steps for loaded

transport racks the drive-thru concept is substantially
different to other automated loading concepts. Within
the other concepts transport racks are taken off the
trailers and transported to the loading stations either
manually (concept 1) or on conveyor technology
(concept 2). Figure 4 shows the therefore required
handling steps for all three concepts.
Direction of travel axis

Lateral direction axis
Height direction axis
Strong impact
Medium impact
To make the positioning in the direction of travel (xaxis) easier, several constructive measures were applied.
Crosswise, the shafts of the loading shelves are wider
than the shafts of the transport racks. Due to this the
position tolerance is enhanced if the SLCs are placed
centric in the shafts of the loading shelves. The trailer
couplings are without clearance and the transport racks
are positioned on the trailers using centering devices.
The positioning of the tugger train itself is done
manually by the driver. Therefore, a laser pointer is
mounted on the housing of the truck to project a
position mark. Combined with markings on the floor the
driver can see the ideal driveway and breakpoint.
For a correct transfer of goods the transfer gap in
which SLCs are not supported by rolls (lateral direction,
y-axis) must be minimized. To eliminate the influence
of the directional stability of the trailers and the
inaccuracy of a manual positioning the trailers are
restraint-guided by rolls mounted to the housing and a
separate guide rail.
The prototype tests have shown that offsets in height
direction are critical, especially when the flow planes of
the transport racks are higher as the loadings shelves.
Even small offsets lead to an interfering edge. As a
general tendency the planes of the flow racks should be
mounted slightly lower than the ones of the loading
shelves to prevent influences by the unevenness of the
floor or dirty wheels.
Last but not least, the selection of rolls in the
transport racks is very important. The use of roller
tracks simmilar to those in the loading shelves, which
grant the best rolling characterisics, is not possible. Due
to acceleration an vibrations the SLCs would damage
240
Figure 4. Comparison of required process steps for

different automated loading concepts
Within all three concepts, the loading process starts

with the retrieval in the ASRS, the transport of the SLCs
to the loading stations via conveyor technique. Within
concept 1 and 2 the SLCs are picked by the small
automated stacker crane and buffered in separate racks
or, within concept 3, buffered inside the loading
shelves. Since the automated stacker crane can start
working when the first SLC arrives at the loading
station steps 1-3 can partly be done at the same time.
The fact that the SLCs are fed into the loading
shelves in the correct sequence is a major difference of
t
the drive-thrru concept inn contrast too the other two
concepts in which the SLCs
S
must bee handled tw
wice.
Furthermore,, the transportt racks are neever taken offf the
tugger train and now addiitional employyees or technnical
equipment arre required.
The duraation of all prrocess steps starting with the
retrieval in the
t ASRS until the SLCs / transport raacks
are completeely loaded onto
o
the tuggger train can be
described as technical leadd time (see figgure 5).
d tugger trainss
seeen in the decooupling between ASRS and
and
d the tugger trrains themselvves.
The absence of re-sequenccing steps forr SLCs causess
a tighter
t
couplinng between thhe loading pro
ocess and thee
AS
SRS. As descrribed in chapteer 3, the ASRS must assuree
thaat the differennt retrieval w
waves are not mixed whilee
witthin concept 1 and 2 thhe final sequ
uence can bee
esttablished by thhe loading stattion itself.
Unlike in cooncept 1, wheere transport racks can bee
tak
ken out of the buffer and looaded onto thee tugger trainss
in a free order,, the requiredd order of arrrival is fixedd
hen the first SL
LC is loaded iinto the loadin
ng shelve. If a
wh
tug
gger train arriives not in tiime, the nextt train, whichh
shaall be loaded in the same loading statio
on, must waitt
unttil the transffer depth is ccleared, caussing a tighterr
cou
upling betweeen the diffferent tugger trains. Thee
dettailed results of the benchm
mark can be found
f
in tablee
2.
Tab
ble 2. Benchma
ark results of a
automated load
ding concepts
Co ncep
pt 1
Co ncep t 2
Drive-T hru
204.00
00
300.000
96.000
55
108
48
T ran
r spo rt shelve
e
lo adin
a
g time [m in /tou r]
17,7
19,9
10
Ou
u tpu t [tou rs/h]
3,4
tug
g g er train load ing
i
tim
m e [min]
0,5
2,8
T ach
a nical lead tim
me
--
--
Re
eq uir ed m an po wer
w
[em
mp lo yees/tou r]
0,22
0,28
0,1
Errg on o mics
++
+ +
De
ecou p ling b etw een
e
lo adin
a
g and ASRS
S
De
ecou p ling b etw een
e
tug
g g er trains
++
In vestm
v
en t []
Figure 5. Com
mparison of tec
chnical lead tim
me for differentt
automated loa
ading concepts
s
6. BENCHM
MARK OF THE
E DRIVE-THR
RU CONCEPT
T
In additioon to the bennefits mentionned in chapterr 5,

the drive-thrru concept grants several advantages. To
evaluate thoose, a benchhmark betweeen the differrent
concepts waas part of thhe developmeent. Based onn a
predetermineed scenario different
d
aspeects were raated,
such as:
requirred investmennt and floor space
time for automateed loading tassks using cycletime calcullations
using methoods time for manual loading-tasks
l
time measuurement
ergonnomics
process stability
Since noow equipmennt for SLC sequencing or
transport sheelve handling is required, the
t investmennt is
reduced andd less floor sppace is requiired. Also, siince
SLCs are haandled by thee rack feederr only once, less
time is needeed for automaated and manuual loading tasks.
This leads too an almost doubled capaacity per loadding
station.
In conceept 1 and 2 an additionnal employeee is
required eithher to feed thee transport raccks to the loadding
stations or a fork lifter drriver to take off the transpport
racks. Withiin the drive-tthru concept, only the tuggger
train driver fulfills
f
loadingg tasks. As a consequence,
c
less
manpower iss required too load a tuggger train and the
automation level is higherr. Since the tuugger train driiver
s
and chhecks the corrrect
only releasess the loading shelves
SLC transferr, no additionnal physical stress is creaated
due to the looading processs (especially in
i comparisonn to
manual loadiing concepts)..
In contraast to positivees which can be found in the
quantitative performance data some negatives
n
cann be
Re
eq uir ed flo or sp
pace
[m
m ]
Im
m pr ovem ent
Un
n chan ged
De
eclin e
7. CONCLUSIO
ONS FOR THE
E REPLACEM
MENT TIME
m
timee
From a custoomer point off view, the maximum
bettween the stocck falls below
w reorder leveel and time off
rep
plenishment which
w
can be aassured by the supplier is off
speecial interest. On basis off the replacem
ment time thee
req
quired stocks at the workpllaces and reorrder levels aree
deffined. Dependding on the logistics conccept differentt
tim
me shares musst be taken intto account. Fiigure 6 showss
this correlation using the exxample of a kanban-card-sysstem.
241
Figure 6. Time
e shares of rep
placement time
e in milk run
supplied systtems
By the tiime the stockk falls below the reorder leevel

this event must
m
first be recognized (synchronizattion
between reorrder process and
a material consumer).
c
Next,
the order muust be submitted to the mateerial source. Due
D
to the submiission (e.g. trransport of kaanban-cards) and
synchronizattion effects (e.g.
(
collectinng kanban-caards
before subm
mission) dead times can occcur [1, pp.1880].
The therefore required time shall be
b described as
information lead time. Inn some logistics concepts an
mple,
information lead time doees not apply. If, for examp
mand is calcuulated by billl of
the determinnation of dem
materials exxplosion (deemand-driven)) demands are
recognized automatically
a
w
without
delay.
Usually, an order whicch reaches thee material souurce
formed into a stock-removaal order instanntly
is not transfo
but has to bee synchronizedd with the loadding and delivvery
process of thhe tugger trainns. To achievee a high transpport
load, orderss are colleccted within the warehoouse
managementt system causinng an additionnal dead time..
When a predefined
p
tim
me prior to thee start of the tour
t
is reached all orders are trransformed innto stock-remooval
c
3) andd the retrievall starts. Next, the
orders (see chapter
technical lead time is requuired to load thhe SLCs onto the
tugger train.. Finally, thee driver needds some timee to
deliver the material
m
to the workplaces.
As part of
o the replacem
ment time, a shorter technnical
lead time loowers the repplacement tim
me by the saame
amount. Ordders for a specific
s
tour can longer be
accepted. Froom the opposiite perspectivee, this means that
t
the recognition of demandd can be closeer to the start of
o a
specific tuggger train tour which leads to lower reorrder
levels and material stocks at the workplaces.
8. CONCLU
USION
In times of increasingg numbers of variants that are

produced onn the same production
p
faacilities, logisstics
processes aree becoming more
m
and more complex. The
T
aim of proviiding a higherr number of different
d
goodds at
the workplacces can only be achieved by
b using smaaller
load carriers which must be stored andd handled witthin
T
a compressionn of
intralogisticss processes. Therefore,
materials durring transport and a highly frequent mateerial
supply is neccessary.
Establishhing in-plant milk run conncepts or tuggger
trains is an efficient
e
way to
t supply the production arreas
at much higgher frequenccies while, att the same time,
traffic and acccident risk are
a reduced. [1, pp.184] Whhile
the requirem
ments for plannning and conttrolling milk runs
r
are mainly seet by the mannufacturing areas and the plant
layout, the looading processs can be desiggned more freeely.
242
Despite the fact

f that in-plaant fully autom
mated storagee
sysstems are beecoming morre and moree a standardd
sollution in the automotive
a
seector, the auto
omation levell
of loading milkk runs is faalling. This leeads to highh
maanpower reqquirements, pphysical streess and ann
inccreased error rate
r within thee milk run pro
ocess.
The new Drive-Thru conccept allows th
he integrationn
of milk run loaading tasks inn fully autom
mated materiall
ow systems. Due
D to the cenntral location at the outputt
flo
poiints of the AS
SRS the concept can be a cost-effectivee
sollution. In coomparison to other autom
mated loadingg
con
ncepts in whhich transportt racks are taken
t
off thee
tug
gger trains, the
t
drive-thruu concept grants
g
severall
adv
vantages. Sincce trailers are not buffered after loading,,
thee lead time foor preparing a tour is redu
uced and lesss
flo
oor space is reequired. Furthhermore, all direct
d
loadingg
tassks are fullyy automated. The driver only fulfillss
con
ntrol activitiees which redduces his ph
hysical stresss
cau
used by loadinng activities.
Because hanndling steps and the requ
uired loadingg
tim
me are reduuced, orderedd Material reaches thee
pro
oduction areass quicker. Stoccks can be red
duced withoutt
inccreasing the suupply frequency.
In close cooperation witth an industrry partner, a
pro
ototype of thhe system iss currently tested
t
at thee
Insstitute for Materials
M
Handling, Maaterial Flow,,
Lo
ogistics. The initial operration at a plant of ann
auttomotive suppplier is expecteed to be in Jully 2013.
RE
EFERENCES
in
derr
[1]] Klug,
F,,:
Logistikkmanagement
Automobilinndustrie, Sprringer Verlag
g Heidelberg,,
2009
[2]] n.n. Vorbildd Supermarkt in Logistik Heute,
H
Nr. 11,,
2009, pp.300-31
[3]] Dreher, S.,
S
Nrnberrger, A., Kulus, D..
Routenoptim
mierung in dder Produktio
onslogistik inn
ZWF Zeitscchrift fr wirttschaftlichen Fabrikbetrieb.
F
.
Vol. 104, ppp.131-135
[4]] Dickmann, Philipp,: Schlanker Materialfluss,
M
,
Springer Veerlag Heidelbeerg, 2009
Mag. Daniel Tinello

Scientific Assistant
Institute of Logistics Engineering
Dipl.-Ing. Wolfgang Trummer

Scientific Assistant
Dr.-Ing.habil. Dirk Jodin

Professor /Director of the Institute
Efficient approach in modifying

material flow systems
An increasing demand of rearranging material flow systems (entire
technique used for the focused intralogistics) due to changing economic
environment requires a fast and goal-oriented approach which will be
presented during this article. Furthermore there will be introduced an
interrelated Microsoft based tool, which connects tools and methods of
material flow planning. The presented approach of modification together
with this integrated computer aided system should be a contribution to
meet actual demands.
Keywords: logistics, material flow systems, layout planning
1. INEVITABLE PERIODIC REARRANGING OF

MATERIAL FLOW SYSTEMS
If a new material flow system is planed the problem

appears, that after some years or even months the
system is no more up to date. Logistic systems are not
static and hard to predict as well [1]. The figure below
shows some more or less reasonable explanations why
this is the case (dependent of the type of industry).
commissioning, transport system etc.) and Equipment

Level (e.g. conveyor, forklift etc.) [2]. Basically the
System Level is the main focus of this article, but with
some modifications it could be also applied to the
Structure Level.
To meet the demands caused by changes mentioned
within the preceding paragraph, first will be discussed a
new path of modifying material flow systems and
second an efficient interrelated tool explained with a
theoretical example.
2.1 New path of modifying material flow systems
The literature provides plenty of systematics of

factory planning with different steps and details [3]-[8].
Although those are good and well thought, with the
following new systematic, there should be established a
short and simple approach, which can be easily
remembered and applied to different planning
situations. Furthermore it should be a help not to loose
oneself in details but to establish innovative solutions.
Figure 1. Changing demands on material flow systems
So it is inevitable to rethink and modify the material

flow system after a certain time. And looking back in
history it is assumed that the time period in which the
systems have to be adapted get even shorter in future.
So there is an increasing demand in reducing both, time
and costs of this periodic rearranging process by a fast
and goal-oriented approach which will be presented
within the following section.
2. EFFICIENT APPROACH OF MODIFICATION
The general view on topics of the Institute of

Logistics Engineering (ITL) is the following top down
approach, consisting of Structure Level (e.g. General
Network, Supply Chain etc.), System Level (e.g.
Correspondence to: Mag. Daniel Tinello, scientific assistant
Inffeldgasse 25e, 8010 Graz, Austria
E-mail: daniel.tinello@tugraz.at
Figure 2. Path of modifying material flow systems
As shown in Figure 2 the modification of a material

flow system can be done in four steps. First in getting
the knowledge about where, what and why the actual
systems needs to be adapted. Second in deriving out of
it the vision how the adjusted system should look like.
Third in checking the feasibility of the vision, and
fourth by realizing it. These steps are part of a repeated
iteration loop, because it could be that creating a Vision
needs more knowledge of a certain detail, or the
feasibility check fails. In both cases the planer has to
return to a previous step of the path.
243
For each of the steps in the path of modification,

several tools and methods are presented in Table 1,
which can be chosen to reach the responding goal with
low effort. The presented tools and methods are
additionally arranged in areas (e.g. data acquisition or
data analysis for the step Knowledge).
In a lot of cases the step Knowledge takes the most
of the time, depending on the companys data handling.
After accumulating deeper insight on the problem a
solution has to be discovered. When considering the
tools it gets clear why the second step is called Vision.
Although certain methods are used, this is a quite
creative step, where sometimes new ways are taken and
visionary solutions emerge. The focus on this step
should prevent the planning team to take the first
outcome that comes to their mind, but to think out of the
box in first collecting different ideas and ways without
constraints. As recently as with tools of the step
Feasibility these ideas get checked and an
unconventional solution, which maybe would have been
undiscovered with conventional approaches, turns out to
be the best.

2.2 Efficient interrelated tool
As shown before, Table 1 provides a high quantity

of methods and tools. But while planning a new system
the iteration forces the planer to change and recalculate
again and again. The tools are good, but the missing
connection between them causes a lot of unnecessary
effort.
In this section a concept will be shown that could
help to connect some of the existing methods to a
powerful instrument, while using Microsoft standard
software. In Figure 3 a part of this tool is shown that
focuses primarily on the interrelated planning of a new
factory layout with regard to material flow.
Table 1. Several tools and methods for each step of

modification
step
Knowledge
area
tool /method
definition of
a project
Critical path method,

Organizational chart
time recording, content
analysis, multi-moment
recording, reporting method
(self-monitoring), written
questionnaire, electronic
questionnaire, oral interview,
Route card procedure (selfmonitoring), database query
list of parts analysis, working
plan analysis, distribution
statistics analysis descriptive
statistics, ABC- analysis,
ABC-XYZ portfolio analysis,
material flow matrix
sankey- diagram, process
chain ilustration, flow-chart,
structure diagram
TRIZ, synectics,
brainstorming, brainwriting,
reversal technique
shifting method, circle
method, construction method,
transposition method, cluster
analysis
morphological boxes,
allocation table, decision tree
static and dynamic
procedures of investment
calculation, activity based
costing
data
acquisition
data
analysis
data
visualisation
Vision
creativity
technique
layout
planing
Choice
assistance
Feasibility
financial
qualitativequantitative
simulation
technical
244
value benefit analysis

AUTOMOD / Plant Sim /
DEMO 3D etc.
performance calculations,
vehicle quantity
computations, cycle time
computations, optimization
calculations
Figure 3. Interrelated tool for planning material flow

systems
Central point of the tool is a common database in MS

Excel representing the step Knowledge. Here the data,
for example distances or amount of transports between
objects can be filled in or imported from other
programs.
With MS Visio the different data is visualized
according to its source. For example statistical data is
illustrated in diagrams while production area, storage
area etc. are visualized like a factory layout. But this
visualization is not static like carved in stone. Here the
planner can move objects due to his experience and
local circumstances. This is the representation of the
step Vision. When the planer finished his inputs the
visualization transfers the changed data into MS
Excel where integrated feasibility tools check and
visualize the changes.
The advantage is that three of the four steps
visualized in Figure 2 (Knowledge, Vision, and
Feasibility) are integrated in that tool. Meaning that if
there are changes in step one (Knowledge) within some
mouse clicks the impacts on feasibility are checked or if
a new vision is created by changing layouts, the tool
calculates the responding changes and displays the new
material flow matrices and feasibility. It has to be
added, that this tool was not created to replace, but to

support the planer and has to be clearly distinguished
from one-click, one result programs.
2.3 illustration using a theoretical example
Now there will be shown a theoretical example.

Figure 4 shows two MS Excel sheets, where the
upper one is used to insert the length and width for the
different stations like milling, welding etc. The second
sheet is used to insert source, sink and amount of each
transport which takes place.
Another part of the tool uses the recorded data to

produce a layout. The dimensions are already according
to the data, so the objects can be easily placed like the
actual factory layout. Then it can be chosen, as Figure 6
illustrates, to show the transports, like the upper
illustration or to show the relation between sources and
sinks. Here the different colours and arrows widths
represent the different amount of transport.
Figure 4. Example of MS Excel sheets used for data

input
Out of this data the system is able to produce a

sankey diagram, in a basic form, which can be changed
easily to the planners preferences. As the following
illustration shows, this sankey consists of different
colours for different products, and the width of the
arrow shows the amount of transport.
Figure 6. Layout with transports (above) or arrows of relation (below)
Now the objects are placed and the routes of

transport can be checked or changed due to the factories
reality. Because the layout is true to scale the transports
can be computed and displayed in a MS Excel table.
Figure 7 shows three tables, where the first table
contains the amounts, the second the computed
distances and the third the product of distance and
amount also known as transport intensity matrix.
Figure 7. Amount-, distance- and transport intensity matrix
Figure 5. Automatically produced sankey diagram
The last one serves as starting point for further

considerations. Especially the value on the bottom right
of the transport intensity matrix represents the total
245
effort of the logistic system [9]. So this value should be

minimized. In this case it is 9.135 [units*meter].
To do this, the planer can use now the insight of
Figure 5 and/ or Figure 6 to get an idea how to rearrange
the objects within the layout. This leads very fast to a
layout like in Figure 8, where the value is 7.060 instead
of 9.135 [units*meter].
logistics up to the investigation of alternative transport

technology and conveyor technology for intralogistics.
3. CONCLUSION
The presented approach of modification together

with the efficient interrelated tool is opening the
possibility to connect the cumulated tools and methods
of material flow planning with an integrated system.
The approach and the Microsoft based tool will be
used during the next material flow projects of the
Institute of Logistics Engineering to fit further
requirements from praxis. Additional effort will be
taken to a successive integration of more tools and
methods into this interrelated tool. In future an easy to
handle tool could fit all demands for diverse planning
tasks. This should be a contribution to be able to handle
and quickly adapt material flow systems to future
changes.
REFERENCES
Figure 8. Fast constructed alternative layout
After some easy moves the effort for the logistic

system could be theoretically lowered by 22,7 %.
2.4 Advantage of the approach
Within some of the last material flow projects of the

ITL, the costs could be lowered for a medium sized
company about a two-digit percentage using this tool.
Furthermore it can be added, that the planning
software allows to derive automatically assessment
criteria for planning variations and to support the
planner with the definition of other alternatives. A
multitude of assessment criteria like material flow
matrices, graphical material flow illustrations which are
precisely positioned (layout-based sankey diagrams,
etc.) as well as other dimensions which give explanation
about the complexity of the material flow system are
serving to gain deeper insight.
The resulting strategical advantage which arises for
all planning partners is evident:
efficiency increase in the planning, quick
planning results in the early phase of planning
shorter planning times
quick development of alternatives, support of the
creative process under integration of the
employee's experiences on planning
enhancement in quality of planning
The areas of application of the defined approach are
varied considerably and reach from the optimization of
the factory layout on different levels, as well as analyses
of the current state of existing in-plant transport
246
[1] Jodin D., Landschtzer C., Wolbank G.:

Performance of autonomous carrier systems in
respects of collisions, XXVI. microCAD
International Scientific Conference, Miskolc 2012,
ISBN: 978-963-661-773-8
[2] Jodin D., Trummer W.: Wissensbasierte Methoden
zur Planung von intralogistischen Anlagen und
Systemen, Sonderausgabe F+H Projektguide
Intralogistik, 2012, in Press
[3] Aggteleky B.: Fabrikplanung, Werksentwicklung
und Betriebsrationalisierung, Betriebsanalyse und
Feasibility Studie, Band 2, Hanser, Mnchen,
Wien, S. 1-8, 1990
[4] Grundig C.-G.: Fabrikplanung, Planungssystematik
Methoden- Anwendungen, Hanser, Mnchen, S.
11-49, 2009
[5] Schenk M., Wirth S., Mueller E.: Factory Planning
Manual, Situation-Driven Production Facility
Planning, Springer, Heidelberg, Dordrecht,
London, New York, pp. 18-220, 2010
[6] Kettner H., Schmidt J., Greim H.-R.: Leitfaden der
systematischen Fabrikplanung, Hanser, Mnchen,
Wien, S. 4, 1984
[7] Schmigalla H.: Fabrikplanung Begriffe und
Zusammenhnge, REFA Fachbuchreihe Betriebsorganisation, Hanser, Mnchen, Wien, 1995
[8] Wiendahl H.-P., Reichardt J., Nyhuis P.: Handbuch
Fabrikplanung,
Konzept,
Gestaltung
und
Umsetzung wandlungsfhiger Produktionssttten,
Hanser, Mnchen, Wien, 2009
[9] Verein Deutscher Ingenieure (Hrsg.): VDI 2498,
Vorgehen bei einer Materialflussplanung Blatt 2,
VDI, Dsseldorf, 2008
Competence requirements of
warehouse operators
Zoltn Kovcs
Professor
University of Pannonia
Faculty of Business and Economics
Beta Pat
Associate Professor
Lszl Szab
Assistant
Latest developments of warehouse technologies have changed the required

skills of people. While certain mostly IT - solutions made the work more
simple overview the complicated technological systems have become more
demanding.
There is a strong trend the acceleration of processes. In the case of
machinery it is the question of speed, and physical load, however for
people physical and mental as well.
Short respond times gives little chance for corrections because goods are
already on their way. It requires sophisticated risk management.
There is a European project called CENTRAL, which deals with collecting
competence requirement of warehouse operators on European level.
Authors present the results which information might help machine design
to take into consideration the human factor.
Keywords: CENTRAL project, competences, warehousing, learning
outcomes, EU Leonardo da Vinci program.
1. INTRODUCTION
Compared to others, operations in logistics processes

well standardized. Procurement, transport, storage
solutions are very similar even on the other part of the
globe. It makes the same jobs similar to each other on
different locations. This standardization is reinforced by
international companies who set up similar processes
and consequently similar or same jobs in different
countries. European Union also promotes the creation of
European common qualification frameworks which
allow higher level of flexibility on labor market.
There are many examples for the typology of
competences. One of the most commonly used grouping
is where competences consist of knowledge, skills,
abilities (KSAs) [7] There are many studies related to
competence requirements, competence profiles. [1], [2],
[4], [5], [6]. This paper presents two examples: the
official Hungarian system and the European
qualification framework developed by a consortium.
2. JOBS IN WAREHOUSES
In order to identify the jobs to be analyzed the best

way is to use the international and national statistical
classification systems.
2.1 Occupations
In the international occupational classification

system (ISCO) only two warehouse operator jobs can be
found: stock clerks (4321) and hand packers (9321).
In the Hungarian adaptation of ICSO (FEOR) two
professions are listed, however with different content:
Correspondence to: Dr Zoltn Kovcs, professor
University of Veszprm
Veszprm, Egyetem u. 10., H-8200, Hungary
E-mail:kovacsz@gtk.uni-pannon.hu
warehouse operation clerk (3264), warehouse operator

(7530).
The classification/statistical systems are not in the
focus of this paper, their further discussion is not
necessary. More details about the vocational education
and training in Hungary can be found in [9].
2.2 Qualifications
Fulfilling warehouse jobs like many others

require specific qualification.
In Hungary the qualifications are listed in a
document called National Register of Professions
(NRP). At present it contains 437 items. NRP is a
hierarchical system of qualifications with partial
qualification, divergence and step-by-step-structure.
Warehouse jobs are good examples for that: stock
keeper job consists of three jobs: stock and inventory
handler, stock operator, theatre props. Further similar
jobs are in NRP are museum collection and stock
operator and railway stock keeper. Not the naming, nor
the content of this classification meet the requirements
from practice.
The framework of vocational training is the
document called Professional (Qualification) and
Exam Requirements. This document contains details
about a certain qualification such as related occupations,
task profile and required competencies. They are well
structured substantial material.
2.3 Jobs at companies
Concrete jobs are designed and described at

organizations. Job descriptions contain chapters about
tasks, required competencies, tools, equipment to be
used. Company job description and survey based
competency analyses can be found in [4].
Due to the high level of mechanization, a large
portion of required competences are linked to usage of
different tools.
247
3.1 Hardware tools
Equipment for warehouse operators by NRP: forklift

(manual, electric, diesel and gas), overhead crane,
automated storage systems, electric lifting magnet,
electromagnet, shelf systems, docks, measuring
instruments, scales, wrapping and strapping machines,
collector trolleys (manual, electric), shrink wrap, sort
equipment, barcode scanner, hand tools (cutting tools,
screwdriver, hammer), rf scanner, pda, printer, fax
machine, copier, corded and cordless phone, computer,
pallet, writing instruments, calculator, filing folder,
stapler.
Occupational health and safety equipment: gauntlet,
goggles, hair nets, clothing, ear plugs, safety shoes.
Trainer and exam organizations are also have to
have the tools listed above, or at least access to them.
Table 1. Required competences for warehouse operator by

NRP
Competence
type
Regulation and methods of waste transport

Methods and inspection of labeling
3.2 Software tools
The material flow, process and methods of

material handling
Material handling processes in warehouses
Aspects, methods of technical inspections of
warehouse machines, tools.
Aspects and regulation of recording operational

data of machines
Professional competences
There are other software applications which are built

in the tools, machines such as mobile/hand terminals,
bar code scanners, control of material handling
equipment.
The definition of material handling systems,

and characteristics of major groups
Inspection aspects of quality and expiration of

goods
Most used software:

warehouse management system (WMS)
modules of enterprise resource planning (ERP)
functional software such as CRM, production
control
communication (e-mail, task management)
office package.
Competence
Significance and aspects of selective waste
collection
Professional knowledge
3. TOOLS IN WAREHOUSES
Understanding of listened idiomatic text

Speaking professional language
Understanding of listened professional text
Basic numeracy
Sense of quantity
Interpretation of symbols
Routine usage of material handling machinery,
equipment, tools.
Standardization reduces the risks listed above.

4. COMPETENCES AND LEARNING OUTCOMES
Competence analyses are based mostly on the tasks

to be fulfilled. We present the results of different
competence analyses.
4.1 Competences
In NRP competences are grouped into different

categories. (Table 1.)
248
Social
competences
pace of learning
efficient usage of tools,
work safety.
Method
competences
According to relevant sources ([3], [10]) material

handling is one of the recognized risk factors for health
problems and accidents.
User interface plays important role in
Personal
competences
3.3 Human machine interaction

Accuracy
Reliability
Physical strength
Manageability
Motivated
Systematic work
Keeping clean environment
Ability to overview
NRP derived these competences from a list of tasks.

The CENTRAL project [8] which aimed at
working out European qualification framework for
warehouse operator has defined 7 categories of
warehouse operators activities and assigned
competences to them. (Figure 1.):
Unit 1
Receiving and
transferring
goods
Unit 2
Transloading
and repacking
Unit 3
Storing and
retrieving
goods
Unit 0 General knowledge and skills, personal

and social competencies, attitudes and attributes
Unit 4
Picking and
packing
Unit 5
Shipping
orders
Unit 6
Maintenance,
health &
safety
Figure 1. Tasks of warehouse operator (CENTRAL)

Table 2. CENTRAL competence analysis
Knowledge
He / she knows:
Skills
He / she is able to:
Competence
He / she is
comptetent to:
Unit 0 General knowledge and skills, personal and social
competencies, attitudes and attributes
the basics of
assist in the
work in a
materials
implementation of
customermanagement,
quality assurance
oriented
including:
methods
manner
different
use and maintain tools, apply his / her
warehousing
equipment and means
inter-relational
procedures
of transportation and
/ personal
handling
competencies
regulations
(customer-,
regarding
use the companys
environmental
ICT systems, standard suppliercontact and
protection and
software and
cooperation
efficient energy
workplace-specific
with team and
use
software
other
properties and
to read, understand
departments)
proper handling of
and fill-in
communicate
(hazardous) goods
documentation
professionally
He/she
evaluate functionality
and effectively
understands the
and efficiency of
take on
logistics process in equipment /
responsibility
the warehouse,
machinery used for
for co-workers
incl.:
transport
/ sub-ordinates
the companys
use the companys
work
structure and
ICT systems
accurately and
responsibilities of produce receipt /
reliable
other departments
dispatch
(admin,
work in a cost
documentation
commercial,
and time adapt and handle
technical services)
effective way
documentation (i.e.
documentation
filling in, passing on) reflect on
procedures
possibilities for
follow-up purchase
improving
orders
processes
act competently
within the
logistics
system
Unit 2 Transloading and repacking
physical quantities unpack / sort goods
efficiently and
and types of cargo distinguish physical
effectively
quantities and types of organize goods
the companys
for the next
cargo for proper
warehouse system
step of the
storage in the
process
warehouse
Unit 3 Storing and retrieving goods
the warehouse
allocate storage
work in a

destination according
to the goods technical
characteristics and
storage areas
move and store goods
efficiently and as
required by the
warehouse system
carry out checks
(inventory, counts,
etc), keep track/
documentation of
goods movements,
monitor product flows
and stock levels
evaluate availability,
tracing and status of
goods to answer
requests of internal /
external customers
Unit 4 Picking and packing orders
picking procedures pick stocks
and loading
pack goods and
standards
deliveries according
to their properties in
order to avoid crushfactor
stretch-wrap loading
units
compile goods into
loading units
plan picking-routes in
the warehouse
Unit 5 Shipping orders
regulations and
identify and define
stipulations on
cargo with regard to
labeling, marking,
destination of routes
securing, sealing
and goods
and stowing goods label, mark, secure
according to the
deliveries (in
transportation
accordance with
solution
statutory stipulations)
documentation
load, stow deliveries in
procedures in
means of transport in
outgoing goods
accordance with
accompanying
documentation
apply regulations
regarding the sealing
of deliveries
system and its
storage
requirements
documentation
procedures in the
warehouse
customerorientated
manner
communicate
well and
efficiently
keep an
overview
efficiently and
effectively
pick and pack
orders
devise and
implement a
plan for
efficient
loading
communicate
and coordinate
the process
with the driver
Unit 6 Maintenance, health & safety and security

the basics of waste use and maintain tools, take on
management and
equipment and means
responsibility
environmental
of transportation
for compliance
protection
with health and
maintain order in the
safety
health and safety
warehouse
regulations
regulations and
comply with health
guidelines,
and safety principles take on
including
responsibility
and regulations
protective
for compliance
comply with security
equipment
with security
regulations, incl.
regulations
security regulations environmental
maintenance
protection and
manuals
efficient energy use
recognize different
types of waste
schedule maintenance
249
The common qualification reference is a European

core profile of qualifications for the warehouse operator.
It is defined in terms of learning outcomes in order to
match the credit systems of European vocational
educations and trainings. (EQF and ECVET). It
represents a core profile of common qualification
content of European qualifications, thus additional
learning outcomes may be required in national
qualifications or in specific companies.
In CENTRAL approach learning outcomes are
generated from three components: knowledge, skill
competence. Table 2. shows the result of competence
analysis for warehouse operator.
5. CONCLUSION
Looking over the used tools and required technical

competences a growing importance of technology can
be seen in warehouses. It incorporates hardware and
software as well.
Improving mechanization of warehouse jobs require
more technical skills. While there are less physical
efforts, more demand for fast and efficient usage of
tools, machines, equipment.
Used software consists of application software such
as warehouse management system, different modules of
ERP systems, or embedded software of otherwise
hardware tools, machines. These trends might cause
issues in
safety and health,
education and training,
efficiency and through it the competitiveness.
Standardization of user interfaces, jobs, training and
education are the reasonable options to avoid potential
problems. In order the harmonization and a more
flexible system, national requirements should be
revised.
ACKNOWLEDGMENT
This paper is part of the dissemination of

CENTRAL Leonardo da Vinci project. Authors
appreciate the support.
250
REFERENCES
[1] Bergenhenegouwen, G. J., Horn, H. F. K. &

Mooijman, E. A. M., Competence development a
challenge for human resource professionals: core
competences of organizations as guidelines for the
development of employees, Industrial and
Commercial Traning, Vol. 29, No. 2., p. 55-62,
1997.
[2] Meiner, H., Integrierte Fhrungskrafteentwicklung,
Zeitschrift fr Unternehmensentwiklung und
Industrial Engineering 50.k.1.sz, 2001.
[3] Heran-Le Roy, O. Niedhammer, I. - ", Sandret, N.
- Leclerc, A., Manual materials handling and
related occupational hazards: a national survey in
France, International Journal of Industrial
Ergonomics 24 (1999) 365}377, 1999.
[4] Pat Gborn Szcs B. - Kovcs, Z. Pat G. :
Competencies: Required and Non-required Studia
Universitatis Babes-Bolyai, Oeconomica, LI, 1, pp.
123-133, 2006.
[5] Sandberg, J., Understanding human competence at
work: An interpretative approach. The Academy of
Management Journal, 43(1), p. 9-25, 2000.
[6] Sanghi, S., The Handbook of Competency
Mapping, Sage India, 2004.
[7] Veres, J. G., Locklear, T. S., & Sims, R. R Job
analysis in practice: A brief review of the role of
job analysis in human resource management. In G.
R. Ferris, K. M. Rowland, & M. R. Buckley (Eds.)
Human resource management: Perspectives and
issues. Boston: Allyn and Bacon. p. 79-103, 1990.
Retrieved
[8] http://www.logisticsqualifications.eu/,
21. June, 2012
[9] http://www.cedefop.europa.eu/EN/publications/
18125.aspx Retrieved 22. June, 2012
[10] http://www.workplacesafetyadvice.co.uk/
common-injuriescauses-accidents-work.html
Retrieved 23. June, 2012
Alternative energy sources for forklifts

a way to make intralogistics green
Nenad Kosani
Assistant Professor
Milo Rajkovi
PhD Student
Nenad Zrni
Asociate Professor
Growing awareness of environmental problems, and in particular with

well-published issues such as acid rain, chlorofluorocarbons (CFCs) and
global warming, greenness become a catchword in logistic as a heart of
modern transport systems since early of 1990s. To overcome these
problems new field of logistic research is emerging, focusing on the
adaptation of logistical systems and supply chains to climate change.
Therefore, it is a trend in intralogistics sector in recent years to invest
more in green technologies. In the last few years, the success from fuel cell
demonstrations has moved rapidly into commercial forklift operations.
This paper addresses the potential benefits in using the fuel cells and triple
hybrid drives in forklift trucks as a field of potential improvements in
intralogistic.
Keywords: intralogistics, adaptive logistics, forklifts, fuel cells, triple
hybrid drives
INTRODUCTION
Growing awareness of environmental problems and

in particular with well-published issues such as acid
rain, chlorofluorocarbons (CFCs) and global warming,
greenness become a catchword in logistic as a heart of
modern transport systems since early of 1990s.
Greenness suggests compatibility with the
environment or a code-word for a range of
environmental concerns. Basic characteristics of modern
logistic development have several inconsistencies
between the goals and objectives with regards to
environmental compatibility (Table 1) [1].
Network
Increasing systemwide efficiency of

the distribution
system through
network changes
(Hub-and-spoke
structure).
Reliability
Reliable and ontime distribution of

freight and
passengers.
Warehousing
Reducing the needs

for private
warehousing
facilities.
E-commerce
Increased business
opportunities and
diversification of
the supply chains.
Table 1. Paradoxes of Green Logistics
Dimension
Outcome
Paradox
Costs
Reduction of costs
through
improvement in
packaging and
reduction of wastes.
Benefits are
derived by the
distributors.
Environmental costs
are often
externalized.
Integrated supply
chains. JIT and
door to door
provide flexible
and efficient
physical
distribution
systems.
Extended
production,
distribution
and retailing
structures
consuming
more space, more
energy and
producing more
emissions.
Time /
Flexibility
Correspondence to: Dr Nenad Kosani, assistant professor

E-mail: nkosanic@mas.bg.ac.rs
Concentration of
environmental
impacts next to
major hubs and
along corridors.
Pressure on local
communities.
Modes used,
trucking and air
transportation, are
the least
environmentally
efficient.
Inventory shifted in
part to public
roads (or in
containers),
contributing
to congestion and
space
consumption.
Changes in physical
distribution
systems towards
higher levels of
energy
consumption.
To overcome these problems new field of logistic

research is emerging, focusing on the adaptation of
logistical systems and supply chains to climate change.
The concept reverses the traditional causality of green
logistic research, which examines the effects of
logistical activities on the environment, to consider how
logistics will have to be modified in response to the
effects of climate change. The response can either be
direct where logistics systems must be modified to
minimize adverse climate impacts or indirect, where
climatic change alters the demand for logistical services
and systems must be reconfigured accordingly. Also the
impact of mitigation efforts by businesses, governments
and individuals to cut their greenhouse gas (GHG)
emissions to logistic and supply chain could be included
(Figure 1). [2]
251
2.1 Assessments of the climate change effects on

transport
Assessment of, for example, US transport

infrastructure has been made with focus on five climatic
effects: the number of hot days / heat-waves increase,
Arctic temperatures increase, rising sea-level, the
number of intense precipation events increase and
hurricane intensity increase. It acknowledged that the
climatic tolerance limits within which transport
infrastructure has been built will need to be widened to
cope with the effects of global warming.
Several studies have focused on the possible impact
of sea-level rise and storm surges on port infrastructure.
2.2 Assessments of the exposure of supply chains
to climate change risks
Figure 1. Direct and Indirect Pressures on Logistics to
Adopt to Climate Change
One of the biggest uncertainty is the nature and scale

of the environmental change. The science of climate
change is probabilistic, forecasting within wide
confidence limits. Some report on the economics of
climate change [2], shows the 5% and 95% confidence
limits for particular concentrations of GHGs (expressed
as parts per million of CO2-eq) raising average global
temperature by differing amounts, Figure 2. It is the
mean values, represented by the vertical lines, which are
generally quoted, particularly the link between 450 ppm
and a 2o C temperature rise, though, given the accuracy
of current climate models, the degree of warming may
vary within quite wide margins. As also shown in
Figure 2, the concentrations of CO2-eq in the
atmosphere by 2050 or beyond could also vary widely,
partly dependent on the effectiveness of carbon
mitigation efforts over the next few decades.
Some of these risks will be transport infrastructurerelated. Others will be related to the nature and location
of logistical facilities, particularly distribution centres
and freight terminals. Heavy snow cover on the roofs of
some distribution centres in Germany during the severe
winter of 2009-10 increased the risk of collapse to the
level where staff had to be evacuated and operations
disrupted.
2.3 Analysis of the impact of climate-induced
changes in agricultural patterns and human
settlements on logistical systems and supply
chains
According to the Intergovernmental Panel on

Climate Change from 2007, changes in temperature
regimes, water availability and disease will cause
significant shifts in agricultural zones. Supply chains
will have to be reconfigured to the new geography of
food production and distribution.
2.4 Analysis of the impact of economy-wide
decarbonisation programmes on logistical
systems and supply chains
Figure 2. Estimated changes in average global

temperatures for different GHG concentrations
Although scientists have greatest confidence in

predictions of global mean temperature rises, this
confidence is much lower on predictions of other
climatic effects such as rainfall and the incidence and
intensity of storms.
2
KEY THEMES IN ADAPTIVE LOGISTICS [2]
These themes can be divided in three categories:

1. Responses to direct environmental impacts
2. Responses to indirect environmental impacts
3. Effects of climate change mitigation measures on
logistics
252
The demand for freight transport services will be

affected by carbon reduction measures in other sectors.
National governments and multi-national organisations
have set economy-wide targets for the reduction in
GHG emissions by years ranging from 2020 to 2050.
Critical to the creation of low carbon economies will
be the decarbonisation of electricity generation
(Committee on Climate Change, 2008).
2.5 Exploring the logistical implications of the geoengineering options that may be required to
rescue mankind from runaway climate change
Should current efforts to cut GHG emissions

drastically over the next few decades fail or prove
inadequate, it may be necessary to resort to the much
more radical, geo-engineering options. These fall into
two categories: carbon dioxide removal (CDR) and
solar radiation management (SRM).
CDR techniques which absorb (or sequester) CO2

from the atmosphere, artificially reinforcing the earths
natural systems for keeping CO2 concentrations in
check.
SRM techniques would weaken the greenhouse
effect by reflecting a small proportion of the suns rays
back into space. The most promising SRM option is to
disperse aerosols, mainly of sulphur dioxide, in the
stratosphere in more northerly and southerly latitudes.
3
POTENTIALS IN INTRALOGISTICS SECTOR
Processes in internal logistics - known by the term

"intralogistics" - provide the potential for optimization
both from an economic as well as a sustainable
standpoint.
"Green" intralogistics has a direct influence on just
"how green" the entire supply chain network can
become. In the end, the goal should not merely be to
optimize fuel usage and CO2, emissions from
transportation between facilities, while at the same time
allowing potential savings in energy and emissions for
storage and production facilities as wel as conveyor
technology to remain unexploited [3].
Possible measures
for
implementing "green"
intralogistics occur at four different operational levels:
1. level 1: internal processes and operations;
2. level 2: components and drive mechanisms;
3. level 3: machinery and equipment;
4. level 4: inter-process operational conditions.
Intralogistics can be influenced directly and meets
the categories: facility layout, means of transport, stock,
the assignment of new technologies respectively
systems as well as transport packaging, which will be
explained below.
3.1 Building layout
In the area of intralogistics the layout of production

plants determines logic costs extensively, which cannot
always be influenced. Lean production approaches,
which also demand optimal choice of locations for the
particular steps of manufacturing, are preferable. This
appendage can be pursued, when a new production
location is planned as a greenfield project, for example.
Here, locations can be chosen in an early stage, so that
between particular production locations and warehouse
only rare logistical activities are necessary. It is more
difficult for already existing plants, which cannot be
changed concerning their structural engineering [4].
slow speed during periods of low carton flow activity.

Control systems monitor activity on the system, and
slow down or speed up to meet throughput demands and
therefore use only sufficient amount of power to do the
job required. Operating at slower speeds means reduced
energy consumption as well as reduced wear and tear on
equipment, therefore increasing the life of the system
while reducing maintenance costs. Furtheremore, when
there is no carton flow for a pre-set period of time,
control systems detect the lack of activity and can turn
off sections of conveyor where there is no carton flow.
In addition, new conveyor technology is making it
easier to save energy. Low voltage, 24 or 48 volt,
motorized roller conveyor is inherently more energy
efficient, and motorized roller conveyor systems
typically do not use compressed air systems to operate,
further reducing energy costs. New sorter systems now
operate at slower speeds while still providing high sort
rates.
The Dematic introduced the all-belt conveyer
solution that enables the user to select the desired gap
between items for max buffer, for sorting, or for proper
pitch prior to one in-line scale. The user can also select
speed from 21 m/min to 122 m/min. Intelligent controls
give individual sections the ability to speed up or to
slow down. The Dematic Plug & Convey modules are
engineered to reduce the maintenance and designed for
fast installation. Compare to conventional conveyer
systems, it reduces power consumption up to 30%,
reduces labor up to 20%, and coveys a wider variety of
products.
3.3 Conventional transport systems
Due to absence of emissions and low noise level,

battery-operated vehicles now dominate over half of the
forklift trucks market and are the main choice for closed
areas. The battery that strongly dominates is leadacid
battery, because of its low cost compared to other
battery types. But, its drawback is low specific energy
of 30Whkg1 and much shorter life, which makes them
less suitable for advanced high-performance batteryelectric vehicles [5]. Their second problem is that
increasing the current per battery capacity results in
deteriorating charge and discharge efficiency. Good
substitution are lithiumion batteries with the potential
for high specific energy of up to 2000Whkg1 [6],
longer service lives and stable charge and discharge
efficiency even when the current is increased.
3.4 Stock (inventory) keeping
3.2 Fixed transport systems
In operations that use mechanized technology such

as conveying and sorting systems, there are
opportunities to reduce the amount of energy required.
Conveying and sorting systems are tupically turned on
at the beginning of the day and run full speed all day
until turned off at the end of the day. However, typical
operations do not have high rate material flow
throughout the shift.
Package, conveying and sorting technology can be
designed to automatically slow down and operate in
The stock of manufacturing plants is part of the

activities in the category of intralogistics. They contain
potentials with great impact. About 50 % of
intralogistics costs, in particular 35 % of heating - and
ventilation engineering and 15 % of lighting
engineering is caused by the storage area. On closer
inspection of these areas in most of the factories
potentials do exist and could be changed without bigger
efforts and investments. Depending on the material
group and the product it can be necessary to have
several stocks available. One of the reasons for
253
appliance of multiple stocks is the specific product

which has to be stored. For example, for flammable
materials strict rules have to be followed and thereby
these have to be stored separately. Furthermore, an
additional stock can be necessary, if several
manufacturing plants exist and if these are located in
great distance. At this point, an integral analysis, which
has to answer basic questions, is necessary.
During the last years the trend has moved towards
high bay racking, which reduce the energy demand in
combination with software applications [4].
hydrogen molecules. The electrons are forced to travel

through an external circuit to recombine with the
hydrogen ions on the cathode side, where the hydrogen
ions, electrons, and oxygen molecules combine to form
water. The flow of electrons through the external circuit
forms the electrical current needed to power a vehicle
(Figure 3) [5].
3.5 Green IT
According to a study of the US federal

environmental agency in about 10% of the electric
power consumption is spent by information and
communication technique. Thereby about 33 million
tons of CO2 emissions are discharged each year.
By using innovative and environmentally friendly IT
infrastructure savings of energy can be generated. In
practice for nearly every application a separate server is
installed, which only uses its own performance level.
Moreover, each commission working space is arranged
with its own computer system, which boosts the amount
of computers. By using visualizations of servers and
thin clients the amount of computer can be reduced
drastically [4].
4
ALTERNATIVE ENERGY SOURCES FOR

FORKLIFTS
4.1 Fuel cells
Fuel cell converts the energy stored in several kinds

of gases, among which hydrogen and methane, into
electricity. The principle of fuel cells was discovered in
1839 by William Grove, and their first development
only preliminarily started in 1932 through Francis
Bacons exploratory work, but their first use was in the
early 1960s when NASA appointed them as the
principal replacement of batteries in spacecraft (Bacon,
1969), because of its ability for high power levels
sustained during long discharge times, which batteries
of that time were unable to provide. The most common
type of fuel cell is the polymer electrolyte membrane
(PEMFCs) fuel cell and direct methanol fuel cells
(DMFCs) [5].
Materials handling (MH) forklifts powered by
proton-exchange (PEMFCs) and direct methanol fuel
cells (DMFCs) are operating at airports, manufacturing
plants, hospitals, mega retailers, food distributors, and
military depots.
DMFC serves as an auxiliary power source for
existing battery power in the form of a continuous
trickle charger. Generally, methanol fuel provides
higher energy density than hydrogen.
In a PEMFC fuel cell, an electrolyte membrane is
sandwiched between a positive electrode (cathode) and
a negative electrode (anode). Hydrogen is introduced to
the anode and oxygen to the cathode. The hydrogen
molecules travel through the membrane to the cathode
but not before the membrane strips the electrons off the
254
Figure 3. The principle of fuel cell [5]
Regarding PEMFC systems currently available, it is

clear that fuel cell stack life has increased dramatically;
trucks can last for 20.000 hours, and MH fuel cell
systems are already tested to 12.000 hours.
By the end of 2010, more than 1000 fuel cell
systems designed for electric forklifts were in
operationor on order worldwide. Five years of
demonstrations and pilot projects have transitioned
into commercial materials handling applications where
fuel cells are stacking up well against traditional
batteries [8].
In the last few years, the success from these fuel cell
demonstrations has moved rapidly into commercial
forklift operations.
The most immediate benefit reported in the fuel cellfor-lead acid batteries swap is the elimination of
voltage droop, or the waning of full power as batteries
discharge over a duty cycle. First and foremost, fuel
cells provide a constant power output at a batterycomparable power level. This is true even under
temperature extremes such as cold storage operation.
Coinciding benefits encompass the elimination of
battery changeout (averaging 1517 minutes) and
recharge/cooling time (up to 8 h), hydrogen fueling in
13 minutes, freed-up battery storage space, and
elimination of expensive battery chargers [8].
At Crowns 2300 m2 dedicated Fuel Cell Test
Center, qualification tags are created based on
examination by Crown engineers of the interaction
between various forklift/fuel cell combinations. Using
computer modeling and application testing, Crown
determines the specific design modifications needed to
ensure that a fuel cell powered forklift matches the
performance, efficiency, and safety standards to which
the truck was initially designed.
The best known fuel cell stack original equipment
manufacturers are Ballard Power Systems stacks,
Hydrogenics, Nuvera, and Oorja Protonics (DMFCs)
and others.
Fuel cell OEMs are stating that current systems can

last nine to ten years, but the justification template for
forklifts is based on five years, which is present average
lease term. Whats exiting is that todays fuel cells have
the potential to power two generations of lift trucks,
especially since some conventional batteries dont lat
five years.
Determening the return-on-investment (ROI)
potential for fuel cells as replacement for batteries to
run forklifts must factor in multiple parameters. These
include power system life-time, refuling time and labor
savings, overall energy usage, the costs of hydrogen
storage and dispensing infrastructure, service/maintenance (tasks, intervals, and equipment), floor space gains,
and safety/operational training.
Ballard Power Systems simulation which compared
fuel cells with battery systems showed interesting
results. Operating costs were estimated, as well as
reduction of lost productivity and hours of work time
recovered per year, savings in total ownership costs.
Results showed the ROI was less than 2 years.
Early small-scale demonstrations have convinced
operators now converting whole fleets that fuel cells are
as reliable as batteries, and have the potential to extend
the lifetime of materials handling equipment. This all
translates to higher productivity and better cost margins,
primarily from significantly reduced labor expenses and
increased uptime.
Suppliers continue to refine designs and materials to
reduce the price of materials handling fuel cell systems,
and while difficult to qualify, end-users testify to the
value of this technology within the greening of their
corporate environmental goals. According to a
representative for the UNFI distribution center in
Florida that will utilize GenDrive systems in Raymond
forklifts, reductions of carbon emissions on the order of
132 tons a year are expected, along with an annual
saving of some 640 MWh of electricity.
Plug Power company has more than 650 fuel cells
curently operating in various forklift models, with an
uptime log over 1,5 million hours. Their customers are
reporting 15 to 30 percent productivity gains , and 70 to
80 percent greenhouse gas emmition reductions onsite.
Yale Materials Handling Corporation installed in
2010 Plug Power GenDrive systems in 220 of its
forklifts at one of their major distribution centers, with
total anticipated savings of $ 1,5 million over 10 years.
Plug Power estimates there are 1.7 million trucks in
use in North America, and Jungheinrich cited global lift
truck demand for the first quarter of 2010 at 379 000
units, with the potential to reach 700 000 units by the
end of the year (encompassing all power/fuel options).
These figures seem to indicate that there is a vast
revenue field available, depending of course on how
much of the total electric forklift market fuel cell
technology could capture.
4.2 Ultracapacitors
An ultracapacitor, also known as a double-layer

capacitor, polarizes an electrolytic solution to store
energy electrostatically. Though it is an electrochemical
device, no chemical reactions are involved in its energy
storage mechanism. This mechanism is highly

reversible, and allows the ultracapacitor to be charged
and discharged hundreds of thousands of times.
In an individual ultracapacitor cell, the applied
potential on the positive electrode attracts the negative
ions in the electrolyte, while the potential on the
negative electrode attracts the positive ions. A dielectric
separator between the two electrodes prevents the
charge from moving between the two electrodes. Figure
5 depicts an ultracapacitor, its modules, and an
ultracapacitor cell [10].
Once the ultracapacitor is charged and energy
stored, a load (the vehicle's motor) can use this energy.
The amount of energy stored is very large compared to a
standard capacitor because of the enormous surface area
created by the porous carbon electrodes and the small
charge separation (10 angstroms) created by the
dielectric separator. However, it stores a much smaller
amount of energy than does a battery. Since the rates of
charge and discharge are determined solely by its
physical properties, the ultracapacitor can release
energy much faster (with more power) than a battery
that relies on slow chemical reactions [10].
Figure 4. Ultracapacitor diagram [10]
Ultracapacitors usage downsizes the batteries and

makes them so small that it could not alone provide the
electrical power required to accelerate the vehicle or
recover all the available energy during braking.
The cycle life of the ultracapacitors in the mild
hybrids vehicles is approximately 500 000 cycles.
Ultracapacitors are not suitable for use in hybrid
electric vehicles as the primary energy storage
technology. The present performance of ultracapacitors
is suitable for use together with either internal
combustion engines or fuel cell as the primary energy
converter [5].
4.3 Triple hybrid configuration
Some German companies are examining what might

be called the power of three: a triple hybrid system
that combines fuel cells, ultracapacitors, and nickel
metal hydride (NiMH) batteries. The companies are fuel
cell OEM Proton Motor Fuel Cell GmbH (Puchheim),
forklift OEM STILL GmbH (Hamburg), battery OEM
and system integrator Hoppecke Batterien GmbH
(Brilon), and hydrogen supplier Linde Gases Division
(Figure 5) [9].
255
Figure 5. Triple hybrid configuration diagram [9]
Proton Motors company ran its first forklift demonstration on a STILL R 60-30 for two years at Munich
Airport, starting in 2004. This unit hybridized an 18 kW
Proton Motor PEMFC and a fiber nickel-cadmium
battery manufactured by Hoppecke. Cargogate GmbH
used the STILL forklift at the airport, and was able to
run a full eight-hour shift with 7 liters of gaseous H2 [9].
resulting in labor and time savings. But these increased

economics values (compared with the traditional use of
lead-acid batteries) is not the only benefit. Main
advantage is a reduced carbon footprint, through
reducing greenhouse gas emissions associated with the
use and charging of lead-acid batteries. Todays early
commercial fuel cell powered forklift adoption that
could help facilitate large-scale fleet conversions to this
green technology in the future, promises to maybe
become a silver bullet replacement for batteries,
diesel or gasoline power among other competing
technologies.
ACKNOWLEDGMENT
This paper is a part of the research project no 35006

supported by Serbian Ministry of Science and
REFERENCES
Figure 6. Still GmbH RX-60-45 forklift runs on HyPX 1-855

PEMFC from Hydrogenics [9]
The 5 kW PEMFC is combined with a Sanyo 80 V

NiMH battery and Maxwell ultracapacitors to provide
30 kW of peak power. Fuel cell provides primary
operational energy, the supercapacitors store recovered
braking energy, while the battery buffers energy over
longer peak demand times. Proton reports a 50% energy
saving with the triple hybrid configuration compared to
diesel engine forklifts and fuel cell-only systems, and
hydrogen refueling took only one minute.
Common to these projects and various STILL model
forklifts is a system architecture encompassing PEMFC,
supercapacitors to store energy from braking,
pressurized hydrogen storage tanks, a radiator and
compressor, and additional ballast to compensate for the
lighter-weight power system compared to batteries.
5
CONCLUSION
The negative outcomes of global pollution forced the

introduction of adaptive logistics, a new field of logistic
research, focusing on the adaptation of logistical
systems and supply chains to climate change.
As the quarter of all logistic costs are caused by
intralogistics different categories such as, building
layout, transport systems, stock keeping and even IT as
potentials for resource-saving and at the same time
environmentally friendly processes are available. Fuel
cell powered forklift trucks finding increasing
application in materials handling applications, since
they offer significant advantages. Using fuel cell power
in such vehicles can increase equipment uptime
256
[1] Rodrigue, J.P, Slack, B., Comtois, C.: Green

Logistics (The Paradoxes of), Published in
"Handbooks
in
Transport
#2",
London:
Pergamon/Elsevier, ISBN: 0-08-043593-9, 2001.
[2] McKinnon, A., Kreie, A.: Adaptive logistics:
Preparing logistical systems for climate change,
Logistics Research Network Annual Conference,
University of Cardiff, UK, September 2010.
[3] Gnthner, W.A., Tenerowicz, P.: Paths toward
greater energy-efficient intralogistics, Brauwelt
International, 2010/VI, pp. 371 - 372, 2010.
[4] Altintas, O., Avsar, C., Klumpp, M.: Change to
Green in Intralogistics, Proceedings of The 2010
European Simulation and Modelling Conference ESM'2010, Hasselt University, Oostende (ETI), pp.
373-377, Belgium, October 25-27, 2010.
[5] Lui, J., Zrni, N.: Energy efficiency improvement
through implementation of alternative drive
systems in forklift market, RaDMI 2011 conference
proceedings, Vol. 1, pp. 386-391, Sokobanja,
Serbia, 15-18. September, 2011.
[6] Van Den Bossche, P., Vergels, F., Van Mierlo, J.,
Matheys, J., Van Autenboer, W.: Subat: An
assessment of sustainable battery technology,
Journal of Power Sources, Vol.162, Issue 2, pp.
913- 919, 2006.
[7] Offer, G.J., Howey, D., Contestabile, M., Clague,
R., Brandon, N.P.: Comparative analysis of battery
electric, hydrogen fuel cell and hybrid vehicles in a
future sustainable road transport system, Energy
Policy, Vol. 38, Issue 1, Elsevier, pp. 24-29, ISSN:
03014215, 2010.
[8] McConnell, V.: Fuel cells in forklifts extend
commercial reach, Fuel Cell Bulletin, Vol. 2010,
Issue 9, pp 1219, 2010.
[9] McConnell, V.: Rapid refill, high uptime: running
forklifts with fuel cells, Fuel Cells Bulletin, Vol.
2010, Issue 10, pp. 1219, 2010.
[10] http://www.nrel.gov/vehiclesandfuels/energystorag
e/ultracapacitors.html, accessed 02.07.2012.
Design of processes and systems for

waste transport in developing
countries exemplified by Serbia
Dr.-Ing. Zoran Jovanovi
Otto-von-Guericke-University Magdeburg
Faculty for Mechanical Engineering
Institute of Logistics and Material Handling
Systems (ILM), Department of Logistics
Postcode 4120
39106 Magdeburg
Germany
www.ilm.ovgu.de
This paper deals with a problem of design of logistics process and systems
in the field of waste management in developing countries. The main focus
is put on the determination of economic distance for transshipment from
direct waste transport by waste collecting vehicles to the long distance
transport. The method employed should make support by decision making
processes in allocation problems of waste management facilities. This
paper provides also a short breakdown of structure of logistics costs
(capital, operating and personnel costs) for waste collection, envelope and
transport exemplified by Serbia as developing country compared to
Germany as developed country.
Keywords: waste management, waste collection, envelope and transport,
economic distance for transshipment
INTRODUCTION
A country that is in an early stage of development of

waste management under the recently defined legislative
waste management framework (e.g. EU- Waste Framework Directive) is confronted with a set of basic strategic
questions related to technical and organizational planning
and execution. These questions are of importance both for
supervising state authorities and investing private enterprises in the field of waste management (e.g. Private
Public Partnership). However, significant uncertainties in
decision-making processes are introduced, on the one
hand, due to incomplete or missing data (e.g. waste generation rate and waste morphology, etc.) and, on the other
hand, due to uncertain future development trends (e.g.
settlement pattern, industrial structure, development of
raw material market, labor market and finance, etc.).
Under these circumstances, to make purposeful and longterm sustainable decisions about location of waste management facilities, it is necessary to conduct a basic planning of the possible scenarios and their alternatives, as
well as to evaluate possible solutions [1].
The following questions related to planning of waste
management arise particularly in developing countries1:
e.g. the size of waste collecting and disposal areas,
design of waste disposal logistics processes and systems
for waste collection with fees and reward that provide
an incentive for separate collection of different waste
fractions, determination of locations for waste transfer
stations and for waste treatment facilities, evaluating
economic distance of direct waste transport (by waste
collection vehicles) and long-distance transport with
waste envelope. Accurate assessment of these factors is
of great significance. Mistakes in determination of locations for waste management facilities may lead to unde1
In this paper, the term developing country relates to countries with
a low level of development in the field of waste management that
invest resources to achieve a sustainable waste management. It should
not be confused with countries included in the DAC List of ODA
recipients of development support from e.g. German Federal Ministry
for Economic Cooperation and Development.
sired logistics costs [1]. It is necessary to evaluate

logistics costs already in early planning phases, because
they play a crucial role for the future effective waste
management. This paper suggests a methodological
approach to address this problem.
2
METHODICAL APPROACH AND SOLUTION
To determine location of waste management facilities

and to plan related logistics processes, it is necessary to
take into account diverse factors, such as population and
settlement pattern of waste disposal areas, economic
distance for direct waste transport, etc. Fig. 1 summarizes
a possible approach to determining logistic transportoptimum locations at the State level. To enable optimal
determination of location for waste treatment facilities,
this approach primarily considers different geographical
circumstances, distribution of the population, and administrative-political organization of the country.
The first phase is concerned with conceptual planning
of disposal logistics. The First Step of this phase divides
the waste disposal areas, according to their size
(population) and settlement pattern, into comparable
groups. The Second Step is related to design of logistics
processes and systems for waste transport (i.e. transportoptimum location of waste management facilities). The
goal of this step is to determine the economic distance for
direct transport and transshipment to long distance
transport for each waste disposal area. The analysis in this
phase is exemplarily limited to three variants. The direct
transport (Variant 0) is presented in contrast to variants of
the broken transport (Variant 1 and Variant 2). The Third
Step (Cost comparison, see Fig. 1) compares the logistics
costs (capital, operating and labor costs) for every vehicle
unit, and for each of the logistics process mile-stones
(waste collection vehicle, waste transfer station, longdistance transport vehicle) and waste disposal group. The
aim of this phase is to estimate the costs of every link in
the whole waste disposal chain. These estimated costs per
unit (e.g. vehicle) may be applied for fine and operative
planning of disposal logistic system in concrete waste
disposal areas (see Fig. 1, Phases II and III) [1]. The
257
structure of logistics costs will be discussed and

explained by using an example of comparison between
Germany and Serbia.
I. Conceptual planning of disposal logistic
1. Waste disposal area - settlement
Size of population
Settlement structure
Organization and
administration
Dividing of waste disposal areas in main groups (disposal groups) according to the
population and settlement structure at the State level
2. Design of logistic processes and systems for waste transport
Variant 0: Direct transport (Waste Collection Vehicle (WCV))
Variant 1: WCV Loading Long Distance Transport (Semi Trailer Truck with Walking Floor)
Variant 2: WCV Loading Long Distance Transport (Trailer Truck ACTS)
Variant 3: WCV (Special Demount Bodies-Exchange Containers) Loading Long Distance Transport
(Exchange Containers)
Estimate of economic distance for direct transport and transshipment to long distance transport
3. Cost comparison
Comparison of logistic costs (capital, operating and labor costs) for each logistic process
variant and disposal group
II. Fine planning at the regional level

Applying result for fine planning in concrete waste disposal regions
III. Operational planning in waste disposal areas (local level)
Applying results for operational planning in concrete waste disposal areas (city/municipality)
Figure 1: Simplified methodological approach to determining locations of waste management facilities [1]
Abbreviations: WCV Waste Collection Vehicle, ACTS Abroll Container Transport System
2.1 DIviding of waste disposal areas in main

comparable groups
The main criteria for dividing of waste disposal areas at

the state level in main groups are number of inhabitants
(settlement size), settlement pattern (rural, suburban or
urban), small towns and rural areas as well as the administrative organization of waste disposal areas. The state
administration of the Republic of Serbia is organized in
the form of 29 administrative regions and 169 local
municipalities (state 2010). Almost every small town
with surrounding villages forms a local municipality unit.
The big cities are split in several municipalities (e. g.
Belgrade 17, Kragujevac 5, Ni 5 und Novi Sad 2).
Municipalities are organized as administrative centers.
The surrounding settlements (villages) are affiliated to
small towns as administrative centers of municipal unit.
The concentration of population in the municipalities is
used as a planning unit for assessment of waste unit generation rate as well as for design of waste management
facilities. It should be suggested to divide whole municipalities of Serbia in 4 disposal groups according to the
settlement pattern and the number of inhabitants (see Tab.
258
1). In this way it should be theoretically possible to

determine the average number of inhabitants for each
disposal group. 21 % of total Serbian population lives in
88 municipalities up to size of 30,000 inhabitants (Group
1) (see Fig. 1). This group characterizes a rural settlement
pattern with a huge number of villages. 25 % of
population lives in 44 municipalities of the size 30,000
60,000 inhabitants (Group 2). This Group also
characterizes rural settlement pattern with provincial
town (20,000-30,000) as a local administrative unit. In 20
municipalities with the population from 60,000 up to
100,000 residents (Group 3) 20 % of total country
population is concentrated. The structure of this group is
formed by towns (administrative center units) of the size
35,000 -65,000 inhabitants with surrounding villages.
Only 17 municipalities count more than 100,000
inhabitants (Group 4), which means 34 % of total
population of Serbia. These 17 municipalities are
characterized by high grade of urbanization (high-riser,
apartment blocks, detached houses, ect.). Settlement
pattern of Serbia is characterized by lots of small and
mid-size urbanized settlements (towns and villages) and
less big urban areas (e.g. agglomeration of Belgrade).
Table 1: Dividing of waste disposal areas of Serbia in main comparable groups (statistic source [2])
Group
Municipalities:
Group 1
Group 2
Group 3
Group 4
up to 30.000 residents
from 30.000 up to 60.000 residents
from 60.000 up to 100.000 residents
above 100.000 residents
Total:
Number
As mentioned before, the middle size of every

disposal group (average resident number) (see Tab. 1) is
used as a basis for assessment of waste collecting,
envelop and transport costs. However, that enables easy
comparison between the different waste disposal alternatives and appropriate choice of solutions and
facilitates.
2.580.912
17
Group 1: up to 30.000 residents
21 %
25 %
20 %
34 %
100 %
Average size of
population
17.657
42.400
77.470
151.818
transport vehicle (Semi Trailer) is calculated on 157,778

m3/a and the average waste density for transport amounts
0.32 t/m3. Further, its assumed that the waste transfer station
operates 250 days per annum and envelopes daily 631 m3/d
of waste. That corresponds to the waste amount of 200 t/d,
which has to be enveloped and transported per day.
3.1.1 Waste Collection Costs
Group 2: 30.000 - 60.000 residents

88
Group 3: 60.000 - 100.000 residents
44
Group 4: above 100.000 residents

1.881.604
1.549.391
Figure 2: Settlement pattern of Serbia according to municipality size and resident number (inner ring: municipality
number, outer ring: overall resident number)
Share
3.1 Analysis of waste collection, envelope and

transport costs
1.560.795
20
88
44
20
17
169
Overall
Population
1.560.795
1.881.604
1.549.391
2.580.912
7.572.702
DESIGN OF LOGISTIC PROCESSES AND

SYSTEMS FOR WASTE TRANSPORT
Consequently, due to a variety of different settlement

patterns for design of waste management concepts at the
state level, it is necessary to carry out an assessment of
waste collecting, envelope and transport costs for each of
four disposal groups (see Table 1). For this reason, the
exemplary analysis of the costs is carried out at sample of
disposal group 4 because of high concentration of population (theoretically examined middle size of population
is 151,818). In this disposal group live approximately
about 34 % of total population of Serbia (see Tab. 1 and
Fig. 2).
For the purpose of this paper, design of logistic processes and systems for the waste transport is exemplified
only by one of possible three variants for the waste
envelope (see Fig. 1). Within this scope, the detailed
analysis is performed only for waste envelope without
compaction and transhipment from Waste Collection
Vehicles (WCV) to the Semi Trailer Trucks with Walking Floor (further Semi Trailer).
The transport distance between waste transfer station
and waste treatment plant for Serbian circumstances is
assumed to be 60 km in length (group 4). The annual
waste unit generation rate according to [3] is estimated at
0.85 kg/capita/d = 310 kg/capita/a and waste density
according to [4] on 300-600 kg/m3. For 151,818 residents
the projected waste generation rate amounts 47,063.58 t/a
and is rounded at 50,000 t/a. Waste density in waste
collection vehicle is estimated on 0.45 t/m3 and relaxation
factor in transport vehicle (Semi Trailer) on 1.15. The
relaxed transport volume of waste in long-distance
Direct vehicle costs
All costs calculated in this paper refer to the year

2010. The waste collection costs are composed of the
direct vehicle costs and personnel expenditures (labour
costs). The direct vehicle costs are consisting of capital
costs and operating expenditures of the vehicle. The
direct vehicle costs for waste collection vehicle are
determined for one and two shift work according to the
method referred in [5]. The following input data are used:
Procuring cost of waste collection vehicle incl. chassis
and vehicle body: ca. 150.000 ,
Average annual number of operating days for waste
collection vehicle according to [5]: 241 d/a,
Effective annual number of operating days for
waste collection vehicle taking in account repairs
and maintenance: 220d/a
The direct costs of waste collection vehicle for Serbian
circumstances are calculated for one shift work on 35.22
/h and for two shift work on 21.17 /h.
Personnel expenditures (labour costs)
Three parameters play a crucial role in the calculation

of personnel costs: gross labour costs (gross wage) for
truck driver and waste loaders, the number of personnel
working days as well as the crew strength. The average
annual wage of driver and waste loaders in waste management according to the municipal waste disposal company from central part of Serbia amounts for a driver
3,839.21 /a and for waste loader 3,658.44 /a (state
2010). The annual operating days of stuff are estimated at
220 working days (taking in account 104 weekend days,
20 vacation days, 10 sick leave days and 10 public holidays). Due to the own calculation, the operating hour of
drivers cost 2.18 /h and of waste loader 2.08 /h.
259

Waste collecting costs per working hour
Generally the crew (stuff) of waste collection vehicle

consists of a driver and two waste loaders, so the waste
collection costs are calculated as follows:
Waste collecting costs = direct vehicle costs +
personnel costs driver + 2 x personnel costs loader
The total costs of waste collection vehicle incl. stuff,
amount per one working hour in the one shift work 41.56
/h and in two shift work 27.51 /h. The reasons for
lower working costs in two shift work are to be found in
double working hours and lower repair and maintenance
costs. Due to [5] and according to the practise experience,
the maintenance costs amount in one shift work 5 % and
in two shift work 8 % of net vehicle price. That means
that the double increase of working hours doesnt lead to
double increase of maintenance costs.
37.68 /h. The total costs of the transport vehicle incl.

personnel expenses of the driver sum up to 39.86 /h.
3.1.3 Economic distance for transhipment to long
distance transport
According to diverse literature sources, the economic

distance for transhipment from direct to the broken long
distance transport of waste incl. envelope varies
significantly. Exemplified by Germany according to [6],
the economic distance for transhipment from direct to
long distance transport is estimated between 15 and 25
km. The costs structure in Serbia compared to Germany
seems to be different thanks to the lower personnel
expenditures. Therefore, an additional breakdown of
costs structure is required. The input data for calculation
of direct and long distance transport is shown in Tab. 1.
Table 3: Parameters for direct and long distance transport
(semi trailer)
3.1.2.1 Long distance transport costs
As background for calculation for Variant 1 (Semi

Trailer) the following input data is used:
Semi trailer truck Mercedes-Benz Actros 1841 LS
4x2 and
Semi trailer Walking-Floor Typ LERGAS FMA
with a total volume of 91.40 m3.
To realise transport of the whole waste amount of
50,000 t/a in the distance of 60 km, 9 tours per working
day should be performed. For this purpose, 3 semi
trailer trucks (truck plus semi trailer) and 3 full time
employed truck drivers are required. A fictive operational plan shows that there are several periods of time
during the working day in which all three trucks are on
the way. Moreover, it must be guaranteed that during
this time in which all three trucks are operating, at least
one truck is waiting on the waste tipping point to load
incoming waste. Consequently, in addition to these
three planed semi trailers one more is required. Considering possible failures or unexpected problems by the
vehicles or semi trailers, one complete vehicle (truck +
trailer) is additionally included in the working plan.
This vehicle is located at the waste transfer station and
is ready in case of unexpected failures. All vehicles
should be used in a rotation principle. The direct transport
expenditures of vehicles consist of the capital and operating expenses for the truck and semi-trailer and amount
260
Average transport velocity

Total operating costs of vehicle
Operating costs of vehicle (variable)
Operating costs of vehicle (fix)
Stuff (crew)
Maximal load
Specific transport costs
Specific transport costs (variable)
Coefficient of transport efficiency
(simple transport distance)
Coefficient of transport efficiency
variable (simple transport distance)
40
43,75
1+2
10
1,09
0,1094
55
39,86
17,45
3,59
1
22,56
Unit
Semi Trailer
In the scope of Variant 1 of waste transfer station

(WTS) it is planed to use two truck tipping areas (tipping
points) as integral part of station. According to the own
calculation the envelope costs for the Variant 1 (Semi
Trailer) are assessed to 2.21 /t. For construction of WTS
for Semi Trailers, according to the own calculations, a plot
area of 4.450 m2 is required. There are also opportunities
for potential investors to get a plot area for free from local
municipal authorities in the form of Private Public Partnership (PPP). That implicates a decrease of waste envelope
costs for 13 % from 2.21 /t up to 1.91 /t.
Waste collection
vehicle
(2shift work)
3.1.2 Envelope costs
km/h
/h
/h
/t
0,32
t
/km
/km
0,0321
/tkm
0,0141
/tkm
Estimate of economic distance for transhipment

from direct to long distance transport is performed by
using calculations for refuse collection vehicle in two
shift work. The reason for this decision is different
transport efficiency of refuse collection vehicles and
transport vehicles. The operational plan shows that the
semi trailer needs 3 tours to transport waste amount of
50 t/a. Waste collection vehicle compared to semi trailer
achieves the same transport performance only in five
tours by operating in two shift work. A fuel consumption of the waste collection vehicle during transport in
relation to consumption during waste collecting is cut
down for 33 %. Intersection of both linear costs functions for direct transport (collection vehicle) and for
long distance transport (incl. envelope costs) represents,
based on operational costs, the economic distance limit
for transhipment from direct to long distance transport
per hour. These costs functions considering envelope
costs of 2.21/t are shown in Fig 1.
The economic distance for transhipment is calculated
by equating the function for direct transport (two shift
work) y = 0.2188 x with the function for long distance
transport (inc. envelope) y = 0.0281 x + 5.8. Variable x
explains the simple transport distance between waste
transfer station and waste treatment plant or dump site.
The economic distance for transhipment is estimated at

xdistance= 30.41 km.
Costs [Euro/t]
14,00
12,00
10,00
Direct transport - colection vehicle (2 shift work)

Longdistance transport - semi trailer
Envelope - semi trailer
Envelope + long distance transport (semi trailer)
y = 0,2188x
y= 0,0281x+ 5,8
8,00
6,00
y= 0,0281x + 3,59
4,00
2,00
0,00
0
10
15
20
25
30
35
40
Transport distance [km]
45
50
55
60
Figure 3: Costs functions of direct and long distance

transport (incl. envelope) Variant 1
Sensitivity analysis
The economic distance for transhipment from direct

to long distance transport depends very strongly on
personnel expenditures as well as on the fuel costs. The
trends show, that the rise of these costs can be expected
in the future. Therefore, increase of costs will lead to cut
down of economic distance for transhipment to long
distance transport. In decision making processes about
future location of waste management facilities these
trends should be considered. For these reasons, a sensitivity analysis is carried out. In addition three scenarios
are created to prove changes of economic border for
transhipment from direct to long distance transport.
Scenario 1: Increase of personnel expenditures by 100 %
Scenario 2: Increase of fuel costs by 100 %
Scenario 3: Increase of personnel and fuel costs by 100 %
The rise of the cost by 100 % is assumed as an upper limit.
Table 4: Results of sensitivity analysis
Variants:
Current
Scenario 1
Scenario 2
Scenario 3
Economic distance [km]

Variant 1: semi trailer
30,41
27,78
20,07
19,88
The comparison illustrated by Table 4 shows that the

economic limit for long distance transport depends very
strongly on fuel costs and personnel expenditures.
3.2 Costs comparison bewteen Serbia and Germany
vehicle operates in average 220 working days annually

achieving a transport performance of 13,200 km in one
shift work and 26,400 km in two shift work. Under these
assumption, the annual expenditures reach for one shift
work in Serbia 73,148 /a compared to Germany 197,174
/a. Figure 5 illustrates comparison of the annual
expenditures per vehicle in two shift work between
Serbia (85,663 /a) and Germany (219.904 /a).
In this case (see Fig. 5) it should be mentioned that
the personnel expenses for Germany refer to year 2002
according to [5]. For two shift work in Germany, the
shift bonus (extra pay for night work) for employees is
required. According the statement of a municipal waste
disposal company from central part of Serbia, this extra
shift bonus in Serbia falls out.
[/a]
250.000
200.000
150.000
151.973
100.000
50.000
0
11.156
29.001
34.511
33.420
45.505
Germany
Serbia
Capital costs
Operating costs
Personnel costs
Figure 5: Annual costs per waste collection vehicle in 2

shift work
Considering the whole, the personnel expenditures

in Serbia are currently approximately 10 times lower
than in Germany. High capital costs of vehicles in Serbia could be explained by short normative amortization
time of 5 years and high bank leasing rates of 9 % per
annum by sourcing of new vehicles.
3.2.2 Envelope costs
Comparison of annual costs for waste transfer station without compacting of waste between the two
countries is shown in Figure 6.
[/a]
250.000
200.000
3.2.1 Waste collection costs
In the third step Cost comparison (see Figure 1), the

logistic costs (capital, operating and labour costs) are
compared for every vehicle unit and logistics process
mile-stone (waste collection vehicle, waste transfer
station, long distance transport vehicle). In the scope of
this paper only disposal group 4 is exemplary analysed.
In this case, costs comparison will be exemplified by
Serbia and Germany. The following input data is used:
the sourcing price of waste collection vehicle on German market amounts 150,000 . The crew of vehicle
consists of 1 truck driver and two waste loaders. Each
2 shift work
68.840
150.000
100.000
80.390
7.552
53.129
50.000
74.462
49.964
0
Germany
Capital costs Operating costs
Serbia
Personnel costs
Figure 6: Annual envelope costs
261

3.2.3 Long distance transport costs
Comparison of long distance transport costs for Variant

1 (semi trailer) between Serbia and Germany is plotted in
Figure 7. Transport vehicle operates 250 days per annum
and achieve transport performance of 90,000 km/a.
Its evident, that the purchase costs for new vehicles
in Serbia compared to Germany are much higher. This
state is caused by shorter amortisation period of time (5
years) and high leasing rates of 9 %. The reason for high
leasing rates can be explained by weak national economy and insufficient trust between credit institutions
and clients.
[/a]
120.000
100.000
80.000
32.353
60.000
40.000
20.000
47.665
24.765
3.839
38.143
37.220
Serbia
Personnel costs
Figure 7: Annual long distance transport costs per vehicle
Operating costs in Serbia are essentially lower than

in Germany. Annual maintenance costs are assumed at
5% of net-value of purchase costs and it is assumed that
these operation costs in reality could be even much
lower. Moreover, its possible to reduce capital and
operating costs by using of leasing on good conditions.
Personal costs of truck driver in Serbia amount only
approximately 11.8 % of the same wage costs in
Germany.
4
CONCLUSION
In this paper a possible methodological approach for

design of logistics processes at the state level simplified
by example of Serbia is presented. The goal is to give
support by decision making processes of allocation
problems in waste management.
Within the scope of this paper in order to support
optimal transport design of logistics processes in waste
management, one option for waste envelope (semi
trailer without waste compaction) was analysed and
economic distance for transhipment from direct to the
long distance transport at the sample of disposal group 4
is determined. The economic distance for transhipment
to the long distance transport is estimated at
xdistance = 30.41 km for simply transport distance.
Its shown that the economic distance for transhipment to the long distance transport in Serbia under current circumstances is higher than in Germany. Increase
of personnel (wage) costs and fuel costs by 100%
(Scenario 3) can reduce this distance for 34 %. This
tendency exemplified by comparison between Serbia
262
and Germany should be considered by design of future

waste management concepts.
The third step of this analysis (see Figure 1) gives an
overview of the structure of the logistics costs (capital,
operational and personnel costs) for waste collection,
envelope and long distance transport. To sum up, it is
evident that the current personnel expenditures in Serbia
compared to Germany are round about one-tenth. On
the other hand capital costs for sourcing of new vehicles
in consequence of short amortization period of time (5
years) and high leasing rates (9 %) are approximately
one third higher in Serbia than in Germany. Cost-cutting
in waste disposal logistics has potential in provision of
funds (credits) with better conditions, which means a
longer amortization period of time and lower leasing
rates. The operating costs of vehicle are lower in Serbia
than in Germany because of lower level of fuel taxes as
well as lower motor vehicle insurance and maintenance
costs.
Finally, this breakdown shows a lot of uncertainties
in log term planning of waste disposal logistic in
developing countries such as Serbia. Among the others,
the reasons for this state could be seen in economic
stability.
REFERENCES
0
Germany
Capital costs Operating costs
[1] Z. Jovanovi: Dissertation: Ein Beitrag zur

Transformation und logistischen Grobplanung der
Abfallwirtschaft am Beispiel Serbiens und
Armeniens, Herausgeberschaft: Institut fr Logistik
und Materialflusstechnik (ILM) Otto-von-Guericke
Univeritt
Magdeburg,
docupoint
GmbH,
Magdeburg, 2011, ISBN 978-3-930385-78-, p. 91
[2] Republiki zavod za statistiku Srbije: Popis
stanovnitva, domainstava i stanova u 2002
Stanovnitvo - Uporedni pregled broja stanovnika
1948, 1953, 1961, 1971, 1981, 1991, 2002, Beograd,
may 2004
[3] Republika Srbija, Ministarstvo za satitu prirodnih
bogatstava i ivotne sredine: Nacionalna Strategija
upravljanja otpadom, Beograd, maj 2003.
[4] WAMASPO Strateki okvir za politiku
upravljanja vrstom otpadom: Glava 5: Analiza
postojee prakse u upravljanju komunalnim
otpadom ukljuujui lokacije za odlaganje otpada,
Beograd, mart 2002, p. 30.
[5] Mller, Karl R.: Effizienz-Modell zur Bewertung
der Transportlogistik in der Abfallwirtschaft,
Dresden 01.07.2005, p. 83.
[6] Thom-Kozmiensky, Karl J.: Sammlung Umschlag
Transport von Abfllen, EF- Verlag fr Energieund Umwelttechnik GmbH 1989, ISBN 3-92451132-2
Future Prospects for Interaction in an

Urban Road Transport System
M. Kraft
Dipl.-Wirtsch.-Ing.
Otto von Guericke University
Institute of Logistics and
Material Handling Systems
H. Zadek
Prof. Dr.-Ing.
Otto von Guericke University
Institute of Logistics and
Material Handling Systems
An increased need of mobility in transport of goods and public transport

arises problems for a traffic management, which cannot be only solved by
local and selective actions. New visions and models for traffic as well as
the development of modern mobility concepts are required, which are
tendentially positioned on a higher political level, but nonetheless
implemented in an operative way. The aim of the research is the
development of a basic concept that handles the complex information flow
on a political level in an appropriate manner to optimize existing and
future information and communication flows (I&C) in an urban road
transport system by using interaction and cross-impact methods. The
following paper gives an introduction and a first proposal.
Keywords: urban road transport system, information and communication
flow,traffic management, cross-impact-analysis
1. CURRENT DEBATES ABOUT MOBILITY

1.1 Electromobility vs. traffic networks
Electromobility is more than ever before in focus of

global science, economy and politics. According to the
wish of the German government, one million plugin
hybrid vehicles shall move on German roads until 2020,
whereby the actual amount of approximately 10,000
public charging points for electric vehicles in Europe
shall increase of two million with partially DCDC fast
recharge mechanism. Indeed, costs of round about five
billion euros show that the political course for eletromobility is set [1] [2]. Scientifically closely connected
with electromobility, the IT industry predict an
overarching perspective in which [] the car is
transformed into a terminal device of a network
(Baumgrtner, K) [3]. German VDI news (Association
of German Engineers) underlined this position in which
Electromobility rearranges economy (Gtze, M.) [3].
With a hype in connection with the keyword
sustainability and full supply of research, industry and
European policy electromobility is presented as the
solution for all traffic problems. By using technical
innovations of pilot projects in Germany, the electric
drive shall find a solution for problems in human
networks on that transport policy is working since many
years without success [4]. However, electromobility
alone is not able to connect physical and informational
traffic flows of all means of transport as a network. The
supply of I&C technologies and the general vision to
revolutionize traffic leads to a close relation between
electromobility and traffic networks. A clear separation
between further development of the electric drive and
the increase of connected traffic interaction is necessary.
1.2 New mobility concepts
The degree of innovation in automotive industry

requires the development of innovative product
components and raises the competition of innovations as
well as costs reduction. Today, mobility is called a
product for that mobility services are established as a

central element. Not electromobility by itself, but the
strong increasing pressure to change our mobility
behavior could lead to the founding of new enterprises.
These companies for instance sell the transport process
with added value and therefore rearrange economy. The
development of cooperative platforms as so-called
turntables of the mobility with integrated services for
a holistic cross-protagonist information management
has a bright future [5]. According to that fact, an
establishment of an intermodal traffic control (ITCS =
Intermodal Control System) underlined the strengths of
individual methods for transportation [6]. Platforms for
various cross-connected modes of transport are going to
be created and companies like Siemens with more than
81,000 employees take already position in the new
business Infrastructure & City. In this business, cities
as growing markets have a big future. Until 2035, more
than five trillion euros are required for worlds biggest
cities to invest in infrastructure and its modernization
[6]. The European project Galileo enables new
opportunities for an intensive connection and control of
traffic by using present infrastructure in a more effective
way. Moreover, social networks could influence
interpersonal interaction in traffic by using modern
media e.g. Passenger 2.0. Off course, besides the
traffic flow optimization, also the welcomed modal shift
has political interest by a combined use of resourcesaving means of transport. In context of a strategic and
holistic traffic concept, not everyone is working
together in Germany. Participants, traffic activities as
well as future visions are unsatisfyingly connected in
terms of temporal feasibility and long-term total cost
orientation [7]. The increasing transport service of
passenger and goods transportation requires a rethinking
in the mobility business. Away from single traffic
control activities, an integrated master plan for urban
mobility management must be designed. The master
plan uses current infrastructure as well as user needs
and should be realized by traffic planners [8]. In
particular, the connection of information flows lead to
263
optimized mobility conditions and increases the traffic

performance.
2. URBAN TRAFFIC VISIONS
Despite of technological success, especially in

automotive engineering since more than one century,
the environmental balance of the transport sector is
negative. Moreover, the electric vehicle is no
technological artifact and only technological
innovations cannot reach a sustainable development. A
behavior-based component and its development is
equally important like the technical progress [4]. Sociodemographic, economic and cultural megatrends are
significant for the development of transportation. In that
case, even the bicycle could form the future [9]. The
question for the reason, location and time for actualizing
mobility is decisive. Emission-free mobility in form of
local urban mobility on foot or by bicycle still exist in
populous European cities and represents one third of all
trips in Germany. But the reason for choosing a means
of transport is found less in environmental friendliness
than in personal circumstances [10]. This way of
thinking is rather part of the planning philosophy of
Shared Space, which intervenes the regulated traffic
parts and tries to reduce restrictions and privileges for
better interpersonal communication and design.
However, Shared Space is no new invention. H.
MONDERMANS basic idea of a road is charcaterized
by the functions exploitation, connection and stay. The
much neglected exploitation function can be
strengthened by a reduced speed in traffic. As a result,
interpersonal possibilities in communication and
perception increases for a democratic life on road,
which is accessible for older and handicapped people
and additionally improves road safety. Unfortunately,
the requirements do not only depend on a political and
cultural change in the way of thinking, but also depend
on the purpose of moving and the complexity of the
urban road system [11]. Not every transport participant
wants to live the road and is cultural and intercultural
suitable for an interpersonal control by a renouncement
of infrastructure accompanying facilities. A created
uncertainty increases the safety of traffic from a human
point of view and is totally the opposite of a technically
networked orientation, in which human being is treated
as a factor of uncertainty. In the technical-oriented case,
intelligent vehicles of the future are integrated in
computer systems, but nevertheless are not able to
process interpersonal complex information exchanges
on the operating level [12]. Thus, two basically different
and diverging developments in traffic planning
philosophies could take place in theory and reality. On
the one hand, a geographically zonal traffic calming by
using the compensatory approach takes place, which
appeals on the single ability of human being to control
its environment in a complex way. On the other hand,
an extensive technically networked control for a quick
transportation for greater distance takes place. How the
occurred divergence at geographically local borders
should be created in future is uncertain. Urban planners
and designers are intensively busy to form and connect
the Megalopolis of tomorrow with for instance
264
following quotation: In the future the city will be

characterized to a high degree by different kinds of
network. Everything will be connected with everything
else by control loops. Automated travel, energy
management, personalized electronic systems and
digital social networks will play a leading role. This will
go hand in hand with a radically changed perception of
urban space. In the networked city all participants in
traffic will, on the one hand, cooperatively control their
interaction, and on the other hand they will all be
enabled to create their individual view of the city. [13]
In visions of most urban designers, traffic is flowing
similar to a shallow river without much noise and
emissions. Driverless cars and the networking of all
participants in traffic make a self-regulated traffic flow
possible [13]. However, the work of designers and
planners has often a lack of concrete transporttechnological understanding. This lack creates a
necessary and creative freedom for their visions, but
neglect practical opportunities to realize mobility. It is a
fact, without a complex information flow, the physical
transport flow of the future cannot be realized as Shared
Space as well as a strict technically oriented network. A
research, which connects the fundamental transport
technology and visions of a mobile city of the future is
more necessary than ever before.
3. IMPORTANCE OF INTERACTION IN TRAFFIC
The exchange of information in urban road systems

continously wins on importance. Modern I&C
technologies make it possible to build up integrated data
models, as well as planning and control systems, which
achieve the aims of useful transparency, reaction,
integration, intermodality and sustainability [5]. The
flow of information in urban road systems has the
advantage not to be fixed directly on matter or
substance. An expansion of information exchanges in
comparison to the pure physical traffic has considerably
much potential (see Fig. 1).
changes in
location
total traffic
telecommunications
motorization
puplic mass transit,

pedestrians, bicycles
timeline
medieval town
in 1820
industrial city
in 1920
modern city in
1970
megalopolis
2020
Figure 1. Saturation curve of changes in location by using

the Compertz-Function [14]
An appropriate policy for a bilateral help in transport

supply and demand is necessary to transfer userindividually formed information with a holistic view in
an operative, tactical and strategic way. Already today,
infrastructure accompanying facilities could be

substituted by personalized information, although the
pure information exchange depends on the substance.
Nevertheless, infrastructure accompanying facilities
have also a long-term future to keep the collective
transparency and safety as well as message redundancy.
For human-machine interface the two senses principle
is often used for data processing. Especially elderly
people are more able to take and process information
and finally to react by using more than only one sense
[15]. Mobility also means intellectual movement.
Therefore, a focus on individual control is very
important, even far away in future. Flexibility and
mobility interact very closly with each other. Nature is
living and surviving with flexibility and motion, which
is realized by interaction and therefore by
communication with the environment. Practicing and
realizing mobility is the driving force behind this. The
Urban Future Initiative of Audi uses the following
quotation for that: The urban mobility of the future will
be organized barrier-free to a much greater extent than it
is today. Pedestrians, cyclists, cars and public transport
share the public space that is available to them. Road
boundaries, road signs and traffic lights could be more
superfluous, because all participants in traffic will be
electronically networked with each other and each
participants need for space will be continuously
determined. In this way frozen structures in the urban
space will come into a flow [13]. But before those
visions become reality, we have to move more in
urban road traffic and to demand changes. Urban traffic
visions sound interesting, they are plausible at the first
view, what is true indeed, if we go one step back from
our traffic problems and present way of organizing
individual road transport. With the goal of an increasing
traffic interaction, transparency of transport processes
can be realized and could lead to an increase of traffic
safety, reliability, understanding as well as planning
safety and furthermore the efficient use of time and its
combined other resources. Finally, the attractiveness of
mobility is going to be strengthened, costs are going to
be reduced and environment wil be protected.
3.1 Complexity of traffic control
Individual road transportation has a big influence on

the urban road system. Collective information is offered
and available for users and is used for their control, like
a speed sign. But the decision to react and how to react
is often totally in responsibility of the individual user.
Because of the use of driver assistance systems, the
human ability to control individually is going to be
reduced. On the one hand, a benefit for the single driver
can be realized and on the other hand, with a view to the
hole system, a deterministic system optimum can be
reached (Wardrops second principle). While doing this,
it could happen that beside the negative mind to lose
individual control, the single road user could also have a
cantankerous disadvantage by creating the welfare of
the hole system (breach of Wardrops first principle of
users optimum) [16]. While a complicated control on a
higher system level is not in focus of every single
participant, an increasing technical networking for
efficient transport processes is unavoidable. Towards

this theory, the principle of self-regulation of complex
systems is set to follow individual-varied aims by doing
a movement. While the combination of an weak internal
control and a strong external control overdrives the
traffic system, a system without collective rules is
drifting away. An active traffic control includes a strong
individual as well as a strong collective component of
control, in that the relation of shaping depends on
spatial, cultural, technological, juridical and a lot of
other features (see Fig. 2).
external
weak
strong
weak
passive
overdriven
strong
drifting
active
internal
Figure 2. Internal vs. external complexity and responsibility

for traffic control [17] [18]
In terms of an internal and external complexity, the

synonyms individual and collective control can be used.
Figure 3 shows the quadrant model of traffic control.
Thereby, a distinction is made between an individual
and collective component. The individual component is
focused on the single traffic participant. For this, an
additional distinction is made between a perception,
which is dircected to the inside and to the outside. The
individual component of the inner side is intentional,
aims at the subjective perception and psyche of every
single participant and is characterized by individual
needs and requests. Here, the need of mobility has its
origin. The individual component of the outer side is
expressed by an individual behavior, which is
recognized by the environment. In general, the internal
and external component has a cause-and-effect
relationship, in which the internal component expresses
the cause and the external component represents the
effect with the environment. These facts can be
transferred on the collective level. The internalcollective component represents the awareness of a
society, whose common acting expresses a social
behavior in traffic. As for other needs, an acting in
society cannot occurs pure individual. While the
movement of one subject hinder the movement of
another subject, an interaction between traffic objects is
unavoidable. A sustainable act of movement should be
in a harmful balance between all quadrants (see Fig. 3).
inside
outside
individual
psychological
perspective
individualbehavior
basedperspective
collective
culturalperspective
politicalperspective
Figure 3. Quadrant model of traffic control
Nonetheless, human being often feels controlled in

its self-regulating nature. Mankind is eager to reach the
265
highest goal by being independent from deadly

surrounding nature. While people accept a collective
aim on an highway to reach a city far away as well as
people sit in the driverless subway in Paris to follow a
collective and efficient control without objection, a
small-scale movement with different goals in urban
areas could be a problem [19]. In last case, human being
often feels curtailed in its privacy (see Fig. 4).
central
decentralized
individual
technical
collective
human
Figure 4. Sphere of individual traffic control
A holistic and central controlling principle leads to

an increase of efficiency on the main infrastructure axis
in urban space, however cannot be protected from
fractal decentralization in free spaces by the use of the
principle example of Shared Space. It seems to be
important to investigate, which infrastructure environment and its features connect the traffic intensively.
Further, it seems to be interesting to find out, which
traffic elements are going to be connected in the future
as well as the importance of a georgraphic segmentation. In doing this, the mobility behavior of participants
gives priority to the action and reaction in a special
traffic situation.
3.2 Conditions for guiding strategies in traffic
Future German population is going to be aged. The

population is characterized by an increased individual
(functional), temporal and spatial interaction flow and
has ecologically friendly attitudes and values. Problems
about mobility behavior are expressed by social
disparities, political hot spots, economically social
insecurity and crime. That particularly results with a big
influence on security needs in traffic. In fact of the
discontinuities in social sphere, alternative drive
systems reach only long-term acceptance. I&C
technologies diffuse in new mobility relevant fields and
urban mobility puts a higher pressure on demand
changes. The aging population is reserved about
innovation and new guiding principles, what leads to
cultural stagnation. This situation is well known in
automobile industry and is misused for its own goals
[20]. Integration and intelligence are leitmotifs of the
future traffic and make contributions for a complete
mobility concept necessary. Otherwise, it must be
accepted that a leitmotif inevitable shorten the target
catalogue [21][22]. Leitmotifs can lead to dangers, if
they ignore or treat social values in an unilateral way, if
they do not recognize existing problems, if they
demonstrate expectations without possibilities to realize
(utopia), or if they neglect behavior rules, which do not
fit the leitmotif [22]. The main idea often slows down
the possibility to act. A strict guideline does not have
266
evolutionarily influenced processes to change the

situation. Politically regulated interventions with the
aim to create new traffic structures are only partially
possible, acceptable and practicable. The free decision
to choose the degree of individual mobility is a very
important need for every participant [23].
4. RESEARCH FOR A HOLISTIC TRAFFIC POLICY
The global increased traffic volume as well as the

rapid technical development in the field of I&C
technologies let engineers of international leading
automobile manufacturers become more inventive and
imaginative. It is well known that, with the steadily
increasing number of vehicles, the amount of problems
would increases and finally requires increased traffic
interaction. Indeed, in the beginning of the automobile
history, electronics in a car was hardly found.
Nowadays, it is unbelievable to imagine that a car could
function correctly without electronics. It shall protect
the driver from dangers by the support of security
functions and shall improve the driving performance to
make the journey more comfortable. As a result, the
human responsibility to control directly the traffic flow
will be driven out by a technical control on a higher
traffic level. Otherwise, even today and in nearer future,
technical systems are going to reach coordination limits
with a greater amount of traffic objects and their
degrees of freedom. Thus, the opportunity to use selfregulated methods of human being is required and need
an appropriate legal framework.
4.1 Reductionism vs. holistic view
Data is collected by traffic counting, measurement,

questionnaire and interview [14]. On an appropriate
technical or behavioral data basis as well as expert
surveys, the data input is used to win conclusions for a
special traffic problem or for a more general case (see
Fig. 5).
Data Collection in Traffic Planning and Control
reductionism
holistic view
Behavioral
Technical
Expert Survey
methods of stated preferences
observation
brainstorming
electronic ticketing
transverse counting
brainpool
accident data collection by

police
node counting
method 635
cordon counting
synectics
traffic counting system / control

and information system
interviews in the network
morphological analysis
noise measurement
interviews at activity spots
CNB method
speed measurement
household survey
role play
cross impact method

delphi method
SEER method
Data Processing
quantitative
qualitative
trend extrapolation
impact models
simulation models
indicator models
Figure 5. Scientific methods for collecting traffic data
The fuzzier the data basis, the more tolerant is also

the correlation to flanking system components. The
complexity of the used method is often limited. The
carefree carryover of simulation models to higher

system layers happens with a lack of quality, which the
user by using a real existing data does not really
recognize. Also trends and prognosis can only be
carried out under the assumption of constant traffic
behavior. A holistic view sees the system parts in
context, is able to present a connected structure on a
qualitative level and fits the analysis of information and
communication flows. Mobility also could be seen as an
epoch-making key problem, which occupies the current
global generation and also can be of great interest in the
future [24]. A hermeneutical (understanding) approach
could be the basis for further analysis. It is used in many
disciplines and reflects the understanding of something
given as something human and its meaning [25]. The
quality of the data basis, its processing and its
evaluation is decisive. On principle, the data basis for a
strategic orientation covers a strong data variety. This
variety is required, because the diversity of complexity
in the traffic system is very high. Because of a limited
complexity potential of a holistic method, the level of
detail is fuzzier, but nevertheless maximize the data
quality. Thus, a holistic system approach instead of
reductionist methods is preferred (see Fig. 6).
reductionism
influence of nature. Furthermore, these elements

include additional sub-elements. In a timeiline,
beginning with the mass suitability of the car until the
year 2050, it is assumed, that a fixation in defining
elements with a sufficient constance of their features is
possible. For that, infrastructure should be divided into
special classes, depending on the balance of the
basically different planning philosophies of the
anthropocentrically oriented or strict technical
approach. Also in nearer future, a substitution effect of
vehicles will still exist, like it happened between horse,
horse carriage, car or electric vehicle. Thus, the element
of vehicle will not have a main changing in its definition
or basic function, but off course a change in its
communication structure. The automobile will not
disappear in 21th Century and is not getting into a flow
of only pixels and data streams. Further, human being
and its surrounding nature have only evolutionary
influences, which do not play any key role for the
observation period. However, historical and cultural
developments of traffic behavior extremely influence
traffic interaction and could be analyzed by comparison
of different nationalities with each other. Moreover, an
interaction is influenced by many other factors like the
temporal perspective of information exchange, legal
framework and situation, the temporal state of an
element or the form of communication (e.g. sense
organs, sensors, satellite etc.). By comparing the
elements with a cross-impact analysis, information and
communication flows could be analyzed. Here, one
element takes influence on an element or is influenced
by another element (see Fig. 7). Important factors like
kind of culture, time of communication, historical
development (stages), level of possibility and necessity
or the comparison of many elements in a communication chain must be shown separately. Thus, these
factors increase inevitably boundary conditions and the
amount of impact matrixes to present a clearly defined
traffic interaction without irritating ambiguities. The
evaluation of the single connection inside a matrix can
be realized by teams of experts from different countries.
The results of the analysis should show a perspective for
every type of traffic interaction or interaction chain in a
historical view. This could happen by a comparison
between past, possible, present, necessary or visionary
situations in a holistic urban road system.
holistic view
diversity
max!
level of detail
level of detail
diversity
level of detail
diversity
min!
necessary data
data requirement
necessary data
max!
data availability
non necessary data

non necessary, uncertain data
min!
data extrapolation
necessary, but uncertain Data
Figure 6. Complexity: data evaluation vs. data quality
4.2 Concept design for analyzing interaction in a

holistic urban road system
As basis of the suggested holistic approach, main traffic

elements for analyzing the information and
communication flow can be defined. These elements
could be infrastructure, infrastructure accompanying
facilities, traffic vehicles, subjects and the external
direct interaction
cyclists
flora/fauna
..
German
need
..
development
Thai
..
strategic
..
culture
interaction time
input restriction
side street
guideline
regulation
costs
wear
I&C technologies
velocity
..
sensor
sense organ
satellite
..
law
information flow
of road traffic
bikeway
..
..
operative
tactical
main street
lane markings
..
Japanese
infrastructure
traffic sign
public bus
..
history
traffic light
bike
car driver
ground condition
potential
car
pedestrians
weather
accompanying
facilities
vehicle
subject
environment
..
state of the
element
interaction type
Figure 7. Cross-impact-analysis
definition of interaction
267
To influence and change traffic interaction, measures

and activities can be suggested directly at the traffic
element or between two or more elements. While an
operative interaction is used for a current situation on
the road, a tactical interaction uses a certain planning
horizon of a way or complex trip chain by given traffic
elements, whereas the strategic component has a traffic
planning role. It has to be said that the field of traffic
avoidance, traffic reduction as well as modal shift
activities are not influencing directly I&C flows to
control urban road traffic. Thus, an increasing efficiency
in the field of traffic optimization with a higher
reliability, safety as well as an effective use of time and
other depending resources could take place.
[6]
[7]
[8]
[9]
5. CONCLUSION
It was shown that a clear separation between

development of the electric drive and the increase of
connected traffic interaction is required. Thus,
electromobility by its own does not lead to new traffic
concepts, for that cooperative platforms with integrated
services for a holistic cross-protagonist information
management and an intermodal traffic control system
are going to be created. The goal to connect every
traffic components with each other is shown in most
visions of urban planners and designers. In these
visions, the traffic comes into a flow without discussing
about the balance between a behavior-based and
technical oriented traffic control. In general, a complex
information flow is required to optimize the connected
physical transport flow of the future. The complexity
potential for controlling the urban road system depends
on I&C technologies and human being. Thus, guiding
strategies and traffic policies must give a holistic
orientation. The needed data basis does not require a
high level of detail in complexity, but includes an
increased diversity. Instead of reductionist methods, a
holistic concept is necessary to maximize the required
data. Especially the use of expert surveys fits the
analysis for long-term and strategic urban road research
as well as the balance between data quality and quantity.
As described concept, a cross-impact-analysis could
create the needed data basis. Here, main traffic elements
and their sub-elements are defined. The connection
between two or more elements represents the interaction
flow that can be analyzed under different restrictions.
The suggested concept could be the basis for further
research activities.
[10]
[11]
[12]
[13]
[14]
[15]
[16]
[17]
[18]
[19]
[20]
REFERENCES
[1]
[2]
[3]
[4]
[5]
(Bundesregierung): Nationaler Entwicklungsplan

Elektromobilitt der Bundesregierung, Berlin, August
2009, p.18
Frost & Sullivan: Ladeinfrastruktur fr E-Autos. In:
Internationales Verkehrswesen, Vol. 6, DVV Media
Group GmbH, Hamburg, Nov./Dec. 2011, p. 63
VDI Nachrichten, Vol. 37, Sep. 16th. 2011, p. 7
Schwedes, O., Ahrend, C.: Kritik am Elektroauto. In:
Internationales Verkehrswesen, Vol. 2, DVV Media
Group GmbH, Hamburg, March/ April 2012 p. 12
Straube, F.: Informationsmanagement als Schlssel fr
den Verkehr der Zukunft. In: Internationales Verkehrs-
268
[21]
[22]
[23]
[24]
[25]
wesen Vol. 5, DVV Media Group GmbH, Hamburg,

special edition, Sep./Oct. 2011, p. 3
Grundmann, H.-J.: Verkehrsmanagement sichert
Energieeffizienz. In: Internationales Verkehrswesen
Vol. 5, DVV Media Group GmbH, Hamburg, special
edition, Sep./Oct. 2011, p. 12-13
Straube, F.: In der Hauptverkehrszeit darf der Verkehr
nicht stillstehen. In: Internationales Verkehrswesen,
Vol. 2, DVV Media Group GmbH, Hamburg,
March/April 2012 p. 3
Straube, F.: Nur integrierte Mobilittskonzepte
entlasten
Ballungszentren.
In:
Internationales
Verkehrswesen, Vol. 1, DVV Media Group GmbH,
Hamburg, Jan./Feb. 2012 p. 3
Schott, V.: Autodmmerung oder weiter in Bewegung.
In: Internationales Verkehrswesen Vol. 5, DVV Media
Group GmbH, Hamburg, special edition, Sep./Oct.
2011, p. 6
Topp, H.: Urbane Mobilitt ohne Emissionen eine
Vision? In: Internationales Verkehrswesen, Vol. 1,
DVV Media Group GmbH, Hamburg, Jan./Feb. 2012
p. 65
Straube, F.: In der Hauptverkehrszeit darf der Verkehr
nicht stillstehen. In: Internationales Verkehrswesen,
Vol. 2, DVV Media Group GmbH, Hamburg,
March/April 2012 p. 39
Laue, U.: Verkehrstelematik Stand und Perspektiven.
In: Internationales Verkehrswesen Vol. 5, DVV Media
Group GmbH, Hamburg, special edition, Sep./Oct.
2011, p. 81
Audi Urban Future Award Building a Vision for
2030, Trademark Publishing, created by Stylepark,
Frankfurt (M), o.a. BIG Bjarke Ingels Group, J.
Mayer H., 2012, p. 4, 6, 8
Schubert, W.: Verkehrslogistik. Technik und
Wirtschaft, Verlag Franz Vahlen, Munich, 2000, p.
121, 193
Gerlach, J., Huber, F.: Perpektiven der Straenraumgestaltung. In: 100 Jahre DVWG, special edition of:
Internationales Verkehrswesen, 2011, p. 108
Wardrop, J. G.: Some Theoretical Aspects of Road
Traffic Research. In: Proceedings, Institution of Civil
Engineers (UK), Vol. 1, No. 2, , London, 1952, pp.
325-378
Willke, H.: Systemtheorie I. Grundlagen, UTB fr
Wissenschaft: Uni-Taschenbcher, Lucius & Lucius
Verlagsgesellschaft mbH, Stuttgart, 2000, p. 240
Willke, H.: Systemtheorie III. Steuerungstheorie,
Lucius & Lucius Verlagsgesellschaft mbH, Stuttgart,
1998, p. 48
(Siemens): Fahrerlose U-Bahn fr Paris. In: Internationales Verkehrswesen, Vol. 6, DVV Media Group
GmbH, Hamburg, Nov./Dec. 2011, p. 62
Minx, E., Waschke, T.: Mobilitt von morgen
Konzepte der Automobilindustrie. In: 100 Jahre
DVWG, special edition of: Internationales Verkehrswesen, 2011, p. 97
Straube, F.: Integration und Intelligenz sind Leitmotive
des Verkehrs der Zukunft. In: Internationales
Verkehrswesen Vol. 5, DVV Media Group GmbH,
Hamburg, Sep./Oct. 2011, p. 3
Steierwald, G., Knne, H., Vogt, W.: Stadtverkehrsplanung, Springer Berlin Heidelberg, 2005, p. 13, 29
Freudenberg, T.: Neue Kritik am Weibuch, Verkehrsrundschau 33-34, Verlag Heinrich Vogel, Munich,
2011, p. 16
Klafki, W.: Neue Studien zur Bildungstheorie und
Didaktik, Beltz, Weinheim, 1996
Jung, M.: Hermeneutik zur Einfhrung, Junius,
Hamburg, 2002
Evaluation of Risk
in Logistic Processes by Applying
Fuzzy Analytic Hierarchy Process
Vladimir Gajovi
Dunav Insurance Company
Belgrade, Makedonska 4
SERBIA
Gordana Radivojevi
Associate professor
Mihajlo Pupin Institute
Belgrade, Volgina 15
SERBIA
Modern logistic processes are becoming more complex and more dynamic
and they are exposed to numerous risks in transport, handling and
warehousing, that is, in the physical distribution of goods from sender to
receiver. Consequences of the risk existence can be various, from delay in
realization of certain logistic processes and activities to loss, damage to or
destruction of goods and cancellation of delivery.
The aim of this paper is to show one approach to the risk evaluation in
logistic processes. The paper describes main characteristics of risks in
logistic processes and the model for evaluation of risk during physical
distribution of goods from sender to receiver. The model is based on the
application of the Fuzzy Analytic Hierarchy Process (FAHP) method. The
developed model uses subjectivity, experience and knowledge when
determining significance of selected risk elements in relation to total risk.
Keywords: Risk, Logistics Process, Physical Distribution Process, Fuzzy
Analytic Hierarchy Process.
1. INTRODUCTION
Modern logistic processes are becoming more

complex and more dynamic and they are exposed to
numerous risks in transport, handling and warehousing,
that is, in the physical distribution of goods from sender
to receiver. Consequences of the risk can be various,
from delay in realization of certain logistic processes
and activities, to loss, damage to or destruction of goods
and cancellation of delivery. Due to these reasons there
is a need to identify, analyse and quantify risks in
logistic processes in order to take adequate measures
that would control risk, that is, prevent risk or mitigate
consequences.
The aim of this paper is to show one approach for
evaluation of risks in logistic processes. The paper
describes main characteristics of risks in logistic
processes and a model for evaluation of risks during
physical distribution of goods from sender to receiver.
The model is based on the application of the Fuzzy
Analytic Hierarchy Process (FAHP) method. This
method enables conversion of descriptive characteristics
of certain processes or occurrences into quantitative
values. The main idea behind the model was to
hierarchically decompose total risk of logistic processes
into risk elements in order to determine their
significance and share in total risk. The FAHP method
is used in the model as a convenient tool for risk
decomposition when there are no representative
statistical data on risks and risk elements in logistic
processes. The developed model is based on
subjectivity, experience and knowledge when
Correspondence to: Vladimir Gajovi

Makedonska 4, 11000 Belgrade, Serbia
E-mail: vladimir.gajovic@dunav.com
determining significance of selected risk elements in

relation to total risk.
The paper consists of five parts. The first part of the
paper provides description of risk and basic risk
classification. The second part of the paper encompasses
main risk elements in logistic processes. The third part
contains description of the FAHP method and
possibility of its application in risk modelling. The
fourth part of the paper includes a description of model
for risk evaluation that is based on application of the
FAHP method. The fifth part is the conclusion.
2. THE NOTION OF RISK
Complex systems and processes, including logistic

systems and processes, are not entirely predictable and
are exposed to potential risks that can be very
significant. There are many definitions of risk that
describe it depending on the approach, context and
observation aspect. Generally, the risk combines
following terms: probability of occurrence of an event
and expected consequence of that event in a system or a
process. The risk means being exposed to the
possibility of a bed outcome (Borge, 2001). Many
authors describe risk as a possibility that a certain
random event would have consequences for the
realization of a defined business objective. In supply
chains risks present unexpected events might disrupt the
flow of materials on their journey from initial suppliers
through to final customers (Waters, 2007). Physical
distribution is a part of logistic processes that include all
activities connected to transport, handling and
warehousing of goods from supplier to end user. Risk
management includes identification of all possible risks
present in the system and processes, implementation of
measures with the aim to reduce possibility for their
realization and minimisation of occurrences.
269
In the process of physical distribution of goods there

are numerous risks such as: risks of traffic/marine
accidents, materials handling risks, fire risks, theft risks,
non-delivery risks, robbery risks, risks of explosion,
risks of delivery delay, war risks, political risks and
other. Consequences of risk in logistic processes can be
numerous, and they mostly include loss, damage to or
destruction of goods or part of shipment in transport, or
delay in delivery that causes numerous indirect risks,
mostly costs.
3. BASIC RISK ELEMENTS IN LOGISTIC
PROCESSES
There are many risk elements that independently or

in mutual interaction affect the level of total risk of
goods in transport. Considering the number of risks in
every logistic process it is often impossible to analyse
and evaluate all risk elements at the same time.
Therefore, in the process of risk quantification one
should define dominant elements that require
evaluation, that is, those elements that greatly affect
total risk. In this paper, risks in logistic processes are
divided into five basic risk elements:
A. The risk of the type of goods in transport There
is almost an infinite number of goods in transport
with different characteristics and specific features,
which affect the level of riskiness. However, every
specific logistic process or system is mostly
characterised by a limited number of goods, which
facilitates the risk management process. Risk is
affected by the aggregate state of goods,
dimensions, weight, volume, shape, centre of
gravity, susceptibility of goods to risk of theft,
sensitivity during transport and other.
B. The risk of packaging and securing goods
External protection affects the level of riskiness of
goods in transport (packaging, palletization,
containerisation and other) and security in
transport. Packaging is an integral part of goods
and optimal packaging can reduce risk. There is a
great variety of goods transported without
packaging and then adequate security and
protection affect the risk.
C. The risk of modes of transport A more important
risk factor is type of transport (marine, river,
combined, by railroad, by road, by air, by post, by
pipeline and other). Every transport mode has
specific risks typical for each one of them. For
example, marine transport is characterised by
numerous risks that are present exclusively with
this mode of transport, such as: sinking of a ship,
effect of sea water to goods, effect of high waves
and other.
D. The risk of transport route One very important
risk parameter is a specific transport route, which
is highly connected with selection of means of
transport. Physical distance of sender and receiver
is an important, but not essential risk component.
More significant risk factors are transport and
traffic infrastructure, area and destination, climate
conditions, political conditions, terms and
restrictions of specific transport and other.
270
E. The risk of other logistic parameters There are

numerous logistic parameters that affect risk. For
example, every interruption of transport (handling,
waiting, warehousing in the place of dispatch or at
destination, etc.) increases risk in transport of
goods. Also, manipulation risks are constantly
present and they affect goods during loading,
unloading and transfer of goods.
Each of the stated risk elements consists of a set of
different factors, which individually or together
influence total risk. Depending on specific features of a
logistic process, riskiness of a certain element can be
dominant compared to others and can cause that such
element, in relation to other risk elements, acquires
prominent significance.
4. APPLICATION OF THE FAHP METHOD IN RISK
EVALUATION
There are numerous different methods for risk

analysis, ranging from very simple and easily applicable
ones to extremely complex ones. Application of these
methods depends on the size and complexity of the
observed system, available information on the system,
available time, costs and human resources required for
analysis, realization costs, etc. Most practical examples
show that risks can relatively efficiently be viewed and
analysed, but risk quantification is often very difficult
because there are no representative parameters required
for statistical evaluation. The problem is particularly
noticeable due to great number and variety of risk
elements, non-existence of required homogeneity of a
statistical sample and a small number of identical
repetitions of initial events that caused realization of
risk. Due to that reason, in practice, risks in logistic
processes are often evaluated intuitively, based on
experience, knowledge or prejudice or some nonstatistical risk evaluation methods are used.
Today, a method that is often applied for risk
evaluation is the Analytic Hierarchy Process AHP,
which was developed by Saaty (1980). The main idea of
the AHP is to include and apply knowledge and
experience of experts regarding a problem under
analysis. The AHP method enables that a certain
problem is hierarchically decomposed and partially
solved, and then these partial solutions are again
combined in order to obtain a solution to the initial
problem. That is a process that includes identification of
objectives and criteria, which are compared and
evaluated; evaluation being based on comparison of
pairs of elements at every level of hierarchy and
synthesis of results based on comparison of criteria at
all levels. The objective is on the top of the hierarchical
structure; at the next level there are criteria that can be
decomposed into sub-criteria, that is, new hierarchical
levels. The last level are the alternatives that present a
final result of problem analysis, that is, weight values
compared to the set objective. Every comparison of two
elements in hierarchy is done by using Saatys scale
(1980). At every level of hierarchical structure elements
are compared in pairs by using scale of significance;
weights of criteria, sub-criteria and alternatives are
defined, and finally total values of alternatives are

synthesized.
A great number of authors applied the AHP method
in risk evaluation in different areas of technics,
management, economics and the similar areas. In
several papers Saaty applied the AHP method for
evaluation of uncertainty and risk. Mustafa and AlBahar (1991) applied the AHP method for evaluation of
risk in projects in civil engineering. Sii et al. (2001)
used fuzzy logic and the AHP method for qualitative
modelling of safety of marine systems.
Critics of this method indicate that intensity
measures of parameters significance only present some
sort of arithmetic accuracy that does not reflect real or
objective evaluation of value. Although Saatys discrete
scale has an advantage in terms of simplicity and easy
of use, it does not take into account the uncertainty
connected with perception of a decision maker. In
specific cases, the traditional AHP method is not able to
present human cognitive processes. This particularly
refers to situations when problems are not entirely
defined. Solving those situations includes uncertain data
or non-existence of representative statistical data on
realization of a certain problem. Due to that reason,
application of fuzzy numbers in the basic scale can
improve accuracy of evaluations, so, the Fuzzy Analytic
Hierarchy Process the FAHP method, set by
Laarhoven and Pedrycz (1983), is often applied. There
are different modalities of the FAHP method suggested
by various authors. Changs method (1996) can be
viewed as an advanced analytical method developed on
the basis of a classical AHP method. Mathematical
formulation of the FAHP method is described in the
paper (Chang, 1996). Numerous authors used the FAHP
in risk management. Vosooghi et al. (2012) used the
FAHP method to analyse and quantify risks in supply
chains for crude oil. Dagdeviren and Yuksel (2008)
developed a FAHP model for security management in
production systems. Tuysuz and Kahraman (2006)
applied the FAHP with evaluation of risks in projects of
information technologies. An et al. (2007) applied
FAHP with evaluation of risks in railroad transport.
5. MODEL FOR RISK EVALUATION IN LOGISTIC
PROCESSES
This paper shows a model for risk evaluation in one

class of logistic processes process of physical
distribution of goods from sender to receiver. The basic
idea in developing the model was to evaluate total risk
in process of physical distribution, so that different risk
elements, their mutual significance and influence on
total risk are taken into account. The model
encompasses three parts: analytical, processing and
managerial (Figure 1).
The analytical part refers to collection of available
data on realization of risk in the previous period.
Mostly, data on risks are not available or representative.
Therefore, experience, intuition and expert knowledge
are used in order to view influence of various risks on
the observed process. In this paper, risk classification
has included five risk elements, which are described
under point 3: risk of type of goods A, risk of
packaging and security of goods B, risk of transport

type C, risk of transport route D, and risk of other
logistic parameters E.
The processing part includes application of the
FAHP method. Total risk is decomposed into five risk
elements, and outcome is an evaluation of level for each
criterion risk element and all alternatives low,
medium and high level of risk. Hierarchical structure of
criteria and alternatives is shown in Figure 2.
Figure 1. The model for evaluation of risk
Figure 2. Hierarchical structure of risk
Comparison of risk elements is shown in the Table

1, where values of comparison are presented in
linguistic terms and their triangular fuzzy numbers
(l, m, u).
Table 1. Fuzzy evaluation matrix for risk elements
A
(1,1,1)
(3/2,2,5/2)
(3/2,2,5/2)
(3/2,2,5/2) (1/2,1,3/2)
(2/5,1/2,2/3)
(1,1,1)
(1/2,1,3/2)
(3/2,2,5/2) (3/2,2,5/2)
(2/5,1/2,2/3)
(2/3,1,2)
(1,1,1)
(3/2,2,5/2) (1/2,1,3/2)
(2/5,1/2,2/3) (2/5,1/2,2/3) (2/5,1/2,2/3)
(2/3,1,2)
(2/5,1/2,2/3)
(2/3,1,2)
(1,1,1)
(3/2,2,5/2)
(2/5,1/2,2/3)
(1,1,1)
By calculating values for every row of the matrix,

we get significance of every risk element in relation to
other elements, expressed by fuzzy number (Table 2).
271

Table 2. Fuzzy evaluation matrix for risk elements
SA
SB
SC
SD
SE
(0.162,
0.280,
0.460)
(0.132,
0.228,
0.376)
(0.110,
0.193,
0.353)
(0.100,
0.158,
0.253)
(0.085,
0.140,
0.291)
By comparison of fuzzy values for each pair of risk

elements we get probabilities that some risk element is
more dominant compared to the other. Values of these
probabilities are shown in the Table 3.
Table 3. Probabilities of comparison of risk elements
significance
V(SASB)=1
significance of every risk element and evaluation of the

total risk level. Ranking of risk elements presents
support to making managerial decisions in order to
reduce influence of a certain element on total risk.
The developed model uses subjectivity, experience
and knowledge when determining significance of
selected risk elements in relation to total risk. The
FAHP method is used in the model as a convenient tool
for risk decomposition when there are no available
representative statistical data on risks and risk elements
in logistic processes.
ACKNOWLEDGMENT
V(SASC)=1
V(SASD)=1
V(SASE)=1
V(SBSA)=0.803 V(SBSC)=1
V(SBSD)=1
V(SBSE)=1
V(SCSA)=0.685 V(SCSB)=0.863 V(SCSD)=1
V(SCSE)=1
This work was supported by the Ministry of Science

and Technological Development Republic of Serbia,
through the project TR36005 for the period 2011-2014.
V(SDSA)=0.426 V(SDSB)=0.633 V(SDSC)=0.804 V(SDSE)=1

V(SESA)=0.480 V(SESB)=0.645 V(SESC)=0.776 V(SESD)=0.916
REFERENCES
From the previous table are calculated weight values

(W') and normalized weight values (W) for every risk
element compared to the objective (Table 4).
[1] An, M., Huang, S., Baker, J.C.,: Railway risk

assessment the fuzzy reasoning approach and
fuzzy analytic hierarchy process approaches: a case
study of shunting at Waterlo deport, Proc.IMechE
Vol 221, Part F: J. Rail and Rapid Transit, 2007.
[2] Borge, D.: The book of risk, John Willey & Sons
Inc, New York, 2001.
[3] Chang, D.Y.: Applications of the extent analysis
method on fuzzy AHP, European Journal of
Operational Research, pp. 649-655, 1996.
[4] Dagdeviren, M., Yuksel, I.: Developing a fuzzy
analytic hierarchy process (AHP) model for
behaviour-based safety management, Information
Sciences 178, pp. 1717-1733, 2008.
[5] Mustafa, M.A., Al-Bahar J.F.: Project Risk
Assessment Using the Analytic Hierarchy Process,
IEEE Transactions on Engineering Management,
Vol 38, No 1, 1991.
[6] Saaty, T.L.: The Analytic Hierarchy Process,
McGraw-Hill, Inc., 1980.
[7] Sii, S.H., Ruxton, T., Wang J.: A fuzzy-logic-based
approach to quantitative safety modelling for
marine systems, Reliability Engineering and
System Safety, 73, pp. 19-34, 2001.
[8] Tuysuz, F., Kahraman, C.: Project Risk Evaluation
Using a Fuzzy Analytic Hierarchy Process: An
Application to Information Technology Projects,
International Journal of Intelligent Systems, Vol.21,
pp. 559-584, 2006.
[9] van Laarhoven, P.J.M., Pedrycs, W.: A fuzzy
extension of Saaty's priority theory, Fuzzy Sets and
Systems, 11, pp. 229-241, 1983.
[10]Vosooghi, A.M., Fazli, S., Mavi, K.R.: Crude Oil
Supply Chain Risk Management with Fuzzy
Analytic Hierarchy Process, American Journal of
Scientific Research, Issue 46, pp. 34-42, 2012.
[11]Waters, D.: Supply Chain Risk Management,
Vulnerability and Resilience in Logistic, Kohan
Page, 2007.
Table 4. Weight of Criteria
Criterion
W'
0.803
0.685
0.426
0.480
0.295
0.237
0.202
0.126
0.141
Synthesis determines values and weight factors for

each risk element and all three alternatives low,
medium and high risk (Table 5).
Table 5. Weights of risk elements and levels of risk
Element
Weights
0.123
0.079
0.084
0.057
0.059
0.402
Medium risk 0.071
0.079
0.066
0.057
0.046
0.319
0.101
0.079
0.052
0.011
0.037
0.279
Level
Low risk
High risk
The managerial part deals with ranking of all risk

elements and alternatives based on obtained values of
weight factors. This enables consideration of possible
influences on total risk and making managerial
decisions in order to eliminate or minimize potential
consequences of risk.
Based on the obtained results, it can be concluded
that type of goods (A) has the biggest influence (0.295),
and transport route (D) the smallest influence (0.126) on
total risk. Obtained results of the model developed show
that observed process of physical distribution of goods
can be described as a low risk process (0.402).
6. CONCLUSION
This paper describes one approach for evaluation of

risk in the process of physical distribution of goods
from sender to receiver. Application of the FAHP
method has enabled modelling of various risk elements
that influence total risk. In the model, each risk element
and total risk are observed on three levels: low, medium
and high risk. Outcome of the model is definition of
272
Vojislav Tomi
University of Ni
Zoran Marinkovi
University of Ni
Danijel Markovi
University of Ni
Goran Markovi
University of Kraljevo
PROMETHEE METHOD
IMPLEMENTATION ON DUMPER TIRE
CHOICE ANALYSIS
In this paper, dumpers and their tires are observed. The aim of the research
in this paper is to obtain best tire choice for damper mobile mine
machines. The complexity of tire exploitation of mine mobile machines
requires appropriate tires selection. The primary aim of this research is to
explain the role and significance of multi-criteria method evaluation using a
example on tires choice. In order to objectively analyze the level of tires
competition for dumpers, in this work, mathematical method of multi-criteria
evaluation, Promethee II, is used. Using Promethee II method, five types of
tires are evaluated and mutually compared. During evaluation of five types of
tires, seven criteria have been used. The results, obtained by multi-criteria
evaluation using presented method, clearly show that this method proved to be
a successful tool during evaluation of tires selection for dumpers.
Keywords: Tires choice, Multi-criteria decisions, Promethee II method
1. INTRODUCTION
Diging-transportation
machines
(buldozers,
dumpers, grades, etc.) perform their working process
during movement on traction regime [1]. In open pit
mining, during performance of logistic activities there is
a high level of risk and danger of increasing costs for
mine machines. There, after explosions and fuel, tires
are the most exploited. Depending on exploitation
conditions, their participation in total costs of machine
maintenance is up to 25% [2]. For this reason,
appropriate choice of tires for mine machines can
significantly reduce maintenance costs.
Decision problems of tires types usually come to
selection of the best compromising solution. Beside real
criteria values by which decision is made, the selection
of the best solution also depends on the decision maker,
that is, on his individual preferences. In order to
simplify the decision process, many mathematical
methods have been suggested. Preference Ranking
Organization Method for Enrichment Evaluation
(PROMETHEE) represents one of the most frequently
used methods of multi-criteria decisions. Beside this
method, other methods are also available. The Method
of Analytical Hierarchical Processes (AHP) and the
ELECTRE method took the significant place in
mathematical description of complex processes which
appear during decisions. All these methods have one
basic task, to help the process of alternative evaluation.
In this paper, PROMETHEE II method is used in
order to mutually compare five types of tires for mine
machines. As a representative, dumper mobile machine
has been used, and it is the most used mobile machine in
open pit mining. A tires for dumpers is evaluated by
Correspondence to: Vojislav Tomi, research assistant
Aleksandra Medvedeva 14, 18000 Nis, Serbia
E-mail: vojislav@masfak.ni.ac.rs
experts according to five criteria. As the result of the

decision process, we got indexes, that clearly show
which pneumatic is the most suitable for exploitation in
open pit mining, are obtained. As open pit mining differ,
copper mine in Bor is taken for representative location
on which dumpers operate.
Decision, as a concept, is widely used, because it is

present in everyday life. There are many definitions in
decision process: according to H. Koontz and
H.Weihrich [3] decision is defined as a choice of most
suitable alternative with respect to predefined criteria,
while T. Hunjak [4] define decision as collection of
activities starting by identification of problems, and
finishing with selection of alternative. As in defining the
term of deciding, so in the process of decision there are
a few different levels [5]: identification and definition of
problems, determining collection of alternative solutions
(Ai), determining collection of criteria for alternative
evaluation (Cj), alternative evaluation and, finally,
alternative selection.
PROMETHEE I and PROMETHEE II methods are
developed by J. P. Brans and presented for the first time
in 1982 at the conference Lingnirie de la decision
organized at the University of Laval in Canada [6]. In
the same year, several practical examples of application
of the methods were presented by G. Davignon [7], and
several years later, J.P. Brans and B. Mareschal
developed PROMETHEE III and PROMETHEE IV
methods [8, 9]. The same authors also suggested visual,
interactive modulation GAIA, which represents a
graphic interpretation of PROMETHEE method, and in
1992 and 1995, they suggested two more modifications
PROMETHEE V and PROMETHEE VI [10, 11].
Many successful implementations of PROMETHEE
method into various fields are evident, and as such,
these methods found their place in banking,
investments, medicine, chemistry, tourism, etc [12].
273
3. MATHEMATHICAL MODEL
PROMETHEE method is based on mutual

comparison of each alternative pair with respect to each
of selected criteria. In order to perform alternative
ranking by PROMETHEE method, it is necessary to
define preference function P (a, b) for alternatives a and
b after defining criteria. Alternatives a and b are
evaluated according to criteria functions. It is considered
that the alternative a is better than alternative b according
to criterion f, if f (a) > f (b). Decision maker has
possibility to assign the preference to one of the
alternatives on the basis of such comparison. The
preference can take values on the scale from 0 to 1, and
relation combinations are possible to present using
following relations:
After defining the type of general criterion, it is

necessary to determine the value of function preference
of action a in relation to action b for each criterion, and
calculate the index of preferences (IP) of action a in
relation to action b. Each pair of actions is in set A. The
index preference is calculated in the following way:
n
IP( a , b ) W j Pj ( a , b ), b W j 1 ,
where Wj is the weight of criterion j.

If all criteria have the same weight, that is if Wj = 1/n,
so the index preference is:
n
IP( a ,b ) 1 n Pj ( a ,b ),
(4)
P (a, b) = 0 no preferences, indifference,

P (a, b) 0 weak preference k (a) > k (b),
P (a, b) 1 strong preference k (a) >> k (b),
P (a, b)=1 strict preference k (a) >>> k (b).
and which is determined by the following relation:

0 Pj (a,b) 1.
Relations have following limitations:

0 Pa ,b 1 ,
(1)
Pa ,b P b , a .
(2)
Higher preference is defined by higher value from the given

interval. This means that, for each criterion, the decision
maker considers certain preference function [13]. In fig. 1,
six generalized criteria are given and six preference
functions P (d). All six generalized criteria are possible to
illustrate via linear functions, that is, they are obtained by
choosing the highest four points inside criteria space of the
given criterion. In fig. 1, beside criteria functions, parameters
for chosen points within criteria space, which is illustrated in
x-axis, are given, and the level of preference is given in yaxis (P). In the four-level criterion, instead of value P(d) =
, it is possible to give any value 0 < P(d) < 1.
(5)
After determining index preference IP (a, b), it is finally

possible to calculate alternative flaw index T (a), the
value of which represents the significance of the
alternative. According to this index, the final decision
about adequacy of one alternative from the set of
alternatives is made. It is determined as:
T a
IPa , x
x A
i 1
(6)
The selection of criteria to be used in the decision

process needs to be done carefully so that the majority
of chosen criteria define the problem at hand adequately
and in accordance with decision makers given requests
[14]. In this way, the influence of experience and
subjective evaluation of decision maker during selection
of generalized criteria is maximally reduced.
Figure 1. Types of preference functions P (d) with parameters that illustrate them
274
(3)
4. MATHEMATICAL MODEL IMPLEMENTATION
Application of Promethee mathematical method in this

work is used for selection of pneumatics for mobile
dumper machine which operate on open pit mine. The
dimension of dumper pneumatic is 27 R49 (width,
radius) and decision maker chooses one of five offered
pneumatics. As the alternatives, the following five types
of tires are considered (Ai = 5): Goodyear with tires
types RT-4A (A1) and RL-4J (A2), Bridgestone with
tires types VMTP (A3) and VRDP (A4), and Double
Coin with tires type REM-9S (A5). During evaluation of
alternative (Ai), seven Cj=7 criteria have been used (fig.
2). The criteria are marked with indexes Cj and they
include: price (C1), performance (C2), maximum speed
(C3), weight (C4), strength (C5), comfort (C6) and index
of tires warming (C7).
After defining alternatives and criteria, it is necessary to
evaluate weight coefficients Wj, according to which
given alternatives are evaluated.
Experts also assigned following weights to criteria: The

sum of all weight criteria equals 1. The value of
assigned weights show that the decision maker, during
decision process, will equally evaluate criteria of
comfort and pneumatic heating, as well as weight
criteria and maximum speed. The first two criteria are at
the same time significant for decision maker during
pneumatic selection. It is easy to note that maximum
speed is the same for all types of pneumatics, so this
criterion does not influence final decision during
pneumatic selection. Other criteria values are taken
from producers catalogue.
Beside weight factors Wj, a decision maker has to be
able to assign to each Cj criterion a corresponding
preference function P(d).
Beside the preference function, it is necessary to
determine which function is minimized and which is
maximized.
Figure 2. Basic parameters in PROMETHEE II method (alternatives Ai and criteria Cj)
Certain criteria, such as comfort and heating of

pneumatics, are evaluated by experts who operate on
pneumatics. Such an approach reduces the mistake of
subjective evaluation of the author considerably. The
results of ranking and criteria evaluation are illustrated
in table 2 by experts. The experts used scale (table 1) for
qualifying qualitative values of criteria Cj [15].
Table 1. Linear quantifications of qualitative attributes
1
Very low
2
Low
3
Medium
4
Strong
5
Very
strong
Beside alternative and criteria evaluation, weight

coefficients of criteria are also presented in the table 2.
In this work in table 2, criteria that belong to financial

category and criteria which have negative influence on
pneumatic performance are minimized, while criteria
which influence on improving of pneumatics are
maximized.
By final implementation of PROMETHEE II method in
the process of solving problems of multi-criteria deciding
for evaluating indexes of preferences IP (a,b) (3), the
results of final index of alternative flaw T(a) (6) are
obtained, and their values are illustrated in Table 3.
In table 3, it is clearly obvious that both types of
Bridgestone pneumatics are most suitable for operations on
surface diggings of mines. It means that VMTP pneumatic,
according to previously mentioned criteria, offers the most
suitable conditions of exploitation.
Table 2. Evaluation of criteria Cj for each alternative-pneumatics Ai on the level of importance
Alternative
Price
Performance
(tkph)
Consistence
(Ibs)
Comfort
Pneumatic
heating
Weight
(kg)
Maximum
speed (km/h)
RT-4A
RL-4J
VMTP
VRDP
REM-9S
min
5
5
3
3
1
0.3
max
394
440
544
513
425
0.2
max
60000
60000
59900
59900
59850
0.2
max
5
5
3
3
1
0.1
min
5
4
3
3
1
0.1
min
1389
1337
1310
1400
1412
0.05
max
50
50
50
50
50
0.05
Weight Wi
275
Table 3. Final pneumatics ranking on the basis of T(a) index
Alternative
Rang
T(a)
Bridgestone
Bridgestone
Goodyear
Goodyear
Double Coin
VMTP
VRDP
RL-4J
RT-4A
REM-9S
1
0.225
2
0.150
3
0.001
4
-0.125
5
-0.250
5. RESULTS ANALYSIS
In order to analyze the results, special software for data

processing, D-Sight [16], has been used. The platform,
on which D-Sight software has been developing, is
closely connected to PROMETHEE method. D-Sight
program facilitates development of the model according
to the PROMETHEE method through the following
steps: setting alternatives, setting criteria, setting weight
coefficients for criteria separately, setting alternatives
weights and their normalization, determining function
of criteria and their maximization/minimization, and
reading results. Similar solutions have been also offered
by Cvetkovic[17] and Tomic [18].
Graphic illustration of result processing is obtained by
using Global Visual Analysis tools (GVA), and its
illustrated in figure 3. The point P denotes an
approximate value of all criteria weights and visually
illustrates the optimal point, which the alternatives tend
to achieve. Reading the results obtained by
PROMETHEE method of multi-criteria decisions
supported by program D-Sight, it is graphically
confirmed that Bridgston VMTP has the strongest T(a)
index.
By analyzing results, criteria which contributed to
Bridgston VMTPs strong index is reasonable price and
excellent performance and low weight of pneumatics,
while on Double Coin REM-9S, criteria which influenced
negative T(a) index the most are: weaker consistence, less
comfort and greater heating of pneumatics.
In figure 3, given solutions are visually illustrated. Here,

the alternatives are presented as points, while criteria
are presented as axis. If alternatives spread away
towards one axis of criteria, it means that the given
alternative is good for the given criterion. For example,
Bridgestone VMTP is by performance a way ahead of
other alternatives, so this pneumatic is deep into the axis
of this criterion. It is similar with VRDP pneumatic
which has the highest price competence, so it is also
deep into the axis of the criterion. On the other side,
Goodyear RT-4A and RL-4J is the most expensive, and
that is why they are opposite the axis of this criterion,
but by comfort very close to axis criterion of comfort. If
these two axis are in the same direction, it means that
those two criteria are in correlation with each other.
On the other side, if axis go into the opposite direction it
means that criteria are positive. For example, in figure
3, it is clearly obvious that the axis of price criterion is
opposite axis of consistence and comfort criteria. It
means, the higher the price, the greater consistence and
comfort of pneumatics. And during pneumatic selection,
we try to minimize the price and maximize the other
two criteria, so that is why these criteria are in
conflict and they are situated opposite sides. Red axis
stands for the axis of compromise for all criteria and all
alternatives strive to get closer to this axis, or point P.
The closer the alternative to axis, the more desirable as
final solution.
Figure 3. Obtained alternative solutions by using D-Sight software
276
By applying D-Sight software, the best alternatives

Bridgestone VMTP and Double Coin REM-9S are
compared. In figure 4, advantages and disadvantages of
Bridgestone VMTP pneumatic in relation to Double
Coin REM-9S are illustrated. It is clearly obvious that
Bridgestone VMTP for price criterion has the value of
0.25 while Double Coin REM-9S has 1 value for the
some criteria as the best ranged. It means that Double
Coin REM-9S by this criterion is much more competent
than Bridgestone VMTP. This way, weight coefficients
of other criteria are compared. The last criterion, as it is
obvious in figure 4, does not have any influence on
decision maker.
Bridgestone VRDP, Goodyear RL-4J, Goodyear RT-4A

and Double Coin REM-9S. According to T(a) index, it
is possible to determine the level of pneumatic
competence on surface diggings with mine machine
dumper in relation to other alternatives. By using DSight software, analytic solutions are qualitatively
analyzed and verified.
Beside its quality, the success of PROMETHEE method
implementation in the process of deciding greatly
depends on possibilities and experience of decision
maker, because decision maker has to be able to prove
the significance of each criterion and define it on an
interval scale.
6. CONCLUSION
ACKNOWLEDGMENT
Primary aim of this research is to obtain T(a)

indexes by using multi-criteria analysis which will help
to choose pneumatics for dumper machines. In this
work, PROMETHEE method is used, as well as a
mathematical tool in order to obtain T(a) indexes.
PROMETHEE method is ranked as one of the most
famous and most frequently used methods of multicriteria decisions. Theoretic basis of this method has
been presented, and its application has been
demonstrated by finding T(a) indexes for dumper tires.
By applying Promethee method T(a) index is obtained
for five pneumatics according to 7 criteria. According to
results, Bridgestone VMTP pneumatic proved to be the
best solution, while the second and the third ranged are
This paper is supported by the Ministry of Education

and Science of Republic of Serbia, Project Nr.
35049.
REFERENCES
[1] Durkovi, R., Simovi, S., Damjanovi, M., Control

of the economical regime of digging and transport
machines, MHCL Material handing, constructions
and logistitics, XVII international conference, pp.
119-124., 2006.
[2] Gaji, A., ivanovi, D., Exploitation and
maintance of pneumatic tyres in open pit, Transprt i
logistika, Vol. 3., pp. 25.1-25.8., 2008.
Figure 4. Comparison of type pneumatics of VMTP and REM-9S
277
Koontz, H., Weihrich, H., Essentials of

Management, Fifth Edition, McGraw-Hill Publishing
Company, New York, 1990.
[17] Cvetkovic, S., Cvetkovic, M., Izbor lokacije

trgovinskih centara, Transport and Logistics, 4, 8386, 2011.
[4] Hunjak, T., Kvantitativne metode u menadmentu

izbor softver- a za KMS, Pristupni rad, Varadin,
2006.
[18] Tomi V., Marinkovi Z., Janoevi D., Promethee

method
implementation
with
multi-criteria
decisions, The Scentific journal facta univerzitatis,
Series Mechanical Engineering, Vol. 9, N0.2, Ni,
2011., pp. 193 - 202.
[3]
[5] Barakai: Odluivanje o poslovnim strategijama,

Svjetlost, Sarajevo, 1987.
[6] Brans., J. P., Lingnirie de la dcision; Elaboration
dinstruments daide la dcision. La mthode
PROMETHEE. In R. Nadeau and M. Landry,
editors, Laide la dcision: Nature, Instruments et
Perspectives dAvenir, pages 183213, Qubec,
Canada, 1982. Presses de lUniversit Laval.
[7] G. Davignon and B. Mareschal. Specialization of
hospital services in Quebec An application of the
PROMETHEE and GAIA methods. Mathematical and
Computer Modelling, 12(10-11): 13931400, 1989.
[8] J.P. Brans, B. Mareschal, and Ph. Vincke. How to
select and how to rank projects: The PROMETHEE
method. European Journal of Operational Research,
24(2): 228238, 1986.
[9]
J.P. Brans and P. Mareschal. The

PROMETHEEGAIA decision support system for
multicriteria investigations. Investigation Operativa,
4(2): 107 117, 1994.
[10] J.P. Brans and B. Mareschal. Promethee V

MCDM problems with segmentation constraints.
INFOR, 30(2): 8596, 1992.
[11] J.P. Brans and B. Mareschal. The PROMETHEE
VI procedure. How to differentiate hard from soft
multicriteria problems. Journal of Decision
Systems, 4:213223, 1995.
[12] S. Kolli and H.R. Parsaei. Multicriteria analysis in
the evaluation of advanced anufacturing technology
using PROMETHEE. Computers & Industrial
Engineering, 23 (1- 4), 455458, 1992
[13] Nikoli I., Borovi S., Viekriterijumska optimizacija,
metode, primena u logistici, softver, CV VJ, Beograd,
1996.
[14] Kolarevi M., Brzi razvoj proizvoda, Zadubina
Adrejevi, Beograd, 2004
[15] Prvulovi, S., Tolma, D., Nikoli, Dj., Primena
PROMETHEE II - metode u dijagnostici uspenosti
proizvoda od gume. Tenicka dijagnostika, 3, 23-28,
2008.
[16] D-sight, software for Windows based on the
PROMETHEE GAIA methodology, 2011.
278

SESSION D
CONSTRUCTIONS AND DESIGN
ENGINEERING
Proceedings of the XX International Conference MHCL'12
Failures of Gear Drive Bearings Caused

by Structure Elasticity of BWE and by
Gear Resonance
Milosav B. Ognjanovi
Full Professor
Milo Risti
PhD Student
Sanja Vasin
PhD Student
Extreme powerful gear drives are with relatively elastic structure of

housing components. Also supporting and connection with caring structure
are not rigid enough including this structure by itself. The article contains
analysis of gear unit supporting bearing failure of bucket wheel excavator
SchRs-1600. The failure occured in extreme short service life, in the form
of progresive and catastrophic pitting. Presented analysis shows that this
phenomenon appeared due to multiple synchronized influences which are
direct consequence of structure elasticity, eccentricity of reducer and
output shaft masses, rigidity of moment lever, and local deformations of
bearing area. Improved design solution together with mentioned analyses
are presented.
Additionally, gear transmission units could work properly in the
resonance conditions but they cause very unfavorable effects on other
components, such as the bearings. The article contains gear resonance
identification and its influence on rapid failure of bearings and other
gears of bucket wheel excavator drives gearbox, entitled SRs-1301.
Thereafter follows the correction of design parameters of critical gear
pair in order to avoid its resonance and excitation of natural frequency of
gearbox housing.
Keywords: Gear drive, Bearings, Elasticity, Resonance, Pitting
1. INTRODUCTION
In the course of Bucket Wheel Excavator (BWE)

exploitation, accidental damages frequently occur on the
places (local areas - joints) where elasticity and strength
are not adequately synchronized. These are frequent
causes of accidental damages, redesigns and reparations
from which proper articles are generated of which some
are quoted in a reference list. In work [1] is given an
overview of destruction causes as design faults,
manufacturing, operating and environmental faults
(during exploitation). Usually, the causes of failure are
all above mentioned influences. In general, failure
presents a great financial loss and serious risk for
workers` safety. From a diagram representing the
relation between service life and digging capacity of
BWE structures it is evident that with digging capacity
increase, service life decreases. The main topic of this
article is failure study of bucket wheel boom tie-rod
welded joint. The causes of fracture were internal flows
which are not allowed for high class weld. In the next
work [2], the failure of bucket wheel slewing platform is
studied. Pronounced stress concentration was identified
as the main cause of failure. Design solution for the
reconstruction chosen based on comparative analysis of
stress-strain state of alternative solutions has been
proposed. Numerous studies have been conducted,
Correspondence to: Milo Risti
E-mail: mristic@mas.bg.ac.rs
based on numerical and analytical analysis of bearings.

Authors of article [3] made a numerical and analytical
model of bearing for the presentation of spatial and time
distribution of stress and strain on roller bodies and
outer bearing ring with simulation of local sliding effect
on roller bodies. In article [4] the authors performed
numerical analysis of actual bearing capacity under
rolling contact of large roller bearings with hardened
race to determine location and time of appearance of
rolling race damage (micro cracks). In [5] is presented
the study of influence of cooling fan and driving wheel
unbalances on loads and life of bearings due to mass
eccentricity that has caused load fluctuations and life
reduction. Research on micro-pitting [6] may be divided
into two approaches, experimental and theoretical.
Experimental approach is used for the development of
test rigs and test procedures to better understand micropitting behaviour in controlled conditions and to
identify the parameters that control the problem such as
load, hardness, sliding speed, temperature and
lubricants. Theoretical approach is used to study the
mechanism of micro-pitting predominately by
evaluating pressures and tractions in rough contacts. In
work [7] is given the presentation of these failures in the
form of pitting and fractures of bearings parts which
caused failures of railway axle. Article [8] is searching
for fracture causes of railway locomotive traction shaft
and identify that the bearings is one of the main causes.
Researches in the field of gear vibration have been
mainly oriented to sub-critical range of teeth mesh
frequency, but not frequent in supercritical one [9]. The
aim of these researches is to determine the influence of
transmission errors on dynamic characteristics [10].
Researches of gears behavior in the range of resonance
279
are not frequent. The operation of gears in resonance

frequency range is possible, but undesirable.
Identification of different types of resonance [11, 12]
has major importance for recognition of resonance
effects and harmonised design parameters in order to
avoid resonance [13].
2. BEARING FAILURE DESCRIPTION
2.1 Gear drive unit of BWE SRs-1600
After only 1350 service hours, the failure of roller

bearing has appeared in the reducer of bucket wheel
excavator, although the calculated nominal service life
of this bearing is 60,000 hours. Figure 1 shows 3D
model of the reducer. The reducer case consists of two
wholes, planetary PL and no planetary NP connected
with a screw joint SB, which envelopes satellite carrier
of the last transmission stage PL. Satellite carrier
represents an overhang supporting the reducer. By
conical rings it is directly connected to rotor shaft which
leans over two roller bearings. The rotation of a reducer
around the rotor shaft axis is prevented by the lever for
fixation of FB.
FB
PL
SB
NP
Figure 1. 3D model of traction gear unit
Figure 2 shows cross-section of the reducer and

satellite carrier SK connected with a bucket wheel shaft.
The reducer, with its own weight, leans over bearings 1
and 2 on the satellite carrier SK and the on rotor shaft
overhang. In supports 1 and 2, roller bearings of
corresponding dimensions are mounted. By the effect of
force FG=541kN, due to reducers` net weight, bearing 1
is subjected to the force F1=904 kN, and bearing 2 also
to the vertical force F2=361 kN. Calculated service life
of bearing 1 under this load should be 60,000 hours, but
it was destroyed after 1350 hours of operation.
1
1587
FG
F1
There are several traces pointing out that failure has

appeared due to long-lasting surface fatigue of the
bearing. The surface layer of a rolling path on the outer
bearing ring was progressively roughened by the
separation of particles. Due to pitting, bigger cracks
have penetrated into the depth of rings wall, rapidly
spreading and breaking off bigger pieces of ring until
the biggest part hasnt been taken away. Besides bearing
ring, rolling bodies have been also damaged, while
some of them were smashed into pieces or metal dust.
Broken parts and damaged rolling bodies are shown in
Figures 3. A pile of metal sawdust gathered by oil flows
for forced lubrication.
Figure 3. Failure of external bearing ring and pitting dast

collected by oil flow
Failure is a consequence of surface fatigue which is

confirmed by a small pile of sawdust found in a reducer.
Although bearings transfer only the reducer weight,
failure has appeared on one smaller part of rings shape
as a cause of great force action, whose direction and
course are closer to horizontal than vertical plane
(Fig.4).
Reverse bearing calculation shows that the
magnitude of force which has led to failure is 2800 kN
in the course of complete service life of Lh=1350 hours.
Dynamic carrying capacity of the bearing is C=2.106 N
in the course of 106 revolutions and speed of rotation is
3.9 rpm. The static carrying capacity is also much
higher than nominal magnitude of force F1=904 kN.
Observation of the damaged area on the bearing outer
stationary ring shows that the force which has caused
failure has direction under the angle of nearly 35
degrees to horizontal plane, i.e. acts under the slope, see
Figure 4. This means that in vertical direction the force
of 1606 kN acts, and horizontal component is 2293 kN.
Since nominal value of vertical component of reducers
weight is 904 kN, and horizontal component should not
exist. It is necessary to determine the causes for these
additional forces appearance.
2
F1
F2
350
950
Horizontal
component
SK
Vertical
component
F1
60nLh
106
2 106
3.33
60 3.9 1350
2.8 106 N
106
Figure 4. Failure position and destructive force value

Figure 2. Cross-section of the reduser with bearings 1 and
2 positions
280
2.2 Gear drive unit of BWE SRs-1301
The input gearbox at bucket wheel of bucket wheel

excavator SRs-1301 has five stage transmissions with
fixed shaft axes. At the second stage, there is a pair of
spiral bevel gears, and all other stages consist of helical
gears. The output shaft is connected with bucket wheel
shaft by means of a flange. The bucket wheel shaft is
one of the supports of the gearbox (Fig.5a). The gearbox
is driven by electromotor with the power of 400 kW and
n=1480 rpm. Nominal torque at the input shaft is
T1=2581 Nm.
spherical roller bearings becomes higher than lateral

clearance between teeth of spiral bevel gears, axial
resonance force from helical gears becomes accepted by
bevel gears. Because of spiral shape of the teeth, axial
resonant force from helical pair acts on the teeth of
bevel pair in alternative directions, leading to their
failure.
Figure 6. Axial forces at second shaft: a) at stationary

operation, b) at resonance
Figure 5a. 3D model of traction gear unit of BWE SRs-1301
In the course of exploitation, the bearings of the

second shaft were prone rapidly to failure. At once,
there was even the failure of the teeth of spiral bevel
gears that were torn apart. It was determined by
calculation that all of the gears and bearings shouldnt
fail due to the service loads, even if they were
intensively overloaded. Figure 5b shows the assembly
of the second shaft and bearings. The damage occurred
previously at spherical roller bearings. Due to bearings
worn out, internal clearance was extremely enlarged.
Axial displacement of the shaft became huge. All these
facts indicated large axial forces with variable direction.
Causes of the failure of bearings could be also

additional loads induced by elastic deformations of
shaft, bearing supports, housing walls or by natural
frequencies of housing. These reasons led to systematic
analysis of these components by FEM. Fig.7 presents a
3D model of shaft meshed by tetrahedron elements,
with extremely enlarged deformations. Fig.8 shows
deformations of bearing nave. Stresses and
displacements of all components are determined
assuming the forces on gears that correspond to nominal
power increased by the magnitude of short-time
overload (application factor =1.75). Shaft
deformations are very small (highest displacement is 12
m), so it could be assumed that those deformations
didnt affect self-adaptive bearings. The way of
supporting of the bearing nave contributes to unequal
displacement, which reflects to unequal distribution of
radial force on two bearings in this support. Analysing
the stiffness and natural frequencies of housing by
means of FEM, it is determined that housing is rigid
enough and is not the cause of bearing failure.
Figure 7. Elastic deformation of shaft caused by gear forces

Figure 5b. Assembly of the second shaft
Axial forces applied to the second shaft for a given

rotation direction are directed opposite to each other
(Fig.6a), and their subtraction is accepted by axial
bearing at the left support. Due to resonance of helical
gear pair, displacements of these gears are in anti phase.
Teeth collide with each other very hard, vibrations are
intensive as well, and axial force is with alternated
direction (Fig.6b). Spherical roller bearings are very
sensitive to axial loads, and they fail quickly. Rapid
failure of bearings is aided by axial supporting of the
outer ring, which enforces bearing to accept axial force
oriented to spiral bevel gear. When axial clearance in
Figure 8. Supporting nave deformation
281
3. EFFECT OF STRUCTURE ELASTICITY

3.1 Effect of gear unit housing elasticity
For the bearing calculation, it was assumed that the

reducer case is a rigid body. Elasticity of structure can
lead to change of force direction turning it away to
horizontal plane and structure conditions causing the
increase of force magnitude. This fact is supported by
the eccentric position of reducers mass with motor drive
to the bearing meridian plane (Fig.1). Mass eccentricity
generates additional elastic force on bearings. In Fig.9
are shown deformations on the place of bearing 1 and 2,
on condition that there is no bearing and that on the
place of bearing 2 there is a clamp. Due to these facts,
reaction force in bearing 1 has been increased and
inclined a little from vertical to horizontal direction. As
a confirmation to this assumption, by applying FEM
analysis, there have been calculated the magnitude and
direction of force induced by those movements.
horizontal movements of a reducer under sudden

oscillations of the whole system to the left or right side.
This effect could be disabled by sufficient level of
horizontal movement freedom at the end of the lever, as
noticeable in Figure 10. If connection 4 doesnt allow
freedom of lateral movement, reducer 1 can not adjust
to shaft 2 and by means of lever 3 the horizontal force
on bearing is produced.
Figure 10. Reducer 1 on BWE with moment lever 3
3.3 Effect of elasticity in the bearing seat area

Figure 9. Elastic deformations of gear housing structure
3.2 Effect of torque fixing structure
To prevent reducer rotation around the exit shaft and

rotor shaft, reducer is fixed by moment lever fixing
bar FB (Fig.1) and 3 in Fig.10. The lever is a
strengthened and facilitated plate connected by screws
with the reducer case (Fig.10). With one free end, lever
is connected to BWE carrying structure by crank
connection that consists of teeter of two axles and two
lateral plates (Fig.1). The lever is to prevent the reducer
rotation but, at same time, not to interfere with the
freedom of adjustment to shafts in other directions and
angles. If freedom is insufficient, the lever can become
a source of additional load to the bearing. At
dismantling of a reducer, the lever is found blocked in
one of its marginal positions. In case the deviation of
rotor shafts position exists a free end of moment lever
should move enough to the left side and enable the
reducer to take a proper direction. In case of deficiency
of unconstrained movement at free end of the lever a
force will appear inducing the force which attacks
bearings on satellite carrier in the horizontal plane. The
magnitude of this force depends on lever's rigidity and
the size of free ends movement, which is prevented to
happen. Under very big service load, rotor shaft endures
elastic deformations under effect of cutting forces on the
rotor buckets. The shift size of shaft overhang (satellite
carrier) can be determined using FEM analysis for the
known cutting resistance. The overhang movement must
be also enabled by the lever free end. Under influences
of forces of inertia the lever should also allow
282
The local stiffness of structure, where the bearing is

mounted, apart from mentioned influences, can have
effect on bearing load. The analysis of bearing seat area
is done using FEM analysis. As a result, elastic
deformations of bearing rings in reducers case and on
satellite carrier are determined as well as the possibility
of excentricity and oval shapes appearance. Also, a
significant deviation in parallelity of ring lines, between
which the bearing is mounted, and ovality effects on
loads distribution inside the bearing are all identified.
Excentricity can be rectified only by additional force
which additionaly burdens bearing. In continuity of this
analysis there follows the representation of state inside
the bearing caused by interaction between the bearing
internal parameters and external effects. Load that
bearing transfers is distributed on rolling bodies behind
the meridian plane perpendicular to force direction.
b)
a)
c)
Figure 11. Effect of bearing set accuracy: a) inner bearing

clearance, b) ring axes parallelism, c) ring oval shape and
eccentricity
4. EFFECT OF GEAR RESONANCE
Natural frequency of the first pair of gears is
4.1 Gear drive resonance identification
f rI
Gear teeth meshing is a dynamical process which

generates dynamical excitation forces, such as elastic
variable forces and collision forces but also forces due
to sliding and rolling of tooth flanks. Gears are specific
for their characteristic to work in resonance, unlike the
other mechanical structures whose amplitudes increase
so much in resonance that could lead to failure in a short
time. In the case of gear resonance, due to anti phase
displacement of gears, teeth alternately collate by left
and right flank, generating intensive alternate forces
(Fig.12b and 6b). These forces increase dynamic factor
Kv, but gears can operate but presents very strong source
of dynamic disturbance.
1
2
c
1
me 2
3418 106
1181Hz
62
(3)
Operation teeth mesh frequency of the first gear pair is
fI=n1z1/60=1480.53/60=1307 Hz. The ratio between
exciting and natural frequency fI/frI=1307/1181=1.1 is in
the range 0.851.15, which indicates the full resonance
of helical pair. For bevel pair pair (the second stage),
applying the same procedure, natural frequency is:
f rII
1
2
c
1
me 2
1562 106
632Hz
99
(4)
and
teeth
mesh
frequency
is
fII=n3z3/60=1305.23/60=500Hz. The ratio between
exciting and natural frequency fII/frII=500/632=0.792 is
close to resonance, since it is close to the lower limit of
0.851.15.
4.2 Gear drive design parameters harmonisation
Figure 12. Dynamic model of gear pair in mesh (a) and flank
clarence space for alternately colisions (b)
Basic parameters for calculating the resonance

frequencies of gear pair in mesh is teeth stiffness and
value of the reduced mass (Fig.12a). According to DIN
3990 for helical gear pair at first stage of transmission,
theoretical teeth stiffness is:
x
1
0.15551 0.25791
0.04723
0.00635 x1 0.11654 1
cth
zn1
zn 2
zn1
x
0.00193x2 0.24188 2 0.00529 x12 0.00182 x22
zn 2
(1)
Equivalent numbers of teeth and ofset factor of these

gears are zn1=56, zn2=63.4, x1=x2=-0.198. For these
values, theoretical teeth stiffness is cth=17.49N/m,mm.
The influence of elastic displacements in teeth contact is
included multiplying by 0.8, and influence of helical
angle multiplying by cos, so real teeth stiffness is
c 0,8 cth cos 1 2 0,8 17, 49 cos110 13.73 N/m,mm.
Average specific stiffness of mashed teeth is
c c 0,75 0,25 for 1.88 , c 22.79 N/m,mm.
Resonance of the gear pair 1-2 could be avoided if

a significantly big difference were made between teeth
mesh frequency and natural frequency of this gear pair.
Natural frequency depends on teeth stiffness and
magnitude of rotation masses. These magnitudes could
not be significantly changed at the present design
solution of this gearbox. The teeth mesh frequency
depends on rotation speed and number of teeth. The
rotation speed also couldnt be changed. There is only
one possibility left, and that is to change the number of
teeth (z) and gear module (m), so the gear center
distance and transmission ratio remain unchanged.
Increasing gear module from 7 mm to 12 mm and
proportionally decreasing the numbers of teeth and helix
angle from 11 to 8.1, the center distance of 400 mm
remains the same. For these changed parameters,
following the same procedure, it is calculated natural
frequency of frI=1199 Hz and frequency of gear teeth
meshing fI=749Hz. The ratio between these frequencies
is fI/frI=749/1199=0.62, which indicates that new
parameters led helical pair out of resonance and led it
into sub-critical service condition. By this correction is
avoided gear unit housing naturak frequency of 1300 Hz
(Fig.13) which can produce and increase level of
gearbox noise.
Total average mashed teeth stiffness is c c b , for face

width b=150mm, it is c=3418N/m. Rotation mass of
the first gear is mass of the gear itself together with
shaft, rotation mass of input clutch with rotor of
electromotor, all of them with total moment of inertia
I=3.761 kgm2. The second shaft with gears 2 and 3 has
the moment of inertia II=5.147 kgm2. According to
calculation of gear geometry, the radii of basic circle of
gears 1 and 2 are rb1=177 mm and rb1=200 mm, so
reduced masses in direction of contact line (Fig.12a)
and equivalent mass are mr1=JI /rb12=3.761/0.1772=120
kg, mr2=JII /rb22=5.147/0.22=128 kg
m m
120 128
me r1 r 2
62kg
(2)
mr1 mr 2 120 128
Figure 13. Modal shape of gear housing natural vibration

with 1300 Hz
283
5. CONCLUSION
For understanding of complex failure process and

identification of its source, there has been conducted
partial and mutual analysis of multiple influences which
are the object of different research fields, concerning the
current problem.
Catastrophic failure of the bearing in gear drive unit
of BWE SRs-1600 is the result of simultaneous
effects of influences, such as missing of fixing bar
horizontal freedom in joint with carrying structure,
gear housing elasticity, local bearing set elasticity,
bearing ring axes parallelism deviation and inner
bearing clearance.
A set of design solutions are suggested in order to
prevent causes for bearing failure. The main solution
is redesign of reducer fixing bar joint. The second
suggestion is stiffness increase of the reducer housing
bearing area, and also increase of dimension and
position accuracy of the bearing area.
Resonance of gears at the first stage in gear drive unit
of BWE SRs-1301 is identified as a cause of
spherical bearings failure at the second shaft.
Resonance generated alternated forces of high
intensity, especially axial forces which led to rapid
failure.
Replacement of design parameters of helical gear pair
at the first stage of transmission, resonance and
dynamical loads generated by resonance were
eliminated. Also, matching of frequency of teeth
meshing with natural frequency of housing is
eliminated and smooth work of gearbox is provided.
ACKNOWLEDGMENT
This article is a contribution to the Ministry of

Education and Science of Serbia funded project TR
035006.
[6] Lani, E., Olver, A.V., Beveridge, T.A. (2008).

Effect of lubricants on micro-pitting and wear,
Tribology International, 41, pp 10491055,
[7] Gerdun, V., Sedmak, T., inkovec, V., Kove,
I., Cene, B.: Failures of bearings and axles in
railway freight wagons. Engineering Failure
Analysis, 14(5), pp 88494, 2007.
[8] Ognjanovic, M., Simonovic, A., Ristivojevic, M.,
Lazovic, T.: Research of rail traction shafts and
axles fractures towards impact of service
conditions and fatigue damage accumulation,
Engineering Failure Analysis, 17, pp 15601571,
2010
[9] Ognjanovic M., Agemi F.: Gear vibrations in
supercritical mesh-frequency range caused by teeth
impacts, In: Journal of Mechanical Engineering,
Volume 56, No. 10, pp 653-662, 2010.
[10] Velex P., Bruyere J., Houser D.R.: Some
Analytical Results on Transmission Errors in
Narrow-Faced Spur and Helical Gears: Influence of
Profile Modifications In: Journal of Mechanical
Design, Volume 133, pp 031010-1-11, 2011.
[11] Shuting L.: Experimental investigation and FEM
analysis of resonance frequency behavior of threedimensional, thin-walled spur gears with a powercirculating test rig In: Mechanism and Machine
Theory, Vol 43, pp 934963, 2008.
[12] Roma Rao G.V., Sreekala R., Gropala Krishan R.,
Sathish Kumur K., Muthunani K., Lakshmanan N.:
Coasting down signal analysis as a tool for
detection of proximity of resonances and a case
study In: Engineering Failure Analysis, Vol 18, pp
340353, 2011.
[13] Ognjanovic M., Benur M.: Experimental Research
for Robust Design of Power Transmission
Components In: Meccanica, Volume 46, No. 4, pp
699-710, 2011.
REFERENCES
[1] Bonjak, S., Arsi, M., Zrni, N., Rakin, M.,

Panteli, M.: Bucket wheel excavator: Integrity
welded joint. Engineering Failure Analysis, 18,
pp 212-222, 2011.
[2] Bonjak, S., Petkovi, Z., Zrni, N., Simi, G.,
Simonovi, A.: Cracks, repair and reconstruction
of bucket wheel excavator slewing platform.
Engineering Failure Analysis, 16, pp 1631-1642,
2008.
[3] Laniado-Jcome, E., Meneses-Alonso, J., DiazLpez, V.:A study of sliding between roller
sandraces in a roller bearing with a numerical
model for mechanical event simulations. Tribology
International, 43, pp 21752182, 2010.
[4] Kunc, R., erovnik, A., Prebil, I.: Verification of
numerical determination of carrying capacity of
large rolling bearings with hardened raceway.
International Journal of Fatigue, 29, pp1913
1919, 2007.
[5] Zhengmei, L., Qiong, Z., Jianping, T.: Influences of
eccentric unbalances on loads and life of auto
water pump bearing. Mechanism and Machine
Theory, 46, pp 253263, 2010
284
NOMENCLATURE
T
n
Kv
KA
vs
f
fr
cth
c
Torque
Speed of rotat. (revolutions per minute RPM)
Dynamical factor
Application factor
Velocity of teeth collision
Teeth mesh frequency
Frequency of resonance (Natural frequency)
Theoretical average speciffic teeth stiffness
mr
Average speciffic teeth stiffness

Real average speciffic teeth stiffness
Total average teeth stiffness
Equivalent number of teeth
Offset factor
Helical angle
Contact ratio
Face width
Moment of inertia
Reduced mass
me
Equivalent mass
c'
c
zn
x
12
b
J
Mile Savkovic
Associate Professor
Goran Pavlovic
M. Sc. Eng.
Kneginje Milice 26/27,
37240 Trstenik, Serbia
Milomir Gasic
Full Professor
Neboja Zdravkovi
Teaching Assistant
Multicriterion optimization of the box

section of the main girder of the bridge
crane
The paper considers the problem of optimization of the box section of the
main girder of the bridge crane for the case of placing the rail above the
web plate. The method of Lagrange multipliers was used as the
methodology for determination of optimum dependencies of geometrical
parameters of the box section. The criteria of strength, local stability of
plates, lateral stability of the girder, dynamic stiffness, deflection and cost
effectiveness were simultaneously applied as the constraint functions. The
results were obtained in explicit form, which is very favourable for
discussion of solutions. Verification of the obtained results of geometrical
parameters was carried out through numerical examples.
Keywords: box section ,bridge crane, optimization, Lagrange multipliers,
strength, stability.
subject to: g j X 0 , j=1,...,m ,
1. INTRODUCTION
The main task in the process of designing the

carrying structure of the bridge crane is determination of
optimum dimensions of the main girder box section.
The main girder is the most responsible part of the
bridge crane and therefore it is necessary, during
optimization, to affect the increase in its carrying
capacity with simultaneous reduction of its mass. The
mass of the main girder has the largest share in the total
mass of the bridge crane, so it is very important to
perform its optimization in order to reduce the total
costs of manufacturing the whole carrying structure.
That is the reason why the selection of the optimum
shape and geometrical parameters, which influence the
reduction of mass and costs of manufacturing, is the
subject of research of many authors regardless of
whether they deal specifically with cranes or carrying
structures in general 1-9. Most authors set permissible
stress or two constraint functions: permissible stress and
permissible deflection as the constraint function.
2. MATEMATHICAL FORMULATION OF THE
OPTIMIZATION PROBLEM
The task of optimization is to define geometrical

parameters of the cross section of the girder as well as
their mutual relations, which result in its minimum area.
The area of the cross section primarily depends on:
height and width of the girder, thickness of plates and
their mutual relations.
The optimization problem defined in this way can be
given the following general mathematical formulation:
minimize f X ,
Correspondence to: Dr Mile Savkovi, asociate professor
Faculty of Mechanical Engineering Kraljevo,
Dositejeva 19, 36000 Kraljevo, Serbia
E-mail: savkovic.m@mfkv.kg.ac.rs
(1)
(2)
where: f X the objective function; g X 0 the

constraint function, m number of constraints.
T
X x1 ,..., xD represents the design vector made of
D design variables.
In this paper optimization for the criterion of

strength (3), lateral stability (4), local stability of plates
(5), deflection (6) and dynamic stiffness (7) was
performed:
g1 r1 k 1 0 .
(3)
g2 r 2 k 2 0 .
(4)
g3 r 3 k 3 0 .
(5)
g 41 f v f v , dop 0, g 42 f h f h, dop 0 .
(6)
g 5 T Td 0 .
(7)
where: r1 , k1 - the calculation and permissible bending

stresses of the girder, r 2 , k 2 - the calculation and
permissible stresses in lateral buckling of the girder,
r 3 , k 3 - the calculation and permissible stresses local
stability of plates, f v , f h - deflection in vertical and
horizontal plane, f v , dop , f h , dop - permissible deflection in
vertical and horizontal plane, T - period of oscillation,
Td - permissible period of oscillation.
By using the Lagrange function:
A 1 g1 2 g 2 3 g3 4 g 4 5 g5 . (8)
along with the elimination of parameter , where

condition i 0, i 1 5 is fulfilled, the equations for
determination of optimum parameters of girder cross
section are obtained:
A g1 A g1
g1 0 .
b h h b
(9)
285
A g 2 A g 2
g2 0 .
b h h b
(10)
A g 3 A g 3
g3 0 .
b h h b
(11)
A g 4 A g 4
g4 0 .
b h h b
(12)
A g5 A g5
g5 0 .
b h h b
(13)
volume coefficient ; x,y

- the dimensionless
coefficient of the resistance moment of inertia for
corresponding axes 7-12; ka - coefficient of dynamic
load in horizontal plane.
Partial derivatives (15) have following form:
M
g1
1 A M ch 1 A M ch 1 1 k a c 1
cv 2

;
b
b y b A2 b y A b 2 y b 2
h
A
x
M
M
1 A M cv 1 1
1 A
g1
c 1
cv 2
2 2 ch 2 ;
h
x h A h x A h x h y b A h
A
2 e h / s;
b
3. OBJECTIVE AND CONSTRAINT FUNCTIONS

3.1 Objective function
The objective function is represented by the area of

the cross section of the box girder. The paper treats two
optimization parameters (h, b). The wall thicknesses t1
and t2 (Fig. 1) are not treated as optimization parameters
for the purpose of simplification of the procedure. Their
values were adopted in accordance with the
recommendations 8-12.
A
2 (e b 2 h) / s;
h
(16)
By using the partial derivatives (16) and relation (9),

with appropriate transformations, the optimum value of
parameter k according to this criterion, is obtained:
k1
e y M 'cv
.
x M 'ch
(17)
By using the obtained dependences from the

constraint function according to the criterion of strength,
the objective function can be written in the following
form:
A1 ( h)
M cv / x M ch / y k1
k1 h c / x ka c / y k1
(18)
3.2.2 The criterion of lateral stability
Testing of the box girder stability against lateral

buckling was carried out in compliance with the Serbian
standards of the group 14,15. In accordance with these
standards, the compression zone of the box girder is
observed as an independent bar which is controlled
against buckling due to the equivalent force arising from
the bending moment of the girder.
This criterion is fulfilled if the condition of lateral
stability is satisfied:
Figure 1. The box section of the main girder of the bridge
crane
The area of the cross section, i.e. the objective

function, is:
A(h, b) f (h, b) 2 (e b h h 2 ) / s .
(14)
where: e t1 / t2 , e t1 / t2 , s h / t2 , k h / b - the ratio

between geometrical parameters of the plates (Fig. 1)
13.
3.2 Constraint functions
3.2.1 The criterion of strength
Maximum bending stress occurs at point 1 (Fig. 1).

Constraint function according to this criterion is:
M c A M ch ka c A
g1 g1 (h, b) cv
k1 0 .(15)
x h A
y b A
where: Mcv,Mch bending moments in vertical and

horizontal plane; k1 - critical stress; c - weight per unit
286
g2 r 2 k 2
M
D 1
0,9 ch1 k 2 0 . (19)
Ap
Wy
where: - the buckling coefficient.

The buckling coefficient has values 14,15: 1 ,
if the relative slenderness of the bar is 0, 2 , i.e.:
2 4
(20)
if the relative slenderness of the bar is 0, 2 .

For the box cross section of the main girder of the
crane, the coefficient is:
1 0, 489 ( 0, 2) 2 .
(21)
Derived expressions are substituted in (19) and

corresponding members of this relation get transformed
into form:
2
2 x
D 1

M cv c A f (b) / y b (22)
Ap x 2 h A
Function (19) for r 2 can be written in the

following manner:
r 2 r 21 r 22 .
A reduction factor according to Euro code

recommendations is to be defined:
1
(23)
x ce
The values of particular stresses in expression (23)

are as follows:
r 21 K1 M cv f1 c f 2 ,
2 x
;
x2 y2
f1
f (b)
;
h A b2
0, 22
1 for x 0, 673 ,
x 2
(30)
x 1 for x 0, 673 .
For average values, coefficient e 2 / 1 can be

also written by eq. 17:
r 22 K 2 M ch f 3 k a c f 4 ,
where: K1
f2
f (b )
;
h b2
K 2 0,9 / y ; f 3 1/(b A) ; f 4 1/ b .
In order to apply the method of Lagrange

multipliers, for the criterion of lateral stability, it is
necessary to find the corresponding partial derivatives
(10) with using the relation (24):
g3 r 21 r 22 g3 r 21 r 22
.
,
b
b
b
h
h
h
(24)
With substitution of derived expressions in eq. (24)

with appropriate transformation, it is obtained:
0,9 x 2 M ch
1
(e a m 2 e g m y b)
4 x M cv h 2
, (25)
1
2
2
2
2 (e d y b 2 a m k g m y h)
h
p 0,83 0, 06 k ,
(31)
so, the values of other involved parameters are defined

by expressions:
K
xp
Ko
K p
8, 2
e 1, 05
; c p 1,15 0, 0072 k ;
2
s f ;
1 12 (1 ) f y ;
Ko
E
ek
(32)
2
K p
2
8, 2
; e E 2 e k .
1,88 0, 06 k
12 (1 ) s f
Fig. 2 shows that for average and expected

parameters values, the value of coefficient is x 1 ,
wherein classification class is 2 and material is
S235JRG2 .
From this equation, the optimum value of parameter

k according to the criterion of lateral stability, is
obtained in relation to parameter e.
k2 3e 0, 442 1 10, 08 1 0, 442 0 .

k2
k2 2
2e k2
(26)

constraint function according to the criterion of lateral
stability, the objective function can be written in the
following form:
A2 (h)
K1 M cv k2 2 f (h) K 2 M ch k2 h 2
, .(27)
k2 h3 K1 c k2 2 f (h) K 2 ka c k2 h 2
Figure 2. Change of the coefficients

function of the parameter k
We can get the optimum value of the parameter k

according to the criterion of local stability of the flange
plate by determining corresponding partial derivatives
(11) and with including relations (14) and (29) and
some transformations:
3.2.3 Local stability of plates
k3
Testing of the local stability of flange and vertical

plate was carried out in accordance with the standards
group [16]. It is necessary to check the stability of the
flange plate with the width b1 and the thickness t1 (Fig.
1), the stability of the web plate above the longitudinal
stiffener (length a, height h1 and thickness t2 Fig. 1),
as well as the stability of the web plate under the
longitudinal stiffener (length a, height h2 and thickness
t2 Fig. 1).
The criterion of local stability of flange plate is
fulfilled if the following condition is satisfied:
g3
M cv c A
M ka c A
f ch
k3 0 .
x h A
y b A
where: k 3 - critical stress.
(29)
xp and x as the
e y c1
.
f x ka
(33)

constraint function according to this criterion, the
objective function can be written in the following form:
A3 (h)
M cv / x f M ch / y k3
.
k 3 h c / x f k a c / y k3
(34)
Testing of the local stability of the web plate in area

1 and area 2, whose dimensions are given in Fig. 1, was
carried out. The case when, in addition to vertical
stiffeners at midspan at section I, a row of horizontal
stiffeners is also placed at the distance of
0, 25 0,33 h was considered, according to crane
manufacturers. The areas 1 and 2 are analyzed.
287
Area 1: The criterion is fulfilled if the following

condition is satisfied:
Sd 1, x
fb , Rd 1, x
e1 x
Sd 1, y
f b , Rd 1, y
e1 y
6 Sd 1, x Sd 1, y
1 x 1 y
f b , Rd 1, x fb , Rd 1, y
Sd 1, x Sd 1, y Sd 1, x Sd 1, y f y / m . (40)
1 , (35)
where: Sd 1, x , Sd 1, y - the highest value of the stresses

in the corresponding directions; f b, Rd 1, x , fb , Rd 1, y - the
values of critical stresses; e1x 1 14x , e1 y 1 14y
corresponding coefficients; 1x , 1 y - corresponding
reduction factors for area 1.
Analogous to the previous, for average values,
coefficient p can be approximately defined as follows:
1 p 0, 54 0, 015 k .
(36)
so, the values of other included parameters are defined

by expresssions:
K 1 p
8, 2
; Ko s ;
1,59 0, 015 k 1xp
K 1 p 4
(37)

parameters values, the value of coefficient is 1x 1 ,
S235JRG2 .
Figure 4. Change of the coefficients and as the

1, y
1y
function of the parameter
If it is adopted that Sd 1, x is critical stress, equation

(40) is correct if it is fulfilled that f l ( L) f d ( L) , which
is true for real parameters values, Fig. 5 9,16.
Similar procedure is applied for area 2 and by using
the same assumptions it can be written:
Sd 2, x
/ fb , Rd 2, x
e2 x
Sd 2, y / fb , Rd 2, y
e2 y
1.
(41)
To do analysis, the ratio between the maximum

stress in this area and the stress that occurred.
Equation (41) becomes:
2 / 2 x
1 24 x
Sd 2, y m /( 2 y f y )
1 24 y
1 . (42)
Figure 3. Change of the coefficients and 1x as the

1,xp
Further on, for loads in y direction, according to

Euro code recommendations, a reduction factor is 16:
1 y
1 0, 22
1,13
1 for 1 y 0,831 ,
1 y 2
1y
(38)
Figure 5. Testing of the stability of the flange plate for

variable parameters
Fig. 6 shows that for average parameters values and

with variation of loads and internal distance, this
relation varies, where it was taken s 160 .
1 y 1 for 1 y 0,831 .
The non-dimensional slenderness coefficient is:
1 y
Ko
s
.
K 1 y a / c1r 4
(39)
where: K 1y - buckling coefficient 16; c1r - the width

over which the transverse load is distributed
(corresponds to l1r ). Fig. 4 shows that for average and
expected parameters values, the value of coefficient is
1 y 1 , wherein classification class is 2 and material is
S235JRG2 .
On the basis of the obtained values the relation (35)
can be written:
288
Figure 6. Change of the value of the function (42)

depending on the carrying capacity
and the width
b1
Based on all mentioned above, it is possible to adopt

such parameters that make the local stability criterion
fulfilled. The area 1 is critical one for the investigation
of vertical plates local stability. The highest stress is
analogous to flange plate stress. Since factors 1x i 1y
take value 1, it appears that the same curve or constraint

can be taken into account for this criterion (g3), as well
as the optimal value for k.
According to Serbian standard 15, for flange plate
local stability, we have:
x
0, 6
2
p 0,13
1 ; c 1, 25 0, 25 e ,
M cv / x M ch f / y k p1
Ap1 (h)
8, 4
K p
(49)
g32,2 3 zv1 6 f zh1 18,3 y 4 kr 2 . , (50)
; c p 1, 042 0, 015 k ;
8, 4
4;
1,93 0, 06 k
. (48)
3 0, 4 M
1;
kr 2
Mkr 2
(43)
In section I vertical stiffeners are placed at distance

2h, so it can be written:
e 1,1
0, 6 kr1 h c / x k a c f / y k p1
For area 2, in a similar way, starting from expression
c 1, 25 for K p e 2 2 .
3 F1 h 2
15,91 y
and by appliance of the method of Lagrange multipliers

it is derived:
3
(44)

parameters values, the value of coefficient is x 1 ,
S235JRG2 . Incresing the slenderness s leads to lower
values.
M cv c A
M ka c A
18, F1 e
,(51)
e 6 ch
f
15, 91 y
x h2
y b2
By solving the equation system (51) and using

condition g32,2 0 , the optimum ratio k ( k p 2 ) is
obtained.
Cross section area function for area 2 is:
3 M cv / x 6 M ch f / y k p 2
Ap 2 (h)
18, 3 F1 h 2
15,91 y
4 kr1 h 3 c / x 6 ka c f / y k p 2
,(52)
3.2.4 Deflection criterion
In order to satisfy this criterion, it is necessary that

the deflections in the corresponding plane have the
values smaller than the permissible ones. The maximum
values of deflection must be within the following limits:
the deflection in the vertical plane
fv
F1 L3
1 w (1 6 p 2 ) f v , dop K v L .(53)
48 E I x
the deflection in the horizontal plane

fh
Figure 7. Change of the coefficients
x and x as the
The same relations (33) and (34) from previous

cases are valid for determining the optimum value of
parameter k as the objective function. In order to define
optimum values of parameters for vertical plates
stability in area 1, the following expressions are used:
1
F1 h
;
M 0,9 ; y
15,91 y A
kr1 Mkr1
(45)
g32,1 zv1 f zh1 3 y 0, 6 kr1 ,
(46)
Appliance of the method of Lagrange multipliers

leads to equation:
M cv c A
M ka c A
3 F1 e
. (47)
e ch
f
2
2
15,91 y
x h
y b
By solving the equation system (47) and using

condition g32,1 0 , the optimum ratio k ( k p1 ) is
obtained. Cross section area function for area 1 is:
k a F1h L3
1 w (1 6 p 2 ) f h , dop K h L .(54)
48 E I y
where: w F2 / F1 1 ; p d / L ; d - the distance

between the wheels of the trolley.
The constraint functions in this case have the
following form:
g4
g 42 ka F1h I x K h
0.
g 41
F1 I y
Kv
(55)
In order to apply the method of Lagrange

multipliers, for the criterion of girder deflection, it is
necessary to find the corresponding partial derivatives,
in accordance with the expression (12):
k F 2 h 2 g 4 2 ka F1h x 2 h
g 4
.(56)
2 a 1h 2 x 3 ,
b
F1 y b
h
F1 y 2 b 2
By replacing the expression (56) in (12), dividing by

with the corresponding
the member A / h ,
transformations, it is obtained that e b h .
constraint function according to the criterion of
289
deflection, the objective function can be written in the

following form:
Af A(h)
F1h L2 1 w (1 6 p 2 )
48 E x 2 K f h 2
(57)
where: G (m)
0, 486 mm
.
0,5 (mQ mk )

constraint function according to the criterion of dynamic
stiffness, the objective function can be written in the
following form:
3.2.5 Dynamic stiffness
In order to determine the optimum ratio of

optimization parameters according to the criterion of
dynamic stiffness, it is necessary to analyze oscillation
of the main girder in the vertical plane. The analysis
procedure was performed in compliance with the 18.
The mass m1 is determined according to the
expression 18:
m1 0,5 (Q m0 ) 0, 486 mm .
(58)
where: 0, 486 mm the reduced continual mass of the

girder at midspan for the assumed function of
displacement of the elastic line of the adopted discrete
dynamic model for the simple girder.
The time of damping of oscillation is determined
from the expression 18:
T 3 / d Td .
(59)
where: the period of oscillation (s), d the

logarithmic decrement which shows the rate of damping
of oscillation; Td the permissible time of damping of
oscillation ( s ) , which depends on the purpose of the
crane. If the denotation:
Cd
Cd M L3 Cd r L4
Td 0 . (61)
h2 A
h2
Cd M L3
h2
11 m1
1
2 Cd M L3 2 Cd r L4
;
h3 A
h3
g5 6
C M L
1
d 2
b
d
h
11 m1
1
2
A
A . (62)
;
b
By replacing the expression (63) in (13), after

rearrangement, it is obtained that:
e k 1 2 t2 e
0,
k
2 G (m) 1
290
h 2 Cd r L4
(64)
Using the expressions (17), (26) and (33) the

optimum value of the parameter k
is obtained,
according to the considered criteria of strength, lateral
and local stability of plates. Optimum values of the
parameter k as a function of the member e are presented
in Table 1.
Table 2 shows charasteristic results according to
relations (47) and (51). The optimum values for k are
greater when span increases, but are smaller when
increasing payload.
Table 3 shows characteristic results for dynamic
stiffness criterion.
Table 1
e
k1
1,2
3,90
1,3
4,00
1,4
4,10
1,5
4,25
k2
3,35
3,33
3,31
3,30
k3
4,20
4,30
4,40
4,55
L 18m
g5 6
C M L3 1 A
1
d 2
2
d
h
h
11 m1
A h
4. NUMERICAL REPRESENTATION OF THE

RESULTS OBTAINED
(60)
In order to apply the method of Lagrange multipliers

for the criterion of dynamic stiffness, it is necessary to
find the corresponding partial derivatives, in accordance
with the expression (13):
Td d / 6
Table 2
1, 0
.
48 E x 2
the constraint function for the criterion of dynamic

stiffness is:
g5 (h, b)
Cd M L3
A5 A(h)
(63)
5
8
10
16
L 12m
k p1
k p2
k p1
k p2
2,73
1,99
1,58
0,85
1,04
0,62
0,48
0,28
2,39
1,55
1,17
0,62
0,81
0,47
0,36
0,21
Table 3
e
G(m)
1.20
0.53
e
G(m)
1.20
0.48
e
G(m)
1.20
0.44
k=2.5
1.40
1.60
0.43
0.33
k=3.5
1.40
1.60
0.35
0.25
k=4.5
1.40
1.60
0.31
0.19
1.80
0.24
2.00
0.17
1.80
0.14
2.00
0.05
1.80
0.07
2.00
-0.04
Expressions (18), (27), (34), (48), (52), (57) and (64)

are objective functions derived from constraint
functions according to considered criteria and along
with objective function (14) can be presented
graphically. Expressions (18), (27), (34), (48), (52), (57)
and (64) are presented by dashed line, while expression
(14) for optimum values of k for considered criteria - by
continuous line (Fig. 8 and Fig. 9). It can be noticed that
the position of the intersection point changes according
to considered criteria taken from Euro code (Fig. 8), i.e.,
national standard (Fig. 9), where adopted values are

L=18 m and Q=8 t.
In order to perform a comparative analysis of
optimization results, it is necessary to define the initial
parameters of cranes. To start the analysis, the middle
range values can be adopted, so for S235JRG2 it is
s 210 , while for S355JR it is s 170 . Other
parameters values, at this phase, are: e 1,33 ;
f 0,85 ; 1,15 ; ka 0,1 ; ek 2,3 m ; Gk 15 kN .
a
b
s f
23.5
.
Rei
65 e
(67)
If the expression (14) is made equal with (18), (27),

(34), (48), (52), (57) and (64), the dependences of the
parameter k according to the considered criteria are
obtained. But, it must be underlined that dependencies
for k1 , k3 , k p1 , k p 2 are presented for this criterion for
both, Euro code and Serbian standard.
The foolowing figures show optimum geometric
parameters values that are obtained for characteristic
payloads and spans of double-girder bridge cranes.
c
a
(65)
(66)
c
Figure 8. Optimum values of the girder height and the

cross section area according to the criterion of: a) dynamic
stiffness, b) strength, c) deflection, d) local stability
according to Euro code
Figure 10. Multicriteria determination of the optimum value

of the parameter k according to criterion of: a) dynamic
stiffness, b) strength, c) deflection, d) local stability
according to Euro code
a
(65)
(66)
d
(67)
Figure 9. Optimum values of the girder height and the

cross section area according to the criterion of: a) dynamic
stiffness, b) strength, c) deflection, d) local stability of
flange plate according to JUS, e) lateral stability, f) local
stability of vertical plate in area 1, g) local stability of
vertical plate in area 2
Analysis was carried out for classification class 2,

which is most frequent in real life, according to Serbian
standard for cranes 14. For this class of cranes, the
following
values
are
appropriate:
1, 05, 1, 20, K 0, 08, mo 1, 20 .
Analysis was carried out for steel S235JRG2 . In
order to do the analysis, it is necessary to consider the
recomendations cited in standards, as well as those from
crane manufacturers 19,20. Serbian crane industry
recommends that minimum value for b1 is b1 30 cm ,
while foreign crane manufacturers give b1 20 cm ,
wherefrom we get the following expressions:
k f h / 30 ,
(65)
k f h / 20 .
(66)
Stability condition of upper flange plate, along with

appropriate transformations, is defined as follows:
Figure 11. Multicriteria determination of the optimum value

of the parameter k according to criterion of: a) dynamic
stiffness, b) strength, c) deflection, d) local stability of
flange plate according to JUS, e) lateral stability, f) local
stability of vertical plate in area 1, g) local stability of
vertical plate in area 2
It can be noticed that the curves defined by Euro

code and national standard are very close. Also, the
influence of manufacturing technology on optimum
result can be evaluated (intersection points of dashed
and continuous lines).
5. CONCLUSION
The paper defined optimum dimensions of the box

section of the main girder of the bridge crane in an
analytical form, by using the method of Lagrange
multipliers, according to criterion of strength, lateral
stability, local stability of plates, deflection and
dynamic stiffness.
291
It was shown that the proper selection of girder

height and plate thickness can considerably influence
the reduction in the cross sectional area at the same time
satisfying all constraint functions. It was also shown
that it is possible to carry out successful optimization by
the Lagrange procedure with the simultaneous use of
multiple constraint functions. The results were obtained
in explicit form, which is very favourable for discussion
of solutions as well as for consideration of influences of
individual geometrical parameters and their ratios.
Comparison of the obtained results with certain
solutions of bridge cranes shows that the obtained cross
sectional areas are smaller, which verifies the
optimization results. The comparative analysis of the
optimization results represents the basis for
recommendations that are important for designers
during the construction of the main girder of the bridge
crane.
In addition, the usage of the method of Lagrange
multipliers is justified because the optimization results
are obtained in analytical form, which allows getting
conclusions about influences of particular parameters
and further researches toward mass reduction.
REFERENCES
[1] Farkas, J.: Optimum design of metal structure,

Akademiai KIADO, Budapest, 1984.
[2] Farkas, J.: Economy of Higher-Strength Steels in
Overhead Travelling Cranes with Double-Box
Girders, J. Construct. Steel Research, Vol. 6, No. 4,
pp. 285-301, 1986.
[3] Farkas, J., Jrmai, K.: Analysis and optimum design
of metal structures, Balkema, Rotterdam, 1997.
[4] Farkas, J., Simoes, L.M.C., Jarmai, K.: Minimum
cost design of a welded stiffened square plate
loaded by biaxial compression, Struct Multidisc
Optim, Springer-Verlag, Vol. 29, No. 4, pp. 298
303, 2005.
[5] Farkas, J., Jrmai, K., Snyman, J.A.: Global
minimum cost design of a welded square stiffened
plate supported at four corners, Struct Multidisc
Optim, Springer-Verlag, Vol. 40, No. 1-6, pp. 477
489, 2010.
[6] Jarmai, K., Farkas, J.: Optimum cost design of
welded box beams with longitudinal stiffeners
using advanced backtrack method, Struct Multidisc
Optim, Springer-Verlag, Vol. 21, No. 1, pp. 5259,
2001.
[7] Pavlovi, G., Savkovi, M., Zdravkovi, N.:
Optimization of the box section of the main girder
of the bridge crane according to criterion of lateral
stability, IMK 14 Research&Development, Vol.
17, No. 4, pp. 1-8, 2011.
[8] Pavlovi, G., Gai, M., Savkovi, M., Zdravkovi,
N.: Comparatie analysis of local and lateral stability
of plates as the constraint functions within
optimization of main girder box section of the
bridge crane, IMK 14 Research&Development,
Vol. 18, No. 1, pp. 11-18, 2012, ISSN 0354-6829.
292
[9] Savkovi, M., Gai, M., ati, D., Nikoli, R.,

Pavlovi, G.: Optimization of the box section of the
main girder of the bridge crane with the rail placed
above the web plat, Struct Multidisc Optim,
Springer-Verlag, DOI: 10.1007/s00158-012-08135, 2012.
[10] Gai, M., Savkovi, M., Bulatovi, R., Petrovi,
R.: Optimization of a pentagonal cross section of
the truck crane boom using Lagranges multipliers
and differential evolution algorithm, Meccanica,
Vol. 46, No. 4, pp. 845-853, 2011.
[11] Gai, M., Savkovi, M., Bulatovi, R.:
Optimization of trapezoidal cross section of the
truck crane boom by Lagranges multipliers and by
differential evolution algorithm (DE), Strojniki
vestnik Journal of Mechanical Engineering, Vol.
57, No. 4, pp. 304-312, 2011.
[12] Savkovi, M.: Optimization of Complex Cross
Sections of Structures of Autocrane Booms . IMK
14 Research&Development, Vol.20-21, pp. 41-45,
2005.
[13] Selmic, R., Cvetkovic, R., Mijailovic, R.:
Optimization of crosssection in structures,
monograph. The Faculty of Transport and Traffic
Engineering, Belgrade, 2006.
[14]JUS M.D1.050 Standards for Cranes, Yugoslav
Federal Institution for Standardization, Belgrade,
1968.
[15] JUS U.E7. Standard for Steel Design, Yugoslav
Federal Institution for Standardization, Belgrade,
1986.
[16] prEN 13001-3-1 Cranes - General Design - Part 31: Limit States and proof competence of steel
structure, EUROPEAN COMMITTEE FOR
STANDARDIZATION, 2010.
[17] Savkovi, M., Gai, M., Pavlovi, G., Bulatovi,
R., Zdravkovi, N.: Optimization of the box section
of the main girder of the bridge crane according to
the criteria of lateral and local stability of plates,
The 7th International Symposium, Balatonfred,
Hungary, pp. 113-120, 2012, ISBN 978-86-7892399-9.
[18] Ostri, D., Toi, S.: Cranes. Faculty of Mechanical
Engineering Belgrade, Belgrade, 2005.
[19] Pinca, B.C., Tirian, O.G., Socalici, V.A., Ardeleadn
D.E.: Dimensional optimization for the strength
structure of a traveling crane, WSEAS Transactions
on Applied and theoretical Mechanics, Vol. 4, No.
4, pp. 147-156, 2009.
[20] Pinca, B.C., Tirian, O.G., Josan, A., Chete, G.:
Quantitative and qualitative study on the state of
stresses and strains of the strength structure of a
crane bridge, WSEAS Transactions on Applied and
heoretical Mechanics, Vol. 5, No. 4, pp 231-241,
2009.
Automation and optimization of project

operations in the bridge crane design
process
Slavia Todorovi
Teaching Assistant
University of Banja Luka
Faculty od Mechanical Engineering
Miroslav Rogi
Full-time Professor
Simo Jokanovi
Associate Professor
In an era of remarkable competition, production companies are forced to

reduce development and production costs, while maintaining a high
technological and functional level of the new product. In addition to
modern production technologies, higher levels of product quality
management and work organization, the use of Computer Aided
technologies is indispensable, which allow application of hardware and
software engineering tools throughout all phases of a product life cycle. In
this paper, automation of a large number of project operations in the
design process of bridge crane was realized using the software CATIA V5.
This procedure speeds up the product development process, the occurrence
of errors is minimized, it reduces the number of different product variants,
which helps to reduce development costs, to increase product quality and
to improve competitiveness of a production company in the market.
Keywords: Bridge cranes, CATIA V5, CAD Library, Parameterization,
KBE, VBA
1. INTRODUCTION
Bridge cranes are complex crane machines that are

meant to carry cargo in horizontal and vertical planes.
Bridge cranes are mobile cranes with one or two major
beams, depending on the size and load range. They can
be standing or hanging.
The following characteristics are of special
importance for the design and construction of bridge
cranes: functionality, operational safety, technical
protection, cost-effectiveness, easy interchangeability of
damaged and worn out parts, esthetic form, easily
inspected and handled, the use of as simple as possible
technologies in production and installation. By using
CATIA V5 software package, a CAD catalog of
standard mechanical parts families typical of crane
machines was developed, of those not found in the
existing CAD/CAM software libraries. Automation of
the design procedure for 3D models of mechanical parts
and assemblies can be achieved by parameterization
methods, based on input values needed for a few basic
parameters. This greatly reduces time to develop new
bridge crane project, which also results in substantial
reduction in product development costs.
1. Development of CATIA V5 CAD Catalog of

bridge cranes standardized parts
2. Parameterization of bridge crane parts and
assemblies through CATIA V5 Knowledgeware
tools
3. Acceleration of development of drafts, FEM
analysis, CAM processes and other project tasks
2.1 Development of CATIA V5 CAD Catalog of
bridge cranes standardized parts
Parameterization of standard parts family in CATIA

V5 begins by defining an Excel design table for the
family. The Excel design table of the standard parts
family has to contain the names and length parameters
of all members of the family. Whole family of standard
parts should be dimensioned by these parameters. Excel
design table is imported into CATIA V5 Part Design
workbench, and length parameters are added from the
Excel design table into a set of parameters of a standard
part 3D model. A 3D model of standard part of family is
dimensioned by using these parameters.
2. AUTOMATION AND OPTIMIZATION OF PROJECT

OPERATIONS IN THE BRIDGE CRANE DESIGN
PROCESS
Automation of some project operations in the bridge

crane design process was achieved through three main
tasks:
Correspondence to: Slavia Todorovi, teaching assistant
Vojvode Stepe Stepanovi 71, 78000, Banja Luka, BiH
E-mail: slavisa.todorovic@gmail.com
Figure 1. Generating parametric 3D model of hook family

member
293
This 3D model is imported into the library of

standard parts of a bridge crane, using CATIA V5
Catalog Editor workbench. The big advantage of this
procedure is that a single parametric 3D model provides
the library with information on all family members.
Therefore, it is not necessary to model all the family
members of standard parts of bridge cranes.
Figure 2. Use of bridge crane standardized parts CAD

Catalog in CATIA V5 Assembly Design workbench
Figure 2 shows the procedure of using CAD catalog

of standard parts in CATIA V5 Assembly Design
workbench. *. CATProduct in Figure 2 contains several
members of the families of hooks, traverses and hooknuts, which were added from the catalog into the
assembly.
Use of the CAD catalog of standard parts results in
great speed of modeling assemblies that contain a large
number of standard parts. Occurrence of errors is low.
It is possible to change the shape of standard parts by
adding new features into the parametric structure of
parts. The catalog of standard parts adapts easily and
quickly by editing Excel design tables of families of
standard parts.
2.2 Parameterization of bridge crane parts and
assemblies
All characteristics of 3D models in CATIA V5 are

defined by parameters. These include: part numbers,
dimensions, geometric constraints, tolerance, material
properties, area, volume, mass, inertia moments, etc.
The parameterization implies use of CAD tools and
design techniques which achieve simplicity and
flexibility in manipulation with dimensions and other
features of 3D models of parts or assemblies.
Parameterization provides automatic dimensioning and
positioning of parts in an assembly, based on values of a
few main assembly parameters. For example,
dimensions and position of all parts of rope drum
assembly are determined by the values of a few
parameters: rope diameter, crane tackle ratio, lifting
height, rope drum sheet metal thickness, etc.
traverse, axial bearing, plain bearing, etc. That is the

reason why other parts of crane tackle are parameterized
via Excel design tables. Figure 3 shows how an Excel
design table can be used for parameterization of other
crane tackle parts. In such a way, it is possible to use
Excel design tables of standard crane tackle parts for
parameterization of non-standard crane tackle parts.
This procedure allows automatic dimensioning of nonstandard parts depending on the values of parameters of
standard crane tackle parts, and of parameters of crane
tackle main parts: tackle axis and tackle wheel.
During parameterization of the other bridge crane
assemblies, parameters are created internally in CATIA
V5, via a Formula dialog box. The Formula dialog box
allows generation of new parameters, deleting and
editing, adding formulas in values of parameters, etc.
The following techniques and tools in CATIA V5
were used to achieve automatic dimensioning and
positioning of parts in bridge crane assemblies,
depending on values of main parameters:
Formulas
Parametric links
Geometric links (Design in context)
Laws
Rules
Checks
Measured Parameters
Most of these tools are part of CATIA V5
Knowledgeware workbenches that are among the KBE
(Knowledge-based Engineering) Computer Aided
Technology.
Using these techniques, we created a special base of
parametric 3D models of bridge crane assemblies.
Figure 4 and 5 show how these assemblies adapt and get
implemented in the current bridge crane project. A
parametric 3D model of the current project bridge crane
was completed in four phases:
Figure 4. Modeling the wagon assembly of the current

bridge crane project
Figure 3. Defining parameters via Excel design table for

dimensioning of crane tackle parts
A crane tackle assembly contains considerable

number of standard parts, which are added from
developed standard parts library: hook, hook nut,
294
1. Using CATIA V5 Save Management for export

of crane subassemblies 3D models into the
current project folders
2. Adjustment of crane subassemblies dimensions
to current project requirements by changing main
parameters
3. Adding standard parts (screws, nuts, etc.) from
CATIA V5 catalogs into the wagon assembly
and subassemblies 3D models
4. Adding electro motors, reducers, and other

equipment 3D models into the assembly. These
models are downloaded from the manufacturers
web site in universal 3D formats (mostly *.stp or
*.igs)
Figure 6. VBA form for bridge crane drum assembly

dimensioning
Figure 5. Completion of the current bridge crane projects

parametric 3D model
2.3 Automation of project operations using CATIA

V5 VBA
Visual Basic for Aplication (VBA) refers to

implementation of Visual Basic 6 programming
language in Windows application through Application
Programming Interface (API). We raised automation of
project operations in a bridge crane design process to a
higher level by combining parameterized 3D models of
parts and assemblies with CATIA V5 VBA functions.
Specification of parameterized 3D models of bridge
cranes parts and assemblies is complex. In addition to
the basic solid and surface features, a specification tree
of a 3D model contains main parameters, relations
(formulas), parametric and geometric links, rules,
checks and other advanced CATIA V5 features. Using
of VBA forms as interfaces for defining main
parameters of 3D models simplifies dimensioning of 3D
models. VBA form interface considerably simplifies
work for users who are not involved in the process of
parameterization and 3D modeling of bridge crane parts
and assemblies. VBA form enables defining of main
parameter values at one place, hence it is not necessary
to search a complex 3D model specification tree. Also,
the user receives additional information about the 3D
model through pictures, VB MsgBox, ControlTipText
and other VBA functions.
Table 1. The most commonly used CATIA V5 objects in
VBA, sorted by CATIA V5 extensions
CATIA V5 Document Objects

Part
Plane
Axis
System
Product
Publication
Drawing
Sheet
Constraint
Page Setup
Body
Fix
Together
Text
Sketch
Position
View
Constraint
Analyze
Table
Relation
Parameter
Analysis
Model
Post
Manager
Mesh
Manager
Analysis
Case
Analysis
Set
Process
Item
Resource
Machining
Process
Manufacturing
Activity
PPR Activity
By using multiple VBA forms and modules, we

created VBA application for main crane assemblies
dimensioning that started from CATIA V5 Assembly
design workbench. The application can easily be
upgraded to perform other engineering tasks, for
example to carry out preliminary static and dynamic
calculations of parts. Figure 6 shows VBA form for
defining main parameters of the bridge crane drum
assembly.
2.4 Acceleration of draft development, FEM
analyses, CAM processes and other project tasks
A high level of standardization and unification of

bridge crane parts and assemblies allows for the use of
the same 3D models in multiple bridge cranes products.
CATIA V5 allows associativity between different
CATIA V5 extensions via external references links.
This fact allows the use of a copy of one file
(*.CATDrawing, *.CATAnalysis or *.CATProcess) in
multiple bridge crane projects.
Once made, a drawing of a part is transferred to
multiple folders of bridge crane projects, via CATIA V5
Save Management. Then, links are replaced in the copy
of the drawing that is located in the current project
folder, done link replace. A new link must lead to
*.CATPart or *.CATAssembly which is located in the
current project folder.
During a drawing update, software makes changes to
a contour of a part and generates new values of
dimensions, depending on dimensions of the current
project *.CATPart. All annotations, tolerances, notes,
symbols, etc. which are created in a drawing at first are
kept in its copy. A designer of the drawing has less
work that is related to amending of existing elements of
drawing.
The procedure is identical for other CATIA V5
extensions: *.CATAnalysis or *.CATProcess. Copies of
*.CATAnalysis or *.CATProcess can be used in
multiple bridge crane projects, in the same ways as in
*.CATDrawing files.
Figure 7 shows external references (Links) between
CATIA V5 CAD models and other extensions and
project tasks.
295
REFERENCES
Figure 7. External references between CATIA V5 CAD data,

other extensions, and project tasks
3. CONCLUSION
In addition to the described

advantages of
associativity between diferent extensions of CATIA V5
software, associativity between software extensions
allows realization of concurrent engineering. Teams of
experts responsible for different phases of product
lifecycle management can work simoultaneously at the
same time. To start a new phase in the product life
cycle, it is not necessary for the phase that precedes it to
be fully completed. Certainly that requires an upgrade
of CAD/CAM/CAE system with PDM solution.
Leading CAx companies offer PLM solutions, where it
is possible to manage almost all phases of product life
cycle. Thereby, changes in the initial stages of product
life cycle are associatively transferred to the next phase
of product life cycle.
In addition to positive effects in terms of technical
and technological aspects, the use of CAD / CAM /
CAE software delivers the benefits in the economic and
marketing field for companies. PLM Software solutions
allow the shortening of all phases of product life cycle,
and manufacturing companies can bring new products
to market much faster. The companies also reduce costs
by creating realistic renderings and animations of new
products. New products can be presented to potential
customers without the need for creation of real
prototypes.
Figure 8. Photo-realistic rendered view of a bridge crane

parametric 3D model
296
[1] ap Dragutin: Prenosila i dizala, podloge za

konstrukciju i proraun II, Zagreb, 1988.
[2] Jokanovi Simo: Geometrijsko modeliranje,
Faculty of Mechanical Engineering Banja Luka, 2006.
[3] Karam Fred and Kleismit Charles: Using CATIA
V5, Thomson Delmar Learning, 2004.
[4] Hoffmann Michael, Hack Oliver and
Eickenberg Sven: CAD/CAM mit CATIA V5, Hanser,
2005.
[5] Rogi Miroslav: Transportni ureaji i fabrika
postrojenja, script, Faculty of Mechanical Engineering
Banja Luka, 2006.
[6] Jokanovi Simo: CAD/CAM/CAPP sistemi,
script, Faculty of Mechanical Engineering Banja Luka,
2005.
[7] Standards: ISO, EN, DIN, JUS
Metod uk
Teaching Assistant
Ljubljana, Slovenia
Boris Jerman
assistant professor
Ljubljana, Slovenia
Finite element investigation on the

structural behaviour of longitudinal
joints of sandwich panels
A finite element analysis has been conducted to examine structural
behaviour of longitudinal joints of sandwich panels made of mineral wool
core bonded between two steel faces. A parametric finite element model of
double interlocking tongue and grove longitudinal joint configuration was
used to determine shear resistance and shear stiffness of longitudinal
joints. The influences of material properties of mineral core and boundary
conditions were examined.
Keywords: buildings, structural sandwich wall panels, mineral wool, finite
element method, longitudinal joints, structural analysis, shear resistance,
shear stiffness
1. INTRODUCTION
The structure of sandwich panel always follows the

same basic pattern. Two facings, which are relatively
thin and of high strength, enclose a core which is
relatively thick and light and which has adequate
stiffness in a direction normal to the faces of the panel.
A great many alternative forms of sandwich
construction may be obtained by combining different
facing and core materials. One of the most favourable
combination of materials that is finding wide and
increasing application in the cladding of building is
sandwich panel with steel facings and mineral wool
core. The strong and stiff thin steel faces provide
flexural load bearing capacity and rigidity of the panel
while the low density and flexible thick core made of
mineral wool with adequate shear strength and stiffness
transfers shear loads between the two faces [1].
The sandwich panel cladding as a building enclosure
can provide relatively high load-bearing capacity and
bending stiffness, thermal and sound insulating
capacity, and environmental (rain, snow and wind) and
fire resistance. For the required function of the building
enclosure, the joints between the elements, i.e.
interfaces between two panels where the meeting edges
have been designed to allow the panels to join together
in the same plane [2] are of key importance.
The existing European standard EN 14509 [2]
specify the requirements for water and air permeability,
fire characteristics and thermal transmittance of the
building enclosure including joints but does not specify
any requirements concerning mechanical characteristics
of joints between neighbouring panels. However,
significant changes can be expected in this area due to
recent development in the application of sandwich
panels with openings.
Structural sandwich panels used for wall claddings
need to have construction cut-outs and openings for
doors, windows, HVAC (heating, ventilation and air
conditioning) ducts and pipes and other penetrations.
Any opening in a structural sandwich panel represents
weakening by decreasing the effective area of faces and
core that reduces bending, shear and tensional rigidity
and resistance of panel cladding [1]. The weakened
panel with an opening supports itself onto the adjacent

panels through longitudinal joint between the panels [3].
Recent design methods presented by Bttcher and
Lange [4], and later Rdel and Lange [5] that will be
adopted in the European recommendations [6][7],
include a transfer of applied loads from weakened
sandwich panels with openings to the uncut adjacent
panels through longitudinal joints between the panels.
The activation of the load-bearing resistance of
neighbouring panels in the panel interconnection
systems through longitudinal joints can only be
achieved if a sufficient shear load-bearing capacity of
the longitudinal joints is available. A calculation of
shear capacity is (because of nonlinear characteristics
and complicated geometry of tongue and groove joint)
not a simple procedure and is probably feasible only via
finite element analysis as shown in this paper below.
In addition, such finite element analysis can also be
used to investigate all other phenomena of structural
behaviour of longitudinal joint that cannot be
accomplished by any other research tool and can be also
used as a tool in design and optimization of new
sandwich panel products. One of the possible
applications is also the assessment of shear stiffness of
longitudinal joints that is required in the new design
procedures [7] and is now only feasible by experimental
investigations for each type of panel [5].
The objective of this paper is to present details of
numerical investigation of longitudinal joint of wall
sandwich panels. A structural behaviour of longitudinal
panel to panel connection was analysed using detailed
finite element model of the longitudinal joint between
neighbouring sandwich panels consisting of the double
interlocking tongue and groove connection. The
influences of material properties of mineral wool core
and boundary conditions were examined and analysed.
2. FINITE ELEMENT ANALYSIS
Structural behaviour of longitudinal joint between

adjacent structural sandwich panels was investigated
using ANSYS simulation software package. An
adequate parametric finite element model with
incorporated detailed double interlocking tongue and
297
groove panel to panel connection was built as shown in

Figure 1.
The model consists of two complementary segments
of neighbouring panels with male and female
interlocking elements along meeting edges. As the
geometry of longitudinal joint does not vary along the
joint (Z coordinate), the problem was effectively
reduced from 3D to plane strain problem by using single
layer of 3D finite elements (parallel to XY plane) and
adequate boundary conditions.
Shell elements (SHELL181) well suited for large
strain nonlinear applications were used to model the
faces and solid elements (SOLID45) with large
deflection and large strain capabilities were used for the
core [8]. A bonded connections between steel faces and
a mineral wool core were modelled using duplicate
nodes for the face and the core that were coupled in all
three displacement directions (UX, UY and UZ).
Surface-to-surface contact elements (CONTA173 and
TARGE170) were employed in the contact area of
interlocking tongue to groove joints. No contact friction
was assumed.
A bilinear isotropic hardening material model was
applied to shell elements of steel faces and anisotropic
bilinear plastic material model (uniaxial bilinear tension
and compression stress-strain curves in three orthogonal
directions and shear stress-engineering shear strain
curves in the corresponding directions [8]) was
employed to solid elements of mineral wool core. It has
to be noted that the applied anisotropic (effectively
orthotropic) material model used for mineral wool is
only a good approximation of the mineral wool material
properties. The applied material properties based on
data provided by the sandwich panel manufacturer are
shown in Tables 1 and 2. The coordinate directions used
in Table 2 are consistent with the coordinates used in all
presented finite element models: X coordinate defines
direction parallel to the width of the panel, Y coordinate
defines direction parallel to the panel thickness and Z

coordinate defines direction parallel to the length of the
sandwich panel.
It should also be noted that all mechanical properties
of mineral wool core, which is made of lamellas cut
from mineral wool plates, may vary in a wide range
even within the same batch.
Symmetry boundary conditions (perpendicular to the
Z axis) were applied to all nodes to implement plane
strain conditions. Symmetry boundary conditions
(perpendicular to the Z axis) were also applied on both
left and right outer surfaces to induce slider support
(with a single degree of freedom in Y direction) to each
of two panel segments. Zero displacement conditions in
Y direction were imposed on the nodes in the bottom
left corner and load F was applied on the nodes in the
top right corner of the model.
The nominal thickness of the sandwich panels in
build model is 120 mm. The nominal width of each of
both segments, i.e. the distance from the middle of the
joint to the slider support on outer surface, can be varied
and is defined by parameter d.
The shear deflection uy of longitudinal joint was
calculated as difference of vertical displacements of two
points on the mid-surfaces of both panel segments. The
positions of those two points on mid-surfaces of each of
the panel segments (sections AA and BB, Figure 1) are
defined by a distance a measured from the centreline of
the joint.
In order to determine the influences of material
properties of mineral wool core and boundary
conditions on the structural behaviour of longitudinal
joint between adjacent panels, a series of numerical
models was build and solved numerically including
large-deflection effects. The results and analysis are
presented later in this paper.
Table 1. Material properties of steel faces
Elastic modulus
E [GPa]
Yield strength
fy [MPa]
Poisson ratio
[kg/m3]
Tangent modulus
Et [GPa]
7850
210
320
0.3
0.100
Density
Table 2. Material properties of mineral wool core
Density [kg/m3]
Elastic modulus [MPa]
Poisson ratio
Shear modulus [MPa]
Ex
Ey
Ez
xy
yz
xz
Gxy
Gyz
Gxz
120
0.5
11
45
2.32
5.8
0.4
Yield strength [MPa]
Tension and Compression
Shear
298
Tanget modulus [MPa]
fy.x
fy.y
fy.z
Et.x
Et.y
Et.z
0.033
0.1
0.04
0.01
0.07
0.03
fvy.xy
fvy.yz
fvy.xz
Gt.xy
Gt.yz
Gt.xz
0.02
0.68
0.02
0.01
0.01
0.01
Figure 1. FE calculation model of a double interlocking tongue and grove longitudinal joint with applied load and boundary
conditions
2.1 Influence of boundary conditions
In order to determine the influence of applied

boundary conditions, i.e. the influence of distance d on
calculated behaviour of longitudinal joint, a parametric
study was conducted using finite model as shown in
Figure 1. Six different cases were solved and analysed,
where the values of parameter d were 60 mm, 75 mm,
90 mm, 120 mm, 180 mm and 240 mm (from half to
double sandwich panel thickness).
To minimize the contribution of bending in the
determined deflections, the shear deflection calculation
points (sections AA and BB) were positioned at half
thickness of sandwich panels from the centreline of the
joint (a = 60 mm, Figure 1).
For each of the studied cases a shear stiffness
characteristic, i.e. vertical (shear) load/deflection curve
was obtained from numerical results (see Figures 2 and
3) and a shear stiffness (slope of the load/deflection
curve (0.5 uy 1.6), Figure 3) was calculated (see
Table 3). A horizontal reaction force Rx vs. shear load F
curve was also obtained for each of the studied cases
(see Figure 4). The reaction force Rx is a force induced
by vertical (shear) loading of joint F in the applied
slider supports and equates to the force that would be
needed to keep a horizontally unconstrained
longitudinal joint closed. It has to be noted that all the
characteristics are per unit length.
Figure 2. Calculated shear stiffness characteristics of

longitudinal joint
Figure 3. Bilinear portion of calculated shear stiffness

characteristics of longitudinal joint
Figure 4. Calculated horizontal reaction force Rx vs. (shear)

load F
A shear load-bearing capacity of longitudinal joint

for each of the studied cases was also determined based
on analysis of calculated stress and strain distributions
in mineral wool core. A structural role of lightweight
core is described to be a transfer of shear loads between
the two faces but in the case of shear loaded
longitudinal joint the mineral wool core at the meeting
margin of sandwich panel is used as a tension
connection between the two faces in Y direction as can
be seen from normal stress and strain distributions y
and y for the presented case (d = 90 mm,
F = 1.19 kN/m) in Figures 5 and 6, respectively. A
normal strain of 0.04 (4% deformation) as proposed by
sandwich panel manufacturer was used as a limiting
299
value to dominant strain in Y direction y assuming

adequate bonding between the steel face and the mineral
wool core. The values of shear capacity of longitudinal
joint obtained from finite element calculations using this
strain-based criterion are presented in Table 3.
faces of sandwich panel to each other caused by applied

vertical load and vertical support. For the d-values
above 120 mm (equates to sandwich panel thickness) an
expected slight decrease in stiffness ky can be observed.
Regarding the influence of distance d on the shear
capacity Py of the longitudinal joint, no real influence
can be observed, since all deviations in presented values
(up to 3%) are below 3% numerical error.
Table 3. Determined shear stiffness ky and shear capacity
Py for the considered cases of longitudinal joint (variation
of distance d)
Figure 5. Calculated normal stresses y [MPa] in mineral

wool core of longitudinal joint (d = 90 mm, F = 1.19 kN/m)
Distance d
[mm]
Shear stiffness ky
[kN/m2]
Shear capacity Py
[kN/m]
60
653
1.16
75
675
1.18
90
701
1.19
120
707
1.18
180
706
1.18
240
705
1.18
Figure 6. Calculated normal strains y in mineral wool core

of longitudinal joint (d = 90 mm, F = 1.19 kN/m)
Figure 8. Longitudinal joint shear stiffness ky vs. distance d
Figure 7. Calculated von Mises equivalent stresses eqv

[MPa] in steel faces of longitudinal joint (d = 90 mm,
F = 1.19 kN/m)
The von Mises equivalent stress distribution eqv in

steel faces for presented case (d = 90 mm,
F = 1.19 kN/m) is shown in Figure 7. The maximum
values reach up to 137 MPa which is well below
320 MPa, the value of yield strength of steel sheets as
noted in Table 1.
The results from Table 3 are also shown in Figures 8
and 9. The presented shear stiffness ky vs. distance d
characteristic in Figure 8 is showing an anomaly in the
part where ky-value is increasing as d-value is also
increasing between 60 mm and 120 mm. The anomaly
can be easily explained by the direct influence of the
applied boundary conditions, i.e. the moving of both
300
Figure 9. Longitudinal joint shear capacity Py vs. distance d
2.2 Influence of mechanical properties of mineral

wool core
The influence of applied mechanical properties of

mineral wool core on calculated behaviour of
longitudinal joint was examined by parametric study
where the mechanical properties of mineral wool core
were varied as presented in Table 4. The variation of
mechanical properties of mineral wool core was limited

to those in Y direction, i.e. elastic modulus Ey, yield
strength fy.y and tangent modulus Et.y because of their
principal influence on structural behaviour of
longitudinal joint that was shown in the presented
analyses above.
Table 4. Variation of mechanical properties of mineral wool
core for the studied cases of longitudinal joint
Case
Elastic
modulus
Ey [MPa]
Yield
strength
fy.y [MPa]
Tangent
modulus
Et.y [MPa]
80%
8.8
0.08
0.056
90%
9.9
0.09
0.063
100% *
11.0 *
0.10 *
0.070 *
110%
12.1
0.11
0.077
Figure 12. Calculated horizontal reaction force Rx vs.

(shear) load F
Table 5. Determined shear stiffness ky and shear capacity
Py for the studied cases of longitudinal joint (variation of
material properties)
Case
Shear stiffness ky
[kN/m2]
Shear capacity Py
[kN/m]
80%
584
0.94
90%
621
1.04
100%
653
1.16
110%
682
1.28
Genuine values (from Table 1)
Four different cases were solved and analysed using

calculation model shown in Figure 1 (values of both
parameters a and d were 60 mm).
For each of the studied cases a shear stiffness
characteristic (see Figures 10 and 11) and a horizontal
reaction force Rx vs. shear load F curve (see Figure 12)
were obtained from numerical results. Shear stiffness ky
and shear capacity Py for the studied cases were also
calculated (see Table 5).
Figure 13. Dependence of longitudinal joint shear stiffness

ky on the mineral wool core mechanical properties
Figure 10. Calculated shear stiffness characteristics of

longitudinal joint
Figure 14. Dependence of longitudinal joint shear capacity

Py on the mineral wool core mechanical properties
Figure 11. Bilinear portion of calculated shear stiffness

characteristics of longitudinal joint
The results from Table 5 are also shown in Figures

13 and 14. In the presented dependence of shear
stiffness ky and shear capacity Py on mechanical
properties of mineral wool, direct proportionality
301
between ky and Py, respectively, and mechanical

properties (in Y direction) can be observed.
3. CONCLUSION
A numerical study was conducted to examine

structural behaviour of longitudinal joints of sandwich
panels. A local parametric calculation model of
longitudinal joint with incorporated double interlocking
tongue and groove interconnection was build using
finite elements.
Two influences on the structural behaviour of
longitudinal joint were studied. The first study showed
that boundary conditions, i.e. distance between the
centreline of the joint and the applied supports have no
significant influence on the calculated shear stiffness
and shear load-bearing capacity of longitudinal joint for
the numerically analysed examples. In the results of the
second study where mechanical properties (in Y
direction which is principally stressed direction in the
proximity of the joint) of mineral wool core were
varied, a direct proportionality between shear stiffness
and shear load-bearing capacity of longitudinal joint,
respectively, and mechanical properties of the mineral
wool core can be observed.
[3]
[4]
[5]
[6]
[7]
REFERENCES
[1] Davies, J. M.: Lightweight Sandwich Construction,

Blackwell Science, Oxford, 2001.
[2] EN 14509:2006 (E), Self-supporting double skin
metal faced insulating panels Factory made
302
[8]
products Specification, CEN Comit Europen

de Normalisation, Brussels, 2006.
Berner, K., Pfaff, U.: Openings in sandwich panels.
Institute for Sandwich technology, Mainz, 2005.
Bottcher, M., Lange, J.: Sandwich Panels with
Openings, Proceedings of the 5th International
Conference, Kruger National Park, Berg-en-Dal,
Mpumalanga, South Africa, pp. 722, 2004.
Rdel, F., Lange, J.: Calculation model determining
mechanical strength of sandwich panels with
opening with and without additional internal frame
structure. EASIE WP1 Deliverable 1.2, Technische
Universitt Darmstadt, Darmstadt, 2011.
Davis, J. M., Hassinen, P., Heselius, L., Misiek, T.:
ECCS/CIB Joint Committee on Sandwich
Constructions: Recent European Recommendations
on Design and Testing, Proceedings: W056
Special Track 18th CIB World Building Congress,
Salford, UK, 2010.
ECCS/CIB State of the art report for Design of
Sandwich Panels with Openings. ECCS, TWG 7.9
Sandwich panels and related structures & CIB,
W056
Lightweight
Constructions,
Brussels/Rotterdam, (may be published as a
European Recommendation for the design of
sandwich panels with openings in 2012?)
Release 11.0 Documentation for ANSYS. Wickens,
SAS IP, Inc., 2007.
DI Andreas Wolfschluckner
PhD candidate
DI Dr.techn C. Landschtzer
Assistant Professor / Workgroup leader
Prof. Dr.-Ing. habil Dirk Jodin

Professor / Chair of the Institute
Dynamics of Sag Flat Cables in the

Context of Load Transposition of
Overhead Lines
The dynamic behaviour of insulator strings in overhead lines during load
transposition is important for a save and fast dimensioning process.
Conclusive simulation results are rooted in an adequate model of the
conductor cable. In this paper linear and nonlinear cable models, based on
the FEM approach are compared to analytical and numerical models
based on the equation of vibrating string. All models are implemented in
computer programs and coupled with a Multi Body Simulation model of
the falling insulator string. Results are shown and ratings of all presented
models are provided.
Keywords: cable dynamics, load transposition, equation of vibrating
string, FEM, overhead line, insulator string, sag flat cable
1. INTRODUCTION
The Progress of Load Transposition

The combination of an increased demand for
electricity and safe supply is a driver of major power
sector change in Europe and worldwide. The transport
of energy by overhead lines is the most commonly used
way to transfer electric energy over large distances.
For isolating the conductors from environment,
insulator strings are placed between conductor and
pylon (fig. 1). To avoid black-out or malfunction in case
of insulator breakage, at least double strings are often
used. This design ensures that the intact insulator string
take over the whole conductor load.
The process of taking a new equilibrium is called

load transposition and lasts only about 0.3 seconds.
High bending stresses in the brittle porcelain insulators
caused by the angular acceleration of the insulators are
characteristic for the process. [1], [2]
Simulation of Load Transposition
The task is to simulate the progress of force and
stress in the insulators by building an MBS (Multi Body
Simulation) Modell. A simulation is necessary for
providing reliable data to the engineer, whether an
insulator string is well dimensioned or not. The
simulation time should not exceed three to four hours.
The Institute of Logistics Engineering is developing
a software environment for simulating the whole load
transposition process. A crucial part of this simulation
model is an adequate block for evaluating the dynamic
response of the conductor cable. Depending on the
configuration of the insulator string, up to eight cables
are considered in a simulation.
2. CABLE DYNAMICS - RELEVANT THEORY
Nonlinear theory of free cable vibrations

To show the difficulties of solving nonlinear cable
dynamics, the equation of motion for a sag flat cable is
discussed. Peterson provides a model for a homogenous
cable with negligible bending stiffness. Reference
condition is the unstrained cable (no stress in the cable).
The static condition of the cable (index s) is assumed to
be known. Figure 2 describes the forces on an
infinitesimal cable element in dynamic state. [3]
Using the equilibrium of forces and the relation for
calculating the strain d under dynamic condition, three
equations (1) are achieved.
Figure 1. Insulator string / load transposition
303
Figure 2. Infinitesimal Cable Element - balance of forces / displacement of cable during load transposition
S d x di 1 d
q si 1 d q i
s 0 1 d s 0
S
1
EA
the analysis of the cable vibration during load

transposition process.
(1)
x di
0 ; i 1, 2, 3
0
t 2
2
(2) is the constitutive relation.

2
x di
1 d 0
i 1 s 0
3
(2)
With these four equations it is possible to calculate

the four unknowns (three directions of displacement and
the increase of the cable force S ). The complete
deduction is found in [4].
These four relations represent a nonlinear and
coupled system of differential equations. Solving the
system with numerical methods is complex. One
approach can be found in linearizing the problem or
make series expansion of the root terms. Another
possibility for solving the nonlinear cable vibrations is
the Finite-Element-Method (FEM).
The first step to make statements about possible
simplifications and an appropriate solution process is
Cable dynamics during Load Transposition

Characteristics
To restrain the dynamic problem of conductor cables
during load transposition, the characteristics of the
process are evaluated with the basis of accomplished
laboratory experiments [1]).
1.
2.
3.
4.
The excitement of the rope is at high frequency.

The excitement is non-periodic.
The duration of the process is short (max 1 s).
The displacement and strain of the rope is very
small in relation to the span length (that means the
curvature of the rope varies only within narrow
limits).
5. The displacement of the rope is three-dimensional.
6. Low preload (ca. 60 N/mm2) of conductor cables
leads to a large sag.
7. In particular, the longitudinal vibrations affecting
the load transposition.
The consequences of these seven characteristics are
criteria which must be met by approaches solving the
cable dynamics problem. These criteria are shown in
table 1 and checked respectively validated in chapter 4.
Table 1. Requirements on approaches solving cable dynamics in load transposition
Consequences on:
characteristic
numerical approaches
1)
High discretization of time and also a fine mesh is required. low

order FEM-Elements to avoid high computing times [5]
No approaches which assuming a harmonic excitation
Despite of 1) explicit and implicit solving procedures are possible
(computing time with both methods acceptable)
Bending stiffness is negligible, Linear stress-strain relation
A geometrically nonlinear analysis is very likely (e.g. No linearized approaches (first order) It is not
FEM recalculation of the stiffness matrix for each
permissible that the swinging motion is uncoupled from
time step required). This fact is shown in fig. 2.
the in-plane motion. [6]
An analytical approach is only possible, if the sag is negligible
Maybe simplified model possible (main focus on longitudinal vibrations)
2)
3)
4)
5)
6)
7)
304
analytical approaches
With these presumptions, the following approaches

are considered:
FEM-Model with 2-node truss elements (Total
Lagrangian formulation - TL)
FEM-Model with curvilinear elements
Simplified wave equation (infinite string)
Extended wave equation (finite string)
The two FEM models with low order elements and
the approaches based on the equation of vibrating string
are discussed in this paper.
2.1 2-Node Truss Elements (TL) - Theory
The 2-node truss element in Total Lagrange

Formulation (TL) is suitable for large displacements,
large rotations and small strains. In Lagrangian
incremental analysis approach, the equilibrium of the
body at time t t with reference to time t 0 (index
on the left below) expressed by using the principle of
virtual displacements.
A truss element is a structural member capable of
transmitting stresses only in the direction normal to the
cross section. It is assumed that this normal stress is
constant over the cross-sectional area. The element
(length L) is described by two nodes (linear
interpolation functions), as shown in Fig. 3. [5]
r (fig.3) is represented as H ,r and the inverted Jacobian

operator 0J is:
dr
2
0
d s L
J 1
(6)
The nonlinear strain (geometric) incremental

stiffness matrix K NL :
t
K NL
T t
t
0
B NL
0 S 0 B NL d V
(7)
For the time independent and nonlinear straindisplacement transformation matrix B NL follows:
t
0
BNL 0J 1H ,r
(8)
The matrix of the of second Piola-Kirchhoff stress

t
0 S degenerates to a scalar (only longitudinal strain):
t
0
S11 E 0t 11
(9)
The calculation of the strain 0t 11 (the first entry of

t
0
) is possible by using the deformation gradient X .
[8]
t
0
1
2
t
0
X T 0t X I
(10)
The time independent mass matrix M ( is the

density of the cable):
M H T Hd 0V
(11)
The time independent damping matrix C

according to Rayleigh: [4]
Figure 3. 2-node truss element with interpolation functions
The general matrix equation for dynamic analysis

with implicit time integration according the TLformulation reads as follows (kinematic values are
explained in 3.1): [5]
u C t tu
t t
0 K L 0 K NL u
t
t t
R 0t F
KL
T
L
B E 0 B Ld V
0
(4)
In (3) E is the Youngs modulus of the spiral cable

[8] and
BL
the Linear strain-displacement
transformation matrix (4).
t
0
B L 0J 1
x T H ,r H ,r 0u T H ,r H ,r
x are the coordinates- and
(5)
u the displacements of
all nodes. The derivation of the displacement
interpolation matrix H with respect to the local variable
0
t t
(3)
The finite element matrices necessary for nonlinear

analysis are: [5]
The linear strain incremental stiffness matrix KL:
(12)
The vector of the externally applied nodal point

loads:
C M 0K L 0K NL
is
Sf
HS
t t
0
f S d 0S H T
0
t t
0
f B d 0V
(13)
The vector of nodal point forces equivalent to the

element stresses
t
B LT 0t S d 0V
(14)
These considerations are important for

implementation into a computer program in 3.1.
the
2.2 Curvilinear Elements - Theory
Contrary to the 2-node truss elements, the

curvilinear elements (fig. 4) allow continuously
representation of the cable (no sharp bends). This is
possible by adding the derivation of the nodal
displacements as additional degrees of freedom (DOF).
Compared to the two node truss element (6 DOF) the
curvilinear element has 12 DOF. The interpolation
functions used are Hermite polynomials (fig. 4). [10]
305
Extended string equation:

Due to the fact that the characteristic of
displacement at least at one end of the cable is unknown
during simulation (the other end is supposed to be
fixed), a numerical solution might be applied. Replacing
the partial derivations in (16) by terms of Taylor series
approximation leads to
u j n 1 2 1 2 u j n 2 u j 1n u j 1n u j n 1
Figure 4. Curvilinear element with interpolation functions
The higher number of DOFs and the high order

interpolation functions increase the simulation time. To
keep the computing time within reasonable limits, a
linear, explicit analysis is realized (direct calculation of
the next time-step without any transformations and
equilibrium of the body at time t). The matrix equation
in this case is (same notation as in chapter 2.1):
M u C tu K L tu t R
t
(15)
The FEM matrices for the linear analysis are

calculated in accordance with Thalheim (not further
explained in this paper). [9]
The implementation of (15) is discussed in chapter
3.2.
2.3 Equation of Vibrating String - Theory
2
2u
2 u
c
L
x 12
x 12
(16)
The displacement u runs parallel to the longitudinal

direction x 1 of the cable. c L is the wave velocity in
longitudinal direction:
cL
(17)
Simplified string equation:

Assuming an infinite string a simplification of
dAlemberts solution leads to [11]
Sd S 0
EA
uA
cL
(18)
where the dynamic force S d in longitudinal direction of

the cable depends on the velocity uA of point A (fig. 1)
in the direction of x 1 . The reader may notice that
reflected waves (e.g. on neighbour pylons) are not
considered.
306
where j indexes discrete points on the cable, n is the

index of discrete time steps [12]. For the first step
u j 1 1 2 u j 0
2
2
j 1
u j 10 tg x 1 j
(20)
has to be used with g x j standing for the initial

velocities of cable points. ( u j n 1 is unknown at time
step n 0 ). (20) is stable under the CourantFriedrichs-Lewy (CFL) condition [13]
c L t / x 1
(21)
t and x 1 are finite differences of time and cable.
With the displacements u nj and applying a central

difference method the dynamic force S d follows as:
S d u / x 1 EA
An analytical approach for calculating the forces

applied to the insulator string by the vibrating cable is
using the equation of vibrating string. The sag of the
cable is unaccounted in this consideration. Further
explanations will only refer to the solution for
longitudinal waves the equation for transversal waves
can be concerned in the same way. The basic equation
for the vibrating string (small angular displacements) is:
[10]
(19)
(22)
In chapter 4 the impact of considering reflections is

discussed.
3. IMPLEMENTATION OF CABLE MODELS
Based on the considerations of chapter 2, further

steps for implementing the models into computer
programs are necessary. The known kinematic variables
at the points A and B of the cable (fig. 2) required for
implementation are provided by Multi-Body-Simulation
(MBS). MBS and cable dynamics are realized in
MATLAB. See fig. 6 for a detailed description.
3.1 Implementation of 2-Node Truss Elements
For solving (3) a nonlinear calculation scheme with

an implicit time integration method is required. To meet
these specifications, the Newton-Raphson method with
time integration (trapezoidal rule) is applied.
A separation of static condition is not possible due to
recalculation of the stiffness matrix during simulation.
Recalculation without gravity force leads to wrong
results. To avoid dynamic influences, the cable has to be
in equilibrium when simulation starts. This is achieved
by performing a static analysis before starting the
simulation.
The kinematic values (displacements respectively
the derivations of the displacements with respect to
time) are divided into known (index b) - and unknown
variables (index u).
The incremental formulation of the displacements,
velocities and accelerations are (k is the number of the
newton iteration and t the size of time step):
u k
t t
u k 1 u k
u k
u k
t t
t t
t t
(23)
u k 1 tu u k tu
t t
u k 1 tu u k
t t
u tu
(24)
(25)
Insertion of (23), (24) and (25) into (3) and

rearranging of matrices and vectors according knownand unknown kinematic variables lead to a linear system
of equations, which is suitable for standard solving
algorithms like Gauss Elimination (condensed form,
terms with unknowns located on the left side):
M uu t tuu k C uu t tuu k
K Luu 0t K NLuu u u k
M ub t tub
k
C ub t tub
(26)
K Lub 0t K NLub u b k t t Ru t t Fu k 1
Evaluating the force response of the cable is a post

processing step (reuse of (3)).
4. RESULTS AND VALIDATION
The verification of the all models is done by

simulating a finite string under special conditions,
whose solution is known from literature. Using the FEM
program ANSYS, a verification of the model based on
2-node truss elements is possible (curvilinear elements
are not available in ANSYS). For a full validation of the
results, a test bed is actually under word on ITL.
To provide valuable insights into behaviour of the
different approaches, the results of simulation runs with
all models are presented.
4.1 Response of Models during Load Transposition
In fig. 5 the force response of cable during load

transposition is shown. For analysis the models were
coupled with the MBS of double string insulators (two
insulators per string) during load transposition. Fx and
Fy are the cable forces acting on the insulator string.
The component Fz is zero because of two symmetrical
cables. The distance to the neighbour pylons are 300 m
on each side (z-direction). The Youngs modulus of
cables is 80 kN/mm2 and the force due prestressing is
33 kN.
3.2 Implementation of Curvilinear Elements
Compared to the implementation of 2-node truss

elements the linear analysis is accomplished by an
explicit integration method. An effect of linear analysis
is the possibility to separate the static condition
(evaluated before starting the FEM-calculation).
Using the central difference operator the system of
equation reads:
M uu tuu C uu tuu K Luuu u

t Ru M ub tub C ub tub K Lubu b
(27)
With following approximations of velocities and

accelerations
1
2t
t t
t t
t 2
u t tu
(28)
u 2 tu t tu
(29)
the procedure leads towards a linear system of

equations. Evaluating the force response of the cable is
also a post processing step after solving for unknown
displacements, accomplished by reusing of (15).
3.3 Implementation of Vibrating String
The solution of vibrating string (infinite and finite)

needs no further operations for implementation. All
steps for calculating the force response are provided in
chapter 2.3.
Figure 5. Force Response of Cable during Load Transp.
5. CONCLUSION
The results presented in 4.1 provide important

information about the characteristics of models.
Every approach is able to calculate the first
important amplitude of Fy, which is basically caused by
307
longitudinal waves evoked by high acceleration of point

A. The first peak of Fy has relevant impact on MBS and
therefore on maximum stresses in insulators at time 0.03
s (fig.7). As predicted (table 1, 5)), in linear analysis
(curvilinear elements), the reaction force in x-direction
is not computed with high accuracy (different amount of
Fx at time 0.055 s)
The first reflection of a longitudinal wave returns
after 0.125 s (cable/string length 300 m). This
circumstance is not included in analysis based on the
infinite string. In context of load transposition the
reflected waves make no real difference in maximum
stress results of insulators. After this important 0.12 s,
the results in fig.7 differ very strong, because the sag is
no longer negligible at this point.
The simplified equation of string is a good choice
for calculating the maximum stress in the insulators.
The other models are also possible, but they take up
longer computing times and the coupling with MBS is
more complex. If the kinematic behaviour of cable is of
interest, only the FEM analyses are suitable approaches
(linear models are restricted to in-plane simulations).
But not only simulating the load transposition
process benefits from finding an optimal (shortest
computing time / sufficient results) approach solving the
dynamics of sag flat cables. Also the dimensioning
process of material handling equipment (with a similar
problem-setting) can be improved by using the results of
this work.
Further research steps are an improved validation of
presented models using general multi-body- simulation
software, respectively a test bed and applying the
research results on other problems in material handling.
REFERENCES
[1] Hagedorn, P., Idelberger, H., Mcks, L.:

Dynamische Vorgnge bei Lastumlagerung in
Abspannketten von Freileitungen, Vol. 2, No. 4, pp.
109-119, 1980.
Figure 6. Implementation and Coupling with MBS
308
[2] Mller, J.: Dynamische Vorgnge bei Brchen in

Isolatoren-Doppelketten von Freileitungen. Analyse
der Lastumlagerung, IAZ, Vol. 136, No. 12, pp.
569-579, 1991.
[3] Petersen, C.: Dynamik der Baukonstruktionen,
Vieweg, Braunschweig/Wiesbaden, 1996.
[4] Dreyer,
O.:
Regen-Wind
induzierte
Seilschwingungen in laminarer und turbulenter
Strmung, PhD Thesis, University CaroloWilhelmina zu Braunschweig, 2004.
[5] Bathe, K.-J.: Finite Elemente Methoden, Springer,
Berlin Heidelberg New York, 1986.
[6] Irvine, M. H.: Cable Structures, The MIT Press,
Massachusetts, 1981.
[7] Feyrer, K.: Drahtseile Bemessung-BetriebSicherheit, Springer, Berlin Heidelberg NY, 1994.
[8] Mase, G. E.: Continuum Mechanics, McGraw-Hill
Professional, Berlin Heidelberg New York, 1970.
[9] Thalheim, J. U.: Nichtlineare Seilschwingungen
und Stabilittsanalysen fr Seilbewegungen, PhD
Thesis, Universitt der Bundeswehr Mnchen,
Neubiberg, 2003.
[10] Gross, D., Hauger, W., Wriggers, P.: Technische
Mechanik 4, Springer, Berlin Heidelberg NY, 2004.
[11] Mller, J.: Isolatorbrche in Doppelhngeketten
von Hochspannungsfreileitungen, IAZ, Vol. 137,
No. 12, pp. 586-593, 1992.
[12] Hungerbhler, N.: Einfhrung in partielle
Differentialgleichungen fr Ingenieure, Chemiker
und Naturwissenschaftler, vdf Hochschulverlag AG
ETH Zrich, 1997.
[13] Munz, D., Westermann, T.: Numerische
Behandlung
gewhnlicher
und
partieller
Differentialgleichungen,
Springer,
Berlin
Heidelberg New York, 2009.
Stankovi Milo
Research Associate
Risti Milo
Research Associate
Alil Ana
Research Associate
Institute Gosa
Risti Marko
Research Associate
Institute Gosa
Reparation of Steel Construction of

Vehicle-mounted Self-propelled
Crane's Telescopic Boom
In this paper it is presented reparation of steel construction of selfpropelled crane telescopic boom by welding. By doing visual inspection of
self-propelled crane, it is noticed numerous cracks and deformations at the
outer and inner surface of steel construction at base metal and weld, both.
Based on results of examination, it is decided to do reparation by welding
in order to reduce influence of residual stresses.
Keywords: repair, welding, filler material, auto crane, low alloyed steel.
INTRODUCTION
This paper describes the reparation of steel

structures for boom of self-propelled cranes TADAHO
TL 200 II / K with capacity of 95t. The construction of
crane consists of a motor vehicle and boom. Boom is
made of profiles with rectangular cross section and can
be extended telescopically. Operating device is placed at
the end of telescopic boom. Boom mechanism is
hydraulically driven and folds into transport position so
that it is coaxial with the longitudinal axis of the vehicle
and does not exceed the vehicle dimensions [1-3]. The
steel structure of the boom is assembled, among the
other methods, by welding. Each weld joint, no matter
how well is performed, is by its nature a discontinuity in
the material or place of local geometric and
microstructural inhomogeneity. It makes the weld joint
a possible place of occurrence of initial cracks. Cracks
act as stress concentrators and make the working load
locally overcome the critical stress which leads to
failure during the exploitation [4, 5]. During nondestructive tests of self-propelled crane, it is noted huge
cracks on the boom. Boom is consisted of five
segments, where at three of them is identified critical
cracks and it was decided to carry out reparation of
segments by welding. In this paper, in addition to
reparation of boom, it is presented technology of
reparation by welding.
ANALISYS OF PRESENT CONDITIONS OF

CARINS BOOM
In order to determine the condition of damaged steel

construction of boom, it is executed a preliminary visual
inspection, and testing of welded joints and base
material booms segments. Preliminary visual
inspection of the damaged segments indicated the
presence of a large number of defects (discontinuities),
cracks, fractures and deformities of the outer and inner
surface of the steel structure segments in weld joints and
base material. Some of them are shown in figures
(Figure 1, Figure 2).
Figure 2 Deformation and cracks on steel construction of

vehicle-mounted crane
Figure 1 Crack of telescopic arm of vehicle-mounted crane
REPARATION ACTIVITIES
From the results of tests it was decided to carry out

repairs to the observed cracks in welded joints and in
the base material and the replacement of few sheets on
segments, which were damaged during the exploitation.
It was planned to install the reinforcement in some
areas.
It was made technical documentation for executing
reparation of cranes boom. During the reparation it
tends to maximize application of procedures, such as
cutting, grooving and welding, to minimize the
influence of additional stresses, which are inevitable in
process of reparation [6]. When performing welding
operations from the standpoint of ensuring the required
309
quality it should be strictly observe the regulations of

this technology, which is made by Serbian (SRPS),
European (EN) and International ISO standards in the
field of welding.
Due to amount and complexity of the works in
reparation of cranes boom, it was made following of
the preparatory activities:
Disassembling of boom onto separate segments
Cleaning the surface of segments from coatings
applying the process of sandblasting
Transport of segments in a covered area and
placing them of trays in a position to carry out the
planned work
Provision of equipment for gas cutting, grinding
and welding
Provision of equipment for gas preheating and
reheating of welded joints and the contact
temperature measurement
Provision of fireproof material for covering weld
joints and parts after welding of steel structures
Establishing a team of engineers, specialized
welders and support staff to perform the tasks of
cutting, grinding and heating of materials and weld
joints.
is required. After welding, heat treatment is not

necessary to remove residual stresses.
6. WELDING PROCEDURES
Due to quality and dimensions of the base material,

available equipment and the geometric complexity of
the construction of boom, it is applied the MAG
procedure, welding in the atmosphere of a mixture of
gases Ar and CO2 (M 21 by EN 14 175). It was
obligatory for welding machines to be tested and in
terms of safety and in terms of maintaining required
welding parameters. Electrical characteristics should be
reliably maintained and, if necessary, changed, with
ability for their reading and control.
7. FILLER MATERIAL
Due to quality and dimensions of the base material,

complexity of construction and welding position, it is
determined following filler materials for the MAG
procedure: welding wire in a mixture of Ar and CO2
gases M 21 (according to EN 439), Mn3Ni1CrMo
(according to EN 12 534), ER 100 S - 1 (according to
AWS-5.28), with commercial sign MIG 75 (Jesenice),
Table 1: Chemical composition of base material, %
Steel
Chemical composition, %
SRPS EN
10027-1
Mn
Si
Cr
Al min.
Mo
Nb
Ni
Ti
S690QL
0.20
1.7
0.80
0.025
0.015
1.50
0.018
0.70
0.06
2.00
0.12
0.12
0.80
4. PROPERTIES OF BASE MATERIAL
Table 1 gives the chemical composition of the base

material, which is sheet, =7 mm thickness, made of
low alloyed steel 690QL (SRPS EN 10027-1).
Construction of cranes boom is assembled of this sheet
plates. In Table 2 mechanical properties of the base
material are given.
1.2 mm in diameter. Tables 3 and 4 give the chemical

composition and mechanical properties of filler
material.
Table 3: Chemical composition of filler material, %
Si
Mn
Cr
Ni
Mo
0.08
0.60
1.70
0.25
1.50
0.50
Table 2: Mechanical properties of base material

Table 4: Mechanical properties of filler material
Reh min.
Rm min.
Amin.
N/mm
N/mm
668
713
21.8
651
715
22.9
5. WELDABILITY
Steel S 690QL belongs low alloyed steel (C<0.20%)

which have good weldability. Preheating is performed
in general case where the temperature of environment is
below +5 0C, while the welding at temperatures below
-5 0C is prohibited with no special measures [7]. In the
case of boom structures it is expected high stress
conditions due to welding, preheating and slow cooling
310
Rp0.2
Rm
A5
AV, -40 0C
N/mm2
N/mm2
690
770 - 940
17
47
8. REVIEW AND SELECTION OF CHARACTERISTIC

JOINTS
Default quality level of weld joints (SRPS C.T3.010)

for corner joints applied in the reparation is D, which
implies visual inspection of 100% and penetrant control
of 10% after welding, while the butt joints which are
placed to carry out reinforcements require quality level
of B, which means the visual and penetrant control of
100%. The choice of weld type (groove type) was
performed on the basis of the SRPS C.T3.030 standard
and shown in the lists of welding technologies.

11. WELDING OF SEGMENTS OF BOOM CRANES
9. WELDING PARAMETERS USED IN REPARATION

11.1 Reinforcement of segment No.1
Used parameters of MAG (135) welding process:

Type of welding current: DC (=)
The strength of welding current: 150 - 240 A
Arc voltage: 20 - 27 V
Gas flow: 10 - 14 l / min.
Polarity: (+)
10. THE ACTUAL PRESENTATION OF
CHARACTERISTIC JOINTS
10.1 Preparation of the groove
Before beginning of reparation it was done

dismantling of boom onto five segments which were
then placed in the bracket at horizontal position. Then it
was performed cleaning procedure for all segments by
sandblasting, to remove paint and prepare surface of
base metal and welded joints for non-destructive testing
(NDT). Welding surface (grooves) is formed by
mechanical procedures (turning, grinding). The quality
of prepared surfaces and tolerances of parts has been
regulated by documentation of construction and
technology in accordance with the SRPS C.T3.023 and
SRPS C.T3.025 standards. Observed and marked cracks
in welded joints and cracks in the base metal of
segments are completely removed by grinding. In
addition, wherever possible, tips of crack at the sheet
plane (base material) were rounded by drill and
irregularities (notches, sharp edges) were removed by
grinding till metallic shine is achieved. Also, edges and
roots of grooves are slightly rounded. All surfaces were
cleaned of corrosion at the minimal width of 30 mm
from the edge of the grooves with the metal wire brush
till metallic shine is achieved. Greasy surfaces were
cleaned by concentrated alcohol, trichloroethylene, at
the minimal width of 50 mm from the edge of the
groove. The time of preparation of the groove before
welding should be as short as possible to reduce the
possibility of subsequent contamination to a minimum.
Figure 3 shows the preparation segments before
reparation.
Connection of the sheet of segment No. 1 with the

new sheet 1200 x 800 mm, and segment No. 3 with the
new sheet 1200 x 500 mm are shown in the welding
plan of reinforcements at segments I, II and III of the
95t crane (Figure 4), performed as a corner and butt
joint. Before welding the sheet was preheated to
approximately 150 0C and between two passes
temperature was maintained in the range 210-220 0C,
while the sheet was fastened to the plate by tacks 5-10
mm big at a distance of 150-200 mm from each other.
After the welding was done, it was performed slow
cooling to reduce stresses and the possibility of defects
in welded joints. Tack welds are carried out under the
same conditions as the root welds and it is required to
be melted down or grinded. This requirement applies to
all weld joints where the tack welds are present.
Figure 4: Welding plan of reinforcements in segments I, II

and III (the numbers indicate the order of weld joints
performing)
11.2 Reinforcement of segment No. 2 and its lamella

continuation
Connection of the sheet of segment No. 2 with a new

sheet with dimensions 1200 x 600 mm was carried out
with the same parameters as the reinforcement of
segment No. 1. Welding of these joints was performed
with one or six passes from the medium to the ends with
the weld length of 100-150 mm. The temperature
between two passes was in the range of 210-220 0C.
Continuation of the lamella of segment No. 2 is shown
at the welding plan of vertical sheets for lamella of
segment II (Figure 5) and is performed as a butt joint.
Figure 5: Welding plan of vertical sheets for lamella of

segment II
Figure 3: Segments preparation for auto crane repair
311
11.3 Reparation of the vehicle-mounted crane

stabilizers
Before welding of the stabilizer it was performed

preheating at approximately 120 0C and temperature
between two passes was maintained in the range 200210 0C. Tack weld joints were performed under the
same conditions as the root welds and it was required
for them to be melted down or grinded. This
requirement applies to all weld joints where the tack
welds are present.
12. MEASUREMENTS OF CONTROL
Control of reparation by welding of steel structures

of vehicle-mounted cranes boom, with a final
assessment of eligibility in exploitation conditions is
applied in three stages:
12.1 Control prior to welding, which includes:
Insight into the certificate of quality of basic, filler

and auxiliary materials,
Verification of geometry regarding to dimensions
of elements of structure,
Verification of geometry regarding to shape of
grooves and joints,
Verification of surface cleaning,
Testing of devices and equipment for welding,
Verification of the professional ability of welders,
Verification of the professional skills of welders
(EN 287-1)
Checking the security measures regarding to safety
at work,
Verification of required welding technology for all
characteristic welds and qualities of material (EN
ISO 15614-1),
Insight into documentation of authorization for
contractor to carry out welding works (BS EN ISO
3834),
12.2 Control during welding, which includes:
Verification of application of regulated elements of

technology (welding parameters, method of
welding, order of welding operations).
12.3 Control of weld joints that includes:
Dimensional control of the whole structure and

geometry control of weld joints - 100%
Visual inspection of weld joints - 100%
Magnetic or penetrant control of weld joints 100% for quality level B and 10% for the quality
level D (SRPS C.T3.010)
Radiographic or ultrasonic control of weld joints minimum 75% for the quality level B (SRPS
C.T3.010/95)
Parameters of the control and level of acceptability
of defects in weld joints are determined according to
standards: C.T3.010 and LST EN ISO 5817.
312
Figure 6: Appearance of steel construction of auto crane

after repair
13. CONCLUSION
During the reparation, it was tended to apply

procedures that minimize the occurrence of residual
stress and strain, which are inevitable phenomena of
reparation. Using welding technology it was
successfully completed reparation of steel construction
of boom of vehicle-mounted crane TADAHO TL 200 II
/K. After the reparation (Figure 6) it was performed
control of welded joints (visual, penetrant, and
radiographic examination), and then it was assembled
five segments of the boom and put into operation.
REFERENCES
[1] Toi Z.: Dizalice, Mainski fakultet, Beograd, 2003.

[2] Gai M., Savkovi M.: Naponi i deformacije kutije
osnovne strele autodizalice u funkciji duine
izvlaenja prvog segmenta strele, IMK-14 Istraivanje i razvoj, vol. 9, br. 1-2, str. 55-59, 2003
[3] Savkovi M.: Optimizacija sloenih poprenih
preseka konstrukcija strele autodizalice, IMK-14 Istraivanje i razvoj, vol. 11, br. 1-2, str. 41-45, 2005
[4] Proki-Cvetkovi R., Milosavljevi A., Popovi O.:
Uticaj koliine unete toplote na modifikacije ferita u
metalu ava niskougljeninih elika, Zavarivanje i
zavarene konstrukcije 50, 73-78, 2005.
[5] Hajro I., Pai O., Burzi Z.: Karakterizacija
zavarenih spojeva na visokovrstom konstrukcijskom
eliku S690QL, Zavarivanje i zavarene konstrukcije,
55, str. 123-129, 2010.
[6] Alil A., Prokolab M., Prvulovic M., Milutinovic Z.:
Sanacija elicne konstrukcije reetkastog nosaa
autodizalice Pinguely TL969, Zavarivanje i zavarene
konstrukcije 57, str. 89-93, 2012.
[7] Cvetkovski S., Grabulov V., Slavkov D., Magdeski J.:
Karakteristike zavarenog spoja mikrolegiranog elika
u zavisnosti od parametara zavarivanja i termike
obrade nakon zavarivanja, Zavarivanje i zavarene
konstrukcije 49, 53-60, 2004.
Application of Decision Theory and

Information Processing in the Selection
of Engineering Entities
Moses Frank Oduori
Associate Professor
University of Nairobi
School of Engineering
Department of Mechanical and
Manufacturing Engineering
The selection of engineering entities often occurs in engineering design

processes. Examples of such occurrences are the selection of antifriction
bearings, belt drive components, chain drive components and wire rope, to
name but a few. This paper reviews the essentials of decision theory and
information processing and then goes on to demonstrate their application
in developing a quantitative method for wire rope selection. The use of the
method is demonstrated in selecting a suitable type and size of wire rope
for the hoisting/hauling mechanism of a manual winch. The method
should be applicable in other situations in which the need for the selection
of wire rope may arise.
Keywords: Decision Theory, Informattion Processing, Wire Rope
Selection.
1. INTRODUCTION
The selection of engineering entities often occurs in

engineering design processes.
Examples of such
occurrences are the selection of antifriction bearings,
belt drive components, chain drive components and wire
rope. In the selection of wire rope, which shall be the
focus of this paper, common practice has been to use
wire rope manufacturers catalogues. This can be
tedious and time consuming, considering the large
amount of data that needs to be accessed and used, as
well as the many factors that need to be considered in
the selection process.
Engineering design, in general, and the selection of
engineering entities, in particular, is largely a decision
making process. Prudent decision making should
preferably be based on adequate information and
therefore the decision making process often involves the
processing of available data into information that can be
readily used to make the decisions. This paper reviews
the essentials of decision theory as well information
processing and then goes on to demonstrate their
application in developing a quantitative method for wire
rope selection. The use of the method is demonstrated
in selecting a suitable type and size of wire rope for the
hoisting/hauling mechanism of a manual winch.
2. DECISION THEORY
Decision making is one of the most common of

human activities. Because the decisions that people
make can be either good1 or bad, there is a need for
methods, procedures and rules that can help people to
make good decisions. This need has led to the
development of decision theory.
Decision theory can be classified into:
Descriptive decision theory, which is concerned
with the ways in which people actually make
1
A good decision can be interpreted to mean a decision that has
desirable consequences.
decisions and the mechanisms underlying this

behaviour, and
Normative decision theory, which is concerned
with the principles that form the basis of rational
decision making.
Furthermore, under normative decision theory,
decision problems can be classified into decision
problems without uncertainty and decision problems
with uncertainty (Mendoza and Gutierrez-Pena, 2010).
2.1 Decision Problems without Uncertainty
In a decision problem, the decision-maker is

required to select one and only one action from the set
of possible actions, A a1 , a 2 , , a k . Every action
in A is judged according to the consequence that it will
lead to, if selected. Therefore, associated with A will
be the set of consequences, C c1 , c2 , , ck , where
ci is the consequence that is associated with action ai .

If for every action the corresponding consequence is
completely known and definite, such that it occurs every
time the action is taken, then we have a decision
problem without uncertainty.
Under these circumstances, the best action will be
that which leads to the most preferred consequence.
Therefore, the decision-maker must, in some way,
express their preferences among the elements of C
(Mendoza and Gutierrez-Pena, 2010).
2.2 Decision Problems under Uncertainty
Often, once an action has been chosen, there will be

a set of possible consequences associated with it.
Among these possible consequences, one and only one
of them will take place, depending upon the occurrence
of some uncertain event. This means that the decision
has to be made under uncertainty. This kind of decision
problem is mentioned here only for completeness and
shall not be elaborated further.
313
Furthermore, if the matrix V is to be consistent, for

any i , j and k , the following relationship must hold.
2.3 The Analytic Hierarchy Process (AHP)
AHP is a tool that is used in decision making

without uncertainty and is designed for situations in
which the relative importance of the factors that affect
the decision process are quantified to provide a
numerical scale for prioritizing the alternatives (Taha,
2008).
In a given decision problem, suppose that the set of
possible courses of action is A a1 , a2 , a3 ,, am .
Further,
suppose
that
a
set
of
factors
F f1 , f 2 , f 3 , , f n upon which the decision is to
be based has been established and that the intention is to
establish
a
normalized
set
of
weights
W w1 , w2 , w3 , , wn to be used when comparing

the relative importance of these factors in the decision
making process.
Suppose too that a set of numerical values
B i bi1 , bi 2 , bi 3 , , bin can associated with each
course of action.
If the elements of B i are
appropriately coded such that they are positive real
numbers whose values, in some suitable way, indicate
the utility associated with the set of factors F , we can
calculate the utility functions u ( ai ) , as follows:
n
u ai bij w j
for
i 1, 2, 3, , m .
(1)
j 1
The course of action to be preferred will then be the

one that returns the highest value of the utility function.
In an attempt to establish the set of normalized
weights, W , an n by n pairwise comparison matrix
V can be formed, in which the element vij gives the
relative importance of f i as compared with f j .
If by definition the elements of the pairwise
comparison matrix V are as follows:
vij
wi
.
wj
(2)
v ji
1
.
vij
(3)
then it follows that:
The matrix V is then said to be reciprocal.

Moreover, it also follows that:
1 v12
v
21 1

vn1 vn 2
v1n w1
w1
w
v2 n w2
2
n .

wn
1 wn
(4)
In the above equation, n is the principal eigenvalue,

and W the principal eigenvector of V .
314
vij vik vkj .
(5)
In practice, the decision maker starts by assigning

values of vij based on their judgment and experience,
as a first estimate of V . Then the matrix V that is so
obtained can be checked for consistency by computing a
consistency index. The procedure for doing this can be
found in Taha (2008) and Saaty (1990) among others.
If the first estimate of V is found to be too inconsistent,
an attempt can be made to improve it and the whole
procedure be iterated.
If all the factors are judged to be equally important,
as can very well happen in a mechanical design
situation, then vij 1 for all i and all j , and the
resulting matrix V will be consistent.
3. INFORMATION PROCESSING
Though the term information processing is a modern

one, the activity that it refers to is as old as recorded
history. The word information is now a household
word, yet information may not be that easy to define.
Before we can define information, we will first define
the closely related term that is data.
We do know that mountains can be distinguished
from one another on the basis of their heights and that
the heights of mountains are usually given relative to
the sea level. Here, the sea level serves as a basis for
comparison of the heights, and it is known as a datum.
The word data is the plural of datum.
Data may be defined as bases for comparison or
attributes that serve to distinguish. The altitudes of
mountains are numerical data.
It is quite possible that the peaks of two different
mountains can be of exactly the same altitude. In that
case, to completely distinguish one mountain from the
other, height alone would not be adequate. However,
knowledge of other attributes of the mountains, apart
from, or in addition to height, could lead to complete
distinction. Among such other attributes could be the
name and the location of each mountain.
Inasmuch as they can serve to distinguish one
mountain from another, the locations too are data and in
this case they are alphabetical data. Data can be
expressed in alphabetic, numeric, alphanumeric and in
other convenient codes.
In a given situation, when data are organized is such
a manner that they become easier to interpret and to use
then they can be referred to as information. In their
essential nature, data and information cannot be
differentiated except in the extent of their usefulness for
the purpose at hand. They both serve to distinguish one
thing from another. A situation in which we cannot at
all distinguish one thing from another is a situation
about which we are completely uninformed.
The distinction of any one member of a set of things,
from the rest of the members, facilitates selection.
Thus, information facilitates selection.
The essence of information processing is to obtain

more readily useable information from relatively less
useful information.
Whether it is done manually or by use of computer,
information processing can be classified into the
following four categories of activities:
Preparation and input of data,

Processing of data into useful information,
Storage and retrieval of information,
Reporting and communication of information.
When these four categories of activities are linked

together, they may be regarded as a cycle in which data
is processed into information. The term information
processing cycle (Fig. 1) refers to all the activities
involved from the collection of input data to the output
of useful information and its delivery to those who need
it (Robichaud et. al., 1989).
INPUT
OPERATIONS
Recording
Classifying
Coding
PROCESSING
OPERATIONS
Summarizing
Sorting
Classifying
Calculating
OUTPUT
OPERATIONS
Reporting,
Reproducing
Communicating
STORAGE AND
RETRIEVAL
Storing
Retrieving
Figure 1. The Information Processing Cycle
4. WIRE ROPE SELECTION FOR MANUAL WINCH

APPLICATION
A winch is a mechanical device for hoisting or

hauling. Essentially, it consists of a rotating drum
around which a cable is wound so that rotation of the
drum can produce a drawing force at the end of the
cable. When the winch is manually powered then it is
known as a manual winch.
Fundamentally, we need to select a suitable flexible
hauling/hoisting appliance for our purpose, which may
not necessarily be wire rope. The processing of
information in the selection process can begin with the
categorization (sorting) of such appliances as given in
Table 1 (Oduori and Mbuya, 2009).
Based on experience, from among the community of
flexible hoisting/hauling appliances, wire rope types
6 19 , 6 37 , and their variants are the more
commonly used in such applications as on manual
winches. In the selection process, then, a quantitative
screening of rope types 6 19 , 6 37 , and their
variants, shall be carried out in order to determine the
suitable rope type for our particular application.
Suppose that we have the set of requirements
R r1 , r2 , r3 , , rn , that are to be met by the type
of rope that we select. Further suppose that we can
assign weights W w1 , w2 , w3 , , wn , which
represent the relative importance that we attach to each
requirement. Given that there are m candidate types of
ropes to be screened, suppose that, for each type of

rope, we have the set of n attributes or properties,
P p1 , p2 , p3 , , pn , each of which should in
some way, and to some extent, satisfy a corresponding
requirement, and each of whose value may be
bi1 , bi 2 , bi 3 , , bin ,
appropriately
coded
for
i 1, 2, 3, , m (for all rope types). We should then
be able to calculate indices of merit u (ai ) , for each
types of rope, as follows:
n
u (ai ) bij c j .
(6)
j 1
Having found at least one type of rope to be suitable,

in the next stage of selection, we will scrutinize the
attributes of each of the ropes within the selected types,
vis--vis each requirement upon the rope in order to
finally select a suitable rope.
Table 1. Taxonomy of the Community of Flexible Hoisting
or Hauling Appliances
Chains
Natural Fibre Ropes
Synthetic Fibre Ropes
Wire Ropes
Construction Ropes
Excavator Ropes
General Engineering Ropes
Oil-well Applications Ropes
Shipping Applications Ropes,
etc.
Subclasses (say the

hoisting/hauling
subclass of the
general engineering
ropes class)
6 19
6 37
8 19 , etc.
Attributes (say of
the 6 19 type of
wire rope)
Diameter, breaking load, unit

mass, etc.
Families of flexible
hoisting/hauling
appliances
Classes (say of the

wire rope family)
4.1 Wire Rope Selection Criteria and Property

Ratings
Several factors have to be considered in the selection

of a suitable wire rope for a given application. The
following factors usually need to be considered in most
applications:
Resistance to breaking,
Resistance to bending fatigue,
Resistance to abrasion,
Resistance to crushing,
Resistance to corrosion,
Cost of the rope.
Resistance to Breaking
Wire rope standards publications and manufacturers

catalogs usually give three fields of data, namely, rope
nominal diameter, d r , the corresponding breaking load,
Wb , and the corresponding linear density or unit mass

315
(mass per unit length), l , for each rope entry. A

nominal specific breaking stress of wire rope may be
defined as follows (Oduori and Mbuya, 2009):
bs
4Wb
d r 2
4l
d r 2
Wb
.
l
(7)
where bs is the specific breaking stress of the rope,

and is seen to be independent of the diameter of the
rope. A large value of bs implies a strong light rope.
Ratings of specific strength of the candidate types of
rope for manual winch application, based on data from
Japanese Industrial Standards, JIS G 3525, 1981, were
derived by Oduori and Mbuya (2009).
Resistance to Bending Fatigue
As a rope moves over sheaves, drums and rollers, it

is subjected to cyclic bending stresses. The magnitude
of variation of the cyclic stresses may be expressed as
follows:
d
f E r .
Dd
(8)
where E is the effective wire rope modulus of

elasticity, d r is the nominal diameter of the wire rope,
and Dd is the nominal diameter of the drum or sheave
on which the rope moves.
Evidently, the smaller the ratio d r Dd the smaller
the magnitude of variation of bending stress and the
longer will be the fatigue life of the rope, all other
things being equal. Some wire rope data tables give the
lower limiting values for the inverse ratio Dd d r for
various types of rope. The smaller the limiting value of
this inverse ratio, the higher the resistance to bending
fatigue of the particular type of rope, since the rope can
withstand higher variation in bending stress.
Oduori and Mbuya (2009) derived ratings of
resistance to bending fatigue for the candidate types of
rope, based on data from U.S. Army Corps of Engineers
(1998) and Shigley and Mischke (1989).
Resistance to Abrasion
When wire rope is loaded, it stretches much like a

coil spring. When bent over a sheave or drum, its loadinduced stretch causes it to rub against the drum,
leading to abrasion of both the rope and the groove.
Abrasion also occurs whenever a rope rubs against
itself, and internally as wires and strands move relative
to each other. Abrasion weakens the rope simply by
wearing away material from inside and outside wires.
Generally speaking, wire ropes with larger diameter
outer wires and lang lay construction are more resistant
to abrasion than those of regular lay and outer wires of
small diameter. Thus, for the lack of a better, more
direct measure of abrasion resistance, the number of
outer wires per strand, may be used as a basis for rating
the abrasion resistance of various types of ropes
(Elsevier, 2004).
316
Oduori and Mbuya (2009), derived the ratings of

resistance to abrasion based on the number of outer
wires per strand.
Resistance to Crushing
Crushing is the effect of external pressure on a rope

and it results in distortion of the rope cross-section, the
strand cross-section, the core cross-section or all three
of these. Crushing resistance therefore, is the ability of
the rope to withstand or resist external pressure, and is
generally used to express comparison among ropes.
When a rope is damaged through crushing, the
wires, the strands and the core are prevented from
moving and adjusting normally in operation. As a rule
of thumb, regardless of the type of rope, ropes with
independent wire rope core (IWRC) and ropes of
regular lay are more crush resistant than those with
fiber core and those of lang lay.
Resistance to Corrosion
The importance of corrosion as a design factor

depends upon the environment in which the wire rope
will function during its service life. Some of the
possible causes of corrosion are the following:
Submersion into fresh water, which may contain
some corrosive substances,
Exposure to a damp atmosphere, either
periodically of continually,
Exposure to airborne corrosive substances, such as
acids and salts.
Galvanized carbon steel, stainless steel and Kevlar
ropes have been used for their corrosion resistance.
When administered carefully, lubrication may alleviate
corrosion.
Cost of Rope
The cost and availability of candidate ropes should

be taken into account early in the process of selecting
wire rope. Some factors that contribute to the cost of
wire rope are the following:
The material of which the rope is made,
The type of rope certain rope constructions may
be either expensive or not readily available,
The size (diameter) of the rope large rope
diameters may not be readily available.
Oduori and Mbuya (2009) derived ratings of cost of
candidate types of rope, based on data from U.S. Army
Corps of Engineers (1998). Since lower cost is
generally preferable, the ratings of economy were
calculated as the reciprocals of the relative cost indices.
4.2 Selection of a Suitable Type of Rope
As discussed in the preceding section, some wire

rope properties were processed and coded into
quantitative ratings that can be used in the screening of
the candidate types of rope. The factors to be used in
this quantitative screening will be the following:
Resistance to breaking attribute bi1 ,

Resistance to bending fatigue attribute bi 2 ,
Resistance to abrasion attribute bi 3 ,
Cost of the rope attribute bi 4 .
In the absence of strong reasons to compel the
assignment of different weights to the different
attributes, based on relevant and reliable data, a weight
of unity may be assigned to all the attributes and
equation (6) reduces to the following equation, which
will be used to screen the candidate types of rope:
n
u (ai ) bij c j .
Moreover, we may examine the standard deviation

among the values of the attributes of each type of rope,
in order to gain insight into the variability within these
values for each type of rope. In this context, the type of
rope with less variability within the values assigned to
its attributes should be preferred. A Microsoft Excel
worksheet was used for the screening of wire rope types
and the results are given in Table 2.
Based on our screening, two types of rope, namely,
6 by 19 Seale and 6 by 26 Warrington Seale, appear to
be the most suitable, and about equally suitable for our
specific application. These two are the only types that
shall be further considered in the selection process.
(9)
j 1
Table 2. Screening of the Types of Wire Rope
Types of Wire Rope
6 by 19S
6 by 19
6 by 25Fi
6 by 26WS
6 by 31WS
6 by 36WS
6 by 41WS
Specific Strength Rating
0.8996
0.9682
0.8996
0.9003
0.9055
0.9055
0.9055
Bending Fatigue Rating
0.7647
0.7647
1.0000
0.8667
1.0000
1.1304
1.3000
Abrasion Resistance Rating
1.3333
1.0000
1.0000
1.2000
1.0000
0.8571
0.7500
Relative Cost Rating
1.0753
1.0753
1.0753
1.0753
0.9259
0.9259
0.9259
Sum of Ratings
4.0729
3.8082
3.9749
4.0422
3.8315
3.8190
3.8815
Standard Deviation of Ratings
0.2456
0.1327
0.0721
0.1559
0.0494
0.1206
0.2334
4.3 Selection of a Suitable Wire Rope
So far, it has been possible to select suitable types

of rope, without using the specifications of the winch
on which the rope is to be used. This was done by
using only the characteristics of the types of rope.
To proceed farther, we now have to consider the
load that the wire rope will be subjected to when in
use. Suppose that, in our specifications, the load
capacity of our winch is 2.5 metric tons (2 500 kg).
Then our safe working load will be as follows:
Wsw 2500 9.8 24500 N

Moreover, we will use a design factor of safety,
denoted f s , which is defined such that:
W
fs d .
Wsw
(10)
where Wd is the design load and should be less than

the ropes breaking load.
Recommended minimum factors of safety for wire
rope in some common applications are given in Shigley
and Mischke (1989) and in Black and Adams (1981).
For a manual winch designed to be used for
haulage/hoisting operations, a factor of safety of 6
would be appropriate. Thus:
Wd f sWsw
6 24500
147 kN .
1000
(11)
Equation (11) will be used to determine the

diameters of ropes that can sustain the design load.
Oduori and Mbuya, (2009) derived equations

relating wire rope diameter and rope breaking load
through regression analyses of wire rope data from JIS
G 3525, 1981 and found that wire rope breaking load
is, to a very close approximation, proportional to the
square of the rope diameter, with the constant of
proportionality being a characteristic of the rope type
rather than the particular rope.
The regression equations together with the relevant
breaking load data were used to determine the suitable
diameters of the candidate ropes (Table 3). Six wire
ropes that could all be used for the application at hand
were indentified. There is still a need to finally screen
the six ropes so as to end up with one that will be most
suitable. The final screening of these ropes may be
based on the following factors.
Rope diameter: A smaller rope diameter is
desirable because it costs less (U.S. Army Corps
of Engineers, 1998). Moreover, a larger rope
diameter will require a larger rope drum diameter
too. In the present case we have only two rope
diameters to deal with, i.e. 16 mm and 18 mm. If
we assign a rating of unity to the reciprocal of 16
mm then the corresponding rating for the 18 mm
diameter will be 0.8889.
Specific strength: Ratings of specific strength
were derived by Oduori and Mbuya (2009), based
on data from JIS G 3525, 1981.
Percent reserve strength: Abrasion and fatigue
reduce rope strength. The term reserve strength
defines the combined strength of only the ropes
inner wires, which tend to be less affected by
abrasion and fatigue. Ratings of reserve strength
were derived by Oduori and Mbuya (2009), based
on data from Elsevier (2004) and US Army Corps
of Engineers (1998).
317
Table 3. Determination of Rope Diameters Suited to the Design Load
Type or Rope
Grade of
Rope
Lay of Rope
Bright or
Galvanized
Design
Load, kN
Calculated Rope
Diameter, mm
Standard Rope
Diameter, mm
Breaking
Load, kN
6 by 19S
Ordinary
Galvanized
147
17.3064
18
158.9
6 by 19S
Ordinary/Lang
Bright/Galv.
147
16.415
18
176.5
6 by 19S
Ordinary/Lang
Bright
147
15.9407
16
148.1
6 by 26WS
Ordinary
Galvanized
147
17.3064
18
158.9
6 by 26WS
Ordinary/Lang
Bright/Galv.
147
16.415
18
176.5
6 by 26WS
Ordinary/Lang
Bright
147
15.9407
16
148.1
Table 4. The Screening of Candidate Ropes
Wire Rope
6 by 19S
Grade G
6 by 19S
Grade A
6 by 19S
Grade B
6 by 26WS
Grade G
6 by 26WS
Grade A
6 by 26WS
Grade B
Diameter Rating
0.8889
0.8889
1.0000
0.8889
0.8889
1.0000
Strength Rating
0.8996
1.0000
1.0651
0.9063
0.9994
1.0653
Reserve Strength Rating
0.7442
0.7442
0.7442
0.8372
0.8372
0.8372
Sum of Ratings
2.5327
2.6331
2.8093
2.6264
2.7255
2.9025
Standard Deviation of Ratings
0.0868
0.1283
0.1696
0.0336
0.0828
0.1175
The results of wire rope screening are given in

Table 4. The 6 by 26WS, Grade B Rope should be the
most suitable for the application at hand.
The following factors, have not been considered yet
because they are difficult to quantify:
Corrosion resistance: In corrosive environments,
ropes should either be galvanized or made of
stainless steel. In non-corrosive environments,
lubrication can provide some protection against
corrosion.
Resistance to crushing: Ropes with IWRC and
regular lay ropes are more crush-resistant than
fiber core and lang lay ropes. Fibre cores are not
suitable for operations at temperatures greater than
82oC (Elsevier, 2004). Ropes with fibre cores are
more flexible and retain lubricant better.
Rope lay: Regular lay ropes are easier to handle
and are not prone to untwisting in applications
with suspended loads. On the other hand, lang lay
ropes exhibit better flexibility and fatigue
resistance but they are less resistant to crushing
under heavy loads.
Thus, a 6 by 26WS, Grade B, Right Regular lay rope
of 16 mm diameter, with a fibre core was selected.
5. CONCLUSION
Decision theory and information processing have

been shown to be applicable in the selection of wire
rope for manual winch application. Further research
should demonstrate and strengthen their wider
applicability in the selection of engineering entities.
318
REFERENCES
[1] Black, P. H and O. E. Adams Jr.: Machine Design,

3rd Edition. McGraw-Hill International, 1981.
[2] Elsevier Ltd: Wire Rope,
Encyclopedia of
Materials Science and Technology, 2004.
http://www1.elsevier.com/emsat/pdf/200134.pdf.
[3] Japanese Standards Association: JIS Handbook,
Ferrous Materials and Metallurgy, 1981.
[4] Mendoza, M and E. Gutierrez-Pena: Decision
Theory, International Encyclopedia of Education,
3rd Edition, 2010.
allman.rhon.itam.mx/~mendoza/decisiontheory.pdf
[5] Oduori, M. and T. Mbuya: Wire Rope Selection for
Manual Winch Application, Journal of Engineering,
Design and Technology, Vol. 7, No. 2, pp. 207-222,
2009.
[6] Robichaud, B., Eugene, J. M. and Alix-Marie H.:
Introduction to Information Processing, 4th Edition,
McGraw-Hill Book Company, 1989.
[7] Saaty, T. L.: How to Make a Decision: The
Analytic Hierarchy Process, Europeoan Journal of
Operational Research, Vol. 48, No. 1, pp. 9-26,
1990.
[8] Shigley, J. E. and C. R. Mischke: Mechanical
Engineering Design, 5th Edition. McGraw-Hill
International, 1989.
[9] Taha, H. A.: Operations Research-An Introduction,
8th Edition, Prentice-Hall of India, 2008.
[10] U.S. Army Corps of Engineers: Wire Rope
Selection Criteria for Gate Operating Devices,
1998. http://www.gisceu.com/epdf_files/U2.pdf
Modeling energy usage patterns of a

PC and ways of improving it's energy
efficiency
Milo orevi
Research Associate
Darko Batina
Master of Science
This paper describes current status of modeling energy usage patterns for
PCs, provides insight in their energy consumption, energy costs and CO2
emission. It also provides possible solutions for improving energy
efficiency and energy savings. The study involved analysis of two different
mode settings (High Performance and Power Saver mode) of same
computer and gaming test case study. Usage patterns for both modes were
modeled based on Intel's EEP methodology. Workload was simulated
with StressMyPC freeware software. PC energy consumption while
executing workload was measured with Trotec BX11 measuring device
during 15 days testing period, 8 hours a day. Computer and monitor were
separately observed.
Nenad Zrni
Associated Professor
Boris Jerman
Assistant Professor
Jurij Hladnik
Teaching Assistant
Keywords: energy efficiency, energy saving, personal computer, usage

pattern, workload.
1. INTRODUCTION
Since begin of industrialisation the CO2 in our

atmosphere increased by 30%, half of it since 1970! The
increase of the CO2 concentration is linked to the
expected climate change! [1] Big share of this CO2
emissions is related to electricity production.
Table 1. Electricity consumption and per capita in 2011 [2].
Country
Electricity
consumption
[billion kWh]
Electricity
consumption
per capita
[kWh per person]
2010
2011
2010
2011
Serbia
33,4
34,1
4 547,41
4 664,49
European
Union
2 906
2 901
5 891,7
N/A
World
17 930
17 780
2 649,16
2 566,32
Energy efficiency is one of the most cost effective

ways to enchance security of energy supply, and to
reduce emissions of greenhouse gases and other
pollutants. In many ways, energy efficiency can be seen
as Europe's biggest energy source [3].
According to [4] energy efficiency definition is: The
ratio of useful energy or other useful physical outputs
obtained from a system, conversion process,
transmission or storage activity to the input of energy
(measured as kWh/kWh, tonnes/ kWh or any other
physical measure of useful output like tonne-km
transported, etc.).
Correspondence to: Dipl.-Ing. Milo orevi, Research
Associate
E-mail: mddjordjevic@mas.bg.ac.rs
Energy efficiency means using less energy inputs

while maintaining an equivalent level of economic
activity or service [3], [5].
Energy saving is a broader concept that also includes
consumption reduction through behavior change or
decreased economic activity [3], [5].
Energy efficiency in intra-logistics often means to
account for direct energy savings such as those
achievable through the use of energy efficient drives,
lighting or heating. A more holistic view upon energy
efficiency in logistics through the use of information
technology considers all underlying processes with
regard to their potential for direct and indirect energy
savings. Information technology offers a high potential
in achieving the climate protection goals by
encouraging the reduction of energy consumption
associated with a decrease of greenhouse gas emissions.
Processes in logistics can be optimized by means of
information technology (using SmartKanban for
example) [6].
According to a study of the US federal
environmental agency in about 10% of the electric
power consumption is spent by information and
comunication technique [3]. And with so many desktop
and notebook PCs in use, they have a measurable effect
on the worlds energy use. [7]
The European Union (EU) has set its specific target
of a 20% energy saving in energy consumption by 2020.
The EU Commission has recognised information and
communication technologies (ICTs) as an enabler that
will play a key role in reducing energy consumption and
increasing energy efficiency across the whole economy.
While the ICT industry accounts for about 2% of global
CO emissions, ICTs can have a significant enabling
2
capacity of reducing the remaining 98% of carbon

emissions which come from the other sectors of the
economy and of society [8].
This paper particularly deals with energy efficiency
of ICT equipment (specifically PCs) and ways of
319
improving it by simply changing usage patterns and

consumers habits.
The first case study dealing with similar issues was
published in 1994 [9]. There was conducted research of
Energy Star (ES) computers and printers. The US
Environmental Protection Agency estimated that 3040% of the nation's PCs are left running at night and on
weekends. Based on the monitoring, the ES computer
system is calculated to produce energy savings of 25.8%
(121 kWh) over a year. Of the 25.8% overall energy
savings, analysis of the metered data showed that most
of the potential savings in that case came from a 37.5%
reduction in printer energy use. Computer system user
was displeased with slowness of the ES printer start-up
cycle (printer reduces power use by turning off the fuser
in sleep mode), but found no difficulty or limitation
with the ES systems computer and monitor, which
were entirely satisfactory.
Another study on simulated heating, ventilation, and
air conditioning (HVAC) interaction showed that if ES
computers and printers were used in this building the
total annual electricity use would have been reduced by
7,205 kWh or 4 %. This equates to a $576 annual cost
savings (assuming $.08/kWh). 28 % of the total savings
was due to the reduced cooling load. A 2 kW reduction
in the average monthly peak building load was also
achieved [10].
Researchers widely acknowledge that actual
electrical use of a personal computer differs widely
from the nameplate rating of the unit, often suggesting
that average demand is approximately 30% of the
nameplate values [9], [10]. This was also confirmed
during herein presented research.
In addition, herein presented research was based
mostly on [7] and [11] usage pattern models.
2. ANALYSED PC SYSTEM
Tested PC consisted of a Intel Core i5-2500K @

3,3 GHz with 8 GB of random access memory (RAM) ,
SILENCER 610 EPS12V power supply unit (610 W,
83% efficiency), GIGABYTE GTX 285 (GV-N2851GH-B) graphics processing unit (GPU), Seagate
Barracuda 160GB hard disc (HDD) at 7200 RPM and
monitor Samsung SyncMaster 2343BW. Monitor was
equipped with internal power supply with AC 120/230V
(50/60 Hz) voltage required. Monitor was ENERGY
STAR Qualified and TCO'03 and DDC-2B standards
compliant with declared operational power consumption
of 44 W and standby/sleep power concumption of 1W.
2.1 Variabillity challenges
Inherent to the manufacture of integrated circuits

(ICs) is that two ICs from even the same wafer of
silicon can have different power consumption
characteristics, which directly affect the energy
efficiency of the platform built with these ICs. This
variability affects all ICs to some degree, from CPUs,
GPUs, RAM, I/O controllers, chipsets, and all others in
the system. In addition, power supplies, voltage
regulators and fans have inherent variation in their
power efficiency, and can also cause variations in
320
power-draw measurements. For example, power

supplies can vary by as much as 10 % from supplier to
supplier or even within different models from the same
supplier [7].
In order to achieve a reasonable degree of
repeatability this problem must be solved and it can be
done by deciding what is to be the unit under test
(UUT), for example pin-compatible CPUs [7].
3. MODES DEFINITION
This analysis included two testing modes with their

settings shown in Table 2:
1. High performance
2. Power saver
For Power Saver mode all default settings were
used, except maximum processor state which was set to
50%.
Table 2. Testing modes settings.
Settings
High Performance
Power Saver
Turn off hard

disc after
20 min
20 min
Sleep after
Never
15 min
Minimum
processor state
5%
5%
System cooling
policy
Active
Passive
Maximum
processor state
100%
50% (user
limitated)
Turn off display

after
15 min
5 min
4. MODELING WORKDAY AND USAGE PATTERNS

4.1 Modeling energy-efficient performance
While there are standard practices that have wide

industry acceptance for gauging performance, such as
SYSmark, SPEC CPU, and notebook-specific tests such
as MobileMark for battery life, there is no standard
methodology for evaluating client performance coupled
with its associated energy cost [7].
The first step in modeling energy-efficient
performance (EEP) is to define workloads that represent
everyday PC activities. A test workload must mirror the
kinds of activities routinely done during everyday
interactions with the PC. Different usage models
digital office, digital home, gaming require different
representative workloads. In order to effectively model
this typical behavior, the workloads must be based on
real applications [7].
At the time Intel was working with SYSmark 2007
Preview, which comprises office productivity, elearning, 3D modeling and video content creation tasks
(system level power usage can vary dramatically during
each application type). The application mix is based on
research into emerging usage models and computing
trends. It models realistic human-computer interactions,

with "think-time" and human-level typing speeds.
During brief periods of inactivity, such as "think-time",
answering phone calls or interacting with coworkers, the
system drops back to idle. For longer periods of
inactivity, such as lunch or overnight, the system is
assumed to be configured to drop into standby mode (S3
ACPI state, "suspend to memory") after 30 minutes of
idle [7].
The main observation here was that over 34% of the

time during the nine-hour working day (just over three
hours) the system was at or near an idle power-draw
level in this proposed methodology [7].
4.2 Modeling 8-hour workday based on EEP
methodology
With regard to EEP methodology 8-hour workday

model can be formed. 8-hour workday model consist of
four work sessions with 30 minutes shorter lunch-time
break. During overnight periods PC was shut down.
Based on EEP 1.0 and EEP 2.0 models it can be
concluded that considered computer system sits idle (or
near idle) or is put on standby/sleep for 71,7%, which is
5h 45min (345 minutes) for 8-hour workday.
Figure 1. 9-hour workday modeled with EEP 1.0 [11] and

EEP 2.0 [7] methodology
Modeling 9-hour workday with EEP 1.0

methodology the eight hours of working time was
broken into four two-hour blocks. Any time left in a 2hour block after completing the task is considered a
"break", during which the system is at idle or, after 15
minutes of idle, in standby mode. The system is also
assumed to be on standby during lunch hour and
through the night and non-workdays [11].
The 90-minute run time (SYSmark 2004 SE)
allowed only four work sessions per day and one run per
session [11]. The 50-minute run time of SYSmark 2007
permits two runs per work sessionor just a single
runso that the overall number of tasks performed and
amount of idle time can be tuned to more accurately
reflect actual human workdays [7].
Figure 2. System power-draw levels during 9-hour workday.

The percentages shown here are the power level amounts
above the idle power level as compared to the idle power
level [7].
The first EEP model (EEP 1.0) had four SYSmark

2004 SE runs in as many work periods [11]. New model
(EEP 2.0) achieved a better balance of work time, idle
and sleep, while retaining about the same amount of
work per day as EEP 1.0.
Figure 3. Modeled 8-hour workday for High Performance

PC and Power Saver PC.
According to Figure 1 and EEP 2.0 there are 4

breaks (one break is connected with lunch break). With
regard to mode settings it can be said that High
Performance PC was whole 345 minutes sitting idle
(never goes to sleep) and Power Saver PC was 60
minutes sitting idle and 285 minutes put on
standby/sleep.
5. TESTING PERIOD AND SOFTWARE
Testing was conducted in a period of 15 days per

mode, 8 hours a day using StressMyPC freeware
software, version 1.12 available at http://www.
softwareok.com/?seite=Microsoft/StressMyPC. Testing
was carried-out with Paint-Stress and Aggressiv CPUStress settings turned on. HDD-Stress was not
conducted because of HDD drive speed which was low
and thus limitating data flow between other system
components resulting in their limited usage
(components were not 100% utilized) and in that way
not providing clear picture of how system works.
StressMyPC is not intended for modeling workload
as SYSmark 2007 Preview, and it can not generate
different tasks. But it can generate flat workload and in
combination with modeled usage patters provide
reasonable results.
6. MEASURING DEVICE
In order to calculate the energy cost, the PC must be

monitored for actual energy consumption during the
was measured with
run. Electricity consumtion
TROTEC BX11 measuring device.
321

Table 3. Technical data for measuring device.
Voltage
230 V, AC, 50/60 Hz
Maximum input
3680 W / 16A
Measuring range
2 - 3680 W
Transient overvoltage category
CAT II (2500)
Maximum recording
capacity
999,0 kWh
Maximum recording
time
999,9 hours
Minimum energy
display
0,1 kWh
Minimum cost
display
0,1
Batteries
3 x AAA R03/1,5 V
Operating
temperature
+5 C to +40 C
Operating conditions
80% relative humidity below 31 C

from 31 C to 40 C to 50%
decreasing linearly
Protection
IP20
Degree of
contamination
II (Dry, non-conductive
contamination only. Occasional
temporary conductivity through
dewing mus be reckoned with.)
7. MEASURING AND RESULTS

7.1 Measured monitor power consumption
Work in comfort zone comprise area from 70-80%

brightness settings. By setting brightness into this range
significant power savings could be achieved. Assuming
that monitor is used 8 hours a day (without turning off
or putting on sleep) it could be saved 48-64 Wh a day
this way.
Declared consumption of 1 Wh for standby/sleep

mode could not be measured because of measuring
device characteristics (2-3680 W measuring range).
There was no detected difference in power
consumption with regard to other monitor settings such
as color tone, contrast, etc. Therefore, main indicator for
power consumption of monitors is brightness settings.
With regard to modeled workday and modes settings
monitor is put on sleep (or turned off) for 285 minutes
when set to High Performance mode and 325 minutes
when set to Power Saver mode.
Table 4. Monitor workload and consumption distribution
during 8-hour workday.
Mode
Brightness
100%
Brightness
70%
Sleep
High
Performance
195 min
136,5 Wh
285 min
4,75 Wh
155 min
87,8 Wh
325 min
5,42 Wh
Power
Saver
7.2 Measured PC power consumption
When PC was set to High Performance mode it

consumed 230 W, while in Power Saver mode it
consumed 199 W. When PC was sitting on idle it
consumed 92 W and when put on standby/sleep - 2 W.
According to modeled workday and modes settings
workload distribution during workday is presented in
Table 5.
Table 5. PC workload and consumption distribution during
8-hour workday.
Mode
Workload
Idle
Sleep
High
Performance
135 min
517,5 Wh
345 min
529 Wh
Power
Saver
135 min
447,75 Wh
60 min
92 Wh
285 min
9,5 Wh
7.3 Results
With regard to measured energy consumption of

monitor and PC there can be provided insight in their
power consumption during workday.
Obtained results according to modes definition,
modeled 8-hour workday usage pattern and measured
power consumption of monitor and PC are shown in
Table 6.
Table 6. PC and monitor energy consumption during 8-hour
workday.
Consumption [Wh/day]
Mode
Figure 4. Monitor power consumption with regard to

brightness settings diagram
322
PC
Monitor
PC +
Monitor
High
Performance
1 046,5
141,25
1 187,75
Power
Saver
549,25
93,22
642,47
7.4 Gaming test case study
Durind the research gaming test was also conducted.

User was asked to play game Civilization V. PC was set
to High Performance mode. After that system was set to
Power Saver mode with limitated CPU power to 50%
without user's knowledge. It is important to underline
that user did not notice any difference between these
two modes. PC power-draw was 25 W lower in Power
Saver mode.
Power Saver PC around 9 . Results are comparable

with [7]. According to [7] yearly energy costs for wellmanaged desktop Intel Core 2 Duo PC were about
10 $.
Table 8. Possible annual savings.
RS
EU
Number of
PC units
1,2106
21310
1109
8. POSSIBLE SAVINGS CALCULATIONS
Possible energy
savings [kWh]
144106
25,56 109
120109
Most of the households in Republic of Serbia

consume 351-1600 kWh ("Blue zone") of electricity per
month. One kWh of electricity in that zone costs
7,76 RSD (0,066 ). According to National Bank of RS
mean value for 1 was 117,4 RSD on the day 28th of
August 2012 [12].
According to [13], [14] there was 2 497 187
households in Republic of Serbia in 2009. and 47% of
them possessed a PC. Number of PCs per household in
most cases (89,3%) was one (2 PCs had 8,2%, 3PCs 1,1% and 4 or more PCs - 1,4% of Serbian households).
According to previous total number of PCs in RS was
1 173 678 units (1,2 million). In EU 27 percentage of
households that possessed a PC in 2009 was 71% [13],
while total number of households was around 300
million (estimate according to [15]). This leads to a total
of 213 million computers. According to [16] there were
over one billion PCs in use worldwide by the end of
2008. And with PC adoption in emerging markets
growing fast, it is estimated that there will be more than
two billion PCs in use by 2015. For this study it will be
assumed that there is one billion PCs worldwide.
Carbon dioxide emissions from electricity
production depend on the fuel source for electicity
generation. Fosil fuels have bigger carbon footprint
compared to renewable energy sources, such as wind,
solar or hydro. In Republic of Serbia the biggest share
of electricity is provided from coal burning (lignite).
According to [17] producing 1 kWh of electricity from
lignite results in 940 g CO2 emission.
Possible costs
savings []
9,6106
1,7109
8109
Possible CO2
reduction [t]
135,610
11310
Table 7. Energy consumption, energy costs and possible

savings for one PC unit.
High
Performance
Energy
consumption
Energy costs
CO2
Emission
1 187,75 Wh
0,08
1 116 g
Power
Saver
642,47 Wh
0,04
604 g
Possible
savings / day
545,28 Wh
0,04
512 g
Possible
savings / year
120 kWh
113 kg
It is assumed there is 220 workdays a year (52

weekends, 25 days of vacation and 16 days - hollidays).
With regard to herein conducted study yearly energy
costs for High Performance PC were about 18 and for
World
6
24,110
Although Table 8 is not completely valid (not all

PCs operate 8 hours per workday) it can provide an
insight in possible savings.
9. CONCLUSION
Bearing previous analysis in mind it can be

concluded that great savings can be achieved by simply
improving awareness that little change in consumption
pattern (which does not affect on performances of ICT
systems) can lead to significant saving on
national/global level. Using Power Saver mode with
herein described settings savings of 46% can be
achieved in electricity consumption, electricity costs
and CO2 emission compared to High Performance
mode. By giving energy consumers insight in how much
they could save by slightly changing their usage patterns
it is more likely they would change it. Since power
saving settings do not affect performances of PC their
utilisation is strongly recommended and every user
should set his own power saving scheme according to
his needs. This technology exists to enable better energy
efficiency, and should be used to minimize energy use
when the computer is not being used. It can be pointed
out that this study (and similar) should encourage
manufacturers of hardware components for ICT
technology (as well as software manufacturers) to
continue producing and upgrading energy efficient
devices and software.
ACKNOWLEDGMENT
This work has been supported by the Ministry of

Education, Science, Culture and Sport of Republic of
Slovenia and by the Ministry of Education, Science and
Technological Development of Republic of Serbia
under project 651-03-1251/2012-09/50 - The bilateral
project for scientific cooperation between Republic of
Slovenia and the Republic of Serbia in the years 2012 2013.
This work is also a contribution to the Ministry of
323

REFERENCES
[1] Kessler, S., Rakitsch, S.: Aspects of energyefficient

use of port installations, fml Institute for materials
handling, material flow, logistics, Prof. Dr.-Ing.
Dipl.-Wi.-Ing. W. A. Gnthner Technische
Universitt Mnchen, 5th September 2008, Uzwil.
[2] CIA World Factbook, Electricity consumption and
per
capita,
January,
2011,
online:
http://www.indexmundi.com/g/g.aspx?v=81000&c
=ee&1=en (accessed 27.08.2012).
intralogistics: A new trend in research, VII
Triennial International Conference HEAVY
MACHINERY - HM 2011, Vol. 7, No. 2, pp. 127132, University of Kragujevac, FME Kraljevo,
Vrnjaka Banja, June 29th - July 2nd, 2011.
[4] Verbruggen, A., W., Moomaw, J., Nyboer, 2011:
Annex I: Glossary, Acronyms, Chemical Symbols
and Prefixes. In IPCC Special Report on
Renewable Energy Sources and Climate Change
Mitigation [O. Edenhofer, R. Pichs-Madruga, Y.
Sokona, K. Seyboth, P. Matschoss, S. Kadner, T.
Zwickel, P. Eickemeier, G. Hansen, S. Schlomer,
C. von Stechow (eds)], Cambridge University
Press, Cambridge, United Kingdom and New York,
NY, USA.
[5] Humpl, D., Starkl, F.: The contributions of logistics
to enchance energy efficiency in freight transport,
POMS 21st Annual Conference, Vancouver,
Canada, May 10, 2010.
[6] Bamberg, B., Johann, A., Waldow, P.: Energy
efficiency in logistics - SmartKanban as an
inteligent intra-logistics architecture for Kanban
scenarios, it Information Technology 54 (2012) 1
/ DOI 10.1524/itit.2012.0661 Oldenbourg
Wissenschaftsverlag - Energy Efficiency in
Logistics, Special Issue, 2012.
[7] Intel Corporation: Energy-Efficient Performance
on the Client: A Proposed Measurement
Methodology, Version 2.0, Issue date, September,
2007,
online:
www.intelcapabilitiesforum.net
(accessed 27.08.2012).
[8] Ye, J., Ellis, K., Hassan, T., Firth, S., Hannus, M.,
Sheridan, C.: An approach to impact assessment of
ICTs for energy efficiency, Proceedings of the CIB
W78-W102 2011: International Conference Sophia Antipolis, France, 26-28 October, 2011.
[9] Lapujade, P., Parker, D.: Measured energy savings
of an energy-efficient office computer system,
Proceedings of the 1994 ACEEE Summer Study on
Energy-Efficiency in Buildings, Vol. 9, August,
1994.
[10] Floyd, D., Parker, D.: Measured performance of
energy-efficient computer system, Proceedings of
the Tenth Symposium on Improving Building
Systems in Hot and Humid Climates, Fort Worth,
TX, May 13-14, 1996.
324
[11] Salvator, D., Reilly, J., Intel Corporation:

Measuring a PC's energy efficiency and
performance, EE Times-India, August, 2007.
[12] Cena struje, Copyright 2012 serviceinfo.com,
http://www.servisinfo.com/cena-struje
(accessed
28.8.2012 10:29).
[13] Statistical Office of the Republic of Serbia: Use of
information and communications technology in the
Republic of Serbia, 2010, www.stat.gov.rs.
[14] Statistical Office of the Republic of Serbia: 2011
Census of Population, Households and Dwellings
in the Republic of Serbia - first results, Supported
by the EU, Bulletin *540, Belgrade, 2011.
[15] http://ww2.unhabitat.org/habrdd/trends/europe.html.
[16] Gartner, Inc.: Gartner Says More than 1 Billion PCs
In Use Worldwide and Headed to 2 Billion Units by
2014, Stamford, Connecticut, U.S.A., 23. June
2008,
online:
www.gartner.com/it/page.jsp?
id=703807 (accessed 27.08.2012).
[17] International Energy Agency: CO2 EMISSIONS
FROM FUEL COMBUSTION Highlights (2011
Edition), OECD/IEA, 2011, www.iea.org.

SPECIAL SESSION E
MARITIME AND PORT LOGISTICS
Freight Derivative Trading Strategy

Using Artificial Neural Networks
Dimitrios V. Lyridis
Assistant Professor
Laboratory for Maritime Transport
National Technical University Athens
Panayotis Zacharioudakis
Ph.D., Senior Research Engineer
Sophia Daleziou
School of Applied Mathematical and
Physical Sciences
National Technical University of Athens
During the last thirty years, there has been an extraordinary growth in the
market of financial derivatives, in the field of shipping. This can be
attributed to the fact that financial derivatives are contracts which allow
all players participating in the shipping market to reduce their exposure to
the fluctuations in freight rates, bunker prices, interest rates, foreign
exchange rates and vessel values. This paper employs Artificial Neural
Network (ANN), in order to forecast the future price of freight derivatives.
More specifically, drawing on historical data for the period between
January 2005 and March 2009, an ANN is built and trained, and its
estimates lead to two individual results. The resulting model indicates to
the investor which position to take in the derivatives market (short for sale
of agreements and long for the purchase of agreements).
Keywords: freight rates, trading strategy, artificial neural networks,
shipping market modeling, freight rate forecasting
1. INTRODUCTION
Artificial neural networks represent a technology

which has been adopted in many disciplines such as
neurosciences,
mathematics,
statistics,
physics,
computer science and engineering. Their ability to learn
from data has endowed them with a powerful property
and has made them invaluable tools in the financial
forecasting. This is a challenge for researchers
worldwide: A lot of efforts have been made using ANN,
in order to design a trading system for profitable
movements in the market. However, few people would
dare to invest their money according to the forecasts of
a neural network-which has been trained using historical
data, as it is widely believed that is impossible to predict
the economy dynamics [2].
Here, it should be noted that any attempt to create a
neural network about financial variables will necessarily
draw on historical time series data. The main purpose of
this process is to draw conclusions about the future
evolution of the variable being studied and the most
ambitious goal is to detect predictable patterns for future
values.
An important advantage offered by ANNs is that
they can constantly enrich their knowledge with new
information resulting from new market conditions. The
decisive factor is the concept of volatility of the market
being studied, as the bigger the market the shorter the
time period during which the new data will be valid. In
other words, the success rate of an ANN forecasting
market trends for a specific time period are reversely
Correspondence to: Dr. Dimitrios V. Lyridis, Assistant Prof.
School of Naval Architecture & Marine Engineering
9 Heroon Polytechniou St., Zografou 15773, Athens, Greece
E-mail: dsvlr@mail.ntua.gr
analogous to the markets growth rates.

However, training an ANN using time series data
have been proven to be successful in such applications
before; therefore, it may be possible to build a system to
successfully forecast the evolution of economic
indicators.
The following study specializes in Freight Futures,
in terms of the type of the derivative product. It is based
on three-month agreements for a specific Dry Freight
transportation route issued by IMAREX according to
the Baltic Exchange indexes.
Hence, the system to be designed should forecast
fluctuations in the prices of Freight Futures, in relation
to changes in freight rates at the Spot market, and thus
create forecasts that lead to profitable investment
actions.
Lastly, it will be possible to acquire new forecast
results generated on a daily basis, after the necessary
data, similar to those used to train the network, have
been entered.
The rest of the paper is organized, as follows: The
role of derivatives in the shipping market is presented in
section 2. Section 3 provides the criteria for selecting
the data, the implementation of the methodology and the
results. In the last section, the conclusions of the paper
are discussed.
2. DERIVATIVES AND SHIPPING
Freight Derivatives or Freight Forward Agreements

(FFAs) were developed aiming at managing, in a more
efficient, cost-effective and flexible manner, risks
resulting from fluctuations in freight rates, the cost of
storage, ship prices, scrap prices, interest rates, and
foreign exchange rates [3].
Besides the increased capital liquidity prevailing in
the shipping market, the ease of creating standardized
agreements offered by sea transportation (regarding
325
bulk cargos, routes and ship sizes). The fact that the
shipping market is subject to a common valuation
structure/methodology and that in general, there is an
increased transparency, have contributed to their
success in shipping.
Such products are already traded over the counter
(OTC) at the markets of London and Oslo. Shipping
companies, as well as energy companies, use freight
derivatives, in order to cope with changes in freight
rates and these contracts are now considered the most
rapidly growing area of the shipping industry.
Definition: FFAs can be defined as future agreements
where the two parties undertake to buy or sell the
transportation of a bulk cargo from one location to
another at a price established at the time of closing the
agreement.
The settlement is in cash so there is no physical
delivery. Payment is made on a specific date agreed
upon by the two parties. For the settlement of FFAs, the
London Baltic Exchange BDI (Baltic Dry Index) and
BITR (Baltic International Tanker Routes) are taken
into account.
FFAs and history
The first FFAs appeared in 1985, when the BIFFEX
(Baltic International Freight Futures Exchange)
agreement was created. It was an agreement with
underlying average index the BFI (Baltic Freight Index)
of the Baltic Exchange. Progressively, and due to
market segmentation, many individual BFIs made their
appearance. They made their first appearance as private
agreements between two parties traded over the counter
in 1992.
FFA general characteristics types
FFAs, which should be mentioned for the
understanding of the paper, fall under the following
categories:
Forward Freight Agreements: Private agreements
entered into mainly by and between ship owners and
shippers and aiming at hedging against the volatility of
the freight market. In this case, the ship owner takes a
short position and sells FFAs whereas the shipper is the
buyer (long position).
Freight Futures: The principle behind them is the same
as above, however they are traded in organized markets,
such as IMAREX and NYMEX. Hence, like all
derivatives, FFAs are also used for hedging, speculative
and arbitrage purposes.
3. METHODOLOGY AND RESULTS
The Artificial Neural Network to be built will be

based on Dry Bulk Routes. Table 1 shows the routes of
IMAREX for the issue of dry bulk routes, and the route
basket (Routes are grouped in baskets based on the type
of the ship to which each route refers. Hence, the names
of the BCI, BPI, BHI and BSI indexes come from
326
Capesize, Panamax, Handymax and Supramax

respectively) selected for use in the research part of the
paper.
Data about quarterly Freight Futures prices and the
daily Spot Prices for the specific route basket have been
collected. Such figures are given in T/C (Time Charter)
in $/day.
The data range is the period between 4 January 2005
and 13 March 2009. For each day, we have:
The asset Spot price (freight)
The asset Future price for the next quarter.
For each one of the days in the database, the
investors profit or loss is calculated as follows:
If denotes the trading day and TP (Trade Price)
the price of the three-month future agreement on
day ;
If Avg1, Avg2, Avg3 denote the average of the
Spot prices for the 1st, 2nd, and 3rd month
respectively.
If the investor takes a Short position (by selling
FFAs)
Then:
Profit=(TP-Avg1)*31+(TP-Avg2)*30+(TP-Avg3)*31
If Profit > 0, taking a Short position is a correct trading
signal.
If Profit < 0, taking a Long position is a correct trading
signal.
For the ANN to be trained, the largest possible
number of time series is needed which will be directly
or indirectly correlated to freight rate fluctuations and
will be the input variables whereas profit is the output
(desired) variable. These time series as well as all data
used in this paper were taken from Clarkson Research
Services [1].
Initially, the time series data were monthly, weekly
or daily, depending on their fluctuation rate. The first
processing of such time series, involved their reduction
to daily time series as a whole, with linear interposition
of new data. Such conversion is necessary, as the
desired results are given for each day of operation of the
stock market and in order that an ANN be trained, the
same number of input and desired data is required.
47 time series were taken from Clarkson Research
Services. Out of these, only six were selected to train the
ANN, otherwise the problem would have been
particularly complex. Hence, a decisive factor in the
selection of the suitable time series to be used to train
the system is the Correlation Coefficient, or more
simply their correlation with the desired variable
(profit).
The Correlation Coefficient is used to measure the

strength of the relationship between two variables x, y.
Given n pairs of observations (xi, yi) we can compute the
correlation coefficient r as,
Capesize Bulker Orderbook Number,
Capesize Bulkcarrier Fleet Development,
sxy
Capesize Scrap Value,
One Year Time Charter Rate 170,000 dwt

Bulkcarrier,
Capesize Bulker Contracting Number,
Capesize Sales,
Capesize Bulkcarrier Deliveries Number,
Capesize Bulkcarrier Newbuilding Prices.
(1)
sx s y
where , s xy = Cov (x,y) , the covariance between the

variables x, y,
sx , sy - is the standard deviation.
As a result,
n
s xy
(x
i 1
x) ( y i y )
x y
n 1
i 1
n x y
n 1
, (2)
where
sx
1 n
( xi x ) 2
n 1 i 1
sy
1 n
( yi y )
n 1 i 1
(3)
and
2
(4)
Finally,
n
s xy
sx s y
(x
i 1
x) ( y y )
( xi x ) 2
i 1
x y
i 1
x
i 1
2
i
n x y
n x
y
i 1
(y
i 1
y )2
(5)
2
i
n y
Hence, after a first filtering of the data using

calculations for their correlation with desired output,
these are next tested in various combinations as to their
contribution in the performance of a Neural Network.
The first step is then to create the network. The
network was created using the software package
NeuroSolutions v.5, which allows entering data directly
from Excel worksheets without particular processing,
and of course allows the design of Artificial Neural
Networks [6].
This paper employs Modular Neural Networks.
Modular feed forward networks are a special class of
MLP. These networks process their input using several
parallel MLPs, and then recombine the results. Such
networks are more suited for time series prediction of
non linear economic fundamentals. There are four
modular topologies concerning the interaction between
the layers, as shown in the following Figure 1.
Experimentations were carried out with all potential
combinations of the above time series and modular
topologies.
The correlation coefficient lies between -1 and +1.

r>0 indicates a positive linear relationship between the
two variables and r<0 a negative linear relationship
between x, y. r=0 indicates no linear relationship
between x, y.
Lastly, the prerequisites that need to be met by the
final time series to be used in training the network are
summarized next:
Coefficient of correlation of the S time series
with the Output time series > 0.200
Coefficient of correlation among Si time series
< 0.800
The Time Series considered being the most important
are:
Figure 1. The four ANN modular topologies
The correlation coefficient between the employed

time series and the output data are given in Table 2.
327
Table 1. Correlation between the input and output variables

TS
r
1
FUTURE
-0,380
SPOT
-0,406
TS1
-0,215
TS2
TS3
-0,264
0,430
TS4
TS5
0,318
-0,168
TS6
1
-0,550
The correlation between the profit and the TS5 time series is <0, 2, because there exists a significant correlation in this time series
The initial step for designing any neural network is

to collect the training data. Then, the selection of testing
and cross validation data follows. The testing set is used
to test the performance of the network and cross
validation is used as a highly recommended method for
stopping the network training. This method monitors the
error of the independent set of data and stops training
when this error begins to increase. This is considered to
be the optimal point for generalization.
The appreciation of a network is not based just in its
success rates but also in the mean square error (MSE) of
the results. The MSE ( MSE
1 N 2
e t ) of a
N t 1
prediction is one of the ways to quantify the difference

between the predicted and the true value of the variable
being estimated [4].
Based on the above, four modular topologies were
initially used with a default number of layers (two), in
order to find out which of these topologies have the
highest success rates and the minimum error.
The results are being illustrated in Figures 2 and 3.
100%
80%
60%
40%
20%
54%
77%
SuccessRates
64%
36%
0%
Test1_1
Test1_2
Test1_3
Test1_4
Figure 2. The success rates of the four modular topologies
0.12
0.1
0.08
0.06
0.04
0.02
0
0.103
MSE
0.074
0.0584
0.0235
Test1_1
Test1_2
Test1_3
Test1_4
Figure 3. The MSE values of the four modular topologies
It is obvious that the second network provides the

best results with the minimum error. The topology of
this network is given in Figure 4.
Figure 4. Networks Topology
328
They were tested the results of this specific topology

using different number of hidden layers (1, 2, 3, 4). The
results of each case are set out in Figures 5 and 6.
100%
80%
60%
77%
80%
85%
Test1_2_2
Test1_2_3
Test1_2_4
40%
20%
SuccessRates
34%
0%
Test1_2_1
Figure 5. The success rates using 1, 2, 3 and 4 hidden layers
0.12
0.1
0.08
0.06
0.04
0.02
0
0.1
0.0354
0.0235
Test1_2_1
Test1_2_2
MSE
0.0193
Test1_2_3
Test1_2_4
Figure 6. The MSE values using 1, 2, 3 and 4 hidden layers
It is the network with the four hidden layers, which

seem to be the most successful.
The graphic representation of the finals network

results is given in Figures 7 and 8.
Figure 7. The network output of the training set
Figure 8. The network outputs of the test set
329
The 85% success rate of the testing set refers to the

percentage that the two lines are above or below the xaxis at the same time.
4. CONCLUSION
It is a fact that Neural Networks employed for the

forecast the evolution of Freight Derivatives, can
become an invaluable tool, capable of leading to
successful investments as also explained in the literature
(for additional cases and discussion please also see [5]
and [7]). On the other hand, the forecast must always
play an auxiliary part, be used prudently. It should not
be forgotten, that, after all, that such models are actually
taught based on the past, in order to forecast the future,
which could hide surprises. Ideally, their use is
recommended in conjunction with empirical knowledge
and
human
judgment.
REFERENCES
[1] Clarkson Research Services. http://www.crsl.com

[2] Haykin, S.: Neural Networks: A Comprehensive
Foundation. 2n Ed. Prentice Hall, 1999.
[3] Hunt, P.J. and Kennedy, J.E.: Financial Derivatives
in Theory and Practice, Revised Ed. Wiley Series
in Probability and Statistics, Wiley & Sons Inc.,
2004.
[4] Kleinbaum, D.G., Kupper, L.L., Nizam, A., and
Muller, K.E.: Applied Regression Analysis and
Other Multivariate Methods. 4th Ed. Duxbury
Applied Series, 2007.
[5] Marose, R.A.: A Financial Neural Network
Application, AI Expert. Vol. 5, p. 50-53, May,
1990.
[6] Principe, C.J., Euliano, R.N., and Lefebvre, W.C.:
Neural and Adaptive Systems: Fundamentals
through Simulations. Wiley & Sons Inc., 2000.
[7] White, H.: Economic Prediction using Neural
Networks: The Case of IBM Daily Stock Returns.
IEEE International Conference on Neural
Networks, 1988.
Table 2. IMAREX Dry Bulk Routes
Routes
C4
C7
P2A
P3A
CS4TC
PM4TC
HM6TC
330
IMAREX Listed Single Route and Basket of T/C Dry Bulk Futures
Sector
Route Description
Cargo Size
Capesize
Richards Bay Rotterdam
150000
Capesize
Bolivar Rotterdam
150000
Panamax
T/C Skaw Gibraltar Far East
74000
Panamax
T/C S.Korea Japan Pacific R/V
74000
Panel B: Listed Basket of T/C Dry-Bulk Futures
Capesize
T/C Average
n/a
Panamax
T/C Average
n/a
Handymax
T/C Average
n/a
Ivana Vukievi
University of Belgrade, Faculty of Transport
and Traffic Engineering
Danijela Pjevevi
Duan Teodorovi
Katarina Vukadinovi,
Nataa Vidi
University of Pittsburgh, Industrial
Engineering Department
A Model of Worker Planning and

Assignment at Port Container Terminal
We study the workforce planning and assignment problem at the port
container terminal with the objective to minimize the labor costs. It is
difficult to predict the number of workers needed, due to the fact that ship
arrivals cannot be precisely known. Workforce considered consists of port
workers that are trained to work with containers.
In order to reduce labor costs, the best possible assignment of tasks and
shifts to workers has to be determined. We present known mathematical
model that assigns tasks and shifts to workers, and the heuristic algorithm
previously developed in [7]. We also present the metaheuristic Bee Colony
Optimization (BCO), discussed in [5] and adjusted in this paper for
solving the considered problem. We compare two solution methods on
numerical examples and discuss results. We have shown that the BCO
metaheuristic can be successfully applied to the considered workforce
planning and assignment problem.
Keywords: Port Container Terminal, Assignment problem, Bee Colony
Optimization
1. INTRODUCTION
Workforce planning problem in service systems has

been addressed and studied by many authors. This
problem is usually addressed in the following order [2]:
1) prediction of demand, 2) determining the required
number of workers for the predicted demand, 3)
determining workers shifts (work periods), 4) workers
assignment to tasks and shifts.
During 1960s and 1970s most of the authors
assumed that the worker is only trained to perform one
task [2], later or in the recent literatures the assumption
is that workers are cross trained and can perform
different tasks according to their training and experience
[1, 3].
One of the main functions of port container
terminals is container transfer from vessels to rail/road
vehicles and vice versa, with purpose of distributing
containers to the end users. Port terminals are equipped
with adequate container handling machinery and open
storage areas dedicated for longer or shorter storage of
loaded or empty containers. Quay container cranes
unload containers from ships to the berth. They are
further transferred to storage areas by straddle carriers.
The following jobs are included in these container
handling operations: crane operator, checker, deckman,
straddle-carrier driver and raiser [4].
In this paper we study the workforce planning and
assignment problem at the port container terminal with
the objective to minimize the cost of total labor
(workforce costs). The main function of these systems is
to provide instantaneous service which depends on the
availability of workers at the time the service is
required. The main difficulty is that demand is
uncertain, i.e., ship arrivals cannot be precisely known,
and service should be provided 24 hours a day, 7 days a
week.
The assignment problem is one of fundamental
combinatorial optimization problems and the
complexity of the problems increases with its size. We

present the mathematical model that assigns tasks and
shifts to workers, as well as a heuristic algorithm
(Heuristic algorithm II) which can be used to solve this
problem and is suggested by Radi [6] and Radi et al.
[7]. We also present the metaheuristic Bee Colony
Optimization (BCO), discussed in [5] and adjusted for
solving the considered problem. We compare two
described solution methods on numerical examples and
discuss results. The problem and mathematical
formulation are presented in Section 2. The previously
developed heuristic is discussed in section 3, and
proposed metaheuristic BCO in section 4. Numerical
example and conclusions are presented in sections 5 and
6.
2. PROBLEM AND MODEL DESCRIPTION
Workers
under
consideration
represent
approximately 80% of the total port terminal workforce
and
are
directly
involved
with
container
(loading/unloading) operations. Depending on the skill
level each worker is trained to perform one main or
basic task (tasks require different skill levels). The
following tasks are assigned to workers: 1) crane
operator, 2) checker, 3) ship crew member (deckman) 4)
straddle-carrier driver and 5) manual labor (raiser).
The number of vessels that need service at the
terminal during the fixed period of time is known in
advance and fixed. Vessel arrival time is not known and
difficult to estimate. Therefore it is very hard to predict
the number of workers needed at the port at any time. In
order to satisfy the demand for workers, it is necessary
to have some flexibility when planning workers shifts
and assignments.
The workforce planning and assignment problem is
usually decomposed in two phases. Phase one is related
to the long term or monthly horizon, and phase two
addresses daily planning once more realistic data is
331
available. The aim of the first phase is to construct a set

of feasible working schedules, i.e. sequences of working
and free periods (spanning a horizon of about 30 days)
which comply with the union work regulations. The first
phase schedules are constructed based on the estimated
demand. No workforce costs are considered at this
phase. The seconds phase addresses the daily planning
and assignment. Once the long -term planning decisions
are made and more precise information about the
workforce demand for each shift for the next day is
available, it is possible to address the problem and make
the assignment of tasks/shifts to workers.
In addition to the day off, workers can be assigned to
any of the 4 regular shifts (1, 2, 3 or 4) and a flexible
shift (5) which is considered in the same manner as a
regular shift when planning. Based on union regulations
0, beside the regular assignment, a worker can be first
assigned to a "flexible" shift (if he certainly works on a
given day, but the shift is not specified) and a "double
duty" if needed (if he remains at work for two
consecutive shifts within the same day). Within the final
schedule, the flexible shift, when assigned to a certain
worker, is transformed into regular shift (1, 2, 3 or 4).
The objective of the problem is to determine the
optimal assignment of tasks and shifts to workers in
order to minimize the total cost of labor. Workforce or
labor cost is one of the main factors in the effective
operation of ports especially in situations when the
automatization is at the low level.
The problem is considered under the following
assumptions: 1) the necessary machinery needed in
order to provide service is available at the port
(container cranes, straddle carriers, etc.); 2) the number
of trained workers is finite and known; 3) a worker with
a higher skill level is able to perform a lower level skill
task; the opposite is not feasible; 4) the number of full
time trained workers is fixed and finite; 5) the number
of additional available workers is not fixed (can be
infinitely high); 6) the minimum time between the
double shift and the regular shift is 12 hours for each
worker; 7) double shift can be assigned only to workers
assigned to day shifts (not evening shifts); double shift
cannot be assigned to crane operators and straddlecarrier drivers; 9) the maximum of two double shifts can
be assigned to each worker during each planning period
(6 consecutive days).
The assignment of tasks and shifts to workers at the
port container terminal with minimal cost of labor is
formulated in 0 as integer programming problem. The
objective function represents the total costs of workers
involved with the container operations.
4 n 5
k 5
4
min cik xij dkj ukj yij 1

j1 i1k1
k1
iD j1
cik ck (i )k
ck
ck (i ) (ck (i ) ck )
M
(2)
d kj
unit cost for additional subcontracted worker's
job when he/she is performing task k during

shift j for k , j
a set of workers which can be assigned to
double duty
a set of workers in active service which are
assigned to shifts within the planning period:
Tj
T j i N | worker i
works
on
shift
1, , 4
a set of workers in active service which are

assigned to flexible shifts within the planning
period:
T i N | worker i
Tj T 0
works
on " flexible "
shift
j 1, , 4
u kj
the
workers who are assigned to task k during

shift j for k , j
the cost of overtime
xijk
number
of
additional
1 task k is assigned to worker i

0 otherwise,
1 worker i
y ij
0 otherwise ,
works
on
subcontracted
on shift j
shift
i, j, k
i, j
The constraints are given below:

5
x
k 1
k
ij
yij
i N , j
k
xij u kj n kj r j
k , j
i 1
(3)
(4)
where r j is the number of teams needed during shift j,

and nkj is the number of workers assigned to task k in
(1)
In addition to the main task for which the worker is

trained, he or she can perform tasks with the required
cik is
independent of the shift j, and dependent on the

workers skill k (i ) level and the assigned task k:
332
if 1 pik " "

if
pik " "
where M is a considerably large number (significantly

higher cost).
ck
unit cost for worker's job when he/she is
performing main task k for k
each team during shift j.
4
yij 1
j 1
Worker i is trained to perform task k (i ) ( pik ( i ) 1 ).
lower skill level ( pik ( i ) 1 ). It is assumed that
k k (i )
if
i D
(5)
yij 1
i D
(6)
yi1 yi 3 1
i D
(7)
j 1
y i1 y i 2 y i 4 1
i D
(8)
y ij 2
(9)
j 1
yij x1i, j 1 xi4, j 1 1
i D,
x1i , j (i ) 1 x i4, j (i ) 1 0
i T2 T3 D (11)
yij 0, 1
j 2,3
(10)
xijk 0, 1 u kj 0
i N , j , k
allocated to workers in the second, third and fourth

shift. The task requiring the lowest skill level is
allocated first through all 4 shifts. The detailed
procedure and the order of assignments are presented in
0. The last step of the heuristic algorithm is the
assignment of unassigned tasks to the additional
subcontracted workers.
(12)
For workers who are assigned to the regular shift and

cannot be assigned to the double shift, the value yij is
known; for all other workers it is an unknown variable.
1 j j (i )
i D yij
0 otherwise
1 j j (i )
i D yij ? j j (i ) 1
0 otherwise
i (T1 T2 T3 T4 )
y ij ?
i T , j 1, ,4
(13)
(14)
Constraint (3) ascertains that each worker i is assigned

to only one task during shift j. Constraint (4) determined
the total number of needed workers. Each worker can be
assigned to one shift or at least one if he/she belongs to
the set of workers able to work double shift. This is
described by constraints (5) and (6). Constraints (7), (8),
(9), (10) and (11) refer to assignment rules relevant to
the double shift and tasks assigned during that time.
Double shift can only be assigned to workers assigned
to morning shift, and double shift cannot be assigned to
crane operators and straddle-carrier drivers.
3. HEURISTIC ALGORITHM
Figure 1. The order of tasks allocation
4. METAHEURISTIC BEE COLONY OPTIMIZATION

(BCO)
Metaheuristic Bee Colony Optimization (BCO) for

solving the combinatorial optimization problem was
suggested by Lui and Teodorovi Error! Reference
source not found.. Proposed algorithm is inspired by
foraging behavior in honeybees. As part of this
procedure, agents-artificial bees collaborate in order to
solve the complex combinatorial optimization problem.
In this paper, metaheuristic BCO is adjusted for
solving the considered problem. At the beginning of the
search process all bees are in the beehive. Each bee is
allowed to leave the beehive and start the search
through the solution space (feasible solutions). The
variable V jkk ' is the value of the gain of each bee that
In this paper we applied the Heuristic algorithm II

developed by Radi et al. 0.This algorithm produced
assigns task k during the shift j to the worker and task k
better results when compared with the Heuristic I
in a double shift j+1. It is assumed that the gain is
proposed by Legato and Monaco 0 and was therefore
higher if the cost of the worker i performing the task k is
selected. The Heuristic procedure applied is presented in
lower:
Figure 1.
At the beginning, the first task is assigned to the
workers assigned to shift 1. Next, the same task is
1
1
if assigned regular and double duties
k' 0,1,4
c
k(i)k ck(i)k'
V jkk'
j j(i), k, k' k(i)
(15)
1
if assigned regular duties

k' 0
ck(i)k
The value p jkk ' is the probability that the bee assigns
where:
c k (i ) k
the cost of worker i performing task k,
ck (i ) k '
the cost of worker i performing task k during
task k during the regular shift and task k during the

double shift to worker i. The selection model used is
LOGIT model, and the probability is calculated as:
the double shift,

j (i )
the set of possible shifts for worker i.
333

V jkk '
p jkk '
k (i ) k (i ) V
jkk '
pb
j j (i ), k , k ' k (i ) (16)
( b 1, B , where B is the total number of bees). The

total cost of workers represents the value of the
objective function which is minimized.
Lmax Lb
, Ob [0,1], b= 1, B
Lmax Lmin
(17)
where Ob is the normalized value for the objective

function of complete solution created by the bee b,
L max and L min are maximum and minimum values of
the objective function. Based on the calculated values of
the objective function, partial solutions are compared.
The probability that the b-th bee is loyal to its
previously generated partial solution is expressed as:
e
(19)
k 1
Once bees return to the hive, the value of the

objective function Lb is calculated for each bee b
p bu 1
Ok
j j (i ) k 1 k ' 0
Ob =
Ob
R
Omax Ob
nb
b= 1, B
(18)
where Omax is the maximum of all normalized values of

the objective function and u is the ordinary number of
the forward pass and nb the number of tasks assigned by
bee b.
The number of committed bees is R. For each
uncommitted bee it is decided with a certain probability
which recruiter (committed bee) it would follow. The
probability that bs solution is chosen by any
uncommitted bee is equal to:
where Ok represents normalized value for the objective

function of the k-th solution and R denotes the number of
recruiters.
Uncommitted bee and the recruiter "fly together"
along the path already chosen by the recruiter. When
they reach the end of that common path, they are free to
make an individual decision about the next step.
Tasks are assigned to workers in the following
order: 1) tasks are assigned to workers working in one
of the regular shifts, 2) tasks are assigned to workers
working in a double shift and 3) additional
subcontracted workers are hired to perform unassigned
tasks.
The best solution achieved is recorded after each
iteration. The best overall solution is then selected for a
given number of iterations.
5. NUMERICAL EXAMPLE
The assumption is that one team is assigned to one

container crane. Costs of full time workers as well as
additional subcontracted workers are known.
The proposed Heuristic procedure in 0 and the
proposed metaheuristic Bee Colony Optimization in this
paper are tested on several numerical examples. Input
data as well as test results are given in Tables 1-10.
Comparisons are presented in Table 11.
Table 1. Input Data Test 1
Skill level
Crane operator
Checker
Deckman
Straddle carrier driver
Raiser
Number
of
workers
in active
service
Number
of
workers
in
teams
36
36
36
108
72
1
1
1
3
2
Number
of
workers
in active
service
Number
of
workers
in
teams
36
36
36
108
72
1
1
1
3
2
The
required
number
of
workers
per shift
8
8
8
24
16
The number of
tasks that need to
be assigned
during the
planning period
(6 days)
192
192
192
576
384
The
required
number
of
workers
per shift
10
10
10
30
20
The number of
tasks that need to
be assigned
during the
planning period
(6 days)
240
240
240
720
480
Number of
workers that
could
be on double
duty
14
8
5
2
8
Skill level
Crane operator
Checker
Deckman
Raiser
334
Number of
workers that
could
be on double
duty
14
8
5
2
8
Skill level
Crane operator
Checker
Deckman
Raiser
Number
of
workers
in active
service
Number
of
workers
in
teams
42
42
42
126
84
1
1
1
3
2
Number
of
workers
in active
service
Number
of
workers
in
teams
42
42
42
126
84
1
1
1
3
2
Number
of
workers
in active
service
Number
of
workers
in
teams
60
60
60
180
120
1
1
1
3
2
The
required
number
of
workers
per shift
20
20
20
60
40
The number of
tasks that need to
be assigned
during the
planning period
(6 days)
480
480
480
1440
960
The
required
number
of
workers
per shift
30
30
30
90
60
The number of
tasks that need to
be assigned
during the
planning period
(6 days)
720
720
720
2160
1440
The
required
number
of
workers
per shift
30
30
30
90
60
The number of
tasks that need to
be assigned
during the
planning period
(6 days)
720
720
720
2160
1440
Number of
workers that
could
be on double
duty
25
20
15
9
16
Skill level
Crane operator
Checker
Deckman
Raiser
Number of
workers that
could
be on double
duty
30
25
15
14
16
Table 5: Input Data Test 5
Skill level
Crane operator
Checked
Deckman
Raiser
Table 6. Results Test 1
k
1
2
3
4
5
Number of tasks
assigned within the
additional shift
Heuristics
BCO
0
0
5
12
3
7
0
0
4
2
k
1
2
3
4
5
34
30
37
33
16
The number of
additional
subcontracted workers
Heuristics
BCO
12
29
10
20
6
1
36
15
20
10
Number of tasks
assigned within the
additional shift
Heuristics
BCO
0
0
4
32
5
21
0
0
1
2
Number of
workers that
could
be on double
duty
k
1
2
3
4
5
Number of tasks
assigned within the
additional shift
Heuristics
BCO
0
0
16
55
41
43
0
0
81
52
The number of
additional
Heuristics
BCO
568
271
810
364
266
345
165
923
213
107
The number of
additional
Heuristics
BCO
67
99
55
94
49
62
180
127
119
43
k
1
2
3
4
5
Number of tasks
assigned within the
additional shift
Heuristics
BCO
0
0
18
46
49
34
0
0
93
99
The number of
additional
Heuristics
BCO
513
655
495
579
460
536
1542
1668
910
463
335

Table 10: Results Test 5
Number of tasks
assigned within the
additional shift
Heuristics
BCO
0
0
23
171
58
100
0
0
171
30
k
1
2
3
4
5
The number of
additional
Heuristics
BCO
432
422
397
482
350
467
1265
1248
664
440
We compared the results obtained by the Heuristic II

and the BCO metaheuristic algorithms. For all tested
numerical examples the BCO metaheirsictis produced
better results, or achieved solutions with the lower total
cost of workers. Only for numerical example 1 both
algorithms produced the same total cost. The results are
presented in Table 11.
Table 11: Comparison of obtained solutions
Test 1
Test 2
Test 3
Test 4
Test 5
Heuristics
BCO
For the examples tested, under the BCO

metaheuristic more tasks are assigned to workers on
double duty and the total number of subcontracted
additional workers is lower compared with the solutions
obtained by the Heuristic II. For the numerical example
1, compared with the solution obtained by the Heuristic
II, the additional subcontracted workers perform higher
skilled tasks; therefore the same costs are achieved.
When increasing the number of needed workers, for the
examples 2-5, additional subcontracted workers are
hired for lower level tasks in the solution obtained by
the BCO metaheuristic, therefore the total cost is lower
compared with the Heuristic solution.
6. CONCLUSIONS
In this paper we studied the workforce planning and

assignment problem at the port container terminal. The
known mathematical model and heuristic algorithm
previously developed for problem solving are described.
In this paper, we modified and applied the
metaheuristic Bee Colony Optimization algorithm. We
tested the proposed heuristic as well as the metaheuristic
on several numerical examples. For all examples, the
cost and the number of additional subcontracted
workers are identical; the difference in the selected
numerical examples results was in the total number of
port terminal workers, additional subcontracted workers
and the number of workers available to work during
flexible shifts or double duty. When the difference
between the available and needed workers is small, both
algorithms provided similar solutions. However, when
the difference between the available and needed
workers is large, the metaheuristic BCO performed
better; better solutions or the lower total workforce cost
336
was achieved. The main difference was in the number of

total subcontracted workers and more efficient schedule
for full time workers which resulted in the lower overall
cost.
We have shown that the BCO metaheuristic can be
successfully applied to the considered workforce
assignment problem.
ACKNOWLEDGMENT
This work has been supported by Serbian Ministry of

Science and Technological Development, grants No.
TR36002.
REFERENCES
[1] Bergman, R.: The key is cross-training, Hospitals

and Health Network, Vol. 68, No. 34, 1994.
[2] Buffa E.S., Cosgrove M.J. and Luce B.J.: An
integrated work shift scheduling system, Decision
Science, Vol. 7, pp. 620-630, 1976.
[3] Corominas A., Pastor R. and Rodrguez E.:
Rotational allocation of tasks to multifunctional
workers in a service industry, International Journal
of Production Economics, Vol. 103, No. 1, pp. 3-9,
2006.
[4] Legato, P. M. and Monaco, F.: Human resources
management at a marine container terminal,
European Journal of Operational Research, Vol.
156, No. 3, pp.769-781, 2004.
[5] Lui, P. and Teodorovi, D., Bee System:
Modeling
Combinatorial
Optimization
Transportation Engineering Problems by Swarm
Intelligence, Preprints of the TRISTAN IV
Triennial Symposium on Transportation Analysis,
Sao Miguel, Azores Islands, Portugal, June, pp.
441-4452001.
[6] Radi .: Model development for worker assignment
to tasks, Diploma Theses, University of Belgrade Faculty of Transport and Traffic Engineering, 2010.
[7] Radi ., Drenovac D., Pjevevi D., Vukadinovi
K.: A model for worker assignment at port
container terminal, National Operational Research
Conference, XXXVII SYMOPIS 2010, Tara, 21-24
September, pp. 685-688, 2010.
Modeling container quay crane

operations
Milosav Georgijevic
Professor
Goran Bojanic
Researcher on projects of the Ministry of
Education and Science
Vladimir Bojanic
Teaching Assistant
Due to the increase of the volume of containerized goods, it is necessary to

improve all aspects of container transport logistic chain. Performance
measures for container terminal largely depend on the operation efficiency
of the container quay cranes, since this is the largest and the most
expensive equipment. In this paper are presented analysis of the models for
container quay crane scheduling in river and seaport container terminals.
This mathematical and simulation models are the basic for the
understanding and improving the efficiency of the container quay cranes.
This paper points out the necessity for incorporation of these two
approaches for operation planning and scheduling of container quay
cranes.
Keywords: Seaport terminals, River terminals, container quay cranes,
Operations, Modeling.
1. INTRODUCTION
Work of the ports with its optimal capacity assumes

a prompt accommodation of vessels with minimal
waiting time in the port and with maximal use of berth
facilities. The capacity of the port generally depends on
the number of berths available to ship traffic and cargo
handling capacity [1]. Since the 1990s, the volume of
container transport has increased by 5 to 10% annually,
and a continuous increase in volume, especially between
Asia and Europe, is expected in coming years.
Container terminals primarily serve as an interface
between different modes of transportation [7]. Main two
types of container terminals are seaport and inland
terminals. Two main types of the container terminals are
seaport terminals and inland terminals. River container
terminals are intermodal inland container terminals with
all three modes of transportation. Generally there is
smaller frequency of arrivals in river terminals
compared with seaport terminals, and because of that
organization and layout of these two types of terminals
are different. Quay cranes that are used in such systems
differ in design concept and fashion in which they
operate (Fig. 1, Fig. 2).
Figure 2. Concepts of river container terminal
The competition between container terminals has

increased due to the large growth rates on major
seaborne container routes. Terminals are faced with
more and more containers to be handled in short time at
low cost. Therefore they are forced to enlarge handling
capacities and strive to achieve gains in productivity
[13].
In this paper, for the quay crane scheduling problem
will be presented analysis of different models and
systems, with the accent to the interaction between
mathematical formulation of the problem and simulation
models.
2. DECISION PROBLEMS IN CONTAINER
TERMINALS
Figure 1. Concepts of seaport container terminal
Correspondence to: Dr Milosav Georgijevic, professor

Faculty of Technical Sciences, University of Novi Sad,
Trg Dositeja Obradovica 6, 21000 Novi Sad, Serbia
E-mail: georgije@uns.ac.rs
There are three levels for planning and control in

making decisions to obtain an efficient terminal, namely
the strategic level, the tactical level and the operational
level.
Comprehensive overviews addressing models and
method processes inside container terminals are
presented in [13], [14] and [16]. Containers that are
brought by ship, track or train are temporary stored
inside the container yard, and later send by different or
the same mode of transportation.
337
Since container quay cranes are single largest and most

expensive reloading machines in terminal, all other
operations are subservient to the quay crane operations.
As mentioned quay cranes in seaport terminals differ in
concept and in the manner in which they operate and the
basic difference is reflected in working cycles. In
seaport terminals quay crane reload containers only
from the ship to shore and vice versa, while in river
container terminals quay cranes usually manipulate with
the containers in the whole terminal area.
A mathematical description of the equipment operation
in the container terminal is of key importance for
understanding complex container terminals [12]. Beside
common mathematical formulations, quite frequent
method is also application of simulation models (see
paper [4]). Most of the published papers dealing with
the container terminal operational planning are focused
on modeling one single process e.g. berth allocation,
stowage planning, quay crane assignment, quay crane
scheduling, yard crane scheduling, storage and stacking
police, rail operations, track operations and internal
transports. This is a complex problem since
optimization of individual processes does not necessary
leads to the optimal solution of the whole system. Small
number of papers are dealing with a analysis of the
several mentioned processes or the whole system and
many of this papers are usually based on the application
of the simulations [4] or queuing theory [2].
Basically there is always a compromise between our
desire to create more complex model and computational
time necessary to solve that problem. As modeling
always implies some simplification of the original
system there is also a problem of applicability i.e.
implementation of the model and its solution to the real
life problems [3].
3. SIMULATION AND MATHEMATICAL MODELS
Simulation models are used during the design process of

the new systems, but also for the reengineering of the
existing ones. They are implemented on strategic and
tactical level of the decision making.
There is always the possibility whether to use
commercial software or to create own simulations by
some general purpose programming language. Since
today the time is the crucial factor, application of
commercial software is the widely used practice.
On the operational level of decision making, simulations
are usually too time consuming to perform. So for the
real-time decisions there is usually analyzed only the
part of the whole system as mentioned. Mathematical
models for operational planning are dealing with the
decision problems in time window of one to several
days. In the scientific literature there are usually
different models for the same problem. They differ in
the complexity and the degree of the approximation.
Understandably the more the complex is the
mathematical formulation of the problem the more time
consuming is the solving of the problem. So which
model will be used in the practice is also dependant on
the size of the problem.
For scheduling problems, optimization criteria can be
divided into two types: criteria that are connected with
338
the time of the competition of the job, and criteria

connected with the costs [15]. As a rule of thumb one
may refer to the minimization of the time a ship is at
berth as an overall objective with respect to terminal
operations [14]. For the solution of the optimization
problems can be used some exact or approximation
methods. Which method will be used depends on type
of the problem, size of the problem and allowed
calculation time.
For container quay crane scheduling there are three
complexity levels of the existing models. The main
difference is the formulation of the term task. So there
are models with bay areas, bays and container groups
[9]. One of the most complex formulations of the
problem is presented in recently published paper [8].
4. EXAMPLE - QUAY CRANE DOUBLE CYCLING
Small number of papers dealt with the problem of

container crane double cycling. Double cycling is the
technique that utilizes crane empty movements. In the
first paper that tackles the double cycling for container
quay crane [5] is proposed a method with a goal of
reducing the number of operations necessary to turn
around the row in the ship. The amount of work in every
stack is defined by number of containers to load/unload.
The problem is solved optimally by using Johnson's
rule, and greedy strategy is proposed in addition.
Basic formulation of the problem is stated as twomachine flow shop problem [5]. The following
notations are used:
uc - number of containers to unload in stack c S ,

S - set of stack labels in a row,
lc - number of containers to load in stack c S ,

FU c - completion time of unloading c S ,
FLc - completion time of loading c S ,
- maximum completion time,

X kj - binary variable of the ordering of unloading jobs
(1 if j S is unloaded after k S and 0 otherwise),
(for every pair of stacks( j , k ) that either stack k is
unloaded before j (if X kj 1 ) or the reverse (if
X kj 0 ),
Ykj - binary variable of the ordering of loading jobs (1 if
j S is loaded after k S and 0 otherwise),
M - a large number (Big M method).
The formulation is:
(SP) minimize
subject to
FLc c S ,
FLc FU c lc c S ,
direct cycle
FU k FU j MX kj uk
j , k S ,
FU j FU k M 1 X kj u j
FLk FL j MYkj lk
j , k S ,
j , k S ,
FL j FLk M 1 Ykj l j
G * V , H * of G with a minimum cost
t . Without loss of generality, we assume
e , l H * el
tel 0 for any arc e, l H . The following integer

linear programming formulation of the ATSP is well
known:
ATSP min
j , k S ,
FU c uc c S ,
X kj , Ykj 1,0 j , k S .
It can be seen that the optimization is performed by
maximization of number of double cycles. So the size of
the task is defined by number of the containers while
impact of the position of the container in the ship is
neglected. This is acceptable approximation for
container quay cranes in seaport terminals, since they
transport containers from the ship to gage area (area
between cranes rails). Whole crane moves only when it
finishes all tasks in one bay.
Inland barges are used to transport containers into the
hinterland on rivers and channels. Functionally, barges
are means of hinterland transportation (like trucks and
trains), operationally they are ships which are served by
quay cranes [14]. In typical river container terminal
crane transports the container in all three directions. So
the shown model cannot be applied for this situation.
Problem for container quay crane scheduling in river
container terminals is presented in papers [10] and [11].
Since barges do not posses automated stability control
systems, and fact that there is an uncertainty of
container weight, model is formulated in such a way
that barge stability is not endangered during reloading
process. So the model could be implemented in practice.
Optimization of reloading for each par of stacks is
performed by dynamic programming algorithm and the
stack sequencing corresponds to a well-known method
of the maximum traveling salesman problem (Max TSP;
see [6] ). Max TSP can be solved as a TSP by replacing
each edge cost by its additive inverse. A formal
definition of the ATSP is as follows. Let G V , H
e , l H
el el
subject to
el
l V ,
el
e V ,
eV
l V
eQ lV \ Q
zel 0
el
Q V : Q ,
e, l V ,
zel integer
e, l V , where zel 1 if and only if
arc e, l is in the optimal tour. Technical paramethers
of the exemined terminal are: container yard width is
42m, gantry and trolley velocities are 2m/s, distance
from the yard to the quay is 10m, simultanios loading of
2 barges are exemined (8 stacks, 12 bays, 4 containers
in stack). On the basis of model presented in [11], time
saving for double cycling compared to single cycling is
presented in Table 1 for different length of the terminal.
Table 1. Impact of container yard length on time saving
Container yard length [m]

Time saving [s]
200
9153
500
20810
700
28537
Fig. 3 represents simulation model of river container

terminal, and time window for decision making on this
strategic level is measured in months or years. Presented
3D simulation model and simulations are performed in
software Enterprise Dynamics 7 (ED7).
be a complete digraph, where V 1,, d is the
vertex set and H e, l : e, l V is the arc set; let
tel be the cost associated with arc e, l H (with

tee for each e V ). A Hamiltonian directed
cycle (tour) of G is a directed cyclevisiting each vertex
of V exactly once, i.e., a spanning subdigraph
~
~
~
G V , H of G such that H d (the number of
~
~
~
elements in finite set H is denoted by H ), and G is
strongly connected, i.e., for each pair of distinct vertices

e, l V , e l , both paths from e to l and from l to
~
e exist in G . The ATSP is used to find a Hamiltonian
Figure 3. Simulation model of the river container terminal
As the result of these simulations are obtained

utilization of reloading mechanization, capacities of the
container yard, general layout and maximal throughput.
For different scenarios it is possible to test scheduling
algorithms, and determine the best strategy for dealing
with different levels of decision making. These two
levels are mutually interconnected and the operation
analysis of the terminal is never-ending process since
339
the conditions in which these terminals are functioning

are constantly changed.
5. CONCLUSION
The performance of container cranes, as the lead

element in the terminal, is the main techno-economic
parameter of every container terminal. Over the last two
decades, the volume of containerized goods has
increased significantly and the further increase can be
expected in the coming years. Due to this extreme
increase it is necessary to analyze all aspects of
container transportation. This paper presents some
different simulation and mathematical models,
advantages, disadvantages and possibilities of these
models. Paper points out problems in the container
terminal operations decision making. It stresses out
different levels of this process, methodology and
approach to these problems. Example is used to describe
the necessity for specific analysis of the all aspects in
container transportation network. Simulation models
could be used for design of the new systems,
reengineering of the existing ones, and also for tactical
decision making, but for real-time operation planning
and scheduling mathematical optimization models
should be implemented. These methods should also be
implemented as routines in simulation models.
Possibilities of the modern computers are increasing
every day and because of that the complexity of the
analyzed scheduling models are also increasing.
ACKNOWLEDGMENT
Results of this paper were supported by the projects:

TR 35036 Ministry of Science and Technological
Development (Serbia): Application of information
technologies in ports of Serbia - from machine
monitoring to connected computer network system with
EU environment, and project DAHAR Danube Inland
Harbour Development: 2012/283-599, South-East EU.
REFERENCES
[1] Bugaric, U., Petrovic, D., Petrovic Z., Pajcin, M.

and Markovic-Petrovic, G.: Determining the
Capacity of Unloading Bulk Cargo Terminal Using
Queuing Theory, Journal of Mechanical
Engineering, Vol.57, No. 5, pp. 405-416, 2011.
[2] Dragovic, B., Park, N.K., Zrnic, N. and Mestrovic,
R.: Mathematical Models of Multiserver Queuing
system for Dynamic Performance Evaluation in
Port, Mathematical Problems in Engineering,
Vol.2012, ID 710834, 19 pages, 2011.
[3] Georgijevic, M., Bojanic, V. and Bojanic, G.:
Modeling and Application Challenges in the
Container Terminal Operations. Proceedings of
MATHMOD 2012, Vienna, 14th-17th February
2012, usb proceedings.
340
[4] Georgijevic, M., Bojanic, V. and Bojanic, G.:

Advantages and Problems Concerning Application
of Simulations Through Different Levels of
Development Processes, 13th ASIM dedicated
conference, Berlin 1-2 October 2008 - advances in
sim. for prod. and log. applications, pp. 247-256.
[5] Goodchild A.V., and Daganzo C.F., DoubleCycling Strategies for Container Ships and Their
Effect on Ship Loading and Unloading Operations.
Transportation Science; Vol. 40, pp. 473-483,
November 2006.
[6] Gutin G., and Punnen P. A., The Traveling
Salesman Problem and Its Variations. Kluwer
Academic Publishers Dordrecht, 2002
[7] Kim, K.H. and Gunter, H.O.: Container terminals
and Cargo Systems, Springer, Berlin Haidelberg
New York, 2007.
[8] Legato P., Trunfio R. and Meisel F. Modeling and
solving rich quay crane scheduling problems;
Computers and operations research; 2012, 39, pp
2063-2078.
[9] Meissel F. and Bierwirth C.: A unified approach for
the evaluation of quay crane scheduling models and
algorithms. Computers and operations research, 38,
2011, pp 683-693
[10] Pap, E., Bojanic, V., Bojanic G. and Georgijevic,
M.: Optimization of Container Quay Cranes
Operations, 9th IEEE International Symposium on
Intelligent Systems and Informatics, 8-10
September 2011, Subotica, pp. 137-140.
[11] Pap E, Bojanic V, Bojanic G, Georgijevic M.: Quay
Crane Scheduling for River Container Terminals,
Intelligent Systems: Models and Applications,
series Topics In Intelligent Engineering And
Informatics, Springer-Verlag, pp. 16. Accepted for
publication.
[10] Pap, E., Bojanic, V., Georgijevic M. and Bojanic,
G.: Application of Pseudo-Analysis in the
Synchronization of Container Terminal Equipment
Operation, Acta Polytechnica Hungarica, Vol.8,
No. 6, pp. 5-21, 2011.
[13] Stahlbock, R., and Vos, R.: Operational research at
container terminals: a literature update, OR
Spectrum, Vol.30, No.1 , pp. 1-52, 2008.
[14] Steenken D, Vos S. And Stahlbock R.: Container
terminal operation and operations research a
classification and literature review. OR Spectrum
(2004), 26; 3-49.
[15] Tasic, T., Buchmeister, B., and Acko, B.: The
Development of Advanced Methods for Scheduling
Production Processes, Journal of Mechanical
Engineering, Vol.53, No. 12, pp. 844-857, 2007.
[16] Vis, I.F.A., and Koster, R.: Transshipment of
containers at the container terminal: An overview,
European Journal of Operational Research,
Vol.147, No.1, pp. 1-16, 2003.
Non-Cooperative Game Model: Port

Competition Study
Nam-Kyu Park
Professor
Tonmyong University
School of Port and Logistics
Sang-Cheol Suh
Senior Researcher
Tonmyong University
Port and Logistics Institute
The purpose of this study is to find what service factors and demand model
are important to the shipping companies when they select ports. The study
results suggest that the demand model factors consist of two independent
variables, which are cost and loading/handling quantity of port. The first
one is related to the size and marketing policy of shipping company. The
second one should find out the relationship by cost elements only.
This model gives information regarding the level of optimum handling
charge to make maximum profit. While the present handling charge is
approximately US$ 40 per TEU, if handling charge would be raised to the
range of US$ 56~79, they can achieve maximum profit, that is the annual
total profit of container terminals in Busan Port will be US $ 546.8
million, which will be more than twice of current profit.
Keywords: Demand Model, Utility function, Port Selecting Factor, Port
Competition, Logit model.
1. INTRODUCTION
Due to the expansion of container port facilities and

many market suppliers, competitions among container
ports are at the level of threatening the management
income and expenditure of port management
companies. This study aims to quantify non-cooperative
game model which consists of demand level and
independent variables of price, LPC etc. This study has
three goals. The first goal is to confirm selecting factors
of container terminal, and the second one is to confirm
the causality with the satisfaction of shipping companies
based on the decided selecting factors. The third goal is
to find a game model which shows the quantified
relationship between demand and independents factors.
The six container terminals in the port of Busan are
selected as research case. In order to test the research
hypothesis that is selected based on the research model,
we conducted a survey that targeted shipping
companies, which were located in Busan, regarding the
selecting factors of container terminal that they
recognized and the satisfaction of the shipping
companies. For the method of testing the hypothesis, the
hypothesis testing method of regressive model was
used. As a result of testing validity, convenience, the
amount of loading and handling, and cost among the
selecting factors were chosen as the selecting factors,
and it was confirmed that these factors generally
influenced the satisfaction of shipping companies
towards container terminal. However, as a result of
testing the hypothesis for subsections, the factor of
convenience was rejected statistically, and it was
confirmed that only the amount of loading and handling
and cost were significant to the satisfaction of shipping
Correspondence to: Dr. Nam-Kyu Park, Professor

Tongmyong University, School of Port and Logistics
Yongdang-dong, Nam-gu, Busan, 608-711 South Korea
E-mail: nkpark@tu.ac.kr
companies towards container terminal. Here, since the

amount of loading and handling is a factor related to the
size and business policy of a shipping company, only
the cost item remains as the primary variable as a
variable for utility function of container terminal. For
finding demand model, we used Logit model and Naima
model while gathering the data of container terminals
like rent cost, actual handling price and sales cost. After
finding individual demand model, sensitivity analysis is
followed to confirm the model reliability and
predictability.
Foster [1] conducted the quality evaluation of port

service for the first time. Based on the survey, he
asserted that when a shipping company chose a port, the
frequency of service, facilities, and proximity were the
important selecting factors. In the same manner, he
aimed to find the service that the shippers expected
from a port and selecting factors. It showed that cost of
the port was the most important and that the other
elements of quality such as convenience around the port,
frequency of call, availability of various equipment and
service, speed of the customs process or the freight, the
period of free installation, safety, and reputation were
less important. These studies are evaluated to be
ambiguous because different results were deduced from
the same respondents.
Murphy and Daley [10] attempted multivariate
analysis in order to find port selecting factors. The
respondents who participated in the survey were the
Port Authority, ocean shipping companies, international
sea freight forwarders, large shippers, and small
shippers, and it aimed to find the selecting factors that
all of them had in mind. As an analysis result, it showed
that sufficient amount of freight, cheap cost for loading
and handling, safety of the freight, sufficient facilities,
serviceability of the time of loading and handling,
degree of providing information of the freight, degree of
support for required loading and handling, and capacity
341
for handling special cargo were important factorsa as

the study relates to the competitiveness of the Port of
Busan. Jung and Kwak [2] suggested that the most
important factors for inviting transshipment cargo
among the position, tariff, period of free installation,
and service in the strategy to invite transshipment cargo
among competing ports in Northeast Asia were tariff
and period of free installation.
Ugboma et al. [6] investigated the quality of port
service of the Port of Nigeria through a survey. He
found out that there was a difference between the
quality of the recognized port service and expected port
quality and that, especially, the quality of the recognized
port service was lower than the expected quality of the
service. Also, it received high scores on responsiveness
and tangibility among the quality factors of port service
and low scores on empathy. Since this study has
insufficient number of respondents, it has a problem in
the SERVQUAL model applicability.
Ng [4] asserted that, targeting the container ports in
Northern Europe, shipping company considered the
effectiveness of port, geographical location, and service
quality more important than the cost of port. Also, he
proposed that individual groups of port users showed
different priority ranks for the importance of the
selecting factors. This studys limit is that the reliability
of the data is doubtful because the number of examples
is insufficient. Besides that, this study points out the fact
that the selecting factors for port depend on the
qualitative factors such as reliability, proximity,
frequency, security, and reputation and cost factors.
Park et al. [5] studied the selecting factors of a port
of call of transshipment cargo on the request from the
Busan Port Authority. As a result of analysis, it pointed
out the handing charges of the port as the most
important factor, and it showed that the second
important factors were the capacity for loading and
handling of the dock, berthing capacity, and capacity
of linkup transportation in order.
Kolanovic et al. [3] intended to suggest qualitative
elements for port service that were recognized while
targeting the ports Croatia. The purpose of the study
was to bind various qualitative elements with a common
factor and represent them in a small number. As a result
of testing the hypothesis, reliability and port capacity
were selected as qualitative elements for port service.
Saeed and Larsen [8] made a model applying
Bertrand Game on it. The model used the result of
Bertrand Game, which studies the benefits between
ports in non-cooperative and cooperative games. The
authors study is based on the assumption that each
terminal does not provide with same quality service
from the perspective of a customer. In addition, a
demand function of each port has been made to have the
structure of Bertrand game clear. The model based on
Bertrand Game differentiates the profit equation by
price to achieve maximum profit and estimates
equilibrium handling charge based on its result. This
equilibrium price is the price, at which each terminal
can make maximum profit. When the profits of all
terminals based on this equilibrium price are summed
up, it is possible to make more profit than the total profit
of competing handling charges of terminals.
342
Kaselimi and Reeven [9] studied the Hotelling

location model and applied it on the competition
between ports. The model they developed was
increasing the terminal-providers interest on
investment and linking the mutual dependence between
ports. The authors highlighted the fact that user cost
plays important role in the port selection of shipping
companies and included it in the model in order to test
the impact of user cost change on port operation
decisions by port operators.
De Borger et al. [7] analyzed the interaction among
the capability of hinterland, the most optimum
investment policy and the pricing behaviour of port.
They used two-step game framework on price and port
capacity. It is important that, though the determination
of port capacity has public nature, the price decision is
made of individual management structure. Their game
was analyzed by backwards inductions and following
results were drawn by the authors. First, ports that make
maximum profit solved the hinterland congestion,
which gives bad influence on customers. Second,
investment on port capacity decreased the price and
congestion between two ports; however, in the region,
where investment on port had been made, the hinterland
congestion increased. Investment on the port hinterland
is likely to cause worse port congestion and higher price
in port use.
However, it can obtain lower price and less
congestion, if the port is in competition. Third, the
hinterland congestion decreases direct profit of other
activities in the port. Last, since transit charge is levied
on the pretext of causing congestion in the hinterland
road network, investment on hinterland capacity and
investment on port are encouraged by it.
3. FACTOR ANALYSIS FOR PORT CHOICE
3.1.
Selection of sample and method of investigation
For the collection of necessary survey data for this

study, we conducted a survey targeting the entire
shipping companies located at the Port of Busan. The
shipping companies, which were the survey target, were
members of Korean Ship Owners Association and
Korea Ship Managers' Association. Targeting the total
number of 44 shipping companies that had business in
the regions of Busan and Gyeongnam, we distributed
120 surveys by visiting in person from 15 December
2011 and 16 January 2012, including the purpose of the
investigation and the contents of asking for their
cooperation. Among the 120 surveys distributed to the
shipping companies, 101 were collected, so the rate of
collection was 84%. As the prior process of examination
for the survey, we conducted a study of literature and
interviews in person to confirm the surveys validity,
intelligibility, and accuracy of the expression by visiting
the executives and heads of the departments of the
major shipping companies in Busan. We distributed the
surveys that were revised and supplemented in this way
by visiting the companies in person, centring on the
region of Busan, collected them, and conducted an
empirical analysis based on them.
3.2. The results of analysis
The example data is classified into position and

department regarding 101 people like Table 1 shows.
Table 1. Characteristics of the sample data
Classification
Number
Employee
20
Manager/Subsection Chief
Deputy Section Chief/

Section Chief
40
Deputy Department
Head /Department Head
30
Executive
factors are named as convenience factor, amount of

loading and handling factor, and cost factor.
The factor loadage was distributed between 0.4920.948 in the convenience factor, and the reliability and
amount of loading and handling between 0.858-0.829,
the cost and efficiency factors between 0.46-0.840,
showing the favourable factor loadage. The eigenvalue
was 2.592 for the convenience factor, 1.626 for the
cargo demand factor, 1.387 for the cost factor, showing
that it exceeded the standard value (Table 2).
Table 2. The result of extracting factors
Position
TOTAL
Department
TOTAL
Accumul.
Construct Questions
(Factor)
101
Marine Affairs
68
Official Business
Others
29
101
In this study, the process of validating a measuring

instrument was applied in order to test the reliability and
validity of the measuring instrument. First, item analysis
was conducted in order to remove questions that hinder
or did not measure a construct through the score
purification and test of unidimensionality, and next,
with the remaining questions, the reliability test that the
internal consistency reliability testing was by coefficient
was conducted with the questions that were not
eliminated, and the validity was tested through
exploratory factor analysis. Testing validity is consisted
of content validity and constructs validity. Construct
validity is for confirming whether the abstract concept
for measurement is properly measured by the measuring
instrument in reality, and factor analysis is utilized. In
other words, it evaluates whether the extracted factors
can represent the concept that has been originally
intended when the factory analysis regarding questions
is conducted. This method establishes a factor with the
ones that have high correlation among the questions,
thus enabling mutual independence among the factors
that are different from each other. Therefore, in this
study, the principal component analysis whose purpose
is in reducing many variables into small numbers of
factors as much as possible, while decreasing the loss of
information as much as possible, and the varimax,
which is the method of orthogonal rotation that rotates
while maintaining mutual independence of the factors,
were applied in order to test the construct validity of the
measuring instrument for service quality. When the
results are bundled by factor and grouped, they are like
the following table. The first factor is grouped as
convenience of using container terminal; the second
factor is grouped as the amount of loading and handling
and frequency of a call; the third factor is grouped as
cost and the speed of loading and handling. These
Convenience
Amount of
Factor
Loadage
S4
0.948
I4
0.948
I3
0.679
S1
0.492
S7
0.858
V1
0.829
C1
0.84
S2
0.746
Loading and
Handling
Cost
Eigenvalue Explained
Variance
Cronbach
alpha
2.592
32.396
0.804
1.626
52.722
0.644
1.387
70.060
0.486
As a result of analyzing the factors of testing validity

of measuring instruments in regards to the selecting
factors of container terminal, it tested the construct
validity as the questions that measured different
concepts were bundled as unidimensional. Thus, the
hypothesis test, which is the next stage, is conducted
with the final questions whose reliability and validity
were tested through the validity process of measuring
instrument. For testing hypothesis, the satisfaction of
shipping companies and the selecting factors for
container terminal, which were measured with multiquestions, use variables that summed the measuring
questions, which composed each factor, averaged by
each factor.
3.3. Testing hypothesis
(1)Testing Research Hypothesis
The purpose of this section is testing the hypothesis

in regards to the causality between the service quality of
container terminal supply business and the satisfaction
of customers, which is the first hypothesis of this study,
and testing three detailed hypotheses related to this
(Table 3).
The multiple-regression model for testing the
research hypothesis takes convenience, the amount of
loading and handling, and cost, which are the service
quality factors, as independent variables, and composes
the multiple regression equation with the customer
satisfaction as the dependable variable and conducts the
analysis.
research model 1: =0+11+22+33+ ;
column: customer satisfaction;
343
4. NON COOPERATIVE GAME MODELLING

BETWEEN CONTAINER TERMINALS
- selecting factors of container terminal;

1 convenience;
2 - amount of loading and handling;
3 - cost;
i - parameter (regression coefficient);
0 - y-intercept;
: residual.
4.1. Status of Busan container terminals
Table 3. The contents of hypothesis

Hypothesis
Contents of Hypothesis
The selecting factors of container terminal would give
Hypothesis 1 positive influence to the satisfaction of selecting

container terminal.
The convenience of container terminal would give
Detailed
Hypothesis 1-1
positive influence to shipping companies satisfaction

of selecting container terminal.
The amount of loading and handling would give
Detailed
Hypothesis 1-2

Geographically, Busan port is divided into New Port

consisted of two terminals and North Port that obtains
five terminals in North Port and are in operation
competing with each other. In the future, 20 more berths
will be added, including three more berths in Hanjin
PSA terminal. Therefore, it is believed that the
competition between terminals will be more intense in
the future. As of December 2008, the market shares of
terminals are: Shinseon-dae container terminal provides
27.1%, Jaseong-dae container terminal 24.5%, PNC
18.1%, Shin-gamman 14.2%, HJNC 9.2% and Wooam
6.6%. Totally 2433537 TEUs had been handled in
general wharfs and are excluded from containerexclusive terminal market, because they are recognized
as separate competition market (Figure 1).
The cost factor of container terminal would give
Detailed
Hypothesis 1-3

(2) The Result of Regression Analysis
After the regression analysis between the service

quality and the customer satisfaction, the result showed
0.080 for the standardized coefficient of convenience,
0.456 for the standardized coefficient of the amount of
loading and handling, and 1.012 for the standardized
coefficient of cost. It was shown that the coefficient of
determination of the regression analysis was 0.3666, Fvalue 5.015, and Durbin Watson value 2.113 (Table 4).
Table 4. The result of regression analysis
NonModel
standard.
Coeff.
Standard Standard.
Error
Coeff. ()
Multicollinear.
T-Value P-Value Toleran.
Limit
VIF
Constant
18.793
4.126
4.554
0.000
Convenien.
0.080
0.170
0.048
0.468
0.641
0.830
1.204
Loading and 0.456
0.203
0.223
2.245
0.027
0.905
1.105
0.439
0.230
2.302
0.023
0.893
1.119
Amount of
Handling
Cost
1.012
R2=0.366, F-Value=5.015, Sig Value= 0.003, D-W Value =2.113
When it is concretely examined, the P-value of

convenience that shows the service of container
terminal is 0.641, which is bigger than the criticality
value, so it could be known that it is not significant. On
the contrary, for the container terminal with cheap cost
and sufficient cargo amount from the position of
shipping companies, the P-value is 0%, which is very
smaller than the criticality value 0.1, so it is shown as
significant. Therefore, the result can be deducted that,
for the selecting factors of container terminal, only the
quantity of goods transported and cost has influence on
the satisfaction of shipping companies. When
examining the standardized coefficient in order to
comprehend the relative importance within this
satisfaction of shipping companies, it could be known
that the cost factor is slightly higher than the factor of
the amount of loading and handling.
344
Figure 1. The location of Busan port
4.2. Non-cooperative game modelling
The container terminals in Busan Port provide with

similar services with each other; however, their services
are not exactly same. Shipping companies and
consignors are the users of container terminal and they
are the principals who pay port charges and choose
port/container-terminal.
(1) Premises of modelling
Following premises were set up for demand

modelling:
Only 4 terminals in North Port (KBCT, HBCT, DPCT,
Gamman) and 2 terminals in New Port (PNC, HJNC)
with relatively high market share are taken as study
object in order to simplify modelling.
The container terminals in North Port and New Port
provide with similar on-dock service; however, they
are not exact substitutes to each other.
The model ignores the inland transportation cost
difference to arrive at the final destination of each
cargo because it is arbitrary cost which cannot be
defined.
There is no difference between the reported prices of
container terminals in North Port and New Port;

however, contract charges are different because
shipping companies are applying different discounts
dependent on cargo quantity.
If a specific terminal lowers handling charge or other
charge to be paid by consignor, cargo quantity moves
to that terminal. Therefore, there is elasticity of
demand.
The container terminal pays equipment charge to
equipment owner and facility lease charge to port
authority.
Terminal user pays basic terminal charge and
additional charges; however, charges are classified
into basic terminal charges (onboard handling charge,
marshalling charge, transfer loading charge) and other
charges (inland transportation charge, additional
service charge) from the perspective of port selection.
Among other costs, inland transportation cost is cost
for the spatial effective value, which varies dependent
on container location. It includes inland transportation
cost to other wharf. Additional service charges are
refrigerated container handling surcharge, special
cargo handling surcharge and information change
charge.
Therefore, even it would be assumed that basic
charges are same; the selection of container terminal
by shipping companies becomes different when there
is additional transportation cost caused by traffic
congestion and transfer loading.
(2) Utility function of container terminal
The empirical analysis model for port selection in

this study used Logit model and Naima (2009) model,
which is applied version of Logit model, after revising
them to fit with purpose of this study. Following
equations are induced from these models. The utility
function of each terminal is following equation.
U i ai bpi OUCi
(1)
Here, Ui is utility of terminal i, pi is handling charge

per TEU of terminal i, OUCi is other cost of each
terminal, b is price coefficient of terminal and a is
constant. The market share Qi of terminal i is
expressed as following. In other words, the market share
is determined as the ratio of specific terminals utility to
total utility of container terminals belonging to specific
port.
Qi
eU i
eU i
(2)
Next, total demand of all terminals is defined as X. In

case of Busan Port, it is summed up as 16281121 TEU
(basis on 2011/2012, excluding quantity handled by
general wharves).
X Ae LS
(4)
Here, A and are constants in the range of 0<<1.

The individual demand of terminal i is expressed
as following equation.
X i X Qi
(5)
From above equation, the cargo demand of each

container terminal depends on the cost of the container
terminal. Container terminals cost consists of cargo
handling charge and other user cost. Other user cost
consists of waiting cost of vessel, which occurs when
number of vessel to specific terminal increases, and
inland transportation cost, which is different dependent
on the location of terminal.
Among the inland transportation cost, the costs
related to port selection are transportation cost of
transfer quantity between North Port and New Port and
transportation cost to other wharf in the same area. The
waiting cost of vessel occurs when the cargo quantity
entering a terminal exceeds the capacity of terminal. It
is operation cost of vessel dependent on waiting rate.
When it is expressed as an equation, it is as following.
OUCi COi f (
xi
)
CAPi
(6)
COi - inland transportation cost;

x
f ( i ) - vessel waiting cost;
CAPi
X i - quantity of terminal i;
CAPi - handling capacity of terminal i.
The profit estimating methods for terminals in Busan
Port are classified into two types. One is when facility
lease charge is paid to Port Authority and the other is
facility lease charge is not paid because the terminal
was built by private investment. The terminal profit
estimation equation when facility lease charge is paid is
as following.
i ( pi ci ) X i f i
(7)
i - PECT, JASUNGDAE, Gamman, New-Gamman,

PNC, HJNC;
Qi - market share of individual terminal
Here, we take the log of total utility function and
name it as LS (log sum).
LS ln(
eU i )
Here, i is the profit of terminal i, fi is the fixed cost

(lease charge) per one container and ci is variable cost
per one container (such as utility cost, outsourcing cost,
personnel cost and depreciation for equipment owned
by terminal).
i ( pi ci ) X i
(8)
(3)
345
Here, the total profit of terminal is determined by

correlation among handling charge, facility lease charge
and variable cost. Assuming that, in a competitive
environment, a small number of terminals compete with
each other to secure maximum quantity and each of
them provides with different service, it is possible to
make a model which maximizes the total profit of
terminals using Bertrand equation.
In other words, each terminal will seek a way to
secure maximum profit no matter on what level
handling charge would be set up. Here, the price level is
sought by differentiating the profit equation by price for
zero.
i
0 , i - each terminal
pi
(9)
This equation becomes the price response equation of

terminal number 1.
p1 1 /b ( Q1 1 Q1 c1
(10)
(3) Finding the parameter values of port demand

model (Finding the values of a and b)
A and b are coefficients on the utility function of

(Equation 1); therefore, it can be drawn from the
regression equation of handling charge and other costs
(Table 5).
Table 5. Regression analysis results between utility and cost
standard.
Standard
Coefficient
error
()
Table 6. Cost, rental cost, handling charge and annual

handling quantity of Busan Port container terminal
Cost per
Standard.
Coefficient T-value
()
Significant
probability
NG
HN
PN
29.03
46.92
21.98
30.65
34.86
29.71
16.51
33.55
8.23
20.57
22.12
29.71
12.52
13.37
13.76
10.08
12.74
41.70
48.67
37.75
36.08
49.41
40.05
2442165
1924872
1206712
2322429
1785695
2804030
488433
384974
402237
580607
446424
467338
Marginal
cost per
TEU (US $)
Rental cost
Constant
29.323
0.429
Cost
-0.023
0.007
-0.537
68.287
0.000
per TEU
-3.245
0.003
(US $)
R2=0.288, F =10.533, Sig = 0.003
(4) Marginal cost and average cost of container

terminal
The determination method of handling charge that

has economic efficiency and is capable of flexible
response to situation in container terminal is the method
that uses marginal cost. This method determines the
charge at the point where marginal cost and marginal
profit match with each other. It is most advantageous
method in the adjustment of service supply when a
public entity is the sole service supplier. It determines
charge at the most advantageous level when the chargereceiving party does not receive any price regulation
from outside entity. In a public service, the charge
determined in this way becomes the upper limit and the
charge is determined at lower level than this but higher
than average cost. However, in case of container
terminal which has huge fixed facilities, applying this
principle results in long term deficit operation; because
marginal cost is obviously lower than average cost.
Therefore, marginal cost in this case should be regarded
as long term marginal cost. The long term marginal cost
346
can go down below average cost in a short term;

however, it shows the trend of exceeding average cost in
a long term; therefore, it is possible to attain charge
level that warrants sustainability. However, this method
has the issues such as classification of long-term or
short-term marginal costs, marginal facility cost and
marginal operation cost. In addition, there is the issue of
distribution to actual charge items. Furthermore, when
demand is low, the difference between marginal cost
and average cost becomes loss. Therefore, there are
many limitations to determine charges using this
method. As an alternative to this method, most container
terminal adopts average-cost charge method. In this
method, handling charge is made to be the same with
average cost so that a breakeven situation is created.
Since the average cost already includes normal level of
profit, it is possible to secure financial resources for new
investment. In addition, this method can determine the
charges relatively easier by way of cost calculation in
accordance with general accounting practice; therefore,
most container terminals adopt this method.
The values are averages from 2006 to 2011 of
revenue income, annual handling quantity, rental cost
and sales cost for six container terminals presented in
Table 6. Exceptions are HN terminal and PN terminal,
for which only 2011 data are reflected because their
normal quantities began to occur from 2011.
TEU (US $)
NonModel
Handling
charge per
TEU (US $)
Annual
average
handling
quantity
Handling
quantity per
one berth
(5) Assumption of Theta value
Theta value can be drawn in accordance with the

principle that the total demand of a port is caused by the
total utility of the port (Table 7). In other words, the
total demand does not change when the utility of an
individual container terminal changes. This principle
assumes that when the utility of individual container
terminal, such as price or service level, changes, the
demand of individual container terminal may increase
or decrease; however, total demand does not change.
Therefore, the theta value in this study will be assumed
as a small value, namely 0.01. This value had been used

in the study of Naima.
Table 7. Assumption of Theta value
Demand level
Logsum Parameter
(TEU)
(Theta)
13127533
0.01
Price Parameter
-0.023
(6) Input parameter values of container terminal
The demand, rental cost, handling charge, market

share, marginal cost, vessel-delay/cargo-delay costs and
profit of Busan Port container terminals are as following
in Table 8.
Table 8. Demand, handling charge, marginal cost, waiting
charge and profit by terminal
K
NG
HN
PN
Sum
Demand
2.4
mil
1.9
mil
1.2
mil
2.3
mil
2.1
mil
3.2
mil
13.1
mil
Rental
Cost
(US $)
30.6
mil
25.8
mil
16.6
mil
23.4
mil
22.8
mil
119.1
mil
Handling
Charge
per TEU
(US $)
41.7
48.7
37.8
36.1
49.4
40.1
254
Q1
0.19
0.15
0.09
0.18
0.15
0.25
X1
2.5
mil
1.9
mil
1.2
mil
2.3
mil
2.0
mil
3.2
mil
13.2
mil
12.52
13.37
13.76
10.10
11.27
61
19
16
14
17
17
17
100
Marginal
cost: C
14.39
23.83
11.80
2.92
22.24
29.71
105
X1/CAP
1.22
1.13
1.54
1.48
1.26
1.17
CAP
2.0
mil
1.7
mil
0.78
mil
1.6
mil
1.6
mil
2.8
mil
10.4
mil
Vessel/ca
rgo delay
cost
(US $)
$3.63
$2.70
$6.38
$5.93
$4.02
$3.06
26
Profit
(US $)
$36.2
mil
$22.1
mil
$14.7
mil
$53.5
mil
$32.1
mil
$33.3
mil
$191.8
mil
TSRi - ratio of transfer to other area of terminal i;

OBRi - ratio of transfer loading to other area of terminal
i;
TR1 - transfer loading transportation cost to other area of
terminal i;
1-OBRi - ratio of transfer loading in the same area of
terminal i;
TR2 - transfer loading transportation cost in the same
area of terminal i.
(7) Calculation of waiting cost exceeding handling
capacity
Simulation method was adopted to calculate the

waiting cost caused by the increase in quantity. The
simulation computer system reproduces the behaviour
of vessels entering specific terminal so that the
relationship between waiting rate and handling quantity
can be expressed. For this, the study result of Park et al.
[5] was used. The authors calculated waiting cost by
vessel size under certain waiting rate in order to find out
the relationship between waiting cost and handling
quantity dependent on waiting rate by way of
entrance/clearance simulation of container terminal.
The cost of delayed vessel and delayed cargo due to
waiting of container vessel is based on handling
quantity by waiting rate calculated and the simulation
results are given in Table 9.
Table 9. Annual waiting cost by waiting rate calculated in
simulation
Lease
charge
(US $)
C0
The inland transportation cost (COi) paid by

shipping companies is estimated by following equation.
In case of Busan Port, the element that has impact on
quantity transfer is the additional inland transportation
cost for the cargo that is unloaded at North Port but has
to be moved to New Port because the vessel calls at
New Port, which was vitalized recently. Likewise, there
is also additional cost for the quantity that is unloaded at
New Port but should be handled at North Port. These
relations can be expressed in following equation.
COi TSRi OBRi TRi TSRi (1 OBRi ) TR2 (11)

COi - transfer quantity transportation cost;
Number of
Number of
Vessel size Capital cost + vessel per Weighted Waiting rate
days
Annual
(TEU)
fuel cost
day
value
(%)
docked waiting cost
(average)
(days)
($)
1000
29224
0.1300
0.017
363
93778
2700
39460
0.2300
0.017
363
224028
4024
49015
0.2100
0.017
363
254075
5300
59965
0.1700
0.017
363
251630
6400
86037
0.1700
0.017
363
361034
8400
100718
0.0800
0.017
363
198889
9000
104724
0.0029
0.017
363
7597
10000
113825
0.0007
0.017
363
2065
Total
1393096
In addition, the handling quantity per one berth by

waiting rate was calculated by simulation (Table 10).
Table 10. Handling quantity per one berth by waiting rate
calculated by simulation
Waiting
rate
1.7%
1.9%
2.8%
3.1%
5.3%
7.1%
11.3% 13.0% 59.4%
Handling
quantity
per one 296923 344934 418796 485361 565753 591715 595013 602862 639321
berth
Above two tables are combined as following Table 11

which shows: handling quantity by vessel waiting rate,
347
handling capacity of sample terminal, waiting cost

(Figure 2), annual handling quantity and waiting rate
per container.

Table 12. Equilibrium price and profit estimation by
terminal for Busan Port
NG
HN
PN
Price/
TEU
$
67.47
$
75.54
$
64.69
$
56.75
$
73.66
$
79.41
User Cost
22.6
18.7
20.4
22.9
21.0
20.1
Q1
(Market
Share)
0.183
0.161
0.180
0.194
0.156
0.127
X1
(Terminal
Through.)
2.4
mil
2.1
mil
2.4
mil
2.6
mil
2.0
mil
1.7
mil
13.1
mil
Profit
$97
mil
$81
mil
$92
mil
$112
mil
$82
mil
$83
mil
$547
mil
Table 11. Handling capacity and waiting cost by vessel

waiting rate
Waiting
Handled
ratio
container
0.017
Waiting
Waiting
CAP
X/CAP
Cost
Cost/TEU
296923
400000
0.74
1,393,096
4.692
0.019
344934
400000
0.86
1,556,990
4.514
0.028
418796
400000
1.05
2,294,512
5.479
0.031
485361
400000
1.21
2,540,352
5.234
0.053
565753
400000
1.41
4,343,183
7.677
0.071
591715
400000
1.48
5,818,226
9.833
0.113
595013
400000
1.49
9,259,994
15.563
0.13
602862
400000
1.51
10,653,090
17.671
0.594
639321
400000
1.60
48,676,427
76.138
Sum
Following Figure 3, it shows the current competing

prices and equilibrium prices of six container terminals
in Busan Port.
Figure 2. Waiting cost by handling capacity
Finally, other cost for each terminal are expressed as

follows
X 3
X 2
OUCi COi 0.6192(
) 7.2968(
) (12)
CAP
CAP
25.051(
X 1
) 17.209
CAP
In this equation, it is possible to see that, when

quantity exceeds handling capacity by 50% or more, the
waiting cost rapidly increases. Bertrand equation is
defined as a multi-dimensional equation using these
parameters, which mathematically finds the solution
suggesting equilibrium price.
Figure 3. Current competing prices and equilibrium prices

of six container terminals in Busan Port
(9) Comparison of market share
Following Figure 4 shows the market shares in

current competition state and the market shares in
equilibrium of six container terminals in Busan Port.
(8) Equilibrium price and profit estimation of container

terminal
If the container terminals in Busan Port would

maintain current operation behaviour, the equilibrium
prices of each terminal are set up as: S terminal $67.47,
J terminal $75.54, NG terminal $64.69, G terminal
$56.75, HN terminal $73.66 and PN terminal $79.41.
If the equilibrium prices would be kept, Gamman
terminal will have the biggest market share and HBCT
will have the smallest market share. The annual total
profit of container terminals in Busan Port will be US $
546.8 million, which will be more than twice of current
profit (see Table 12 and Figure 3).
348
Figure 4. Profits in current competition state and the profits

in equilibrium of six container terminals in Busan Port
(10) Comparison of profits
Following Figure 5 shows the profits in current

competition state and the profits in equilibrium of six
container terminals in Busan Port.
Figure 5. Profits in current competition state and the profits in equilibrium of six container terminals in Busan Port
5. CONCLUSION
The purpose of this study is finding equilibrium price

and profit between ports that are in competitive relation.
In order to find an equilibrium price of ports, first, it is
required to find what service factors and demand model
are important to the shipping companies when they
select ports. The study results suggest that the demand
model factors consist of two independent variables,
which are cost and loading/handling quantity of port.
Among the two, the loading/handling quantity is related
to the size and marketing policy of shipping company.
Therefore, only cost would be the object when creating
a demand model. The demand model of ports should
find out the relationship by cost elements only.
The study results suggest that the demand model
consists of functional equation, in which the port
demand changes by -0.023 when the port cost changes
by US$ 1 unit. It is possible to find the behaviour
principle of port operating companies in competitive
situation by applying this relationship on Bertrands
game model equation. In other words, if a terminal
would raise their handling charge to maximize profit,
the competing terminal will keep current price level and
the terminal that raised handling charge will lose its
demand. On the contrary, if a strategy to lower price
would be adopted (like the current Busan Port), the
competing company will also adopt the strategy to
lower price to attract quantity; therefore, both
companies will end up suffering loss.
The demand model suggested in this study gives
information regarding the level of optimum handling
charge which should be kept for terminals in
competitive situation to make maximum profit. While
the present handling charge is approximately US$ 40
per TEU, if handling charge would be raised to the
range of US$ 56-79, they can achieve maximum profit
that is the annual total profit of container terminals in
Busan Port will be US$ 546.8 million, which will be
more than twice of current profit.
ACKNOWLEDGEMENT
This work was supported by Tongmyong University

Research Grant (Class of 2011). This work is also
financially supported by the Ministry of Information
and Communication Republic of Korea (MIC) and the
Institute for Information Technology Advancement
(IITA) through the fostering project of the University
Information Technology Research Center (ITRC).
REFERENCES
[1] Foster, T. A.: Ports: What shippers should look for,

Distribution World wide, pp. 32-36, 1978.
[2] Jung, T-W., Kwak, K-S.: Strategies to attract
transshipment container cargoes among main
competitive ports in North East Asian Region,
Korean Society of Transportation Journal, Vol. 20,
No. 7, pp. 43-50, 2002.
[3] Kolanovic, I., Skenderovic, J. and Zenzerovic, Z.:
Defining the port service quality model by using
the factor analysis, Maritime, Vol. 22, No. 2, pp.
283-297, 2008.
[4] Ng, K.Y.: Assessing the attractiveness of ports in
the North European container transshipment
market: an agenda for future research in port
competition, Maritime Economics and Logistics,
Vol. 8, No. 3, pp. 234-241, 2006.
[5] Park, N-K. et al.: The Final Report of a Study on
reforming the incentive system for increase of
transshipment cargoes at the Port of Busan, Busan
Port Authority. pp. 117-142. 2008..
[6] Ugboma, C., Calllistus., I. and Ogwude, C.I.:
Service quality measurement in ports of developing
economy: Nigerian ports survey, Managing Service
Quality, Vol. 14, No. 6, 487-495, 2004.
[7] De Borger, B., Proost, S. and Van Dender, K.:
Private port pricing and public investment in port
and hinterland capacity, Journal of Transport
Economic and Policy, Vol. 42, pp. 527-561, 2008.
349
[8] Saeed, N. and Larsen, O.I.: An application of

cooperative game among container terminal of one
port. European Journal of Operational Research, pp.
393-403, 2009.
[9] Kaselimi, E.N. and Reeven, P.V.: The impact of
new port terminal operation schemes on inter-port
completion, Proceedings of the International
Association of Marinetime Economicis (IAME)
Conference, 4-6 April, Dalian, China, 2008.
[10]Murphy, P.R. and Daley, J.M.: A Comparative
Analysis of Port Selection Factors. Transportation
Journal, 34(1), pp. 15-21. 1994.
350
Sensitivity Analysis for Identifying

Productivity Critical Factors of
Container Terminals
Bo LU
Affiliation- Lecturer
Dalian University
Institute of Electronic Commerce and
Modern Logistics
Nam Kyu Park

Affiliation-Professor
Tongmyong University
With rapid expansion of international trade, the distinctive feature of

current container terminal industry is that competition is more intensive. If
container terminals could gain a proper appreciation of their various
invested factors, it is essential that they identify which factors have more
positive influence on productivity. The core of sensitivity analysis for
terminal productivity is to remove input variables one by one, then reestimate the correlation between productivity and invested factors. From
this perspective, sensitivity analysis method provides a more appropriate
benchmark for identifying which invested factors are more critical for
productivity improvement. The sensitivity analysis has been variously
studied utilizing either Data Envelopment Analysis or Regression Analysis.
Given the strengths associated with two approaches, this paper applies
both approaches to the same set of data for 28 East-Asia major container
terminals and compares the results obtained. The results of this study can
provide port managers with a proper reference for improvement strategies.
Keywords: Data envelopment analysis, Regression analysis, Sensitivity
analysis, Container terminal
1. INTRODUCTION
With the competition among the world ports has

become increasingly fierce, the distinctive feature of the
current container port industry is that competition is
more intensive than previously [20]. How to improve
productivity sufficiently to accommodate a large portion
of the anticipated increase in container traffic, however,
presents a particular challenge to terminal operators and
port authorities.
As the demand for international trade and global
logistic services continues to increase and to maintain
its competitiveness in such competitive condition ([1],
[6], [9], [10-12]), Cullinane et al. [2] claimed that
container terminals have to invest heavily in
sophisticated equipments or in dredging channels to
accommodate the most advanced and largest container
ships. It is important to note, however, that pure
physical expansion is constrained by a limited supply of
available land, especially for urban centre ports, and
escalating environmental concerns. In addition, the
excessive and inappropriate investment also can induce
the phenomenon of inefficiency and wasting of
resources. In this context, expanding port capacity by
improving the productivity of terminal facilities and
exploring the critical factors affecting the productivity
appears to be the viable solution ([7], [8], [13-17], [19,
20]).
For a container terminal, productivity performance
makes significant contribution to the prospects of
Correspondence to: Dr Bo LU, Lecturer
R&D Center of Electronic Commerce and Modern Logistics,
Xuefu road #10, Dalian economic technological development
zone, 116022, China.
E-mail: lubo_documents@hotmail.com
survival and competitive advantage. It is also an

important tool in informing port authorities and
operators port planning. Traditionally, the productivity
performance of container terminal has been variously
evaluated by numerous attempts at calculating and
seeking to improve or optimise the operational
productivity of cargo-handling at berth and in the
container yard [14, 15].
Recently, significant progress has been made
concerning the measurement of efficiency in relation to
productive activities for improving productivity
performance. Applying with DEA methodology, many
researchers have been variously evaluated the terminal
performance in the previous literature (Park and Lu
[15]). Majority DEA researches, however, just analyse
relative efficiency scores between ports or terminals,
and have ignored to identify the correlation between
productivity and invested critical factors.
From this perspective, sensitivity analysis method
provides a more appropriate benchmark for identifying
which invested factors are more responsible for the
fluctuations in productivity of container terminal by
removing the input variables one by one, and then reestimate the correlation between productivity and
invested factors. Sensitivity analysis has been variously
studied utilising either Data Envelopment Analysis
(DEA) or Regression Analysis (RA). However, the
literature review reveals that there remains a lack of
empirical evidence in relation to the comparative
effectiveness of sensitivity analysis in application to the
port industry synthetically. This paper aims to fill this
gap by applying the two approaches to analyze
container terminal productivity.
The paper is structured as follows: after the
introductory section of Chapter 1, there will be followed
by the description of the data envelopment analysis and
351
regression analysis. In so doing, the two main

approaches to analyze data are included in Chapter 2.
The required definition of variables and data collection
has been described in Chapter 3. Implication of analysis
and comparing empirical results of a sample of
container terminals are derived in Chapter 4. Finally,
conclusions are drawn in Chapter 5.
2. RESEARCH METHOD
2.1 Data Envelopment Analysis (DEA)
The most widely used DEA models, named DEACCR, deserve greater attention, especially since they are
utilised later in this paper. Formally, let inputs be
xk ( x1k , x2 k , xMk ) RM
to
produce
outputs
yk ( y1k , y2 k , y Nk ) R . The row vectors xk and

yk forms the kth rows of the data matrices X and Y,
N
respectively. Let
k (1 , 2 , k ) R
be a non-
negative vector, which forms the linear combinations of

the K firms. Finally, let e = (1, 1, . . . , 1) be a suitably
dimensioned vector of unity values.
The output-oriented DEA model seeks to maximize
the proportional increase in output while remaining
within the production possibility set. An output-oriented
efficiency measurement problem can be written as a
series of K linear programming envelopment problems,
as shown in (1)(4).
max
U,
(1)
subject to U y y 0
(2)
X ' x ' k 0
0 (DEA-CCR)
(3)
(4)
'
'
The combination of equations from (1)(4) form the

DEA-CCR models. Because the CCR model gives a
value of 1 for all efficient DMUs, it is unable to
establish any further distinctions among the efficient
DMUs. Some authors, therefore, presented Superefficiency model which removes an efficient DMU, and
then estimates the production frontier again and
provides a new efficiency value for the efficient DMU
that had previously been removed. The new efficiency
value can thus be greater than 1, and the efficiency
values of inefficient DMUs do not change.
CCR and Super efficiency values
Inefficient1
Inefficient < 1
Improvement
not require
Improvement
require
Contribution of each variable to the

efficiency value
Figure 1. Flow process of DEA analyses
352
Efficiency
Value
Analysis
Sensitivity
Analysis
In this study, the DEA model conducts the efficiency

value analysis firstly, when efficiency is less than 1, this
means that the efficiency of the inputs and outputs being
used are not appropriate, and that it is necessary to
decrease inputs or increase outputs. Furthermore, the
sensitivity analysis removes the input variables one by
one, and then re-estimates the aggregate efficiency. This
facilitates an overall understanding of which input or
output variables are more critical for efficiency
improvement, also the more the variables contribute to a
DMUs efficiency value. Therefore, if managers wish to
improve the operational performance quickly, they
should first focus on the input variables with larger
contribution. In summary, the flow process of multiple
DEA analyses can be depicted as shown in Figure 1.
2.2 Regression Analysis
In statistics, regression analysis can be used to

understand which among the independent variables are
related to the dependent variable, and to explore the
forms of these relationships. In restricted circumstances,
regression analysis can be used to infer causal
relationships between the independent and dependent
variables.
For this study, multiple linear regression analysis is
adopted to test the hypothesized inter-relationship
between the dependent performance variables and the
independent variables that relate to the integration of
container terminals. The stepwise eliminate method is
used with settings at 0.05 levels. If all the regression
coefficients are significant, the procedure stops. After
that, the predictor with the smallest significance in the
regression coefficient test will be eliminated from the
model. Then, the procedure stops, when all the
regression coefficients are significant. Finally,
analyzing and explaining the regression analytical
results by means of the model summary R value &
Adjusted R square value test, T-tests are conducted on
each independent variable and F-tests for the overall
regression.
The regression formulation based on standardized
coefficients can be set up as follows:
Y 0 1 X 1 r 1 X r 1
(5)
2.3 Research Procedure
The research procedure of this study is summarized

in Figure 2. After the selection of terminals, the
output(DEA)/dependent(RA) variable for the study
should be selected firstly. Drawing on the literature
review, site survey and interview to eliminate the
duplication factors, the initial input/independent
variables can be chosen. Then, for conducting the
sensitivity analysis, an exploration composed of the
DEA-CCR model and regression analysis model have
been used to identify the critical factors.
Moreover, another objective of this work is to
compare the results obtained from applying the two
main alternative methodologies for the estimation of
critical factors, such estimates can be employed for the
purpose of informing government ports policy or
management decision making, either at the level of the

port authority or by individual terminal operators. After
that, the conclusions and suggestions will be given.
Selecting 28 container terminals
Eliminating
duplication factors
Literature
Research
Survey
Interview
Deciding input /
independent
variables
Establishing
output /
dependent
variable
Collecting data
Regression analysis
Data envelopment analysis
The suitable productivity indicators that could be

considered for evaluation of terminal operations include:
throughput, berth occupancy rate, berth occupancy,
number of vessel arrivals and so on.
However, container throughput is the most important
and widely accepted indicator of terminal productivity.
Almost all previous studies treat it as an
output/dependent variable because it closely relates to
the need for cargo-related facilities and services and is
the primary basis on which container terminals are
compared, especially in assessing their relative size,
investment magnitude or activity levels. Most
importantly, it also forms the basis for the revenue
generation of a container terminal [3, 4]. Another
consideration is that container throughput is the most
appropriate and analytically tractable indicator of the
effectiveness of the production of a container terminal.
Synthesizing the former research, in this study, the
terminal productivity indicator is defined as the per
berth handling capacity by dividing annual throughput
by number of berth.
Table 1. Data collection of East-Asia container terminals
Sensitivity
Analysis
Comparing the results of two

analytical approaches
Conclusions and suggestions
Figure 2. Research procedure
3. RESULT ANALYSIS
3.1 Data Collection and Standardization of Variables
For doing a typical analysis, and based on the

argument that container terminals are more suitable for
one to one comparison than whole container ports, the
objects of study comprise the twenty-eight East-Asias
major container terminals. Thus, it has facilitated the
acquisition of more reliable and timeliness, on a
comprehensive scale. The data of container terminals
have been summarized as Table 1. In order to gain the
accurate performance of container terminals, the value
of variables should be standardized. Therefore, this
study defines the variables of each container terminal at
the level of per berth, except the berth length, by
dividing variables by berth number.
3.2 Definitions of variables
With respect to definitions of variables, a thorough

discussion of the importance, difficulties and potential
impact of variable definition can be found in Song [18]
and summarised as follows. Because of the most
container terminals rely heavily upon sophisticated
equipments and information technology, rather than
being labour-intensive (Cullinane et al. [2]), the
variables should reflect the actual objectives and
process of container terminal production as accurately
as possible.
In the sensitivity analysis, the output (DEA)/
dependent (RA) variable measure various organizational
objectives, such as productivity and customer response.
Var.
Term.
UNIT
HIT
Shekou
COSCO
DPI
BICT
CS-4
MTL
PCTC
NBCT
HBCT
KX3-1
Chiwan
KBCT
ACT
HGCT
DPCT
NBSCT
Hanjin
Yantian
ICT
Nansha
JUCT
UTC
DBE2-1
KIT2-2
HKTL
GICT1
SGCT
Average
YA/
Ber.
ha.
15.0
13.2
20.0
17.3
9.3
13.8
14.9
16.8
14.9
25.2
17.5
16.7
14.3
22.9
12.9
12.3
21.0
9.6
37.2
12.3
7.4
6.9
8.4
20.7
21.0
21.0
17.6
12.2
16.2
QC/
Ber.
/
4.0
4.3
3.6
4.1
4.1
4.1
4.0
4.9
3.5
3.3
4.0
4.0
4.0
2.8
2.8
2.8
3.0
2.0
3.0
3.3
2.5
3.0
3.0
2.0
2.0
2.5
2.0
1.5
3.2
TC/
Ber.
/
16.0
15.1
11.2
10.5
11.8
12.0
13.0
14.0
16.0
10.7
14.5
8.0
10.0
9.2
6.8
10.8
8.0
6.0
8.0
10.0
6.5
6.5
7.0
5.0
6.0
8.5
3.8
3.5
9.6
YT
Ber.
/
37.5
27.7
20.4
23.3
23.3
23.3
23.0
30.7
17.0
16.7
27.5
50.0
30.0
14.6
12.6
14.4
12.0
10.0
15.0
16.0
11.5
7.0
7.0
15.0
15.0
11.5
4.0
4.0
18.6
BL
m
15.0
13.2
20.0
17.3
9.3
13.8
14.9
16.8
14.9
25.2
17.5
16.7
14.3
22.9
12.9
12.3
21.0
9.6
37.2
12.3
7.4
6.9
8.4
20.7
21.0
21.0
17.6
12.2
323
Thr./
Ber.
TEU
877000
817143
700000
700000
692083
655556
650570
640000
632997
600000
600000
589000
588000
468353
420594
409165
403603
355991
333333
284868
279569
172448
169952
166371
124590
76120
51638
14772
445490
On the other hand, in order to determine the input

(DEA) / independent (RA) variables, the used factors
for variables in the study are discovered through an
abundant literature review and discussion with experts.
As far as the process of production is concerned, a
container terminal depends crucially on the efficient use
of infrastructures and facilities. On the basis of that,
yard area per berth, the quantities of quay crane, yard
crane, yard tractor per berth, water depth and berth
length have been deemed to be the most suitable factors
to be incorporated into the models as input variables
353
(Figure 3). Other factors that possibly influence the

productivity estimates that may be derived from this
analysis include aspects such as: crane operating hours,
equipment age and maintenance, and port information
etc. The selection of suitable variables for this study,
however, depended on data availability, and the
difficulties on acquiring data. Therefore, they have not
been included in this study.
3.3 Sensitivity Analysis of DEA
By applied with DEA-CCR model, analytical results

for container terminals are summarized in Table 2, the
column and row totals represent, respectively, the
original efficiency value and the sensitivity analysis
efficiency value of each terminal in 2008 year.
Table 2. Sensitivity analysis of 28 container terminals
YA/
Ber.
0.96
1.12
1.16
1.10
1.04
1.06
1.01
1.01
1.03
0.98
0.93
0.86
0.90
0.87
0.87
0.79
0.78
0.70
0.71
0.66
0.66
0.65
0.50
0.49
0.35
0.33
0.18
0.10
11
QC/
Ber.
1.21
1.12
1.14
1.10
1.08
1.03
1.01
1.03
1.03
0.98
0.93
0.91
0.90
0.90
0.88
0.80
0.76
0.75
0.73
0.66
0.66
0.65
0.52
0.49
0.35
0.31
0.18
0.10
9
TC/
Ber.
1.21
1.04
1.16
0.71
1.08
1.04
1.03
0.97
1.03
0.90
0.90
0.88
0.90
0.73
0.88
0.79
0.78
0.72
0.69
0.66
0.61
0.65
0.50
0.40
0.35
0.30
0.18
0.10
21
YT
Ber.
1.21
1.08
1.16
1.10
0.83
1.03
0.97
0.95
0.92
0.91
0.77
0.90
0.84
0.90
0.85
0.68
0.73
0.69
0.74
0.43
0.63
0.38
0.47
0.49
0.19
0.33
0.15
0.06
20
BL
1.21
1.06
1.15
1.10
1.07
1.06
1.03
1.03
1.01
0.98
0.93
0.91
0.90
0.90
0.89
0.80
0.75
0.75
0.74
0.66
0.66
0.65
0.52
0.49
0.35
0.33
0.18
0.10
6
With regard to input variables, the removal of yard

area per berth decreased the efficiency values of HIT,
BICT, MTL, PCTC, Chiwan, ACT, HGCT, DPCT,
Hanjin, Yantian and UTC container terminal. The
354
removal of quay crane per berth decreased the

efficiency values of COSCO, CS-4, MTL, KBCT,
HGCT, DPCT, NBSCT, Yantian and HKTL container
terminal. The removal of terminal crane per berth
decreased the efficiency values of Shekou, DPI, CS-4,
PCTC, NBCT, HBCT, KX3-1, Chiwan, KBCT, ACT,
HGCT, DPCT, Hanjin, Yantian, ICT, Nansha, UTC,
DBE2-1, HKTL, GICT1 and SGCT container terminal.
The removal of yard tractor per berth decreased the
efficiency values of Shekou, BICT, CS-4, MTL, PCTC,
NBCT, HBCT, KX3-1, Chiwan, KBCT, HGCT, DPCT,
NBSCT, Hanjin, ICT, JUCT, UTC, KIT2-2, GICT1 and
SGCT container terminal. The removal of berth length
decreased the efficiency values of Shekou, COSCO,
BICT, MTL, NBCT and NBSCT container terminal.
By means of summing the numbers of decreasing
efficiency terminals, it could facilitate an overall
understanding that the variables of terminal crane per
berth and yard tractor per berth are more critical for
efficiency improvement, and they also have more
contribution to the efficiency relatively.
Figure 3. The scope of variables
Var.
Eff.
Term.
Scores
HIT
1.21
Shekou
1.12
COSCO
1.16
DPI
1.10
BICT
1.08
CS-4
1.06
MTL
1.03
PCTC
1.03
NBCT
1.03
HBCT
0.98
KX3-1
0.93
Chiwan
0.91
KBCT
0.90
ACT
0.90
HGCT
0.89
DPCT
0.80
NBSCT
0.78
Hanjin
0.75
Yantian
0.74
ICT
0.66
Nansha
0.66
JUCT
0.65
UTC
0.52
DBE2-1
0.49
KIT2-2
0.35
HKTL
0.33
GICT1
0.18
SGCT
0.10
Decrease effi. No.
3.4 Sensitivity Analysis of Regression analysis
With respect to obtaining model summary, the R

value which means correlation coefficient, and the
adjusted R square which means the adjusted coefficient
of determination ranges from 0.797 to 0.812, indicate
that the variables explain the regression analysis model
in a good fitness, in other words, the model shows
remarkable statistical significance can be seen in Table
3.
Table 3. Regression model summary
Adjusted
Std. Error of
R Square
the Estimate
1
.918a
.843
.807
108471.39050
2
.917b
.840
.812
107046.06097
3
.910c
.828
.806
108838.28056
4
.901d
.812
.797
111440.03923
a. Predictors: (Constant), Berth Length, YT, YA, TC, QC
b. Predictors: (Constant), Berth Length, YT, TC, QC
c. Predictors: (Constant), YT, TC, QC
d. Predictors: (Constant), YT, TC
e. Dependent Variable: Throughput
Model
R Square
In ANOVA analysis, according to significance value,

the F-test which tests the overall regression of model
reflects satisfied results which are summarized in Table
4.
Table 4. ANOVA analysis summary
Model
1
Regression
Residual
Total
Regression
Residual
Total
Regression
Residual
Total
Regression
Residual
Total
Sum of
Squares
1.390E12
2.589E11
1.649E12
1.386E12
2.636E11
1.649E12
1.365E12
2.843E11
1.649E12
1.339E12
3.105E11
1.649E12
Mean
Square
2.780E11
1.177E10
Sig.
23.6
.000a
3.464E11
1.146E10
30.2
.000b
4.549E11
1.185E10
38.4
.000c
6.693E11
1.242E10
53.9
.000d
With regard to coefficients analysis, the t-test which

conducts on each independent variable also reflects
satisfied results. However, the standardized coefficients
beta value appears minus value, such as berth length. It
means that, as the mount of throughput increasing, the
independent variables should be reduced. The results are
summarized as following in Table 5.
advantage of the geographic advantage of huge area or

long berth length, however, they do not always mean
the high productivity. It indicates that only the rationally
handling application of input resources better, the
terminal could improve the higher productivity.
Table 6. Comparing critical factors between approaches
Models
Table 5. Coefficients analysis
Ustd.
Coefficients
(Constant)
-75592.627
YA
.233
QC
92825.355
1
TC
34056.108
YT
5679.013
Berth length
-765.770
(Constant)
-65849.041
QC
85529.610
2 TC
34277.077
YT
6010.075
BerthLength
-632.240
(Constant)
-232134.707
QC
79042.594
3
TC
32715.465
YT
5905.614
(Constant)
-133732.596
4 TC
43582.420
YT
8693.668
a. Dependent Variable: Throughput
Model
Beta
.059
.325
.492
.238
-.15
.300
.496
.252
-.12
.277
.473
.248
.630
.365
t
-.490
.632
1.705
3.260
1.774
-1.47
-.434
1.628
3.327
1.929
-1.35
-2.59
1.486
3.143
1.864
-2.18
5.745
3.327
Sig
.629
.534
.102
.004
.090
.156
.668
.117
.003
.066
.192
.016
.150
.004
.075
.039
.000
.003
Moreover, the coefficients results of regression

analysis show that, in the scope of the independent
variables, the quantities of terminal crane, and yard
tractor have stronger affection on the productivity per
berth.
The regression formulation which is composed of
selected variables is shown as following:
Y 133732.596 43582.420 X 1 8693.668 X

X 1 - terminal crane,
X 2 - yard tractor.
4. IMPLICATION AND COMPARING RESULTS
Table 6 shows the comparing results of sensitivity

analysis yielded by data envelopment analysis and
regression analysis. It is clear that the significance of
critical factors for container terminal productivity are
similar, the most important of that are terminal crane
and yard tractor yielded by both data envelopment
analysis and regression analysis.
The empirical results could facilitate an overall
understanding that the variables of dynamic transfer
equipments are more critical for productivity
improvement, and they also have more contribution to
terminal productivity.
Another implication of the results achieved in the
analysis herein is that the facilities of container terminal,
such yard area and berth length appear to exhibit lower
levels of significance than equipments. This result is
partially explicable by the port industry is not a
monopolistic industry any longer. Although taking the
Order of Significance
Output
Variable
Data
Envelopment
Analysis
Input
Variables
Throughput per berth

1
2
3
4
5
Dependent
Variable
Regression
Analysis
Independent
Variables
Terminal Crane / berth

Yard Tractor / berth
Yard Area / berth
Quay Crane / berth
Berth Length
Throughput per berth
1
2
3
4
5
Terminal Crane / berth

Yard Tractor / berth
Quay Crane / berth
Berth Length
Yard Area / berth
5. CONCLUSIONS
In the competitive circumstances, most ports were

still committed to ongoing investment in the port
facilities with a view to attracting more commercial
vessels for anchorage. This produced an imbalance
between inputs and outputs, which, in turn, produced an
annual huge blind investment. However, as Forsund and
Sarafoglou [5] have claimed that productivity are core
concepts of economics, and productivity is also
concerned with how to use limited resources more
economically for any sort of production.
As a benchmarking approach, this study applies the
two leading approaches, Data Envelopment Analysis
and Regression Analysis, for conducting sensitivity
analysis measurement to the same data set and compares
the results of critical factors derived from the two
approaches. By applied with sensitivity analysis, this
study provides a more appropriate benchmark for
identifying which invested factors are more responsible
for the fluctuations in productivity of container terminal
by removing the input variables one by one, and then reestimates the correlation between productivity and
invested factors. This facilitates an overall
understanding of which invested factors are more
critical for productivity improvement.
In the context of both approaches, terminal
crane/berth and yard tractor/berth have the more
contribute to productivity. Therefore, if managers wish
to improve the operational performance quickly, they
should first focus on the two variables with larger
contribution.
Although the major objective of this work is to
compare the results obtained from applying the two
main alternative methodologies and empirical results for
the estimation of terminal productivity, such estimates
can be employed for the purpose of informing
government ports policy (national, regional or urban) or
management decision making, either at the level of the
port authority.
355
There is also some weakness existing in the research.

Several factors affecting terminals productivity, are not
included the variables collection, such as utilization of
technology, number of vessel arrivals, manpower, the
operational time of vessels, and so on. However, the
acquisition of data is quite difficult, and the
combination of independent/input variables and
dependent/output variable which are utilized in this
study also has to be adjusted.
REFERENCES
[1] Cheon S.H., David E., Song, D.-W.: Evaluating

impacts of institutional reforms on port efficiency
changes: Ownership, corporate structure, and total
factor productivity changes of world container ports,
Transportation Research Part E, Vo. 46, pp. 546
561, 2010.
[2] Cullinane K., Wang, T.-F., and Song, D.-W.: The
technical efficiency of container ports: Comparing
data envelopment analysis and stochastic frontier
analysis, Transportation Research Part A, Vol. 40,
pp. 354374, 2006.
[3] Cullinane, K.P.B., Ji, P., Wang, T.-F.: The
relationship between privatization and DEA
estimates of efficiency in the container port
industry, Journal of Economics and Business, Vol.
57, pp. 433462, 2005.
[4] Cullinane, K.P.B., Song, D.-W., Ji, P., Wang, T.-F.:
An application of DEA windows analysis to
container port production efficiency, Review of
Network Economics, Vol. 3, No. 2, pp. 186208,
2004.
[5] Forsund, F.R., Sarafoglou, N.: On the origins of data
envelopment analysis, Journal of Productivity
Analysis, Vol. 17, pp. 2340, 2002.
[6] Hoffmann, J: Liner shipping connectivity, UNCTAD
Transport Newsletter, First Quarter, 2005.
[7] Imai, A., Nishimura, E., Papadimitriu, S., Sasaki, K.:
The containership loading problem, International
Journal of Maritime Economics, Vol. 4, pp. 126
148, 2002.
[8] Itoh, H.: Efficiency changes at major container ports
in Japan: A window application of data
envelopment analysis, Review of Urban and
Regional Development Studies, Vol. 14, No. 2, pp.
133152, 2002.
[9] Le-Griffin, H. D., and Murphy, M.: Container port
productivity: experiences at the ports of Los
Angeles and Long Beach, 2006.
[10] Lin, L. C. and Tseng, C. C.: Operational
performance evaluation of major container ports in
the Asia-Pacific region, Maritime Policy and
Management, Vol. 34, No. 6, pp. 535551, 2007.
[11] Martinez-Budria, E., Diaz-Armas, R., NavarroIbanez, M., Ravelo-Mesa, T.: A study of the
efficiency of Spanish port authorities using data
envelopment analysis, International Journal of
Transport Economics, Vol. 26, No. 2, pp. 237253,
1999.
356
[12] Min, H. and Park, B.-I.: Evaluating the intertemporal efficiency trends of international container
ports using data envelopment analysis, International
Journal of Integrated Supply Management, Vol. 1,
No. 3, pp. 258277, 2005.
[13] Notteboom, T., Coeck, C., van den Broeck, J.:
Measuring and explaining the relative efficiency of
container ports by means of Bayesian stochastic
frontier models, International Journal of Maritime
Economics, Vol. 2, No. 2, pp. 83106, 2000.
[14] Park. N. K.: Critical Factors for Container Port
Productivity, Journal of Korean Navigation and
Port Research, 2008.
[15] Park. N. K. and Bo, LU: A Study on Productivity
Factors of Chinese Container Ports, Journal of
Korean Navigation and Port Research, Vol. 34, No.
7, 2010.
[16] Ramos Rios, L., Gastaud Macada, A.C.: Analysing
the relative efficiency of container ports of
Mercosur using DEA, Maritime Economics &
Logistics, 2006.
[17] Ryon, D.-K.: Efficiency measurement of container
ports in Korea using DEA, The Korean Association
of Shipping and Logistics, 2005.
[18] Song, D. W., Cullinane, K. P. B., and Wang, T.: An
application of DEA window analysis to container
port production efficiency, International association
of maritime economists annual conference, 2003.
[19] Tongzon, J. L.: Efficiency measurement of selected
Australian and other international ports using data
envelopment analysis, Transportation Research A:
Policy and Practice, Vol. 35, No. 2, pp. 113128,
2001.
[20] Tongzon, J., Heng, W.: Port privatization,
efficiency and competitiveness: some empirical
evidence
from
container
ports
(ports),
Transportation Research A: Policy and Practice,
Vol. 39, No. 5, pp. 405424, 2005.
Bo LU
Dalian University
Modern Logistics
Yun Fu HUO
Dalian University
Modern Logistics
Nam Kyu Park

Tongmyong University
A Study on Logistics Requirements

Potential Model Based on Spatial
Economics
It is extremely important to predict the logistics requirements in a scientific
and rational way. However, in recent years, the improvement effect on the
prediction method is not very significant and the traditional statistical
prediction method has the defects of low precision and poor interpretation
of the prediction model, which cannot only guarantee the generalization
ability of the prediction model theoretically, but also cannot explain the
models effectively. Therefore, in combination with the theories of the
spatial economics, industrial economics, and neo-classical economics,
taking city of Zhuanghe as the research object, the study identifies the
leading industry that can produce a large number of cargoes, and further
predicts the static logistics generation of the Zhuanghe and hinterlands.
Finally, this study established a logistics requirements potential model
from the aspect of spatial economic principles, and expanded the way of
logistics requirements prediction from the single statistical principles to a
new area of special and regional economics.
Keywords: Spatial economics, Logistics requirements potential model,
Regional logistics prediction
1. INTRODUCTION
The logistics requirements prediction is to predict

the changes of the logistics requirements and its
development trend by virtue of judgment, technical
method and model according to the past and current
requirements of the logistics markets and the
relationship among the factors that affect the changes in
the logistics market requirements.
The regional logistics requirements prediction was
firstly proposed in the 1990s [12]. After nearly 20 years
of development, it has made great progress. By sorting
out comprehensive overview about existing method,
most researchers deal with them as a regression problem.
According to the development process and the level of
intelligence, it can be roughly divided into three stages:
The prediction method based on statistics in the first
stage. Main methods include regression analysis [3],
elasticity coefficient method [15], freight intensity
method, clustering method, gray theory model [2],
Markov chain, input-output model [4], space-time
multi-term probability model and decision support
system, etc. The major features of this type of methods
can process the sequencing and linear data, and explain
the construct models effectively. With the deepening of
the study, many defects of the research methods are
exposed: firstly, there are very few regional logistics
requirements data samples, which are difficult to be
collected and are harmful for the validation of the
prediction method. Secondly, it is not ideal for
processing the regional logistics requirements data with
Correspondence to: Dr Bo LU, Lecturer
R&D Center of Electronic Commerce and Modern Logistics,
Xuefu road #10, Dalian economic technological development
zone, 116022, China.
E-mail: lubo_documents@hotmail.com
high dimension, non-linear relationship, non-normal

distribution and chronological order. Thirdly, lack of
flexibility, which cannot guarantee the learning and
generalization ability and will process all data in the
same way whether it is required or not.
The prediction method based on artificial
intelligence in the second stage. Later on, to enhance the
prediction accuracy, the researcher Yin [15] adopted the
artificial intelligence method, such as the artificial
neural network (ANN) and its improvement model. By
introducing the artificial intelligence factors into the
traditional method, such as the learning and
generalization ability of neural networks, expert system
inference rules, etc, then the regional logistics
requirements prediction accuracy can be improved.
However, there are still the following problems: firstly,
it cannot guarantee the generalization capability of the
prediction model, which makes it no stable prediction
effect for the new logistics requirements data sets for
the prediction model after training. Secondly, when the
number of study samples is limited, the learning process
error is easy to converge to local minima, hence the
learning accuracy is difficult to guarantee; when there is
more sample variables, it will come to the disaster of
dimensionality. Thirdly, it mainly relies on the
empirical risk minimization principle, and its main
defects are: to select the decision-making function with
the empirical risk instead of the expected risk is not
subject to strict testifying and full demonstration, which
is only a reasonable way; it is easy to lead to "overlearning". It is an inevitable result by blind pursuit of
small errors, which causes decrease in the generalization
ability.
The prediction methods based on statistical learning
theory is the third stage. To further enhance the
accuracy and stability of the prediction models, in
recent years, the researchers started to explore the
357
prediction method based on the principle of structural

risk minimization [7]. Such methods are represented by
the support vector machine (SVM). Although certain
achievements have been made, some urgent problems
still exist in the regional logistics requirements
prediction [10, 11], mainly as follows: first, when the
quantity of learning samples is limited, the learning
process error is easy to converge to a local minimal
point, and the learning accuracy is difficult to guarantee;
when there are many learning sample variables, they fall
into the dimension disaster. Second, mainly rely on
the empirical risk minimization principle. Therefore, the
generalization capability of the prediction model cannot
be guaranteed from theory, which makes the predictive
models after training to have no stable prediction effect
for the new logistics requirements data set. Third, since
the concept of regional logistics has been introduced to
China for not a long time, many logistics standards are
not unified, and also lack of direct statistical data. The
historical data for researching prediction have to be
substituted by the related cargo quantity, which affect
the empirical study of the prediction methods.
Especially in china, most of the literatures are only an
overview of the method, and almost no actual regional
logistics data are used for predictive analysis, which
makes many studies lack of practical significance.
Fourth, the selection method of indicators of regional
logistics mainly which support the prediction, relies on
the experiences of the industry researchers and
practitioners, the principal component analysis, factor
analysis and other traditional methods, hence they are
lack of new research method. Fifth, among these
methods, although the artificial intelligence methods
and support vector machine method have certain
advantage in the prediction of accuracy, it still cannot
explain the models effectively.
As seen from the above analysis, the researches in
the present stage are mainly restricted by the nonunified logistics standard. Under the condition of lack of
direct statistical data, to continue the logistics
requirements prediction from the perspective of
regression statistics cannot guarantee the prediction
accuracy, nor explain the models effectively.
Regional logistics requirements is a derived
requirements determined by the level of regional
economic development, therefore, the indicators that
affect the regional logistics requirements prediction
such as economic factors (mainly including: the overall
level and scale of the regional economy, industrial
structure and product structure of the regional economy
and the spatial layout of the regional economy, etc),
logistics industry factors (mainly including: logistics
facilities and services, changes in logistics costs, etc.),
environmental factors (mainly including: technological
progress, economic policies and institution, etc), as well
as other factors (mainly including: regional geographic
location, emergency factors, etc.), will directly or
indirectly affect the growth or reduction of the regional
logistics requirements.
Therefore, by integrating various factors that affect
the regional logistics requirements, this study explores
the logical relationship between the regional logistics
requirements and many other relevant factors based on
358
the spatial economics and new economic geography, etc,

and from the perspective of market potential in the
space economic principles, then this study established
the logistics requirements gravity model and expanded
the logistics requirements prediction way from the
single statistical principles to the new area of space
economics and regional economics, to enrich the
research method of the regional logistics requirements.
In recent years, among the relevant study in spatial
economics, the theoretical breakthrough made by the
economists Krugman [8], Fujita and Thisse [5] brought
a new wave of the industrial clustering study [16]. But
regrettably, there is still very less experiences and
empirical support in the logistics industry clustering and
logistics requirements prediction; therefore, this study
expects to make some efforts in this area.
The paper is structured as follows: after the
introductory section of Chapter 1, there will be followed
by the description of the logistics requirements potential
model. In so doing, the research procedure is included
in Chapter 2. Moreover, the research scope and logistics
requirements prediction are described in Chapter 3.
Finally, conclusions are drawn in Chapter 4.
2. RESEARCH METHOD
2.1 Logistics Requirement Potential Model
The concept of market potential was firstly proposed

by Harris [6], which can be described that, as a place of
production, the decision of region depends on the easy
accessibility of market in this area. The measurement on
the accessibility is the market potential index, which can
be expressed by the formula: M j
Y g (D
k
jk
),
where,
M j is the market potential of place j; Yk is the
incomes of the all regions;
Yk g ( D jk ) is the decay
function of distance; D jk is the distance between place

j and place k. Harris market potential model, however,
has no micro-structure, which only showed that the
market potential is proportional to market purchasing
power of various places (i.e. the market scale), and
inversely proportional to the distance from this place to
the market.
But the theoretical innovation on this issue as a
special field was originated from the early 1990s when
Krugman [8] and Fujita and Thisse [5], et al built the
New Economic Geography (Acs [1]). The economists
represented by Krugman studied the business location
choice behaviour to maximize the profits, and proposed
the market potential model based on the monopolistic
competition, increasing returns to scale and iceberg
transport cost, general equilibrium framework including
the enterprise subject decision behaviours. Krugman
claimed that two forces determine whether the
economic behaviour and economic factors are
convergent or diffusive in spaces in the model:
centripetal force and centrifugal force. The centripetal
force makes the economic activities and economic
elements to reflect the industrial agglomeration in the
spatial distribution in the industry level, which is why
the new economic geography and spatial economics

attaches great importance to industrial agglomeration.
However, Krugman [8] and Fujita and Thisse [5], et
al who proposed the potential model just from the
perspective of economic scale and regional economic
agglomeration. On the basis of the market potential
model, this paper has introduced the related logistics
factors, including a series of related indicators such as
overall level and scale of the regional economy,
regional cargo output, and economic distance, to
construct the logistics requirements potential model:
a
Pi kij
M iai M j j
EDijb
(1)
where, Pi is the potential value between city i and j, kij

is the weight, which reflects the contribution rate of the
city i on the centripetal force; M i , M j respectively
represent the scale of two cities (such as gross national
product, logistics volume, population, etc.), ai , a j are
the indices, which reflect the space liquidity difference,
EDij is the economic distance between the two
geographic locations, and b is the friction coefficient of
distance.
Since the two cities have different contributions to
the centripetal force, it is required to calculate its
contribution on the centripetal force when calculating
the potential of city i according to the following formula:
GDPi
Qtotal i
kij
GDPi GDPj Qtotal i Qtotal j
Qindustry i
Qindustry i Qindustry j
(2)
where, GDPi and GDPj are respectively the GDP of

cities i and j; Qtotal i and Qtotal j are respectively the
Therefore, the formula of the logistics requirements

potential model can be changed as:
Pi kij
By constructing the model of the logistics

requirements potential, this paper has predicted the
logistics requirements of Zhuanghe, which not only
avoids the double counting of the cargo quantity, but
also calculate the logistics requirements potential value
of Zhuanghe, and sort the logistics requirements
potential values in various cities within the system.
Let Zhuanghe as the research centre, this study,
firstly, need identify the cities which have high
relevance with logistics of Zhuanghe to jointly
constitute a logistics system. Then, based on the leading
industry of Zhuanghe, this study could predict the cargo
output of each city in these industries by data fitting.
When predicting the logistics requirements based on
the logistics requirements potential model, this study,
firstly, need calculate five parameters which are the
GDP weight, weight of the cargo quantity, weight of the
industry cargo quantity, weight of the city logistics scale,
and economic distance; then the study should
respectively calculate the logistics requirements of the
leading industries in each city, that is, by applied with
the logistics requirements potential model, this study,
firstly, calculates the logistics potential value of the
leading industry in each city, and by normalization
processing, the weight of the potential value can been
obtained, and then multiply the total production of cargo
of this industry within the system, to obtain the logistics
requirements of each industry within the system in each
city. The formula is:
Logistics requirements of Cityi Industry j (5)
Potential ValueWeight Total Output of Industry j Within System
3. RESULT ANALYSIS
Qindustry j are respectively the production of goods of
3.1 Research scope
paper, the
Qi Q j (the product of cargo quantity)
represents the city size; the combined proportion of

highway, railway and waterway is used to calculate the
economic distance:
(4)
EDij2
2.2 Research Procedure
production of goods of cities i and j; Qindustry i and

the dominant and leading industry in cities i and j.
According to assumptions (Li and Ji [9]), in this
Qi Q j
The study is centring on city of Zhuanghe, scope of I,

II, III area surrounding, I area is as per radius of 100kms,
II area is as per radius of 100~300kms, III area is as per
radius of 300~500kms, and IV area are the cities along
the east-railway (Figure 1).
EDij Chighway ij Dhighway ij Crailway ij
Drailway ij Cwaterway ij Dwaterway ij
(3)
where, C is the transportation cost, D is the spatial

distance between two cities, , , are transport
weights calculated by three transport modes. According
to [10, 11], this paper has set the distance friction
coefficient to 2.
Figure 1. Radiation area of research scope
359
Definition of I, II, III surrounding areas is as

following: central city: Zhaunghe; I area: Wafangdian
and Pulandian; II area: Yingkou, Dandong, Dalian,
Anshan, Panjin, Jinzhou and Huludao; III area:
Shenyang, Fushun, Tieling, Fuxin, Chaoyang, Yantai,
Weihai, Tonghua and Baishan; IV area: Hegang,
Jiamusi, Shuangyashan, Yanji, Jixi, Mudanjiang and
Qitaihe.
3.2 Prediction for static cargo quantity
Zhuanghe is located between Dalian and Dandong,

the centre of the Northeast Asia economic circle. With
the advantage of location, resources and industry, it is
one of the windows for the openingup in Liaodong
Peninsula. As the construction of eastern border railway
in Northeast, HD-highway, ZG-highway, ZX-railway,
Binhai National Road and the national first level ports
in Zhuanghe, Zhuanghe will become an important sea
port city in Northeast eastern region, and also an
important node for commodity exchange in the
Northeast to Japan, South Korea and North Korea.
In addition to the geographic advantages, the rapid
economic development of Zhuanghe has direct
correlation with its industrial structure [13]. The major
industry in Zhuanghe is the second industry with
relatively complete category, including its three superior
industries: agro-food processing industry, machinery
and
equipment
manufacturing
and
furniture
manufacturing, which account for a large proportion of
the industrial added value. In addition, the rapid
development of the above-scale general equipment
manufacturing industry, transportation equipment
manufacturing industry & communications equipment,
computer & other electronic equipment manufacturing
industry will bring a large quantity of logistics
requirements.
Table 1. Predicting cargo quantity results of each city in
2015
City
Industry
Farming
Animal Husbandry
Aquatic Products
Food Processing
Food Manufacturing
Textile & Garment
Furniture Manufacturing
Plastic Products
Special Equipment Manufacturing
Fabricated Metal Products
General Equipment Manufacturing
Transportation Equipment Manufacturing
Electrical Machinery Manufacturing
Communications and Electronic Equipment
Flow of Commerce
P.L.D.
206.74
126.52
57.19
32.41
16.63
0.99
73.22
7.95
1.40
8.90
360
Y.K.
275.39
42.66
74.47
86.56
41.26
2.29
169.83
23.14
4.03
79.01
D.D.
191.64
90.01
106.09
200.92
173.94
5.42
131.44
187.53
66.05
39.27
D.L.
644.47
296.69
249.43
322.82
182.97
10.65
673.38
83.01
21.53
447.10
Z.H.
W.F.D.
185.44
63.49
74.09
187.57
78.51
1.56
370.69
13.15
1.78
100.46
6.31
18.14
1.61
1.17
42.24
A.S.
518.36
159.77
-742.30
75.38
2.43
76.48
89.27
31.45
16.26
426.76
114.89
11.82
51.57
23.29
1.32
93.46
12.46
2.37
16.56
4.17
31.21
5.83
0.42
50.79
P.J.
334.25
43.89
64.85
268.60
18.12
0.08
2.85
42.45
33.66
5.64

2.87
19.57
3.90
0.22
41.57
J.Z.
764.53
293.86
79.47
275.63
174.74
5.57
165.11
6.56
93.05
38.15
162.41
145.90
266.98
9.68
136.69
C.Y.
920.06
279.22
-198.43
117.89
3.72
101.60
189.25
66.75
26.10
146.68
88.06
163.98
6.64
169.80
J.M.S.
897.77
119.06
3.82
324.07
6.98
1.08
0.87
0.27
1.13
2.53
4.48
0.14
19.88
-127.79
7.14
56.21
9.85
3.56
126.18
H.L.D.
375.64
68.50
77.41
190.84
147.46
4.92
165.64
5.85
67.75
29.90
118.24
118.59
262.25
7.43
106.73
Y.T.
984.30
232.80
178.32
221.41
151.21
24.19
106.82
27.00
0.30
3.35
7.22
61.88
0.11
520.86
298.54
S.Y.S.
383.60
125.76
0.62
42.86
116.57
2.02
61.04
2.59
41.30
23.30
71.80
60.80
72.07
3.18
71.19
115.28
110.95
211.57
10.07
121.27
S.Y.
1075.67
431.18
27.01
1460.33
155.73
4.85
117.85
175.64
61.86
35.16
107.97
99.49
189.72
9.01
375.03
W.H.
249.42
58.33
164.55
271.70
0.98
56.27
51.47
10.40
0.15
1.46
0.77
126.92
13.23
149.285
113.97
Y.J.
44.60
7.30
-60.62
14.49
1.41
25.01
4.23
22.14
13.93
41.50
37.12
72.25
5.92
26.49
37.03
195.65
53.49
16.98
317.69
F.S.
72.76
43.96
-315.08
30.82
0.99
31.13
37.90
13.35
6.66
23.30
23.36
50.42
1.69
108.93
T.H.
272.15
136.87
-48.06
23.77
1.33
95.64
12.84
2.43
41.28
4.22
31.61
5.90
1.21
98.19
J.X.
327.47
28.39
3.00
90.13
64.53
2.22
57.45
4.45
33.30
22.16
57.91
56.07
96.73
3.62
99.59
54.89
55.05
123.85
4.11
169.53
T.L.
886.01
267.17
-261.54
151.75
4.78
129.34
244.11
84.49
33.65
150.05
111.91
208.73
8.57
134.14
B.S.
16.85
49.44
-42.80
20.80
1.20
86.50
10.80
1.95
13.82
4.07
25.85
5.17
0.35
58.81
M.D.J.
341.68
76.76
3.14
133.22
116.12
3.70
86.83
4.42
59.89
35.74
104.43
75.42
141.31
6.73
363.69
1.80
27.05
8.75
4.57
72.08
F.X.
323.03
651.60
1.89
90.02
57.68
1.84
55.31
2.16
33.20
12.56
57.95
48.99
89.39
3.18
115.07
H.G.
133.65
25.29
0.48
72.12
49.00
1.68
43.49
2.20
31.45
34.74
85.11
42.87
73.47
6.39
52.83
Q.T.H.
252.96
31.66
-25.80
0.12
6.46
5.98
1.16
0.04
0.21
0.18
20.75
1.35
165.40
42.76
Economic development speed of Zhuanghe has

direct correlations with its industrial structure. By
combining with the status of economic development,
this study has mainly analyzed the following 16
industries which are Farming, Animal husbandry,
Aquatic products, Food processing, Food manufacturing,
Textile and apparel, Furniture manufacturing, Plastic
products, Special equipment manufacturing, Fabricated
metal products, General equipment manufacturing,
Transportation equipment manufacturing, Electrical
machinery manufacturing, Communications and
electronic equipment, and Flow of commerce. Based on
data collection of site survey, statistical yearbooks and
bulletins, this study, firstly, has calculated the static
cargo quantity of 16 industries of Zhanghe and
surrounding four areas by means of data fitting,
Qn=Q0(1+x)n-1. It is shown in Table 1.
3.3 Prediction for dynamic logistics requirements
Within the system (four areas) composed by 26

cities centering Zhuanghe, Zhuanghe is located in the
narrow space. Therefore, it is required to accurately
calculate the logistics in the environment, and it is also
critical to carry out accurate logistics industry
positioning under the competitive environment.
Table 2. Predicting GDP results of each city in 2015
City
GDP
W.F.D.
1539.18
A.S.
4447.38
F.S.
1734.42
W.H.
3840.16
S.Y.S.
922.65
P.L.D.
927.89
P.J.
1543.76
T.L.
1880.96
T.H.
1544.63
Y.J.
446.14
Y.K.
2343.36
J.Z.
1543.76
F.X.
885.07
B.S.
1284.77
J.X.
808.02
D.D.
1393.76
H.L.D.
1051.56
C.Y.
1833.49
H.G.
535.48
M.D.J.
1572.03
Z.H.
1438.02
D.L.
10546.39
S.Y.
10212.62
Y.T.
7985.08
J.M.S.
958.94
Q.T.H.
799.45
When predicting the logistics requirements based on

the logistics requirements potential model, this study
firstly should calculate the five parameters which
include: GDP weight, weight of cargo quantity, weight
of industry cargo quantity, weight of city logistics scale,
and economic distance (Figure 2).
Table 3. Economic distance from Zhuanghe to other Cities
From Zhuanghe to other Cities

Economic distance
W.F.D.
P.L.D.
2275.29
2481.53
A.S.
P.J.
8927.40
8937.06
F.S.
T.L.
20037.82 22769.72
W.H.
T.H.
12544.52
2162.25
S.Y.S.
Y.J.
12723.84 13947.61
Y.K.
3535.49
J.Z.
41031.00
F.X.
22749.33
B.S.
2652.25
J.X.
17715.61
Judging leading
industries
D.L.
4830.57
S.Y.
17509.48
Y.T.
12100.51
J.M.S.
10261.69
Q.T.H.
17768.89
GDP;
Total cargo quantity;
Industry cargo quantity;
City logistics scale;
Economic distance;
Collecting cargo
quantity data
Calculating leading
industry logistics
requirements potential
values
Predicting cargo
quantity data in
future
Applying normalization
process to obtain
potential value weight
Logistics requirements of each industry

within the system in each city
weights
Identifying scope of
logistics system
D.D.
1005.71
H.L.D.
49188.79
C.Y.
52573.22
H.G.
6642.25
M.D.J.
16205.29
The predicting values of GDP in year 2015, and

economic distance between Zhuanghe and other cities
have been summarized in Table 2 and Table 3,
respectively.
Within the 26 cities, each city has its different key
industry type; therefore, the production and
consumption have different features. Judging the
leading industry based on Zhuanghe, this study has
predicted the logistics requirements of these industries
in each city. Firstly this study has calculated the
potential value of logistics requirements of the leading
industry in each city. By applying the normalization
process, the weight of the potential value could be
obtained. Then, the logistics requirements of each
industry within the system in each city can be calculated
by the weight of the potential value multiply by total
cargo quantity of this industry within the system. The
predicting logistics requirements of Zhuanghe in 2015
have been summarized in Table 4, and the following
observations can be made [14].
Table 4. Predicting logistics requirements of Zhuanghe
Industry
C.Q.
Log.R.
Farming
185.44
245.99
Animal H.
63.49
95.15
Aquatic P.
74.09
90.99
Food P.
187.57
259.06
Food M.
78.51
87.62
T. & A.
1.56
3.30
F. M.
370.69
429.23
Plastic P.
13.15
36.58
Special E. M.
1.78
9.48
F. M. P.
100.46
105.05
General E. M.
6.31
22.34
T. E.M.
18.14
25.07
E. M. M.
1.61
11.67
C. & E.E.
1.17
13.47
F. C.
42.24
51.76
Sum
1146.21 1486.76
C.Q.: Cargo quantity.
Log. R.: Logistics requirements
Var.: Variation.
Var.
60.55
31.66
16.9
71.49
9.11
1.74
58.54
23.43
7.7
4.59
16.03
6.93
10.06
12.3
9.52
340.55
Rank
13
12
4
8
6
14
3
10
16
3
15
15
25
16
15
--
The column and row totals represent, respectively,

the static cargo quantity, dynamic logistics requirements
of Zhaunghe and the variation in 2015 year.
It is clear from Table 4 that, the static cargo quantity
yields lower than the dynamic logistics requirements in
each industry. This result indicates that the logistics
potential value is greater than average level, therefore
the variation is positive.
However, in sort order of industries competitive
power,
most
industries
of
Zhuanghe
are
disadvantageous, except the industry of Aquatic
Products, Food Manufacturing, Furniture Manufacturing
and Fabricated Metal Products, thus indicating that the
four leading industries has played the role of logistics
engine, and Zhuanghe municipal government would
need give policy support to them.
Figure 2. Research procedure
361

4. CONCLUSIONS
As a gathering node of logistics companies and

logistics devices, logistics parks has become an
important theme pushed forward by provinces and
zones. According to incomplete statistics, there is
several hundreds of logistics park, logistics base or
logistics centre being planned and constructed at present.
With its status confirmed on a national level, especially
its important role in the service industry, logistics
industry is one of the key items planned and developed
by all levels of governments and is served as a new
economic growth point in many zones.
North eastern old industrial base reconstruction
brings historical development chance and policy
advantage for development of logistics industry in
Zhuanghe. The state has intensified support for
infrastructure construction in Liaoning Regions so that
such tangible infrastructures as communication, road
traffic and urban infrastructures have an obvious
improvement. Especially the improvement of
transportation conditions is a powerful precondition for
the development of the logistics industry. Zhuanghe has
accelerated construction of logistics infrastructures
continuously in recent years, such as logistics parks.
However, it is not all logistics parks have well
played the role of logistics engine expected by us. In
fact, there are no enterprises settling in most logistics
parks and the vacancy rate is as high as 60%, resulting
in huge wasting of resources. Therefore, construction of
logistics parks should follow a uniform planning and
should not be repeated. Because of that, a scientific
prediction is a basic work for proper planning of
logistics parks, which is also important to analyze the
proper construction scale of logistics parks.
Furthermore, from the prospective of macro
economic development of industries, the various
regional logistics development strategies and regional
logistics plan cannot be formulated without a
quantitative analysis of regional logistics requirements.
The first question occurred in logistics planning is the
prediction for the scale of macro logistics market.
Prediction of regional logistics requirements could
provide a basis in theory for national and regional
economic administrations. In addition, according to
prediction of regional logistics requirements, the
government could evaluate the contribution of the
logistics industry to local economic development which
is useful in helping the government to formulate for the
logistics industry and guide optimum configuration of
resources in the logistics market.
From a micro perspective, logistics enterprises
should properly configure limited resources according
to the prediction of logistics requirements in order to
minimize investment risks and maximize benefits. Thus,
a scientific prediction of regional logistics requirements
is a very important task.
362

REFERENCES
[1] Acs, Z.: Innovation and the Growth of Cities,

Edward Eglar, Cheltenham, 2002.
[2] Bao, Li-li. and Hu, Z.-H.: The Forecast of Freight
Quantity in Nanjing Based on GM (1,1).
Sciencepaper online, 2005.
[3] Chu, L-Y., Tian, Z.-G., Xie, X-l.: Application of a
combination forecasting modal in logistics demand,
Journal of Dalian Matitime University, Vol. 30, No.
4, 2010.
[4] Guo, X., Xie, S. and Hu, B.: Regional Logistics
Demand Analysis Model and Solution, Journal of
Southeast Unversity, Vol. 31, No. 3, 2009.
[5] Fujita, M. and Thisse, J.F.: Economics of
Agglomeration: Cities, Industrial Location and
Regional Growth, Cambridge University Press,
Cambridge, MA, 2002.
[6] Harris, C. D.: The market as a factor in the
localization of industry in the United States, Annals
of the Association of American Geographers, Vol.
44, pp. 315-348, 1954.
[7] Huang Hu.: A Study on Regional Logistics
Requirements Model, Statistics and Decision, Vol.
17, 2005.
[8] Krugman, P.: Increasing Returns and Economic
Geography, Journal of Poetical Economy, Vol. 99,
pp. 483-499, 1991.
[9] Li, L., Ji, J.-H., A Study on Definition of Spatial
Metropolis Circle, Statistics and Decision, Vol. 4,
pp. 109111, 2007.
[10] Luo, F. and Feng, Li-le.: The Classification of
Nanjing Metropolis Circle Based on Gravity Model,
Journal of East China Economic Management, Vol.
24, No. 6, 2010.
[11] Luo, S., Ye, S., Hu, R.: A Research of Forecasting
the Logistics Amount Based on Multi-output
Support Vector Regression, Journal of East China
Jiaotong University, Vol. 27, No. 5, 2010.
[12] Xia G.-E, A study on the development of regional
logistics requirements prediction, China Logistics
and Purchasing, Vol. 4, pp. 68-69, 2010.
[13] Xiang, T.C. and Cui, D.G.: Air Traffic Flow
Management System Based on Data Warehouse
Technique,
Computer
Engineering
and
Applications, Vol. 37, No. 16, 2006.
[14] Xing, L., Wu, Z.N., Hu, C.H.: Improved Elastic
Coefficient Method and its Application for
Domestic Water Demand Forecast, Vol. 29, No. 2,
pp. 95-98, 2008.
[15] Yin, Y-l.: Logistics demand forecast based on
adaptive neural network, Journal of Henan
Polytechnic Unversity, Vol. 29, No. 5, 2010.
[16] Zhao, Z., Shi, M-j., Chen, X-z.: An Analysis on
Market Potential in West China, Review of Arid
Land Geography, Vol. 29, No. 5, 2006.
Performance Analysis of a Southern

Mediterranean Seaport via DiscreteEvent Simulation
Francesco Longo
Assistant Professor
University of Calabria
Department of Mechanical Engineering
Aida Huerta
PhD Candidate
University National of Mexico
Department of Operations Research
In this paper a discrete-event simulation model of a medium-sized

Mediterranean seaport is presented to analyze the performance evolution
of the turn-round time of the ships. The model was validated by calculating
the run simulation length through the Mean Square Pure Error Analysis.
Computational experiments were conducted based on a 24 factorial design
to analyze the effect of the input parameters as the inter-arrival time, the
unloading/loading time, the numbers of cars and trucks to unload/load
and their interactions, on the turn-round time of the ship. The effect of the
input parameters was analyzed through the Analysis of Variance and the
Residuals techniques. The three largest effects on the turn-round time were
the interactions between the inter-arrival time, the number of cars and the
unloading/loading time.
Keywords: Mediterranean seaport, performance analysis, discrete-event
simulation.
1. INTRODUCTION
Despite an economic slowdown, the world fleet is on

the rise with 10 per cent growth over the present year.
The dry bulk carriers rank with the largest growth of
tonnage, 17 per cent, followed by oil tanker, with a
growth of 6.9 per cent, and by container ships with a
share of 12.9 per cent of the world growth total
(UNCTAD [16]). The seaports, serving as the interface
between maritime and inland transportation, play a
crucial role in the global, regional and local economy.
The Mediterranean Sea, as strategic logistics region for
the international sea trade, is amongst the worlds
busiest waterways accounting for 15 per cent of global
shipping activity and 10 per cent by vessel deadweight
tones. Overall vessel activity within the Mediterranean
Sea has been rising steadily over the past 10 years and is
projected to increase by a further 18 per cent over the
next years. Whilst the relative importance of East
Mediterranean ports will increase the greatest level of
vessel activity will continue to be concentrate around
western and central Mediterranean ports (Lloyds [9]).
In order to continue being attractive in a logistics world
confronted with mounting reliability and capacity
issues, the Mediterranean seaports management needs to
be supported by powerful tools based on performance
measurement and on their corresponding analysis. The
objective of this paper is to propose a set of
performance measurements for a medium-sized
Mediterranean seaport and through its simulation model
analyze its evolution. Port performance measurement is
today of great importance for the whole port
community, i.e. decision makers, port authorities, users,
service providers, port cities and linked communities.
Correspondence to: Dr. Francesco Longo
Department of Mechanical Engineering,
Via P. Bucci, Cube 44C, third floor, 87036, Rende(CS), Italy
E-mail: f.longo@unical.it
All port stakeholders need to monitor how they perform,

report adjustments to the extensive changes, supervise
whether their strategies produce the desire outcomes,
and develop via corrections of any misallocations and
malfunctions (ESPO [6]) considering quantitative and
qualitative aspects, according with the trends in
contemporary seaports logistics. From the literature
(Parmenter [14]), we can distinguish three types of
performance measurements: key Result Indicators
(KRIs), that inform about how something has been done
in a perspective, Performance Indicators (PIs) that tell
what to do, and Key Performance Indicators (KPIs)
which inform what to do to increase performance. The
port performance measurements recommended by the
PPRISM project (ESPO [6]) to the European port
community stakeholders are grouped in five categories:
Market trends and structure, Socio-Economic impact,
Environmental performance, logistic chain and
operational performance, and governance.
Technically, simulation modeling has been used
since 1980 in the research of the industry (Bruzzone and
Longo [2], Longo [10]) and seaports (Woo et al. [17]).
In particular, discrete-event simulation, DES, has been
extensively used to study specific domains as logistics,
operations, and planning of seaports. Several research
papers have focused on specific areas of the seaports as
for example the container terminal. Recently, in the
domain of logistics, Corts et al. [5] studied the freight
transport process, and after testing several scenarios
they stated that the facilities of the port allow dealing
with the incoming logistics flows, except for monetary
difficulties in the container traffic. Massei et al. [12]
through the model of logistics and operations in a port
terminal evaluated and analyzed the environmental
impact. While in the operations domain, interesting
results were presented by Bugaric and Petrovic [3]
about the increment of the terminals capacity for bulk
cargo unloading activities without new capital costs by
introducing a strategy in the work of the unloading
devices, and by Longo [11] about the use of inspection
363
in a container seaport with a simulation model. The

planning horizons that a decision maker have to face are
considered in Carten and de Luca [4] were different
microscopic DES models for a container terminal are
developed focusing on the best approach to adopt to
simulate handling activity time duration, concluding
that the simulation results from DES models confirm
that such an approach is quite effective at simulating
container terminals operations and planning. The
motivation behind this study is to analyze the evolution
of the turn-round time of the ships Ro-Ro based on the
change in the duration of the unloading/loading
activities and the number of cars and trucks
unloaded/loaded.
The paper is organized as follows. In section 2 the
simulation methodology is presented. The simulation
model of the seaport is described in Section 3 and
validated in Section 4. The experiments are designed in
section 5. The results of the research work are outlined
in Section 6 and the main conclusions are drawn in
Section 7.
Figure 1. Commercial seaport layout
The flow of the DES model is described in Figure 2.

It is important to outline that due to the physical
dimensions of the seaport, just one ship can enter/to or
exit /from the seaport. Additionally, the exit has the
priority over the entrance.
2. METHODOLOGY
DES is the modeling over time of a system all of

whose state changes occur at discrete points in timethose points when an event occurs (Banks [1]). Using
DES we were able to explore the operating procedures
in a seaport without disrupting ongoing operations of
the real system, getting understanding about the system
operation to analyze its performance evolution. The set
of steps followed in this simulation study were based on
those suggested by Banks [1], Shannon [15], Gordon
[7], and Law and Kelton [8].
2.1 The conceptual model
We analyze a medium-sized Mediterranean seaport

that occupies a strategic logistic position in the centre of
the Mediterranean Sea performing a primary role for
trade exchanges and transport system in the southern
Italy. Its strategic position has let to consider this
seaport as one of the main Italian calls for the
Motorways of the Sea, that are part of the TransEuropean transport network (TEN-T) and Marco Polo II
programme. In this study, the commercial seaport was
considered as a whole system. Seven physical zones
were distinguished: the West Pier, the Red Quay, the
Trapezio Pier, the Ligea Quay, the 3 Jannuary Pier, the
Manfredi Pier and the Levanter Pier. The seaport offers
regular Ro/Pax connections with the port of Valencia,
Malta, Tunis, Messina, Palermo, Tripoli, Termini
Immerse and Cagliari. In the DES model, we took in
account the Ro/Pax macroactivities and also, the Ro-Ro
container, Ferry and Merchandise various. In Figure 1,
the layout of the seaport is presented.
2.2 Data collection
The data for the DES model were collected on the

actual ships arrival at the commercial seaport from 1
January 2010 to 31 December 2011 and from 6 March
2012 to 14 May 2012.
364
Figure 2. Flow of the DES model
3. THE SIMULATION MODEL
The DES model was developed using Anylogic

software (release 6.4). The Anylogic language,
originally developed to handle complexity in software,
allows the simulation of diverse domains using different
approaches, and provides animation which can be useful
to support the making-decision of seaport planners.
a. The input data analysis
A very important part of the simulation model is the

correct choice of the values of the parameters which
depends of the availability of data. In this direction,
considering equal-width intervals and using the Scotts
formula (1)
K 1.15 N1/3 , N 25
(1)
we obtained the K intervals for each input parameter of

the model. Then, the N data collected were fitted to
probability density functions based on the K intervals.
The simulation input values for the Ro-Ro/Pax ships are
presented in Figure 2 the inter-arrival time and in Figure

3 the service time.
When the simulation time is equal to 60 weeks, the

value of the MSpE correspondent to the ships arrived is
small enough. At this time, the effect of the noise
produced by an inadequate overlapping of the
probability density functions of the input parameters of
the model over the output simulation results is
minimized considerably and the DES model can be
considered as a valid aid for making-decision.
5. DESIGN OF EXPERIMENTS
For purposes of the simulation experiments, in order

to analyze the evolution of the turn-round time of the
ships Ro-Ro/Pax in the seaport due to the change in the
input parameters, we use a 24 factorial design (Figures 5
and 6). The 24 design is particularly useful in the early
stages of experimental work (Montgomery [13])
because it provides 16 simulation runs for which 4
factors (input parameters) can be studied in a complete
factorial design. Each simulation run of 60 weeks length
was replicated 5 times. The input parameters and their
two quantitative levels that were used are presented in
Table 2.
Figure 2. Inter-arrival time RoRo/Pax ships
Table 2. Parameters for the 2 experiment design
Factor
Figure 3. Service time RoRo/Pax ships
4. MODEL VALIDATION
For the purposes of the model validation, by first

step, we calculated the run length through the Mean
Square Pure Error (MSpE) Analysis of the number of
ships arrived at the seaport and their service time. By
second step based on the results of the MSpE, we built
the confidence interval (99.75%) to verify that the real
value is included inside the confidence interval with a
probability of 0.9975. The MSpE evolution for the RoRo/Pax ships arrived at the seaport is presented as a
suitable knee curve illustrated in the Figure 4 and the
values for the confidence interval are summarized in the
Table 1.
Var
Level [-1]
Level [1]
Inter-arrival time of the

ships
X1
Empirical
distribution
(see Fig. 5)
Empirical
distribution
(see Fig. 6)
Unloading/Loading
time of Ro-Ro /Pax
X2
0.5 minutes
1.5 minutes
Numbers of cars
Numbers of trucks
X3
X4
50
50
100
100
Figure 5. Service time RoRo/Pax ships (-20% mean real

time)
Figure 4. MSpE Analysis (Ro-Ro passenger ships per week)

Table 1. Confidence interval (99.75%)
Ro-Ro/Pax ships
Ships per week
Service Time
Real value
[Min-Max]
3.46
[3.32 4.30]
7.42 hours
[6.58 , 7.47] hours
Figure 6. Inter-arrival time RoRo/Pax ships (+20% mean real

time)
365
As only two levels for each input factor from Table

2 were considered, the response is approximately linear
over the range of the factor levels chosen. Using
Minitab software we analyzed data from the designed
experiments. In this specific case, we analyzed the
influence of the inter-arrival time of the ships,
unloading/loading time of Ro-Ro/Pax, the numbers of
cars, and the numbers of trucks, over the turn-round
time.
Because we considered two levels of each input

factor, it is interesting to compare the means of these
levels and its influence over the turn-round time trough
the Analysis of Variance (ANOVA). In this study, the
ANOVA partitions the total variability of the turn-round
time in different parts due to the influence of the change
in the inter-arrival time of the ships, unloading/loading
time of Ro-Ro/Pax, the numbers of cars, and the
numbers of trucks. Table 3 presents the ANOVA results
from Minitab software. The column DF, degree of
freedom, indicates that each input parameter has a
degree of freedom. The column Adj SS, adjusted sum of
squares, reports how much the model sum of squares
increases when each group of terms is added to a model
that contains all the other terms.
Table 3. Analysis of variance for the turn-round time
Source
X1, X,X3,X4
X 1 X 2, X 1 X 3, X 1 X 4,
X 2 X 3, X 2 X 4, X 3 X 4
X 1 X 2 X 3, X 2 X 3 X 4,
X 1 X 3 X 4, X 1 X 3 X 4
X1 X2 X3 X4
Residual error
Total
DF
Adj MS
0,424
8,253
8,78
1
0
15
2,83
0
0
0
0
0
We obtained also the residuals from the 24 design,

which are presented in the Table 4 and describe the
error in the fit to an analytical model of the turn-round
time and the i-th effect of the interactions of the input
factors. From Table 4 we can observe that the three
largest effects on the turn-round time are the
interactions between X1X3, X2X3, X1X2X3, that correspond
to the interactions between the input factors of interarrival time and number of cars, unloading/loading time
and the number of cars, and the inter-arrival time,
unloading/loading time and the number of cars,
respectively.
4
Table 4. Residuals from the 2 design
Source
Constant
X1
X2
X3
X4
X1X2
X1X3
X1X4
366
Effect
Coefficient
10,694
0,119
0,488
-0,2363
-0,3400
-1,3520
2,4935
0,7887
0,0595
0,2441
-0,1181
-0,1700
-0,6760
1,2467
0,3944
0,7024
0,4615
-0,4707
1,0200
-0,9684
-0,2191
-0,4110
0,4209
1,4048
0,9230
-0,9415
2,0400
-1,9367
-0,4383
-0,8220
0,8418
The analytical model of the turn-round time (Y) and

the input factors (X1,X2,X3,X4) (2) is built using the
coefficients from Table 4 (3)
Y j 1 j x j i j xi x j
j k
(2)
i j
Y 0,0595x1 0,2441x2 0,1181x3 0,1700 x4

0,6760 x1 x2 1,2467 x1 x3 0,3944 x1 x4
0,7024 x2 x3 0,4615 x2 x4 0,4707 x3 x4
(3)
1,0200 x1 x2 x3 0,9684 x1 x2 x4 0,2191x1 x3 x4

0,4110 x2 x3 x4 0,4209 x1 x2 x3 x4 10,694
Based on the ANOVA results, showed graphically in
the Figure 7, and on the mean value of the turn-round
time 8.42 hours, we conclude that:
Increasing the inter-arrival time from -20% to
20%, the turn-round time of the ship RoRo/Pax decreases from 11 hours to 10.5
hours;
Increasing
the
numbers
of
cars
unloaded/loaded from 50 to 100, the turnround time increases from 8.8 hours to 12.5
hours;
While increasing the number of trucks
unloaded/loaded from 50 to 100, the turnround time increases from 9.5 hours to 12
hours;
And, increasing the unloading/loading time
of the cars and the truck from 0.5 minutes to
1.5 minutes, the turn round time decreases
from 11 to 10 hours.
First order effects
Inter arrival time
13
Un/Loading time
12
11
Mean of Turn-round time
6. SIMULATION RESULTS
X2X3
X2X4
X3X4
X1X2X3
X1X2X4
X1X3X4
X2X3X4
X1X2X3X4
10
9
-1
-1
Cars
13
1
Trucks
12
11
10
9
-1
-1
Figure 7. Analysis of Variance for the turn-round time
CONCLUSION
The DES model developed let us to explore the

macroactivities carried out in the seaport without
impacting the ongoing operations of the real system
(Figure 8). The validation model enables us to consider
the DES model of the seaport as a valid aid for makingdecisions.
REFERENCES
[1] Banks, J., Carson, J. S.: Introduction to DiscreteEvent

System
Simulation,
Prentice-Hall,
Englewood Cliffs, New Jersey, 1984.
[2] Bruzzone, A.G. and Longo, F.: An Advanced
System for Supporting the Decision Process within
Large-scale Retail Stores, Vol. 86, pp. 742-762,
2010.
[3] Bugaric, U. and Petrovic, D.: Increasing the
capacity of terminal for bulk cargo unloading,
Simulation Modelling Practice and Theory, No.
15, pp. 1366-1381, 2007.
[4] Carten, A., and de Luca, S.: Tactical and strategic
planning for a container terminal: Modelling issues
within a discrete event simulation approach,
Simulation Modelling Practice and Theory, Vol. 2,
pp. 123-145, 2012.
[5] Corts, P., Muuzuri, J., Ibaez, J. N., Guadix, J.:
Simulation of freight traffic in the Seville inland
port, Simulation Modelling Practice and Theory,
No. 15, pp: 256-271, 2007.
[6] ESPO (European Sea Ports Organisation): Port
Performance
Indicators
Selection
and
Measurements,
TREN/09/SUB/G2/170.2009,
2010.
[7] Gordon, G.: System Simulation, 2nd ed., PrenticeHall, Upper Saddle River, New Jersey, 1978.
[8] Law, A. M. and Kelton, W. D.: Simulation
Modeling and Analysis, 3rd ed., McGraw-Hill,
New York, 2000.
[9] Lloyds: Study of maritime traffic flows in the
Mediterranean Sea, Lloyds Marine Intelligence
Unit, 2008.
[10] Longo, F.: Advances of modeling and simulation
in supply chain and industry, Simulation, Vol. 87,
pp. 651-656, 2011.
[11] Longo, F.: Design and integration of the containers
inspection activities in the container terminal
operations, International Journal of Production
Economics, Vol. 125, pp. 272-283, 2010.
[12] Massei, M., Madeo, F., and Longo, F.: Modeling
Logistics & Operations in a Port Terminal for
Environmental Impact Evaluation and Analysis, In
Proceedings of the 10th International Conference
on Modeling and Applied Simulation, Rome 12-14
September, pp. 480-487, 2011.
[13] Montgomery, D.C.: Applied Statistics and
Probability for Engineers, 3rd ed. John Wiley and
Sons, 2002.
[14] Parmenter, D.: Key Performance Indicators,
Developing, implementing, and using winning
KPIs, John Wiley and Sons, New Jersey, 2007.
[15] Shannon, R. E.: Systems Simulation: The Art and

Science, Prentice-Hall, Upper Saddle River, New
Jersey, 1975.
[16] UNCTAD: World merchant fleet 2011-2012,
statistics at a Glance, UNCTAD stat, 2012.
[17]
Woo, S., Pettit, S., Kwak, D. and Beresford,
A.: Seaport research, a structured literature review
on methodological issues since the 1980s,
Transportation Research Part A, No. 45, pp. 667685, 2011
367
Figure 8. Input factors versus output response
368
Branislav Dragovi
Professor
Maritime Faculty
University of Montenegro
Romeo Metrovi
Professor
Maritime Faculty
Marko Mikijeljevi
MSc Student
Maritime Faculty
Stevo Markolovi
MSc Student
Maritime Faculty
A M / M / nb Queue Model-Based Study of

Specific Cost Ratio in a Port
In this paper, the total daily cost of a port queuing system with certain
number of berths is defined. This cost consists of the cost related to berths
and the cost related to the ships. The specific cost ratio is defined as a
ratio of total cost for considered period of a port queuing system and
average daily cost of a ship in port. Using the obtained formulae for
specific cost ratio, we derive the explicit expressions for these costs related
to the M/M/nb queue. Applying obtained expressions for arbitrary given
values for service cost ratio, we present a method for determining optimal
number of berths nb in a port for M/M/nb queue. This method is illustrated
by a numerical example under the condition that 1 nb 5 in which
optimal intervals for the traffic intensity are also calculated.
Keywords: Port, Specific cost ratio, Queuing model, M / M / nb queue,
Traffic intensity.
1. INTRODUCTION
This paper discusses the criteria for the combined

evaluation of important parameters of the total port cost
function such as: ship service and waiting time, the total
daily cost related to the all berths, daily cost of a berth
and ship, daily marginal cost per ship of a port system
and specific cost ratio. These parameters are basic of
queuing theory approaches and they were used in
previous investigations (Dragovi et al. [1]; Dragovi et
al. [2]; Dragovi and Metrovi [5]; Metrovi and
Dragovi [6]; Noritake [7]; Noritake and Kimura [8];
Noritake and Kimura [9]; Radmilovi et al. [10]; kuric
et al. [11] and Taniguchi et al. [12]). Furthermore, the
advantage of analytical modelling over queuing theory
modelling of ship-berth link is that it allows a higher
level of details and avoids too many simplifications.
The aim of this paper is to evaluate a decision
framework for specific cost ratio in a port. In order to
apply a method for determining optimal number of
berths in port for M / M / nb queue (under
condition nb 5 ) in the sense of minimization of the
appropriate specific cost ratio, it is necessary to define
the specific cost ratio Rnb ( rnb g nb ( )) in the
dependence of number of berths, nb and the traffic
intensity,
for M / M / nb queue and optimal intervals
for specific cost ratio

equations Ri ( )
Rnb via positive solutions of
Ri 1 ( ) , i 1,2,3,4 .
The optimal numbers of berths and related optimal

intervals (the so called ranges of optimal server
capacities; see e.g., Dragovi et al. [1] and Radmilovi
et al. [10]) in the previous defined sense for certain
Correspondence to: Dr. Branislav Dragovi, Professor
Maritime Faculty, University of Montenegro
Dobrota 36, 85330 Kotor, Montenegro
E-mail: branod@ac.me
single arrival and bulk arrival queuing systems were

studied by Noritake [7], Noritake and Kimura [8] and
Radmilovi et al. [10]. They predict specific cost ratio
in port and ranges of optimum berth capacity.
The organization of this paper is as follows. Section
2 presents a queuing model-based study of specific cost
ratio in port. In Section 3, we provide the formula for
specific cost ratio of M / M / nb queue with four and
five berths. The optimal number of berths and related
optimal intervals for specific cost ratios in the
dependence of nb and are provided in Section 4 with
a corresponding numerical example. Finally, we give
concluding remarks.
2. THE EXPRESSIONS OF SPECIFIC COST RATIO
The total daily cost for considered port system with

nb berths, TC , can be expressed as the sum of the cost
related to berths and the cost related to the ships present
in a port.
Assume that: C b the total daily cost related to the all
nb berths, US$/day; cb daily cost of a berth, and nb

number of berths.
Then
Cb cb nb .
(1)
On the other hand, the daily cost related to the ships

present in the service system, C s , is equal to
C s c s ns ,
(2)
where c s is a daily cost of a ship, US$/day and ns is the

average number of ships present in a port with nb berths.
Then the total daily cost for considered port system
can be expressed as a sum of the total daily cost related
to the all nb berths and the daily cost related to the ships
present in the service, TC , that is, by (1) and (2), we
have
369
TC C b C s cb nb c s n s .
(3)
R rnb Lq 2
Notice that by Littles Law,
ts
ns
(4)
(12)
r cb / cs and / is the traffic intensity.
(5)
Wq is the average time per ship for waiting in the
8, the formula (12) is applied in the next section to

derive the expressions for M / M / nb queue with
is the arrival rate of ships and
t s is the
average service time per ship in a port which can be

expressed as
t s Wq
Lq
queue (not including service time) and Lq is the average
nb 4 and nb 5.
number of ships waiting in queue (not including the one

currently in service) and is the average service rate.
From (3) we see that the total daily cost per ship is
3. THE CASE OF
TC s
TC
cb nb
cs
ns
cb nb
cs t s ,
(6)
whence taking (5) we get
Lq 1
TC s
cs
.

cb nb
(7)
MCs (US$/ship), is defined by

MC s cs t s cs
dt s
.
d
c s , we obtain the
following expression for the specific cost ratio:
AC
ACc
cs
cs
(11)
(for this definition see e.g., Dragovi et al. [1]; Noritake

and Kimura [7]; Noritake [8]; Radmilovi et al. [10]).
Using formulae (1) - (9) it can be show that
(Dragovi and Metrovi [5]; Metrovi and Dragovi
[6])
370
In this note, we focus our attention to the problem

related to port systems which can be considered as a
M / M / nb queue. The M / M / nb queue consists of a
nb berths. Ships arrive
according to memoryless Poisson process with rate ,

and the probability distribution of the service time per
berth is exponential with mean 1 / ( is the average
service rate). The first ship in the queue is routed to the
first vacant berth. If there is more than one vacant berth,
then the first ship in the queue is routed to one of them
arbitrarily.
The utilization factor of the M / M / nb queue is
M / M / 1 holds
and Dragovi [6]) that
1,
(13)
. It is well known (Metrovi
Lq
p ( n)
n nb
(9)
whence it follows that the total cost for considered

period (in which ships arrive in a port), AC , is
given by
AC AC s .
(10)
Dividing both sides of (10) by
nb 4,5
where / is the traffic intensity. Notice that for

(8)
The total daily cost per ship for considered port

system, AC s , is given by
AC s TC s MC s ,
M / M / nb QUEUE WITH
single queuing station with
The analysis of total cost for different port system is

extensively studied by many authors (Dragovi et al.
[1], [2], [3], [4]; Noritake [7]; Noritake and Kimura [8]).
Moreover, the investigations of these costs, including a
marginal cost of a port system, are rarely present in the
literature. Recall that the daily marginal cost per ship of
a port system caused by one additional ship entering
port with nb berths (Noritake [7]; Noritake and Kimura
[8]),
In several port systems it is of interest to minimize the

specific cost ratio (see Dragovi et al. [1], [2], [3], [4];
Dragovi and Metrovi [5]; Metrovi and Dragovi
[6]). The formula (12) is suitable for these purposes
related to many classical queues, as well as
M / M / nb and M / M / nb / K . Using Mathematica
where
where
where
dLq
nb nb 1 nb 1
(nb 1)!(1 ) 2
p ( 0) ,
nb 1 ( / ) n ( / ) nb
where p(0)
n
!
n
!
1
/(
n
)
b
b
n 0
Substituting
/ nb and / into above two
formulae, we obtain
Lq
n 1
b
( nb 1)!(nb ) 2
nb 1 n
nb

n
!
(
n
1
)!
(
n
0
n
b
b
In the sequel, we will only use the above formula.
(14)
Taking
where
nb 4 into (14), we get the expression:
5
Lq (4)
.
(4 )(24 18 6 2 3 )
g 4 ( )
(15)
Differentiating Lq ( 4) by via Mathematica 8, and

substituting this together with (15) into (12), we find
that
2 (4 )(2304 1728 432 2 60 3 6 ) .

(4 ) 2 (24 18 6 2 3 ) 2
(17)
R4 4r
2 (4 )(2304 1728 432 2 60 3 6 )
(4 ) 2 (24 18 6 2 3 ) 2
4r g 4 ( ) r cb / cs
M / M / 5 model by (14) we find
Similarly, for
that
6
(5 )(120 96 36 2 8 3 4 )
Lq (5)
(18)
Differentiating (18) by via Mathematica 8, and

substituting this together with (18) into (12), we have
(16)
(720000 864000 460800 2 130560 3 12672 4 1176 5 256 6 36 7 18 8 3 9 )

5r g 5 ( )
(5 ) 2 (120 96 36 2 8 3 4 ) 2
(19)
where ( r cb / c s ) and
R5 5r
g 5 ( )
(720000 864000 460800 2 130560 3 12672 4 1176 5 256 6 36 7 18 8 3 9 )

(5 ) 2 (120 96 36 2 8 3 4 ) 2
(20)
g m ( ) , m 4,5 ,
for (0,4) g nb ( ) , nb 4,5 , for (0,4)
The graphics of the functions
Table 1. The specific cost ratio
in
nb and the traffic intensity

M / M / nb , nb 1,2,3,4,5 ( r 0.6 )
the dependence of number of servers
obtained in Mathemathica 8 are illustrated in Figure 1.
Rnb ( 0.6nb g nb ( ))
for models
40
g nb ( )
nb
g4
30
g5
20
10
1.0
2.0
3.0
Figure 1. The graphics of the functions g nb ( ) ,
4.0
nb 4,5 , for (0,4) ( g nb ( ) Rnb ( ) nb r )

Consider the case

Table
Rnb
r 0.6 . The values of Rnb from
are
obtained by using the formula

nb r g nb ( ) with nb 1,2,3 (Metrovi and
Dragovi [6]) and formulae (16) and (19) via

Mathemathica 8.
0.15
0.35
0.55
0.75
0.95
1.15
1.35
1.55
1.75
1.95
2.15
0.9841
1.9669
4.5383
15.6000
399.6
-
1.5034
1.9450
2.4874
3.2311
4.3685
6.3332
10.311
20.6357
64.9156
1600.94
-
2.1001
2.5037
2.9215
3.3721
3.8834
4.4976
5.2816
6.3490
7.9079
10.3797
14.7326
2.7000
3.1003
3.5024
3.9101
4.3304
4.7736
5.2547
5.7953
6.4260
7.1928
8.1663
3.3000
3.7000
4.1000
4.5013
4.9047
5.3133
5.7313
6.1652
6.6237
7.1191
7.6678
From Table 1 we see that the optimal numbers of

berths for 11 values 0.15 2.15 with the step
0.20 are equal 1,2,2,2,3,3,4,4,4,5,5 , respectively.
Graphics
of
functions
Rnb Rnb ( ) with
nb 1,2,3,4,5 , presented in Fig. 2, suggest a simple

analytic method to determine optimal intervals
calculating intersections of consecutive curves Rnb ( )
and Rnb 1 ( ) with
nb 1,2,3,4.
371

20
REFERENCES
Rnb ( )
R1
R2
R3
15
R4
10
R5
5
0.5
1.0
1.5
2.0
Figure 2. Graphics of functions R R ( ) n 0.6 g ( ) ,

nb
nb
b
nb
nb 1,2,3,4,5 , for r 0.6 and (0,2.15)

Table 2. Optimal intervals for Rn ( 0.6 g m ( )) (specific cost
b
ratio) for the set of models M / M / nb , nb 1,2,3,4,5 ( r 0.6 )
Optimal interval for
Optimal number of berths
(0, 0.345444)
1
(0.345444, 0.809788)
2
(0.809788,1.3361)
3
(1.3361, 1.90394)
4
(1.90394, 4.44221)
5
Remark: We see from Figure 2 that the bounds of

optimal intervals given in Table 2 are obtained as
intersections of pairs of consecutive curves Rnb ( )
and Rnb 1 ( ) ,
nb 1,2,3,4.
5. CONCLUSION
Queuing modelling approach to analysis of specific

cost ratio has been and would be very useful for
understanding various kinds of port operations and
analysing them in a view to improve the port
performance. Considered model provides the possibility
to assume and solve more realistic problems
(incorporating real data from port) in an acceptable way.
The optimal number of berths is determined so as to
minimize specific cost ratio. In order to find this, it is
necessary
express
specific
cost
ratio
Rnb ( rnb g nb ( )) in the dependence of number of
nb n ( n is a bound for nb ) and the traffic

intensity for M / M / nb queue and determine
optimal intervals for specific cost ratio Rnb via
berths
solutions
of
equations Ri ( )
Ri 1 ( ) ,
i 1,2,..., n 1. Related method is illustrated here for

particular case with nb 5 and r 0.6 .
A presented example here provides a general
method for determining optimal number of berths in a
port for arbitrary M / M / nb queue, which also can be
applied for some other queue models. Currently, we are
interested to perform a sensitivity analysis between the
optimal value Rnb and specific values of other port
performances, and we are trying to incorporate balking
in this model.
372
[1] Dragovi, B., Zrni, Dj., Radmilovi, Z.: Ports and

Container
Terminals
Modelling,
Research
monograph, University of Belgrade, Faculty of
Transport and Traffic Engineering, Belgrade, 2006.
[2] Dragovi, B., Zrni, Dj. N., Park, N.K.: Container
Terminal Performance Evaluation, Research
Monograph, University of Belgrade, Faculty of
Mechanical Engineering, Belgrade, 2011.
[3] Dragovi, B., Zrni, Dj.N., kuri, M.: New and
Old results of Queuing Models for Port Modelling,
Proceedings of European Conference on Shipping
& Ports, ECONSHIP 2011, University of the
Aegean, Greece, pp. 1-14, 2011.
[4] Dragovi B., Zrni Dj. N., kuri M.: Comparison
of New and Old Queuing Theory Results for
Container Terminal Performance, Proceedings of
the Annual Conference The International
Association of Maritime Economists, IAME 2011,
Chile, pp. 1-19, 2011.
[5] Dragovi, B., Metrovi, R.: An Analysis of
Specific Cost Ratio in a Port: Part II, Proceedings
of 11th International Conference Research and
Development in Mechanical Industry, RaDMI
2011, Sokobanja, Serbia, Vol. I, pp. 382-385, 2011.
[6] Metrovi, R., Dragovi, B.: An Analysis of
Specific Cost Ratio in a Port: Part I, Proceedings of
11th International Conference Research and
[7] Noritake, M.: Congestion Cost and Pricing of
Seaports, Journal of Waterway, Port, Coastal, and
Ocean Engineering, Vol. 111, No. 2, pp. 354-370,
1985.
[8] Noritake, M., Kimura, S.: Optimum Number and
Capacity of Seaport Berths, Journal of Waterway,
Port, Coastal, and Ocean Engineering, Vol. 109,
No. 3, pp. 323-339, 1983.
[9] Noritake, M., Kimura, S.: Optimum Allocation and
Size of Seaports, Journal of Waterway, Port,
Coastal, and Ocean Engineering, Vol. 116, No. 2,
pp. 287-299, 1990.
[10] Radmilovi, Z., Dragovi, B. and Metrovi, R.:
Optimal Number and Capacity of Servers in
M X a / M / c ( )
Queueing
Systems,
International Journal of Informatics and
Management Sciences, Vol. 16, No. 3, pp. 1-17,
2005.
[11] kuri M., Dragovi, B. and Metrovi, R.: Some
Results of Queuing Approaches at Container Yard,
International Journal of Decision Sciences, Risk
and Management, Vol. 3, No. 3/4, pp. 260-273,
2011.
[12]Taniguchi, E., Noritake, M., Yamada, T. and
Izumitani, T.: Optimal Size and Location Planning
of Public Logistics Terminals, Transportation
research part E, Vol. 35, No. 3, pp. 207-222, 1999.
Romeo Mestrovi
Professor
Maritime Faculty
Branislav Dragovi
Professor
Maritime Faculty
Boidar Grandis
MSc Student
Maritime Faculty
Mauro Petranovi
BSc
Maritime Faculty
Maritime Secondary School
Bar, Montenegro
Estimates of Specific Cost Ratio in a

Port for M / M / 1 / k Queue
The total daily cost of a port queuing system consists of the cost related to
berths and the cost related to the ships. Then the specific cost ratio is
defined as a ratio of total cost for considered period of a port and average
daily cost of a ship in port. Using the known formula for a function of
specific cost ratio, we derive a related expression for this ratio of the
M / M / 1 / k queue. This formula is used for determining optimal number
of port capacity for M / M / 1 / k queue in the sense of minimization of
the appropriate specific cost ratio. Furthermore, letting the traffic intensity
tend to 1 (i.e., 1 ), we show that the specific cost ratio is
2
asymptotically equal to k / 12 as k . Furthermore, by an example
we present an analytic method for determining a boundary value of
concerning to specific cost ratio of queues M / M / 1 / k and M / M / 1 .
Keywords: Estimates of specific cost ratio, Port, M / M / 1 / k queue,
Traffic intensity, Finite waiting space.
1. INTRODUCTION
Numerous investigations of port queuing systems

deal with the following question: What capacity should
a port have? There are numerous criteria for
determining the optimal system capacity. The optimal
numbers of berths and related optimal intervals (the so
called ranges of optimal server capacities; see e.g., [10])
in the sense of minimization of related specific cost
ratio for certain single arrival and bulk arrival queuing
systems were studied by Noritake [7], Noritake and
Kimura [8,9] and Radmilovi et al. [10]. They predict
specific cost ratio in port and ranges of optimum berth
capacity.
In this paper we establish an analytic method for
determining optimal capacity (system size) (k) in a port
for M / M / 1 / k queue (with 1 berth and capacity k)
in the sense of minimization of related specific cost
ratio. The total daily cost of a port queuing system with
certain number of berths (servers) is defined as a sum of
total service cost per day, total ship cost per day and
total marginal cost per day. The specific cost ratio is
defined as a ratio of total cost for considered period of a
port queuing system and average daily cost of a ship in
port. Using the obtained formula for a function of
specific cost ratio related to a general model of a port
queuing system, we derive the explicit expressions for
these costs related to the M / M / 1 / k queues.
Applying these expressions, for arbitrary given ratio of
service cost per day and ship cost per day, we establish
an analytic method for determining optimal number k
(system capacity) in the previous mentioned sense. As
an application, we present a numerical example in
which are computed the values of specific cost ratio for
Correspondence to: Dr. Branislav Dragovi, Professor
Maritime Faculty, University of Montenegro
E-mail: branod@ac.me
the set of M / M / 1 / k queue ( k
1,2,3,4,5 ) with
to be assumed equal to 0.15, 0.25, , 0.95. Using

Mathematica 8, we also compute boundary values
k (0,1) ( k 1,2,3,4,5 ) in which the differences
R1' ( ) Rk ( ) change the signs, where R1' ( ) is the
expression for a specific cost ratio for M / M / 1 queue
considered in authors earlier papers [5] and [6].
The analysis of total cost for different port system is
extensively studied by many authors ([1]-[12] and [14][16]). In particular, this concerns to the problem of
minimization of the so called specific cost ratio which is
rarely investigated in the literature
In order to apply our method for determining
optimal number of capacity k in port for particular
M / M / 1 / k queues (under condition k 5 ), it is
necessary to define the expression for specific cost ratio
as a sum R ( ) r hk ( ) , where / is the
traffic intensity with
and
being the arrival and
service rate, respectively; r cb / c s , where cb is daily

cost of a server (berth), and c s is a daily cost of a ship
/(nb ) 1 is the utilization

factor). Generally, R can be considered as a function of
k and , while for a fixed k , R is a function only of
.
(notice that
The paper is organized as follows. In Section 2 we

establish a short algorithm for minimization of specific
cost ratio in a port M / M / 1 / k queue with various
values k. This is illustrated by an example presented in
the next section, which confirms the fact that the
optimal port capacity of a M / M / 1 / k queue in the
sense of minimization of a corresponding specific cost
ratio is always equal to 1. The final Section 4 gives
concluding remarks.
373

2. NOTION OF SPECIFIC COST RATIO AND
RELATED FORMULA FOR M / M / 1 / k QUEUE
We consider port queuing models with nb berths

where ships arrive according to a Poisson process with
rate (that is, the inter-arrival time is exponential with
rate ) and the service times are exponential with rate
. Then the average number of ships waiting in queue,
Lq , is generally a function of and .

Following Noritake [7] and Noritake and Kimura
([8] and [9]) the specific cost ratio is defined as
AC
ACs ,
cs
cs
(1)
hk ( ) (1 2 k 1 2k k 1 k 2 k 1 3 k 2 3k k 2
2k 2 k 2 6 k 3 k 2 k 3 3 k 4 k k 4 k 2 k 2
2 2 k 3 2k 2 k 3 4 2 k 4 k 2 k 4 2 2 k 5 ) /( 1) 2 ( k 1 1) 2
(6)
In particular,
respectively:
(6)
h1 ( ) 1 2
(7)
2 6 10 10 4 1 ,
(8)
( 2 1) 2
2 7 7 6 12 5 18 4 20 3 10 2 4 1
h3 ( )
(1 ) 2 (1 2 ) 2
(9)
2 9 8 8 14 7 21 6 30 5 35 4 20 3 10 2 4 1 ,
h ( )
5
h2 ( )
ACs is a total daily
cost per ship for considered port system, including a

marginal cost, and AC ACs is a total cost for
considered period (in which ships arrive in a port).

For this definition see e.g., Dragovi et al. [1-5],
Metrovi and Dragovi [6], Noritake [7], Noritake and
Kimura ([8] and [9]) and Radmilovi et al. [10]).
Following [6], using a standard calculus, with the
notation cb / cs r , it can be derived that
( 4 3 2 1) 2
where c s is daily cost of a ship,
k 1,2,3,4,5 becomes,
for
(10)
h5 ( )
2 11 9 10 16 9 24 8 34 7 47 6 56 5 35 420 3 10 2 4 1
( 1) 2 ( 2 1) 2 ( 2 1) 2
(11)
Consider the case when r 0.6 . The values of

Rk ( ) from Table 1 are obtained by using the formula
Rk r hk ( ) , where the expressions for functions

hk ( ) , k 1,2,3,4,5 are calculated in Mathemathica 8
,
(2)
R rnb Lq

d
or after substitution / ( is called the traffic
using (7)-(11). We see from Table 1 and Figure 1 that

for each particular value k 1,2,3,4,5 the optimal
intensity) into (1), we find that
values of
dLq
R rnb Lq 2
dLq
d
(3)
In several port systems it is of interest to minimize

the specific cost ratio (see [1]-[2], [5-10] and [11]).
Here we consider a related problem for the
M / M / 1 / k queue. Recall that in this model ships
arrive according to a Poisson process with rate and
the service times are exponential with rate .
Moreover, this model consists of a single server and
capacity is equal to k ( ) with queue discipline
FCFS. It is well known that (see e.g.,Vukadinovi [13])
p0
where
1
,
1 k 1
(4)
p0 is a probability that there are no ships at the
terminal. Furthermore,
Lq L p 0
(3)
(k 1) k 1
1
(k 1) k 1 1 .
k 1
k 1
1
1
1
1 k 1
Differentiating (5) by
with
nb 1 ,
(5)
, and substituting this into
under
the
notation
R Rk ( ) r hk ( ) , we find that
374
R Rk ( ) correspond to the first row of
this table, that is, to the minimal considered value

0.15 .
Table 1. The specific cost ratio
in the dependence of
models
R Rk ( ) 0.6 hk ( )
and the traffic intensity
M / M / 1 / k , k 1,2,3,4,5 ( r 0.6 )
for the
0.15
1.9
1.95438
1.97603
1.98218
1.98367
0.25
2.1
2.22925
2.31287
2.35259
2.36874
0.35
2.3
2.51596
2.70324
2.8266
2.89714
0.45
2.5
2.80422
3.12371
3.38751
3.58028
0.55
2.7
3.08807
3.55098
3.99845
4.38962
0.65
2.9
3.36453
3.96703
4.61525
5.25855
0.75
3.1
3.63251
4.36073
5.19998
6.10567
0.85
3.3
3.89201
4.72713
5.72873
6.86399
0.95
3.5
4.14359
5.06563
6.19233
7.49823
minimization of a corresponding specific cost ratio, is

always equal to 1 (that is, k 1 ). Of course, in the
case of a single system size, related values of some
other performances will not be optimal in required
sense. Accordingly, it can be of interest to optimize two
or more systems performances, including its specific
cost ratio. However, such a type of problems is in
general, more complicated than those related to the
optimization of only one systems performance. On the
other hand, it is natural to investigate optimal values of
some performances related to two or more similar
queue models. Such a comparison is established for
specific cost ratio of queues M / M / 1 / k and
M / M / 1 in the following example.
Figure 1. Graphic of function
with
k 1,2,3,...,10
and
( k , ) hk ( ) h(k , )
(0,1)
We see from Figure 2 given below that the function
hk ( ) is increasing on its range (0,1) for each

k 1,2,3,4,5 and hence, this is also true for the
functions Rk r hk ( ) . Furthermore, we have for
each (0,1)
Example: It was deduced in [5] the expression for

specific cost ratio for M / M / m queue; in particular,
for m 1 it yields
R1' ( ) r
(2 )
r g1 ( ) .
(1 ) 2
Then solving in Mathematica 8 each of five

algebraic equations R1 ( ) Rk ( ) (or equivalently
'
h1 ( ) h2 ( ) h3 ( ) h4 ( ) h5 ( ) .
Therefore, it is not possible to define the optimal
intervals for specific cost ratio in the same manner as
for the models M / M / m (cf. [5]). Further, a direct
calculation
gives
for
each
lim hk ( ) 1
0
k 1,2,3,4,5 , and
lim h1 ( ) 3 , lim h2 ( ) 11 / 3 , lim h3 ( ) 37 / 8 ,
1
g1 ( ) h k ( ) ) with k 1,2,3,4,5 , where Rk ( )

are given by (7)-(11), we obtain the following their
(unique)
positive
solutions
in
the
range
0 1 : 1 0.403032 , 2 0.438435 , 3 0.475271 ,
4 0.508699
Hence,
R1' ( ) Rk ( ) for each (0, k )

and
limit cost ratio values of

Rk 0.6 hk ( ) for k 1,2,3,4,5 as 1 , are up
to two decimals equal to 3.2, 4.27, 5.23, 6.4 and 7.77,
respectively. The formula (6) immediately yields
lim hk ( )
1
the
R1' ( ) Rk ( ) for each ( k ,1) .
k 2 as k .
k 3 9k 2 26k 36
h( k )
12k 12
12
This means that for values of

function
5 0.538229 , respectively.
These values can be considered as boundary values for

traffic intensity in the sense that for any fixed
k 1,2,3,4,5 we have (cf. Figure 2 below)
lim h4 ( ) 29 / 5 and lim h4 ( ) 43 / 6 .

1
and
near to 1, the limit
h(k ) is asymptotically equal to k 2 / 12 as
k .
Notice
that
since
3
2
2
h' (k ) (k 6k 9k 5) /(6(k 1) ) 0 for all
k 1 , it follows that h(k ) is strictly increasing
function for 1 k .
Remark: The previous considerations show that, for
given traffic intensity (or its range), the optimal port
capacity of a M / M / 1 / k queue in the sense of
g1 ( ) and hk ( )
k 1,2,3,4,5 on the range (0,1)
Figure 2. Graphics of functions

with
375

4. CONCLUSION
The expression for specific cost ratio related to

M / M / 1 / k queue as a function of the traffic
intensity and the capacity k is derived. This formula
gives a possibility to determine an optimal capacity of
any considered system M / M / 1 / k queue in the
sense of minimization of the corresponding specific cost
ratio. We establish the fact that the obtained formula is a
function (of two variables) which increases in both
variables k 1,2,... and (0,1) , and which is
asymptotically equal to k / 12 as k with
1 0. This shows that the optimal system
capacity with respect to the previous notion is always
equal to 1. However, it would be natural to investigate
optimal values of some performances related to two or
more similar queue models. Such a comparison is
illustrated
for
specific
cost
ratio
of
M / M / 1 / k queues with k 5 and M / M / 1
queue by an example presented in this paper. Of course,
our analytic methodology for determining boundary
value of concerning to a specific cost ratio of
queues M / M / 1 / k and M / M / 1 may be extended
for several pairs of other queuing models, including
bulk models, for which there are explicit expressions for
average number of ships waiting in queue, Lq .
2
REFERENCES
[1] Dragovi, B., Zrni, Dj., Radmilovi, Z.: Ports and

Container
Terminals
Modelling,
Research
monograph, University of Belgrade, Faculty of
[2] Dragovi, B., Zrni, Dj. N., Park, N.K.: Container
Terminal Performance Evaluation, Research
Mechanical Engineering, Belgrade, 2011.
[3] Dragovi, B., Zrni, Dj.N., kuri, M.: New and
Old results of Queuing Models for Port Modelling,
Proceedings of European Conference on Shipping
& Ports, ECONSHIP 2011, University of the
Aegean, Greece, pp. 1-14, 2011.
[4] Dragovi B., Zrni Dj. N., kuri M.: Comparison
of New and Old Queuing Theory Results for
Container Terminal Performance, Proceedings of
the Annual Conference The International
Association of Maritime Economists, IAME 2011,
Chile, pp. 1-19, 2011.
[5] Dragovi, B., Metrovi, R.: An Analysis of
Specific Cost Ratio in a Port: Part II, Proceedings
of 11th International Conference Research and
[6] Metrovi, R., Dragovi, B.: An Analysis of
Specific Cost Ratio in a Port: Part I, Proceedings of
11th International Conference Research and
376
[7] Noritake, M.: Congestion Cost and Pricing of

Seaports, Journal of Waterway, Port, Coastal, and
Ocean Engineering, Vol. 111, No. 2, pp. 354-370,
1985.
[8] Noritake, M., Kimura, S.: Optimum Number and
Capacity of Seaport Berths, Journal of Waterway,
Port, Coastal, and Ocean Engineering, Vol. 109,
No. 3, pp. 323-339, 1983.
[9] Noritake, M., Kimura, S.: Optimum Allocation and
Size of Seaports, Journal of Waterway, Port,
Coastal, and Ocean Engineering, Vol. 116, No. 2,
pp. 287-299, 1990.
[10] Radmilovi, Z., Dragovi, B. and Metrovi, R.:
Optimal Number and Capacity of Servers in
M X a / M / c ( )
Queueing
Systems,
International Journal of Informatics and
Management Sciences, Vol. 16, No. 3, pp. 1-17,
2005.
[11] kuri, M., Dragovi, B. and Metrovi, R.: Some
Results of Queuing Approaches at Container Yard,
International Journal of Decision Sciences, Risk
and Management, Vol. 3, No. 3/4, pp. 260-273,
2011.
[12]Taniguchi, E., Noritake, M., Yamada, T. and
Izumitani, T.: Optimal Size and Location Planning
of Public Logistics Terminals, Transportation
research part E, Vol. 35, No. 3, pp. 207-222, 1999.
[13]Vukadinovi, S.: Elements of Queuing Theory, (in
Serbian), University of Belgrade, Faculty of
[14]Wanhill, S.R.C., Further analysis of optimum size
seaport, Journal of the Waterways, Harbors and
Coastal Engineering Division, Vol. 100, No. 4), pp.
377-383, 1974.
[15]Wanhill, S.R.C., A study in port planning: The
example of Mina Zayed, Maritime Studies and
Management, Vol. 2, No. 1, pp. 48-55, 1974.
[16]Yamada, T., Frazila, R.B., Yoshizawa, G., Mori, K.,
Optimising the handling capacity in a container
terminal for investigating efficient handling
systems, Journal of the Eastern Asia Society for
Transportation Studies, Vol. 5. No. 1, pp. 597-608,
2003.
Saut Gurning
Lecturer
Sepuluh Nopember Institute of Technology
(ITS) Surabaya, Indonesia
Stephen Cahoon
Deputy Director
Australian Maritime College
University of Tasmania, Australia
Branislav Dragovi
Professor
Maritime Faculty
University of Montenegro, Montenegro
Hong-Oanh Nguyen
Senior Lecturer
Australian Maritime College
University of Tasmania, Australia
Mitigation Strategies Modelling in

Managing Potential Maritime
Disruptions
This paper assesses the potential mitigation strategies for maritime
disruptions occurring for the containerised transport of wheat in wheat
supply chains (WSC). The assessment focuses on four major mitigation
strategies (inventory and sourcing mitigation, contingency rerouting,
recovery planning, and business continuity planning) to determine their
suitability for managing potential disruptions in the WSC. A Markovianbased methodology is the prime means used to evaluate the WSC
mitigation strategies. The results of the continuous time period of the
Markov chain application recommends that optimised mitigation strategies
include the measurement and prediction of WSC costs and time functions
during a one year period.
Keywords: Containerised wheat supply chains, Mitigation strategies
modelling, Maritime disruptions.
1. INTRODUCTION
During the shipping of containerized wheat, changes

in WSC performance may be identified beyond the
assumptions predicted in a generic planning stage.
These changes include factors such as a variety of
transportation costs, changing demand, the origin of
supply sources such as distances, and lead times, all of
which may fluctuate widely. Supply chain optimization
models have traditionally treated the WSC with
certainty and frequently ignore unpredicted events such
as disruptions and disasters (for example Julie et al. [9]).
However, even if all the variables of the WSC are
known with certainty, only some may be identified as
causing disruptions. A major cause of disruptions tends
to stem from the maritime leg of the WSC, for example,
in the case of wheat and its derivative products, these
may be inclement weather, sea terminal congestion,
marketing systems and a shortage in the dry-bulk fleet
(Young and Hobbs [18]). Therefore, significant
attention to potential maritime disruptions in a WSC is
required, particularly as the wheat industry is more
vertically integrated than in the past, and its supply
chains are increasingly global, thus often necessitating a
maritime segment (as stated in William et al. [16]).
This paper applies a maritime disruption model
constructed for use in an Australian-Indonesian WSC
study, which incorporates a WSC simulation, available
data, and judgments from practitioners in order to
quantify a disruption level arising from the contribution
of situational attributes to maritime disruptions. The
paper is organized as follows. The problem statement
and maritime disruption strategies in a WSC are
discussed in Section 2. Section 3 provides mathematical
Correspondence to: Dr. Stephen Cahoon, Deputy Director
Australian Maritime College, University of Tasmania
Locked Bag 1397, Launceston Tasmania 7250 Australia
E-mail: S.Cahoon@amc.edu.au
modelling, followed by the Australia-Indonesia WSC

computational experiments in Section 4. Conclusions
are presented in Section 5.
2. PROBLEM STATEMENT AND MARITIME
DISRUPTION IN A WSC
Understanding the stages of disruptive maritime

events in the broad perspective of a WSC operation can
be derived from the general logical approach of a
common disruption framework. In general terms, some
studies describe the stages of a disruption risk by the
operational outcomes of disruptions and their effects on
supply chain performance [19]. In terms of the scale of
disruptions, these stages may experience a recurrent risk
of individual events, ranging from delays to disaster
events that demolish the service platform of a supply
chain [2]. In total there are four stages of disruption delay, deviation, stoppages, and the loss of the service
platform [12].
Within the four stages are events that may trigger
maritime disruptions. These causal factors are referred
to here as stimulators [11]. Potential stimulators include
security threats, political riots or wars, lack of facilities
and management at ports, lengthy customs and
quarantine processes, severe weather conditions and
earthquakes, electrical outages, lack of maintenance,
shortage of ships, an insufficient number of empty
containers,
uncertainty
of
bunkering
costs,
communication failure, and the lack of inland
accessibility [3, 4].
The goal of mitigating maritime disruptions in the
WSC is to alleviate the consequences of disruptions and
risks or, simply put, to increase the robustness of a
WSC through the maritime leg [1, 2, 5-8, 10, 13-15, 17]
The research further suggests that the dominant
approaches by maritime users in managing the WSC
during a disruptive event is to adjust to a new route on
the maritime leg, use strategic stock (when no
alternative source is available), utilise back-up systems,
and/or to implement business continuity actions.
377

3. MODELING OF DISRUPTION MANAGEMENT
ASSESSMENT
In the modelling process, the objective is to

determine an optimal disruption strategy for events that
recurrently and severely impact on maritime services
and the WSC process. Let si be the i-th scenario, and pi
and xi be its probability and consequence (either in costs
and time), respectively. In the case of maritime
disruption management (MDM), disruption risks can be
defined as unexpected events that can be driven from
instigating, interdependent, and decision maker factors
resulting in four progressive factors such as delays,
deviations, stoppages, and loss of maritime services.
The quantity risk level of a maritime disruption risk can
be formulated as follows:
Ri pi ( xi )
Internal
Stages
- Single mitigation, 1
- Multi-mitigations,
1 + 2 +...+ N
Event 1
1 + 2 +...+ N
Event 2
Possible
Disruptive
Events
Here, Pr( s ' s, a ) Pr( st 1 s ' st s, at a ) is the

probability that action a in state s at time t will lead
to state s ' at time t 1 . A reward function R can also
be defined as T : S A , where is the set of

positive real numbers. In addition, a disruption
management policy is a function : S A and its
expectation as expected cumulative reward value
function S : V , where is the set of real

numbers.
The four methods of MDM can be implemented for
one particular WSC facing one maritime disruptive
event both to reduce the likelihood of occurrence of a
primary disruptive event, and to lower maritime risk
after being in a normal (initial) state, 0. To depict the
different approaches of MDM measures and its
processes, a diagram of MDM formalism is used in
disruption management assessment and is shown in
Figure 1.
0
Normal
State
.
.
.
1 + 2 +...+ N
Event N
is, T : S A S'[0,1], where T (s, a, s' ) Pr(s' s, a) .
378
Figure 1 shows the sequence of MDM events and

the process from normal (initial) state to their possible
consequences. MDM measures denoted by () that
reduce the probability of entering a disruptive state are
referred to as single or multi-disruption scenarios.
Maritime stages such as port and shipping operations
have more than one probable disruptive event (from 1 to
N) which may occur from a normal state to failure mode
() and may be recovered again due to responses or
appropriate MDM strategies ().
(1)
where: pi - disruption probability and xi - consequence

impact.
A Markov chain of a WSC has a set of states in the
WSC process denoted as S = (s1, s2,..., sn). The process
starts in one of these states and moves successively
from one state (such as a farmer) to another (until the
final consumers). Each move is called a step. If the
WSC is currently in state si, then it moves to state sj at
the next step with a probability level denoted by pij. This
probability does not depend upon which state the chain
was in before the current state. The probabilities pij are
called transition probabilities (TP). The process can
remain in the state it is in, and this occurs with
probability pij. An initial probability distribution,
defined as S, specifies the starting state. In general, if a
Markov chain has r states, then the following general
theorem may be proven by using the above observation
and induction.
The algorithm framework is a Markov Decision
Process (MDP), defined as a finite set of states, S , a
finite set of actions, A , and a transition function, that
Figure 1. MDP from disruptive events to normal state
An MDM framework can help manage the disruptive

events as a single strategy (1) or multi-disruption
management strategy (1+ 2++ N). By analysing the
relevant data, the initial probability vector is calculated
as
V ji X i DM ji
(2)
where: Vji strategy value index for type j disruptive

event for scenario i; Xi probability of occurrence of
scenario i; DMji type managed consequences of type j
related to the scenario i.
The mitigation functions are combined to simplify the
evaluation of mitigation measures that typically couple
detection and recovery functions. Each decision node
has a set of conditional probabilities that describe the
probability of occurrence of each branch, conditional
upon the previous states. The overall likelihood of each
outcome is determined by multiplying conditional
probabilities through the branch, and the risk level is
aggregated along potential consequences in different
branches as shown in the Eq. (2).
If in addition Rij is denoted as the reward
corresponding to the transition from state i to state j,
then
Vi j 1 pijxi ( Rij v j ) for i 1,..., N

N
where the Vi is the value of each disruption strategy at

state i . Note that the above formula can be written as
Vi j 1 pijxi v j j 1 pijxi Rij for i 1,..., N . (3)

N
If we denote by qi i the expected reward for the

next transition if the current state is i, then
N
qixi pijxi Rij . Therefore, the formula (3) becomes
j 1
Vi j 1 pijxi v j qixi for i 1,..., N .

N
(4)
Managed consequences are evaluated from the

potential consequence that is mitigated by the
susceptibility and coping capacity of the strategy. The
consequences of MDM j relative to the scenario i (Dji),

which is calculated through the Eq. (4), is the sum of all
consequences referred to as the intensity threshold value
m. Vjim is the vulnerability related to intensity m of the j
type of consequence and related to the scenario i, DXjim
is the potential consequence type j related to scenario i
to consequences j and to intensity m [3,4].
DM j ,i m ( DX j ,i, m .V j ,i , m )
(5)
3.1. Transition states of WSC
The transportation of wheat from loading ports to

unloading ports uses shipping operations consisting of
bulk and containerised shipments, which allows the
transfer of wheat cargo through ports (labelled as
maritime distributors and handling), under the control of
shippers, freight-forwarders and consignees. The
detailed interaction of entities in the case is explained
by Figure 2. Maritime stages such as port and shipping
operations have more than one probable disruptive
event (from 1 to N) which may occur from a normal
state to failure mode () and may be recovered again
due to responses or proper MDM strategies ().
P11
P21
P31
0
0
0
0
0
0
0
0
0
0
0
P12
P22
P32
0
0
0
0
0
0
0
0
0
0
0
P13
P23
P33
P43
P53
0
0
0
0
0
0
0
0
0
0
0
P34
0
P54
0
0
0
0
0
0
0
0
0
0
0
P35
P45
0
P65
0
0
0
0
0
0
0
0
0
0
0
0
P56
P66
P76
P86
0
0
0
0
0
0
0
0
0
0
0
P67
P77
P87
0
0
0
0
0
0
0
0
0
0
0
0
P78
P88
P98
P108
0
0
0
0
0
0
0
0
0
0
0
P89
P99
0
0
0
0
0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 P411 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
P810 0 0 0 0
P910 0 0 0 0
0 P1011 0 0 0
P1110 0 P1112 0 0
0 P1211 0 P1213 0
0 0 P1312 0 P1314
0 0 0 P1413 P1414
Figure 2. Markov transition matrix in the WSC
32
30
21
20
10
Figure 3. Maritime disruption stages and scenario
The probabilities of internal stages for each risk event

are further approached by using four different MDM
stages; these are indicated by states 3, 2, 1 and 0. A
description of each stage is as follows: State 3
ensuring the normal level of the maritime service
availability as planned; State 2 the occurrence of
delays along maritime services which creates a less
efficient level of service performance; State 1 the
events of deviations as the results of further divergences
of maritime services; State 0 the conditions in which
disruptions occur due to variable factors that result in
various maritime services being unavailable.
These four stages, as part of the Markov chain
process, can also be defined as the transitions of
maritime disruptions of which the value will depend on
the combinations of actions. Assume that the probability
functions for the maritime disruptive stages 3, 2, 1 and 0
for any operational period t which is continuously
changing with t are F3(t), F2(t), F1(t), F0(t) respectively,
where
F3 (t ) F2 (t ) F1 t F0 (t ) 1
(8)
Thus, to find the probability function for each stage, a

system of differential equations is applied under the
assumption that the transition rates are relatively
constant and can be estimated from historical records.
With reference to these scenarios, each stage may be
formulated as
dF3(t) / dt 32 31 30 F3t F0 t
dF2 (t ) / dt 21 20 F2 t 32F3t
dF1(t ) / dt 10F1t 21F2 t 31F3t
(9)
dF0 (t ) / dt F0 t 30F3t 20F2 t 10F1t
3.2. Multi-state scenarios of MDM
Let PC (t) be the state probability of X(t) at time t, so

the probability of event at time t can be defined as
p c (t ) PX (t ) C where C X
31
(6)
where C is an acceptable level of costs or time. The

following system of differential equations for finding
the four states probabilities (normal, delay, deviation,
and loss of service) pt(t) for the Markov process can be
written as
v
v
dpi (t )
j 1 p j t ji (t ) pi (t ) j 1 ij t (7)
dt
These four stages as shown in Figure 3, where ij is

the TP from state i to state j, can be explained in detail
as follows; 32 - the TP from state 3 to state 2; 31 - the
TP from state 3 to state 1; 30- the TP from state 3 to
state 0; 21 - the TP from state 2 to state 1; 20 - the TP
from state 2 to state 0; 10 - the TP from state 1 to state 0
and - the TP from state 0 to state 3.
Therefore, M(t) or total probabilities of some

disrupted states is equal to
(10)
M (t ) F2 (t ) F1 t F0 (t )
From (8) and (10) it follows that
F3 (t ) 1 M (t )
(11)
3.3. Optimised MDM strategies
The assessment framework for MDM strategies

provides a preliminary reference of potential disruption
management strategies using the MDP that meets the
objectives and requirements in company disruption
responses. However, in this model, it is possible to
select the lowest costs that may occur for each strategy
and the combination of the three disruption strategies
taken. To do so, first, the value vi of each disruption
strategy at state i is formulated by the steady-state
condition
Vi* j 1 pijxi v j qixi

N
for i 1,..., N
(12)
379
where the Vi* is the cost for the policy solution (see Eq.
4). The process of disruption policy evaluation is
initially started by solving the steady state cost equation
using Xk as is the optimum disruption management
policy. If
vi* vi for all i, then the calculation process
which is finished as Xk has been achieved. Otherwise,

increase k by 1 and let
vi vi* and do the iteration
*
process of Vi v i , where
C (acceptable cost
level). Therefore, the iteration process will stop if the

condition of Vi * vi tolerance value is achieved.
In a steady-state condition, the value vi is equal to
vi lim Vi (k ) for i 1,..., N .

k
(13)
Then the Eq. (13) becomes Vi qixi N pijxi v j or

j 1
Vi j 1 pijxi v j qixi
N
for i 1,..., N .
(14)
Therefore, the steady-state disruption probability is

and then continued to
i lim i (k )
where
N
j 1
j 1 . Recall that: Xi disruption
management policy implemented in disruption state i

where Pi Ai; P=(X1, X2,, XN) disruption
management scenario; Vi(n) cost value of state i at
period n, n=0,1,2,,N; V(n) {V1(n), V2(n),, VN(n)}
as vector of costs; i(n) probabilities of disruption
state i at period n, n=0,1,2,,N; (n) {1(n), 2(n),,
N(n)} as vector of probabilities.
Initial cost of the disruption management policy n
in disruption state i is Vi(n). By using the iteration
solution, let k=1 combined with the value of disruption
management costs, then the minimum consequences can
be calculated. The management formulation to address
the minimum consequences (for example costs) at state i
is given here
N
xi
Vi min qi pijxi v j , for i 1,..., N

x i Ai
j 1
(16)
where Ai is a set of disruption strategy i-th action. From

(16), let the optimum disruption management policy be
Xk as the disruption management costs for minimization
can be estimated with Vi*.
i j 1 pijx j
N
for i 1,..., N .
(15)
As the set of equations has one redundant equation,

then
N
j 1 p ijx i j i 0 , for i 1,..., N 1,
3.4. Algorithm for optimised mitigation scenario
In Table 1, we propose the algorithm for the

optimised mitigation scenario. The solution method
involves the following calculation: given a set of
mitigation scenarios, in the first step, the number of
entities in the WSC is incorporated into S (line 1)
including the four categories of disruptions stages
(line 2) and mitigation scenarios Dji (line 3).
Table 1. Algorithm of multi-mitigation scenarios
Line
1
2
3
S SET UP THE NUMBER OF ENTITIES IN THE CHAIN (s1,, sN)

APPLY FOUR DIFFERENT STAGE OF DISRUPTIONS (3 2, 1, 0)
Dji SET UP MITIGATION SCENARIO i WITH DISRUPTION j
Pr(s' s, a) INCLUDE PROBABILITIES OF EACH ACTIONS
5
6
7
8
9
10
11
12
for each C X, do
Pc(t) P [x(t) > C]
Mt F2(t) + F1(t) + F0(t)
end for
for each i and j N, do
pij Transition probabilities
DMji Transition costs
end for
13
Vi min qixi pijxi v j

j 1
14
If Vt* is undefined then
15
Vi qixi pijxi v j
j 1
16
17
18
19
20
21
22
23
380
Process
Else, Vi*
Vji V(Xi, DMji),V R (reward)
for each i=1,N, do
j probabilities of disruption j at period n
i (Pij, j)
end for
end if
return S
Next, the probability of mitigation scenario based on

mitigation policy of entities in the chain is applied (line
4). This is what is also assessed in the next step of
algorithm to estimate the probability at time t and
acceptable level of costs C (line 6 and 7). Due to the
mitigation scenario taken, then the TP and transition
costs can be calculated (line 10 and 11). The objective
level of multi-mitigation scenarios is identified in 13:
Vi* correspondents to the minimal costs among various
scenarios within available mitigation scenarios. If Vi* is
undefined because no contradiction could be obtained
(line 14), the level of costs is equal to Vi represents a
feasible disruption consequences (line 15). Otherwise, a
recursive process is started (line 16-22): Vi* is initialised
(line 16) before the level of consequence (reward) of a
scenario applied is identified (line 17). For each i
scenario of a disruption j (line 18) the steady-state of
disruption probability may be estimated (line 19 and
20). The set of all identified feasible scenarios is finally
returned as the result of the algorithm (line 23).
4. EXPERIMENTAL STRATEGY
On the basis of the previously implemented disruption

management strategies, it was found that a business
continuity concept was implemented by wheat chain
senior managers in the Australian Indonesian WSC. In
order to complete the disruption management
assessment, it is necessary to determine which
assumptions can be presented, particularly in unit costs
needed, to apply the various strategy options. The
assumption is relatively straightforward based on a
monthly wheat shipment of one parcel volume of 8,333
tonnes. This is calculated from the basis of 100,000

tonnes of wheat shipment in one year from ports on the
East Coast of Australia either to the Port of Tanjung
Priok, Jakarta or Tanjung Emas, Semarang.
Figure 4. Disruption stages
In the maritime disruption assessment, attributes

contributing to disruption occurrence from stage A to M
(as shown in Figure 4) are quantified in order to
estimate the future risk level. The disruption risk at
various stages of the WSC is denoted as s, Rs is
calculated based on the snapshot of the traffic in that
stage every time a wheat consignment enters it. The
orientation of wheat cargo starts from local farmers in
Australia and then enters the stages in Indonesias
direction. The observed wheat flow when entering the
stages, first (A) calculates its own contribution to the
stages disruption and then may contribute to the
geometric mean of disruption value of that stage after
being accumulated with other wheat at the same stage.
Table 2. Multi-mitigation scenarios

DP Solver
(Dynamic programming)
Index
State
Name
State
Cost in
US$
Final
Cost in
US$
Step
Value in US$
Action
name
Last
probability
Type
MDP
Farmers
1766596
1775429
2868913
IP
0.215
Title
2006-2007
Handlers
124995
125620
1227312
IP
0.110
States
Min
Processors
124995
125620
1096495
PD
0.099
Goal
14
Aus. shippers
1833260
1842426
2449760
PD
0.054
Actions
14
Aus. forwarders
1999920
2009920
3102237
IP
0.042
Action/state
14
Aus. shipping
999960
1004960
1124955
CS
0.039
Events
Aus. ports
666640
669973
1768957
OCL
0.011
Events/action
Ind. shipping
708305
711847
1533300
CS
0.110
Iteration type
Policy
Ind. ports
374985
376860
1199980
CS
0.046
Policy steps
365
10
Ind. forwarders
1666600
1674993
2491595
CS
0.031
Stop Diff
1.00E-06
11
Consignees
2083250
2093666
2908245
CS
0.024
Value error
3.00E-06
12
Wholesalers
2124915
2135540
3024915
IM
0.004
Prob. error
6.30E-09
13
Retailers
2166580
2177413
2588897
IP
0.001
Time measure
Days
14
Final Con.
2208245
2219286
2616562
IP
0.215
Note: Australian (Aus.); Indonesian (Ind.); Final consumers (Final Con.); Inventory pooling (IP); Postponement delays (PD); Containerised shipment
(CS); Other chain links (OCL); Implication monitoring (IM).
381
Table 2 shows the results of the assessment of multidisruption management scenarios of the study. When
mitigating maritime disruptions on the AustralianIndonesian WSC, MDP proposes strategies (in the
column of action name) that may be implemented by
entities (state name column). State value is a contractual
cost required by each entity when a disruption occurs to
handle the total wheat shipment. The value is calculated
from the total tonnage of monthly wheat shipment
(8,333 tonnes) and contractual costs allocated by
entities. The value of contractual costs is collected from
the 2009 maritime disruption survey interview of 34
senior managers in the Australian-Indonesian WSC.
Final cost is a maximum acceptable cost (C) of all
companies. The level of this cost is obtained from the
value of state costs and the sensitivity factors ranging
from 0.1% - 1%. In this case, 0.5% is applied. While the
step value is actually the minimum costs that will be
occurred from 14 alternatives of scenarios given (see
line 13-21, Table 1). The function of this value is
dependend on action costs, decision value, probabilities,
decision index, and discount value of costs applied
across one year period or 365 days.
Five policy scenarios are recommended: 1)
inventory pooling; 2) postponement delays; 3)
containerised shipment; 4) implication monitoring and
5) other chain links. Of these alternatives, containerised
shipment (CS) is the most essential scenario as it may
generate state and final costs more efficiently,
particularly for entities such as maritime service
providers. The cost reduction as a reward in applying
CS may gain significant maximum step values gained
by Australian shipping operators and Indonesian
shipping and port operators, and forwarders. The MDP
also estimates that farmers and final consumers are
entities that may experience a higher likelihood of
maritime disruptions of less than 22% compared to
retailers (0.1%).
382

4.1 Simulation results
Reconfiguring other links in the supply chain is

recommended to shift shipping services from dry bulk
operations to CS. This also consequently requires the
use of a container terminal rather than a grain terminal.
The outputs of probabilistic levels of each entity from
the scenario assessment (see Figure 5) indicate that
farmers and final consumers are entities with the same
consequences at the end of the disruption period (for
about 365 days).
In general, by applying multi-strategy scenarios,
business entities on the maritime leg may be affected
with relatively low levels of risk probabilities ranging
from 3-5%; whilst farmers and final consumers may
experience maritime risk probabilities in the range of
21-22%. This is different from handlers and processors
who may have 10-11% of maritime disruption risks.
If the maritime disruption event is continuing, in the
range of 21-40 and 41-60 days, the amplitude of TPs is
decreased for all entities (except wholesalers which still
remain at 0.4%) to 18-21% for farmers, and 10% for
handlers, processors and Indonesian shipping
companies. After the period of the 60th day, the TPs
pattern takes a similar configuration with a relatively
constant level of values. Thus, TP outputs from days
341 to 365 have a constant level for all entities. Further,
in the constant level of TP, there are three groups of
TPs. One is the group of two entities namely farmers
and final consumers that may be clustered in a similar
probability value.
Entities such as Australian shipping companies,
forwarders, ports and shippers, and Indonesian
forwarders, ports, consignees and wholesalers are
estimated to have the same probability level of 0.5%5%. As a group, the likelihood of future maritime
disruption risks will fall to low levels and will be passed
on to farmers and final consumers in the WSC. Thus, in
principle, the application of multi-disruption
management scenarios using the MDP in maritime
disruption may minimise the consequences of the risks
in the WSC.
Figure 5. The transition probabilities of a one year WSC
5. CONCLUSION
REFERENCES
In this paper, multi-mitigation strategies modelling of

maritime disruptions in a WSC have been investigated.
The level of service is proposed to represent the TP of
satisfying the farmers and final consumers in the WSC,
and it has been formulated as MDP. The application of
MDM scenarios using the MDP in maritime disruption
may minimise the consequences of the risks in the
containerised WSC. An experimental strategy has been
carried out for the model assessment and impact
analysis of the confidence parameters in the
containerised Australian-Indonesian WSC.
The contribution of the paper is threefold. The first
contribution is a new approach that combines the
advantages of MDP. An analytical model has been
presented and the simulation based on implemented
MDM strategies. The second and third contributions are
an improved model and suggesting that containerised
WSC are able to generate competitive solutions quickly,
even compared with traditional planning approaches
that are much more time consuming.
[1] Carpignano, A., E. Golia, C. Di Mauro, S.

Bouchon, J. P. Nordvik.: A Methodological
Approach for the Definition of Multi-Risk Maps at
Regional Level: First Application, Journal of Risk
Research, Vol. 12, pp. 513534, 2009.
[2] Craighead, C., B. Jennifer, M. J. Rungtusanatham,
Robert, B. H.: The Severity of Supply Chain
Disruptions: Design Characteristics and Mitigation
Capabilities, Decision Sciences, Vol. 38, pp.
131156, 2007.
[3] Gurning, S., Cahoon, S.: Analysis of MultiMitigation Scenarios on Maritime Disruptions,
Maritime Policy & Management, Vol. 38, pp.
251268, 2011.
[4] Gurning, S, S. Cahoon, H. O. Nguyen, T.
Achmadi.: Mitigating Maritime Disruptions:
Evidence from the Australian-Indonesian Wheat
Supply Chain, International Journal of Shipping
and Transport Logistics, Vol. 3, pp. 406429,
2011.
383
[5] Handfield, R. B., McCormack, K.: eds. Supply

Chain Risk Management: Minimizing Disruptions
in Global Sourcing, Auerbach Publications, New
York, 2008.
[6] Haque, C. E., Burton. I. : Adaptation Options
Strategies for Hazards and Vulnerability
Mitigation:
An
International
Perspective,
Mitigation and Adaptation Strategies for Global
Change, Vol. 10, pp. 335353, 2004.
[7] Hermanns, H., Katoen, J. P., Meyer-Kayser, J.,
Siegle, M.: A Tool for Model-Checking Markov
Chains, International Journal Software Tools
Technology Transfer, Vol. 4, pp. 153172, 2003.
[8] Howick, S., Eden, C.: The Impact of Disruption and
Delay When Compressing Large Projects: Going
for Incentives? Journal of the Operational
Research Society, Vol. 52, pp. 2634, 2001.
[9] Julie, K., Murray, F., Pauline, M., Harvey, B.:
Supply Chain Management: The Case of a UK
Baker Preserving the Identity of Canadian Milling
Wheat, Supply Chain Management, Vol. 3,
157166, 1998.
[10] Kleindorfer, P. R., Saad, G. H.: Managing
Disruption Risks in Supply Chains, Production &
Operations Management, Vol. 14, pp. 5368, 2005.
[11] Merrick, J. R. W., Van-Dorp, J. R. T., Mazzuchi, J.
R.: Har. The Prince William Sound Risk
Assessment, Interfaces, Vol. 32, pp. 2540, 2002.
[12]Paul, J. A., Maloni, M.: Modeling the Effects of
Port Disasters, Maritime Economics & Logistics,
Vol. 12, pp. 127146, 2010.
[13]Pinto, C. A., Talley, K. W.: The Security Incident
Cycle of Ports, Maritime Economics & Logistics,
Vol. 8, pp. 267286, 2006.
[14]Skelton, P.: Business Continuity and Supply Chain
Management: How to Manage Logistical
Operations in the Event of an Interruption or
Emergency, Journal of Business Continuity &
Emergency Planning, Vol. 2, pp. 1320, 2007.
[15]Tomlin, B.: Disruption-Management Strategies for
Short Life-Cycle Products, Naval Research
Logistics, Vol. 56, pp. 318347, 2009.
[16]William, W.W., Donald, C. E. C., Bruce, L. D.:
Logistics and Supply Chain Strategies in Grain
Exporting, Agribusiness, Vol. 20, pp. 449465,
2004.
[17]Wilson, M.C.: The Impact of Transportation
Disruptions on Supply Chain Performance,
Transportation Research, Part E, Vol. 43, pp.
195320, 2007.
[18]Young, L.M., Hobbs, J. E.: Vertical Linkages in
Agri-Food Supply Chains: Changing Roles for
Producers, Commodity Groups, and Government
Policy, Review of Agricultural Economics, Vol. 24,
pp. 428441, 2002.
[19]Yu, G., X. Qi : Disruption Management, World
Scientific Publishing Co. Pte. Ltd, Singapore, 2004.
384
Maja kuri
PhD Student
Maritime Faculty
Davorin Kofja
Assistant Professor
University of Maribor
Faculty of Organizational Sciences
Branislav Dragovi
Professor
Maritime Faculty
Sanja Papan
MSc Student
Maritime Faculty
A Consideration of Berth Allocation

and Quay Crane Assignment A Case
Study
During last decade, Berth Allocation Problem (BAP) was recognized as
one of the most investigated problems in container ports. It obtains the
near-optimal schedule of container ships and quay crane (QC) assignment
along the quay to minimize the service time of ships. BAP can be solved as
multi-objective and mix-integer programming problem, but in our
approach, we have used the Genetic Algorithms (GA). GA has been used
numerous times in the recent literature and has proven as appropriate to
tackle the afore-mentioned problem. The usefulness of using GA is
presented with the numerical example of container ships arriving at a
Korean container terminal. The results obtained with GA point towards
significant service time reductions.
Keywords: Berth Allocation Problem, Quay Crane Assignment, Genetic
Algorithm, Service time, Optimization.
1. INTRODUCTION
Berth Allocation Problem (BAP) is described as a

very complex process at container terminal and it begins
when ships arrive at the port, waiting to moor at the
quay. Considering the circumstances that the mooring
locations, i.e. berths are occupied, the ships have to wait
until processed. The berth scheduling depends of
operator managers and the priority of ships. Mainly,
ports utilize a first-come first-served discipline, but on
the other hand, there are dedicated terminals that avoid
this irregularity. Furthermore, the berths are equipped
with quay cranes (QC) that load and unload containers
to and from the apron area. The number of QC assigned
to a ship is fundamental to BAP because the servicing
time of ship depends on it.
The process of ships arriving at port could be
denoted as a static or dynamic. In the first case, ships
are already in the port and wait for servicing, while in
the second one, ships have not arrived yet but their
arrival times are known and estimated in advance. In
recent literature, QC assignment problem is defined as a
dynamic programming problem. Considering that, there
are arrivals of ship and number of allocated QC per ship
are assumed as events. In the first stage of BAP,
operator planners need to precisely determine the berth
number before the ship arrives at port. In the second,
more demanding stage, QC needs to be assigned to a
ship. Even though these stages are independent, they
make one entity. Also, this problem is known in
literature to be NP-hard.
For solving NP-hard optimization problems, it is
necessary to use a different approach, e.g. (meta)
heuristic methods. Usually, when utilizing these
Correspondence to: MSc Maja kuri, PhD Student
Maritime Faculty,
E-mail: mskuric@ac.me
methods, the problem is divided into few sub-problems.

In this way, the heuristic procedure iterates until the last
sub-problem is solved, i.e. until the last ship is
scheduled and assigned a specific number of QC.
Genetic Algorithms, as one of the heuristic methods, are
widely used in solving BAP. In this paper, we utilize
GA in a case study at a Korean container terminal. GA
approach was verified and validated with the data of
arrival and servicing time of ships during the period of
one day. The results show that GA method can provide
efficient berth planning
The paper is organized as follows. In Section 2, we
focus on related literature of GA for solving BAP.
Together with the GA representation as one of the most
recognized evolutionary method, we give a model
formulation in Section 3. Numerical example with Gantt
diagrams for one day of container ships arrival is given
in Section 4. The paper is summarized in Section 5.
2. RELATED LITERATURE
BAP was first considered as discrete static problem

because of waiting and handling times of ship as well as
deviation between the arrival and service times. Imai et
al. [10] solved this problem using Hungarian method, by
treating BAP as a classical assignment problem. This
study is not realistic because port systems are mostly
defined as dynamic. On the other hand, Lim [13] stated
that berth planning is a NP-hard problem and after
formulating BAP, he assumed that berthing times
should be set by the arrival times. He treated berth
allocation with continuous line and discussed the
minimization of sum of the lengths of ships that should
be berthed at the same time.
Kozan and Preston [11] used GA techniques to
reduce container handling and transfer times and
consequently, that obtains ships time at port. Here, the
main goal was to determine optimal storage strategies
and container handling schedules. This paper was one of
the first in using GA approach where the validation of
385
results is done through the comparison with the

benchmark setup.
Nishimura et al. [14] proposed a dynamic berth
assignment to ships in a public berth system. They
developed a heuristic procedure based on genetic
algorithms. They applied GA to the berth allocation
problem with the multi-ship service. According to Imai
et al. [9], for determining a dynamic berth assignment to
ships in Japanese ports, the public berths play a vital
role. A given heuristic procedure based on Lagrangian
relaxation showed good results for adopting the
proposed algorithm in real port situations. Also, this
paper presents a ship-berth-order assignment. More
specifically, Imai et al. [8] established a new term of the
Multi-User container terminal (MUT). One of the main
issues is berths allocation to calling ships and the aim is
to modify the formulation of BAP in relation to solve a
various service priorities using GA.
The solution procedure of BAP is the application of
GA based heuristics as resolution approaches relating to
the seaside operations at marine container terminals is
given in Boile et al. [2]. They presented the lack of
optimality criteria of the final solution, and described
how to exploit the special characteristics of the physical
problem and construct improved approximations of the
feasible search space. Golias et al. [6] propose a
complete set of solutions that enable terminal operators
to evaluate various berth scheduling policies. A given
algorithm improved results when compared to the
weighted approach while Tavakkoli-Moghaddam et al.
[15] realized a mix-integer programming model for QC
scheduling and assignment problem. The efficiency of
the proposed GA is compared against the LINGO
software package in terms of computational times for
small-sized problems.
A detailed literature overview and new classification
schemes for BAP and QC scheduling problems are
described in Bierwirth and Meisel [1]. After the model
specification, applied algorithms and proposed solutions
methods, this paper develops a classification scheme for
BAP, QC scheduling problem and integrated
approaches. A genetic-based algorithm is proposed in
Ganji et al. [4] for solving BAP. Computational results
for two test problems (a small and a large-sized
problem) are also presented in this paper.
Liang et al. [12] introduced the quay crane dynamic
assignment in berth allocation planning problem. They
proposed a multi-objective hybrid Genetic Algorithm
approach with a priority-based encoding method to
minimize the sum of the handling, waiting and delay
time of containers as well as to minimize the number of
quay crane movements.
3. MODEL FORMULATION AND GA
REPRESENTATION
GA has become increasingly popular from the 1960s

for solving complex optimization problems such as
those found in the areas of scheduling. It is used to
simulate the processes of natural selection and
evolution. According to Golias et al. [5], the GAs
heuristic consists of three parts: the chromosomal
representation, the genetic operations, and the selection
386
process. It starts by computing an initial population, i.e.

the first generation which contains the individuals.
Considering BAP, in the literature, it is usually that
population is represented by character strings which
make part of the chromosome. Therefore, chromosomes
represent berths and ships. The length of string depends
of number of ships and berths where they are separated
by zeros. The GA will go through these processes and
seek the optimal strategy for BAP until a stopping
criterion is met, i.e. the best fitness value remains
unchanged for a different number of generations. One
must note that GA parameters, i.e. population size,
mutation rate, etc., play a vital role in obtaining a good
solution in a reasonable amount of time. There are few
steps that make part of GA representation: fitness
evaluation, selection, crossover and mutation.
3.1 Related model
Ganji et al. [4] and Imai et al. [7] give the model
formulation for minimizing service time of container
ships taking into account continuous BAP. This model
is proposed and applied for numerical example in
Section 4. Continuous BAP is formulated as mix-integer
nonlinear programming model
Min Z
(t
F
i
Ai )
(1)
iV
subject to tiF tiB Ci i V ,
(2)
Ci CM i pi M i i i V ,
(3)
pi , tiB 0 are the integer i V ,
(4)
i, j ( i ) V ,
(5)
where
i ( 1,..., T ) V - set of ships,

tiF - completion time of handling for ship i ,
Ai - estimated arrival time of ship i ,
tiB - start time of the handling of ship i ,

Ci - handling time for ship i ,
CM i - handling time at the best berthing location for
ship i ,
pi - berthing location of ship i ,
M i - berthing location with the minimum handling time
of ship i ,
i - ratio of the increase in handling time with the
distance of ship i from its best berthing location.

Other constraints are the non-overlapping
restrictions on the quay or time axis that should be
satisfied. Also, constraints ensure that every ship must
be berthed within the length of the quay and the ships

are berthed after their arrival.
11/2/11 4:48
11/2/11 0:00
In this Section, we give the numerical example of

our GA approach for solving BAP and QC assignment
in real system. The computational results are done for
KBCT (Korea Express Busan Container Terminal)
which makes part of Port of Busan and is one of the
biggest container terminals in the world. We have
collected the data from terminals official site [16].
Arrival time
11/1/11 19:12
11/1/11 14:24
11/1/11 9:36
11/1/11 4:48
11/1/11 0:00
10/31/11 19:12
10/31/11 14:24
1
5
Ships' ID
Figure 2. Ships arrival time [16]
4.1 Improved BAP and QC assignment using GA
Figure 1. KBCT layout [3]
Figure 1 shows the KBCT layout, where it can be

seen that this terminal has five berths with total length
of 1500 meters and fifteen QC that can be scheduled
and assigned to ships. It is treated as continuous BAP
where QCs are dynamically allocated. The total
throughput in November 2011 was 138078 containers
with 191 ships call. Major Korean ports increased
container volumes to 9.3% compared to November a
year ago [16].
Table 1. Berth and ship schedule with service time and
container throughput in KBCT on November 1, 2011 [16]
Ships
ID
No.
of
berth
Ships
length
in m
Service
time
Total no. of
transferred
containers
299
25.25
1615
127
13.50
584
107
3.00
167
142
10.33
500
275
18.17
1696
334
6.50
660
127
12.00
376
276
7.50
462
300
16.83
1615
In Table 1 are given berth and ship schedule with

service time and container throughput in KBCT
achieved during November 1, 2011. In this date, total
number of ships arrival was 9. Ships arrival time is
given in Figure 2 and obviously, it was dynamic. The
berths scheduling and ships length are given in Table
1. To service nine ships from November 1, it took 44.75
hours [16].
With the GA representation and input data defined

previously, some numerical experiments have been
performed. Actually, we have tried to solve BAP and
QC assignment applying GA coded in MATLAB
R2011b. Numerical experiments have been executed on
a Personal Computer Dell, with 2 GB RAM, Intel Core
Processor of 1.86 GHz on Windows 7 operating system.
In this terminal, FCFS (first-come first-served)
discipline is employed. The QC productivity is 45
TEU/h. We have used following parameters for GA
structure: population size 100, crossover rate 100%,
mutation rate 1%, and the stopping criterion is either
when 200 generations are reached or when the fitness
function of the best chromosome remains unchanged for
100 generations. The approaching and departure time
has been limited to 1 hour. Also, the distance from one
to another QC is 50 meters. The transferring time of QC
is 1 or 2 minutes, but we did not take it into account
here. Test data used in numerical experiment for ships
arrival was for November 1, 2011. We have
implemented an optimization model for resolving and
minimizing total servicing time of ships.
Figure 3. Gantt chart for ship schedule and QC assignment

on November 1, 2011
Beside this, we want to point out that each container

ship must be handled at one and only one berth and the
container ship size cannot exceed its berth size.
Therefore, the sum of the lengths of ships being
serviced simultaneously at a berth does not exceed the
length of the berth. Considering QCs, once a quay crane
starts to work at a berth, it has to finish the workload
before it moves to other berth. The service start time of
ship should be later than the arrival time of the ship.
The results from Figure 3 show that our GA
performs better results considering total servicing time
of ships and that this feasibility is better than gaining on
optimality. The first number in rectangles represents the
ID of a ship, while the second is the number of QCs
387
assigned to a ship. After the analysis, total servicing

time obtained is 37 hours. The results show that using
this approach would be appropriate for ship and berth
scheduling and QC assignment because we have
reduced the longest time that a ship spends in a port, and
that is servicing time. The Gantt chart given in Figure 3
represents the proof of our analysis. Total elapsed time
of GA optimization was: 50.208947 seconds.
Obviously, after the analysis and using GA, we
solved the objective and consequently BAP and QC
assignment (Table 2). Namely, in Table 2 ship schedule
and QC assignment is specified. If we compare the real
data collected from KBCT and results after GA
implementation, it is evident that ships schedule with
GA is different than real data. Actually, in November 1,
GA suggested that only three berths were used (1, 2 and
4) for ship servicing. It means that berths 3 and 5 were
free and do not have the need to be used. This analysis
suggests that practically two berths are not used
efficiently in KBCT.
Table 2. Comparison of ship schedule and QC assignment
before and after GA implementation
November
1, 2011
Ship
schedule
(Real data)
Ship
schedule
(GA)
1-(2); 2-(1);
3-(1); 4-(1);
5-(4); 6-(5);
7-(2); 8-(3);
9-(5)
1-2*; 2-4*;
3-2*; 4-2*;
5-2*; 6-1*;
7-4*; 8-1*;
9-2*
QCs
assignment
(GA)
1-(5); 2-(2); 3(2); 4-(2); 5(5); 6-(6); 7(2); 8-(5); 9(6)
Note: Bold number of ship; * number of berth; () number of QC.
5. CONCLUSIONS
This paper represents a contribution to BAP and QC

assignment at a container terminal. The study is based
on GA approach that is used for optimizing continuous
BAP and minimizing service time of ships at container
terminal. Beside model formulation, we also show the
importance of GA optimization in solving such
optimization problems in container ports. A given
numerical analysis confirms that this research is a good
base for further investigations. The results show the
minimized service time of ships for one day time
horizon and also provide a proof that in KBCT are two
berths that are not efficiently used. Consequently, this
can serve for berth planning and KBCT performance
evaluation.
Finally, there still exists a possibility for
improvement. This paper did not consider the priority
service or total cost level, but these related extensions
could serve to this study as future directions.
REFERENCES
[1] Bierwirth, C. and Meisel, F.: (2010), A survey of berth

allocation and quay crane scheduling problems in
container terminals, European Journal of Operational
Research, Vol. 202, No. 3, pp. 615627, 2010.
[2] Boile, M., Golias, M. and Theofanis, S.: Scheduling of
Berthing Resources at a Marine Container Terminal
via the use of Genetic Algorithms: Current and Future
Research, Evolutionary Computation, Wellington
388
Pinheiro dos Santos, ISBN 978-953-307-008-7, pp.

572, 2009, I-Tech, Vienna, Austria.
[3] Dragovi, B., Zrni, N. and Park, N-K.: Container
terminals
performance
evaluation,
Research
Mechanical Engineering Belgrade, Serbia, pp. 180,
2011.
[4] Ganji, S.R.S., Babazadeh, A. and Arabshahi, N.:
Analysis of the continuous berth allocation problem in
container ports using a genetic algorithm, Journal of
Marine Science and Technology, Vol. 15, pp. 408416, 2010.
[5] Golias, M.M., Boile, M. and Theofanis, S.: A lamdaoptimal based heuristic for the berth scheduling
problem, Transportation Research Part C, Vol. 18, pp.
794-806, 2010.
[6] Golias, M.M., Boile, M. and Theofanis, S.: Berth
scheduling by customer service differentiation: A
multi-objective approach, Transportation Research
Part E, Vol. 45, No. 6, pp. 878892, 2009.
[7] Imai, A., Sun, X., Nishimura, E. and Papadimitriou, S.:
Berth allocation in a container port: using a
continuous location space approach, Transportation
Research Part B, Vol. 39, pp. 199221, 2005.
[8] Imai, A., Nishimura, E. and Papadimitriou, S.: Berth
allocation with Service Priority, Transportation
Research B, Vol. 37, pp. 437-457, 2003.
[9] Imai, A., Nishimura, E. and Papadimitriou, S.: The
dynamic berth allocation problem for a container port,
Transportation Research Part B, Vol. 35, pp. 401-417,
2001.
[10] Imai, A., Nagaiwa, K. and Chan, W.T.: Efficient
planning of berth allocation for container terminals in
Asia, Journal of Advanced Transportation, Vol. 31,
pp. 75-94, 1997.
[11] Kozan, E. and Preston, P.: Genetic algorithms to
schedule container transfers at multimodal terminals,
International Transactions in Operational Research,
Vol. 6, pp. 311-329, 1999.
[12] Liang, C., Guo, J. and Yang, Y.: Multi-objective
hybrid genetic algorithm for quay crane dynamic
assignment in berth allocation planning, Journal of
Intelligent Manufacturing, Vol. 22, No. 3, pp. 471479, 2011.
[13] Lim, A.: The berth scheduling problem, Operations
Research Letters, Vol. 22, pp. 105110, 1998.
[14] Nishimura, E., Imai, A. and Papadimitriou, S.: Berth
allocation planning in the public berth system by
genetic algorithms, European Journal of Operational
Research, Vol. 131, pp. 282-292, 2001.
[15] Tavakkoli-Moghaddam, R., Makui, A., Salahi, S.,
Bazzazi, M. and Taheri, F.: An efficient algorithm for
solving a new mathematical model for a quay crane
scheduling problem in container ports, Computers &
Industrial Engineering, Vol. 56, pp. 241-248, 2009.
[16] http://www.kbct.co.kr
Davorin Kofja
Assistant Professor
Maja kuri
PhD Student
Maritime Faculty
Branislav Dragovi
Professor
Maritime Faculty
Andrej kraba
Assistant Professor
Traffic Modelling and Performance

Evaluation in Cruise Port
This paper deals with simulation modeling of the ship traffic in the cruise
port of Kotor, Montenegro. The purpose of this study is to compare
analytical results of average number and waiting time of cruise ships in
queue with the obtained simulation results. The existence of queues in
cruise port can lead to significant dissatisfaction of operators and ports. In
this regard, we point out on queue control including two anchorages that
represent the queues and one berth for receiving it. During summer period
of year the traffic intensity of cruise ship arrival is higher and
consequently, the simulation model is built to optimize the average number
and waiting time in the queue based on the appropriate model. The
statistics precisely show the frequency of traffic as well as berth utilization.
Results indicate that the standard deviation values of simulation results do
not differ much to the analytical ones.
Keywords: cruise ship, average number and waiting time of ships in queue,
analytical model, simulation, port of Kotor.
1. INTRODUCTION
In many maritime transport literatures, it is known

that queuing occurred in the case when the limited
capacity of the port facility exists. During the last
decade, the cruise ship market has become very
attractive due to destinations and leisure activities. But,
queuing phenomenon did not take any contribution in
cruise shipping even though when cruise ships arrive at
the anchorage in front of the port of destination; usually
have to wait in queue for vacant berths. In the recent
time, it is noticeable that in accordance with the
increased cruise traffic throughput in ports leads to
serious traffic congestion [1]. So, for port sector
profitability it is the interest to reduce the queues.
This paper develops the appropriate model
formulation of average number and waiting time of
cruise ships in queue with optimal simulation support
for describing busyness in cruise port of call Kotor. The
real study is done where the accent is on decreasing
cruise ships queuing times in the queue after reaching
optimal simulation results. Cruise ship's arrival is
practically scheduled but we want to predict the optimal
policy before the ship arrives at the busy port. Thus, this
paper is helpful because operational policy in queues of
cruise ships is considered.
Before designing a cruise ship arrival in port, it is
necessary to consider all the conditions and facts of the
cruise terminal in port of Kotor to obtain the operations.
For example, the entrance of the port of Kotor is very
specific due to very unusual Boka Kotorska Bay
location as well as the position of the pilot station. Also,
the draft characteristics in Kotor Bay where the port is
Correspondence to: Dr. Davorin Kofja, assistant professor

University of Maribor, Faculty of Organizational Sciences,
Kidriceva cesta 55a, 4000 Kranj, Slovenia
E-mail: davorin.kofjac@fov.uni-mb.si
located and other performances of the terminal such as

berth length, draft along the quay are very specific for
further considerations. According to the ship schedule in
port, it is not convenient to arrive during the night. Port
of Kotor disposes with one official berth for receiving
cruise ships, a river berth for smaller cruise ships that is
not taken into account in this study and two anchorages
(queues) that are positioned in the near vicinity of the
port (Figure 1).
Figure 1. Location of berth and queues in Kotor Bay
Every year from April to November (peak period of

the season), there is a situation where one big cruise
ship is berthed while other two are waiting in the queue.
Also, sometimes there is a situation when four or five
ships are entering the Bay and in these circumstances,
port of Kotor management has the problem in defining
appropriate operational policy. Thus, cruise ship at berth
shortens its berthing time to reduce the average number
and waiting time of cruise ships at queue. In this
manner, it is necessary to predict cruise ship coming
into Bay based on the appropriate distribution of ships
inter-arrivals which can be obtained by distribution
fitting analysis of the inter-arrival data. After that, we
calculate the average number and waiting time of ships
389
in a queue based on dynamic ship arrivals described in

the form of adequate queuing model M/D/1/m where
ships are arriving according to the Poisson process with
service time of the ships which is constant and there is
one berth available with limited places in waiting queue,
m. After the analytical formulation of this model, the
validated results are going to be used as input data for
simulation study of a dynamic system which will
optimize the cruise ship traffic in Kotor Bay.
The rest of this paper is organized as follows.
Section 2 provides port calling frequency statistics to
show the importance of incoming traffic in port of
Kotor. In Section 3 problem formulation with input data
variables is described. Next Section provides queuing
assumptions of the considered problem while in Section
5 the simulation model is explained. Output results are
given in Section 6. The main conclusions are presented
in Section 7.
2. PORT CALLING FREQUENCY STATISTICS
The main parameter for calculating the average

number and waiting time of ships in the queue is traffic
intensity. In this study we obtain cruise ship's arrival in
8-month period of 2011 (peak period of the season) and
4-month period of 2012 (part of the peak period) [1012]. Also, we have taken into account the fact that we
consider only cruise ships that went to berth or queues.
These ships that were predicted for river berth did not
count. Thus, the ship arrival rate was 0.90 ships per day
in considered period of 2011 and 0.88 ships per day in
considered period of 2012. In the case when berth is
occupied, cruise ships arrive at Bay and wait in the
queue.
Before defining queuing system in port of Kotor, it
is necessary to present the frequency of port calling
(Figure 2). The obtained methodology was taken from
Tzannatos [13]. Port of Kotor A.D. (PKAD) is a
company that provides the information about port
services for obtained periods [3, 11]. These data contain
the ships ID, the date of ships call, arrival, and service
and departure time. Over first period, 54 cruise ships
made 219 port calls, while during second period, 36
ships made 107 port calls. From June to October 2011
and from June to August 2012, two or more port calls
were in a day and there was a situation when cruise
ships arrived and departed almost simultaneously [3,
12].
that about 30% of the callings produced approximately

70% of the total port calls for both peak periods. Also,
three or more port calls (58% in 2011 and 64% in 2012)
were made by the 23 and 13 most frequent callers (21%
and 29% of the total number of ships, respectively).
This implies that the most frequent callers did 3 or 4
port calls in a day [3].
3. PROBLEM FORMULATION
For initial problem formulation, in this case of cruise

ships arriving in the port of Kotor, a simulation based
on queuing model is shown in Figure 3. As can be
noticed, this flow includes berth and queues availability.
Therefore, some assumptions must be made. First, the
assumed background in this paper is that the berth is no
vacancy and all cruise ships have to go at queue until a
vacant berth becomes available. Secondly, it must be
assumed that most of these ships that firstly went to
queues do not need to go to the berth when it becomes
available and in that case these ships rest in the queue a
certain period of time. Unfortunately, except this
queuing system in Kotor Bay, there is no other
alternative infrastructure existed. Also, even though the
cruise ship arrival is scheduled, there are early or late
arrival at the berth due to queuing. Sometimes the
principle of first come first serviced is not valid
because of the operators contract with the port.
Figure 3. Flowchart for arrival routine based on queuing

model
Figure 2. Port calling frequency of individual cruise ships
Here we obtain 74% of total port calls in peak period

of 2011, while in the peak period up to August 2012, we
retrieve 75% of total port calls. It is worth to mention
390
There were situations when after berth becomes

vacant, cruise ship from the queue changes position and
go to the berth. The waiting time of this ship depends on
the average number of ships in queue in the front of it
and on the priority rule.
To optimize the average number and waiting time of
ships in queue, from the defined analytical model pointof-view, we specify the simulation variables. It is
assumed that utilization of river berth not considered in
this study did not influence the statistics collected for
both peak periods of 2011 and 2012, respectively.
Simulation variables are given as follows:
nb 1 - there is only one berth for receiving cruise

ships so it is treated as a single queuing system in
port;
m 2, 3 - basically, there are two finite spaces
(queues) and we did the analysis if there were three;
- arrival rate of cruise ships;
- service rate of cruise ships;
- traffic intensity;
Lq - average number of cruise ships in queue;
4. QUEUEING APPROACH IN CRUISE PORT
Lq ( M / D / 1 / m )
First of all, it is necessary to define basic parameters

for presenting queuing systems at the port. On the basis
of these parameters, appropriate indices of port
operations can be computed and used for calculating the
average number and waiting time of ships in queue.
Numerical results and computational experiments
evaluate the efficiency of the model. Here, we give the
explicit formulae for port with one berth and finite
number of ships in queue for M/D/1/m model.
According to Garcia et al. [7], they defined the
transient analytical solution of M/D/1/m queues based
on M/D/1/m as a finite capacity queuing system, with
m 1 waiting spaces in the queue. Following this, in
our study cruise ships arrive according to a Poisson
process at arrival rate . They are serviced according to
FCFS discipline and the service time ( ) of each ship
is the same. Therefore, cruise ships that upon arrival see
a full system are rejected and do not further influence
the system.
The traffic intensity for this model is defined as
/ and there is one berth ( nb 1 ). Let
denotes the probability of k arrivals
during a service of ship. Using a probability transition

matrix of the embedded Markov chain (Garcia et al. [7];
Brun and Garcia [5]), it is possible to derive the
stationary probability distribution of the number of
cruise ships in the M/D/1/m queue.
p0
pk
1
1 bm 1
bk bk 1
, k 1 ,..., m 1
1 bm 1
bm 1
pm 1
1 bm 1
where the coefficients
(1)
(2)
(3)
bn are given by b0 1 and
(1) k
(n k ) k e( n k ) k , m 1 . (4)
k!
k 0
n
bn
Wq ( M / D / 1 / m )
m 1
bk m
1
m 1 k 0
bm 1
(5)
whence by Littles law it follows that the average

number of cruise ships in queue for M/D/1/m model is
Wq - average waiting time of cruise ships in queue.
k
k e
k!
According to the second formula of Theorem 2

(Garcia et al., [7]) for an average waiting time in the
M / D / 1 / m model,
m 1
m 1
bk m
bk m . (6)
(m 1) k 0
m 1 k 0
bm 1
bm 1
Consequently, in relation to our port system, for two

queues in Bay, for m 2 we have
b0 1 b1 e ,
which substituting into the above formula gives
Lq ( M / D / 1 / 2 )
while for m 3 ,
1 e 2 1 e e
, (7)
e
e
b0 1 b1 e , b2 e 2 e ,
which substituting into the above formula gives
Lq ( M / D / 1 / 3) 2
1 e e 2 e 3
e 2 e
2e 2 e 2 2 2e e e 2
.
e 2 e
(8)
5. SIMULATION MODEL
After the analytical formulation, discrete event

simulation is used to provide consequent changes of
arrival schedule and to justify dynamic traffic intensity
during specified the week when the frequency of port
calling is highest. Discrete event simulation utilizes a
mathematical/logical model of a physical system that
portrays state changes at precise points in simulated
time [4], [9].
The proposed simulation model developed in
Flexsim [6] is presented to improve the obtained
approximated results. Therefore, the simulation
variables are given in this Section.
5.1. Variable distributions
The schedule of cruise ships in Bay depends on

arrival times [11]. Here, according to obtained data, we
have fitted inter-arrival time CFD in MATLAB and the
results show that this parameter corresponds to the
exponential distribution thus justifying the Poisson
process of arrivals. Curve fitting is presented in Figure
4, where probability and variable axis are inverted,
because of the limitations of the curve fitting module.
The curve is defined by the equation and parameters
shown in Figure 5. Also, the Figure 5 shows that R-
391
square value is 0.95 for 2011 distribution and 0.97 for

2012 distribution, indicating a good fit.

Table 1. Comparison of simulation results against realworld data for model validation
2011
Average number of
ships
Average number of
ships in queue
Average queue
waiting time
2011
2012
Average number of
ships
Average number of
ships in queue
Average queue
waiting time
2012
Real
Simulation
9.75 [7, 12]
9.6 [8, 12]
0.23 [0.2, 0.37]
0.24 [0.17, 0.35]
2.48 [1.77, 2.91]
2.62 [1.97, 3.16]
Real
Simulation
8.5 [7, 10]
8.6 [7, 10]
0.23 [0.18, 0.29]
0.21 [0.17, 0.31]
2.51 [1.99, 2.82]
2.60 [1.88, 3.15]
6. OUTPUT RESULTS
Figure 4. Exponential distribution CFD of inter-arrival times

with fitted exponential curve for 2011 and 2012
The output results are shown in Tables 2, 3 and 4.

The M/D/1/m model results are compared to the ones
obtained by simulation. We have analyzed twelve
different scenarios by changing incoming traffic and
queue capacity while taking into account different interarrival times distributions for 2011 and 2012.
With regard of incoming traffic we have considered
the following scenarios:
a) Incoming traffic is the one obtained from the
original data,
b) Incoming traffic is increased by 20% and
2011
2012
Figure 5. Parameters of fitted exponential function and

goodness of fit results for 2011 and 2012
On the other hand, the deterministic service time is

assumed with a value of 10 hours for 2011 and 9 hours
for 2012.
5.2. Model validation
Model validation is an important process in the

development of a simulation model, because one needs
to determine if the systems fulfills the purpose for
which it was intended [2]. For validation purposes,
several tests are performed and several key performance
measures are observed to see if they are close to the real
data. We have run 100 replications for each simulation
scenario, where the observed time window is 7 days.
Validation has been performed separately for the
years 2011 and 2012 with regard of average number of
ships served, average number of ships in queue and
average waiting time. The results are presented in Table
1, where the average number of a specific performance
measure is accompanied by a min-max interval. The
largest difference appears at the average number of
ships in queue for 2012 with a value of 9.5%. Since all
key performance measures are different by at most
9.5%, one can conclude that the simulation model
provides valid and acceptable results.
392
c) Incoming traffic is increased by 40%.

Increasing traffic scenarios correspond to the very
likely future increase of traffic in the port of Kotor. On
the other hand, we have considered two possibilities of
queue capacity: a) m = 2 and b) m = 3. Each of twelve
simulation scenarios was replicated 100 times and
average results with standard deviations were obtained.
Tables 2, 3 and 4 present the results for original
incoming traffic and increased incoming traffic by 20%
and by 40%, respectively. Each table is divided into two
subtables for the year 2011 and 2012, respectively. Each
subtable presents the comparison of the average number
of ships in queue and average waiting time for the
M/D/1/m and simulation model if the queue capacity is
set to 2 and 3. The numbers in brackets represent the
standard deviation of replication results.
One can observe that results for 2011 and 2012 are
not very different in each simulation scenario. The
largest difference of 14.3% appears between the
simulation model results of the original incoming traffic
with m = 2. Furthermore, the simulation results do not
differ significantly from the analytical M/D/1/m model
results. The differences are in the interval from 5% in
2012 of the original incoming traffic with m = 2, and up
to 14.4% in 2012 of the 20% increased incoming traffic
with m = 3. These results point towards the fact that
M/D/1/m model provides similar results than the
simulation model. Hence, the M/D/1/m model is suitable
for modelling the stated problem. Moreover, the results
are obtained much faster by applying the analytical

solution if changing input parameters.
is increased by 36% and 95%. In this case, the average

waiting time is increased by 22% and 42%.
Table 2. Average number of ships in queue and average

waiting time with original incoming traffic
7. CONCLUSION
2011
M/D/1/m
model
Simulation
model
2012
M/D/1/m
model
Simulation
model
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.22
2.43
0.48
5.12
0.24
(0.13)
2.62
(0.53)
0.50
(0.17)
5.29
(0.62)
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.20
2.53
0.43
5.19
0.21
(0.12)
2.60
(0.48)
0.48
(0.15)
5.38
(0.70)

waiting time with an increased incoming traffic by 20%
2011
M/D/1/m
model
Simulation
model
2012
M/D/1/m
model
Simulation
model
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.29
2.78
0.68
6.11
0.30
(0.14)
2.92
(0.48)
0.77
(0.17)
6. 38
(0.59)
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.27
2.91
0.67
6.31
0.28
(0.16)
3.05
(0.51)
0.76
(0.19)
6.40
(0.55)

waiting time with an increased incoming traffic by 40%
2011
M/D/1/m
model
Simulation
model
2012
M/D/1/m
model
Simulation
model
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.37
3.09
0.89
7.01
0.47
(0.20)
3.18
(0.64)
0.95
(0.31)
7.37
(0.72)
m=2
Lq [ship]
Wq [h]
m=3
Lq [ship]
Wq [h]
0.35
3.25
0.84
7.35
0.37
(0.22)
3.45
(0.61)
0.90
(0.25)
7.51
(0.58)
Further, we have conducted another analysis by

increasing the incoming traffic by 20% and by 40%. As
expected, the average number of ships in queue and
waiting times is increasing because the service time
keeps the original value. In 2011 with m = 2, average
number of ships in queue increases by approximately
24% and 68% if the incoming traffic is increased by
20% and 40%, respectively. The average waiting time
increases by 14% and 27%. If observing m = 3 scenario
in 2011, the average number of ships in the queue is
increased by 42% and 85%. The average waiting time is
increased by 19% and 36%. On the other hand, in 2012
with m = 2, the average number of ships in the queue is
increased by 35% and 75%. The average waiting time is
increased by 14% and 28%. If taking into account that
m = 3 in 2012, the average number of ships in the queue
The existence of queues has become a common

problem in the cruise port of Kotor. The capacity limit
leads to port authority and operators dissatisfaction and
generates serious problems in defining operational
policies. To reduce the average number and waiting
time of cruise ships in queue, this paper provided the
simulation model to show that port of Kotor needs some
changes.
An application of the proposed method is illustrated
with a case study based on actual arrival data of cruise
ships in the port. Another contribution of this paper is
the simulation application of the stationary M/D/1/m
model to the cruise ship queue analysis, which estimates
the average number and waiting time of ships in queue
much more accurately than the traditional queuing
models. On the other hand, simulation results do not
differ significantly from the analytical ones but give a
more precise estimation of the average number of ships
in queue and average waiting time of cruise ships in the
queue because the input data of inter-arrival time were
fitted.
A potential for further research definitely exists. For
instance, a dynamic model for performance evaluation
could be done to describe the flow of cruise traffic in
the port. The given frequency statistics of port callings
suggest that our study can be significantly improved.
Also, the existence of average number and waiting time
of ships in queue in cruise port may lead to decreased
port income and future research should also consider the
relation between port costs and profit.
REFERENCES
[1] Almaz, O.A. and Altiok, T.: Simulation modeling

of the vessel traffic in Delaware River: Impact of
deepening on port performance. Simulation
Modelling Practice and Theory, Vol. 22, No. 3,
146-165, 2012.
[2] Desel, J.: Model validation A theoretical issue?,
In: Esparza, J. and Lakos, C. (eds.), ICATPN 2002,
Lecture Notes in Computer Science 2360, pp. 2343, 2002.
[3] Dragovi, B., kuri, M., Kofja, D.: A proposed
simulation based operational policy for cruise ships
in the Port of Kotor, submmited.
[4] Banks, J., Carson, J.S., Nelson, B.L. and Nicol
D.M.: Discrete-event system simulation, 4th edition,
Prentice Hall, Upper Saddle River, New Jersey,
2004.
[5] Brun, O. and Garcia, J.M.: Analytical Solution of
Finite Capacity M/D/1/ Queues, Journal of Applied
Probability, Vol. 37, No. 4, pp. 1092-1098, 2000.
[6] Flexsim
Simulation
Software,
2012,
http://www.flexsim.com, last accessed august 2012.
393
[7] Garcia, J-M., Brun, O. and Gauchard, D.: Transient

analytical solution of M / D / 1 / N queues, Journal
of Applied Probability, Vol. 39, No. 4, pp. 853-864,
2002.
[8] Markovi, N., Schonfeld, P.: Scheduling for a
single-terminal intermodal system recovery with
poisson arrivals, Strojniki vestnik - Journal of
Mechanical Engineering, in press, DOI:
10.5545/sv-jme.2010.268.
[9] Nance, R.E.: A History of Discrete Event
Simulation Programming Languages, Technical
Report TR-93-21, Computer Science, Virginia
Polytechnic Institute and State University, 1993.
[10] http://www.portofkotor.co.me; Port of Kotors
website: last accessed on August 2012.
[11] Port of Kotor A.D. (PKAD) Reports.
[12] Statistical Office of Montenegro MONSTAT,
2012, Foreign-flag cruise ships in Montenegro.
http://www.monstat.org
[13] Tzannatos, E.: Cost assessment of ship emission
reduction methods at berth: the case of the Port of
Piraeus, Greece, Maritime Policy & Management,
Vol. 37, No. 4, pp. 427-445, 2010.
394
Ports sustainability: trends in CHE

industry
Andrija Vujii
Senior insurance expert
Nenad Zrni
Associate professor
Boris Jerman
Associate professor
The goal of this paper is to present the latest trends in Cargo-HandlingEquipment industry aimed to mitigate environmental impact of container
terminal operations and contribute to the sustainable ports. The each piece
of the most widespread machines for handling containers is described and
dealt separately with the highlight on the green technologies and
improved operating efficiency and emission reductions. In the special
chapter recommendations on methodologies suitable for investigation of
environmental footprint of Cargo-Handling-Equipment without on-site
measuring are given. Additionally, the Life-Cycle-Assessment methodology
as tool for comparison of conventional and state-of-the-art port technology
is underlined with an example.
Keywords: Ports, Cargo-Handling-Equipment, environmental footprint,
green technology, Life-Cycle-Assessment;
1. INTRODUCTION
With almost 90 percent of non-bulk cargo moved

worldwide by containers [1, 2], the container shipping
and handling industries have immense economic
footprint both locally and globally [3]. Ports play a huge
role in the regional economies and the growth and the
development is directly related to ports abilities to adapt
to a new challenges.
The economic force behind ports and container
terminals unfortunately comes with a heavy
environmental burden. The growing ports activities and
the densely populated cities where most ports are
located combined with already pollution saturated air
and water are imposing threat to public health and
environment in general [4]. Many ports today are
considered to be the largest sources of air pollution in
coastal cities and awareness for necessary action on
reduction of the pollution has become the matter of
public concern.
It is also important to underline that the
environmental footprint of the ports is rising to the top
of the port authorities agenda in the moment when
economic downturn has already exerted container
operations struggling to hold on cost effective side [5].
The new demands are pushing port related industries to
offer green solutions for ports who seek to mitigate
their environmental footprints.
Green trends are also backed with governments
and agencies initiatives to regulate ports environmental
impact by imposing new emission standards. The port
machinery and non-road vehicles in the past were not
part of rigorous emission regulations such as road
vehicles, but this is rapidly changing [6].
The bar rising on emissions has put inevitably the
additional pressure on ports operations. Although it is a
Correspondence to: Mr ing. Andrija Vujii
Dunav Insurance Company,
Makedonska 4, 11000 Belgrade, Republic of Serbia
E-mail: Andrija.Vujicic@dunav.com
short term extra cost, the implementation of strategies to

mitigate the environmental impact, will result in the
reduction of the fuel and energy consumption making
long term economical benefits as well [7]. If planed in
detail and possibly financially supported by government
the green strategies could turn out as a win-win
solution.
Emissions in ports come from operations of three
different sectors. The first sector is related to the arrival
and berthing of vessels, the second involves activities
within the port boundaries such as unloading of cargo
from the ships and their transfer by Cargo-HandlingEquipment (CHE) and the third includes the transport
(vehicles, trains and inland shipping) within or near the
port and departure.
In this paper the notion will be on the second sector
of port operations and on the environmental footprint of
CHE. The CHE has significant share in port emissions
contributing to regional pollution of often residential
areas bordering the ports [4]. The industry recognized
importance of sustainability-orientated strategies and
review of novel technologies are given.
2. CARGO HANDLING EQUIPMENT
In port container terminals, cargo (in this paper only

containers) are ferried around using special designed
machines called CHE. These machines usually include
various types of cranes and specially designed forklifts,
tractors or trucks. The containers are lifted from a
marine vessel by a crane at latter moved or picked by
other crane, handler or forklift. In between each use of a
crane or pick, the container is transported around the
terminal using a yard truck.
Greatest in CHE fleet population are the yard trucks
and forklifts, followed by handlers and gantry cranes.
These machines are conventionally power with InternalCombustion-Engine (ICE) which most often is a diesel.
Due to the fact that handling container with as much as
40 tonnes of cargo is an energy-intensive function and
the fact that CHE is powered with diesel burning
engines it is often considered as one of the most
395
significant sources of air pollution caused by terminal

operations.
Fortunately, an answer to port green strategies, the
CHE industry offered a wide range of solutions, from
retrofits to brand new high efficiency models, such as
hybrid and all-electric drives. Depending on solution
and equipment type some technologies are advertised to
reduce the CO2 emissions up to 70 percent and NOX and
SO2 up to 90 percent (according to manufacturers).
Most common pieces of CHE found in container
terminals are:
Rubber Tired Gantry (RTG) crane
Straddle Carrier
Container Forklift
Reach Stackers
Yard Hostler
2.1 RTG CRANE
In port container terminals, the RTG cranes are used

for the movement of shipping containers once they are
placed into the distribution channels from the ship. The
cranes are powered by a diesel generator set (genset),
which consists of a diesel engine coupled with an
alternator.
Figure 1. RTG crane
An RTG crane is capable of moving containers

weighing up to 50 tonnes at a rate of 20 moves per hour.
Since it is one of the largest machines on tires in the
world power with up to 800 horsepower, turning it in to
the eco-friendly machine is challenging task.
A conventional diesel genset provides electrical
power for the hoist, trolley, and gantry motors, as well
as for the routine demands of the crane. Utilizing this
type of power system on a RTG, allows a crane to move
independently throughout the container terminal as
required by daily port operation. The freedom of
movement and the high peak power demand for hoist
motor consumes a large amount of fuel and emits
significant emissions of green-house-gases (GHG).
Today variety of technologies and systems are
available to reduce fuel consumption and emissions and
improve overall RTG efficiency. They include
technologies such as, variable-speed generators (VSGs),
flywheel energy storage, hybrid RTGs with super or
396
ultra capacitor technology (Eco-RTGs) and electrified

zero emission models (E-RTGs). Most of them are
available as retrofits for conventional cranes, but also as
manufacturing brand new state-of-the-art option RTG
cranes.
The VSG is usually integrated with other solutions
as Flywheel and Hybrid energy storage system and ERTG. It efficiently tackles the problem of engine idling
at constant speeds and also offers possibility of
downsizing of genset for maximum saving potential.
VSG is available as retrofit option for replacement of
existing wasteful fixed-speed generators.
The flywheel solution stores energy by spinning
mass while container lowering and discharges the power
by using the spinning mass to produce output power in
short intervals (up to 30 seconds) during the lift cycle.
The flywheel can be considered as mechanical battery
with advantage over chemical since the frequent cycles
do not reduce its life. This solution is highly suitable for
diesel engine downsizing since the flywheel can provide
the peak power that is required during every lift cycle.
The hybrid RTG (often Eco-RTG) similar as
flywheel technology stores energy generated during
load-lowering and then releases it during lifting. Energy
is stored in ultra (or super) capacitor, an electric doublelayer capacitor with high energy density (up to hundred
time greater energy density over conventional
electrolytic batteries). Eco-RTG uses also VSG and
effectively solves the problem of engine idling. The
hybrid RTG with downsized diesel genset achieves up
to 60 percent reduction of CO2 emission, presenting as
one of the most environmental friendly solution [8].
An electrified RTG (E-RTG) in the past was
often avoided due to complicated electric-power feeding
via cable, narrowed movability and limited flexibility.
Today E-RTG disadvantages are overcome with the
cable reel and latest drive-in conductor bar solution with
collector trolley that automatically engages and
disengages. Although the main disadvantage remains need to adapt the terminal for electrification, with the
latest solutions environmental advantages of E-RTG are
in prime again. The 90 percent of operating time
electrified RTG cranes uses solely electricity and 10
percent of time uses diesel engine, during block changes
and maintenance. The manufacturers advertise E-RTG
staggering potential of over 70 percent CO2 reduction
[9]. The fact is that this dominantly depends on power
grid mix CO2 per kWh but score could hardly worsen to
50 percent CO2 reduction over conventional RTG [10].
The electrification of RTG is also available as retrofit
solution.
2.2 STRADDLE CARRIER
A straddle carrier (SC) is a non-road vehicle for use

in port terminals and intermodal yards used for stacking
and moving ISO standard containers. Straddles pick and
carry containers while straddling their load and
connecting to the top lifting points via a container
spreader. This machine has an ability to stack containers
up to 4 high. It is capable of speeds up to 30 km/h with
a laden container, making it a faster solution than RTG
crane. Straddle carriers can lift up to 60 tonnes which
equals to 2 full containers. It is very favourable by port

operators due to higher productivity rates over other
CHE, and possibility to work without the need of
waiting for the availability of another machine.
As case with all heavy CHE capable of lifting loaded
containers, the SC weight of up to 70 tonnes inherited
twin poor fuel economy and significant GHG emissions.
The fact that over 95 percent of SCs are packed with
hydraulics components, the oil spillages can present an
additional environmental issue.
Although the SCs cyclical operation and positive
and negative energy peaks could impose as good ground
for improvements there are only few green solutions
available. Hybrid Energy storage technology and VSG
reduce fuel consumption and very not very common
electric components replace leaky hydraulics.
Hybrid system usually consists of VSG and an
energy storage supercaps system. Variable speed diesel
generator set optimizes fuel consumption and reduces
noise emissions, while kinetic energy is stored when
breaking the SC and potential energy during the
container lowering. The regenerated energy is later used
to support diesel genset when hoisting container or
accelerating SC. Hybrid SC, still long way from
mainstream application is advertised to have up to 30%
fuel saving and CO2 emission reduction potential
(Kalmar).
Figure 3. Reach Stacker
An RS for laden containers can lift containers to five

high and also have up to third row picking ability,
where a lifting capacity can vary depending of the row.
Usually maximum first row lifting capacity is up to
45tonnes, 30 tonnes in the second and 15 tonnes in the
third row of containers.
The speed and lifting power of RS comes with fuel
consumption in range of much larger and two time
higher storage capacity of RTG crane. Since they are
often found in the larger numbers than RTG cranes and
burn up to 20 liters of diesel per operating hour, with the
relating GHG emission the reach stacker is not
environmentalist favorite.
In order to mitigate environmental impact of the RSs
the CHE industry has not done much. The main
improvements come with state-of-the-art technology
from ICE industry. This was mainly as response to
regulations of non-road vehicle emissions. Today RSs
are fitted with modern turbo-diesel common-rail engines
with exhaust gas recirculation (EGR) and diesel particle
filters (DPFs). All these features were developed for onroad vehicles and their application in RSs is merely
question of emission regulations.
For further improvements such as hybrid technology,
alternative fuel solutions (biodiesel, LPG and CNG) and
other, the RSs have to rely on technical developments
taking place else were. Once the alternatives are proven
by the ICE industry in on-road heavy-duty vehicles,
there will inevitably be more green RSs serving
container terminals.
2.4 OTHER CONTAINER HANDLERS
Figure 2. Straddle Carrier
2.3 REACH STACKER
Reach Stacker (RS) is container handling non-road

vehicle, very similar to large tractor or bulldozer with a
spreader. They can be designed for handling laden or
empty containers, depending on load capacity. Reach
stackers have gained popularity as container handlers
for small terminals or a medium-sized ports because of
their speed and flexibility and are often favored over
RTG cranes, since they can operate without yard truck
and cost three times less.
Due to their similarity, container handlers, such as

top picks, side picks and forklift trucks are described
within same chapter. These non-road heavy-duty
vehicles are used to hoist, transport and stack empty or
laden cargo containers at port terminals.
These machines are very similar to reach stacker, but
only have first row picking ability. Depending of built
(to handle an empty or laden container), they have
lifting capacity of between 7 to 10 tonnes and 35 to 45
tonnes respectively. The usual upper limit stacking
ability is up to five containers high.
Depending on the design (empty or laden container
handling) they are typically powered by diesel ICEs
397
with power range from 150 to 350 horsepower. The

diesel engine plus the fact that they are second most
common CHE after the yard truck leaves a significant
environmental footprint in overall terminal operations.
As with reach stackers, top picks, side picks and
forklift trucks have to rely on ICE industry when it
comes to emissions reduction and green solutions.
The stringent port pollution regulations and imposing
non-road emissions standards are pushing cleaner (Euro
4 and 5 or Tier 4) engines to be fitted in cargo handlers
resulting in reduced NOX and PM emissions. The
alternative fuel solutions are still on hold waiting for
ICE industries.
Figure 4. Container forklift truck
2.5 YARD HOSTLERS
Yard hostlers (also referred to as terminal tractors,

yard trucks or utility tractor rigs) are heavy-duty offroad single cab trucks designed for moving cargo
containers. They are by far the most common type of
CHE used at container terminals [11].
Normally the yard hostler is connected to a trailer
which it uses to help transport containers. In a typical
operation, a container is loaded onto the trailer by a
piece of CHE such as a crane, top-pick, side-picks or
other machineries. The yard hostler then drives (tows)
the trailer with the container to a destination within the
terminal where the container is unloaded by another
piece of CHE.
It is important to highlight that each use of a crane or
pick, the container is ferried around the yard using a
hostler. Therefore the hostlers are the most important
category of equipment in terms of fuel consumption and
air emissions and contribute up to 70 percent of port
CHE emissions.
Figure 5. Yard hostler
398
There are a lot of new tehnologies aimed to mitigate

environmental footprint of yard hostlers with high
possibility of making mainstream application. The most
common trends are hybrid (diesel-electric and dieselhydraulic), electric drives, fuel-cells and alternative fuel
(LPG and CNG) solutions.
The long idling periods and stop and go movements
with burst of accelerations of yard hostlers are
significant emission sources, followed with noise
polution adjacent to affected neighborhoods. Fortunatly,
the operating conditions of yard hostlers are highly
sutaible for hybrid technology application.
The idling time makes up to 35% of entire operating
time of yard hostler, making it major environmental
downside [11]. With hibrid hostler the engine is shut-off
during stops reducing both exhaust emissions and noise
polution.
On the other side, freaqvent brake application,
especialy when towing laden container increases the
storage of kinetic energy later needed to propel the
vehicle without utilizing the diesel engine. The storage
of kinetic energy is were the difference between two
hybrid solutions come in light. The first option of hybrid
yard hostler favors battery storage solution, while
second is based on hydraulic high pressure accumulator
used to store energy.
The diesel electric hybrid yard hostler uses basicly
the same hybrid technology proven in on-road hybrid
trucks, buses and passenger cars. The battery pack (most
common is litium-ion) is used to store kinetic energy
when disaccelerating or braking. Stored energy can later
by used for hostler zero emissions low speed movement
in battery mode. The latest electric hybrid yard hostlers
are offered with plug-in battery recharching technology.
With this feature diesel genset can be used as only
range-extender enabling further downsizing of ICE.
Advertised fuel consuption reduction is 60 percent with
significantly lower noise polution.
The hydrulic hybrid yard hostler technology,
althought simple, is very innovative. The system uses
high pressure reservoar to serve as kinetic energy
capturing accumulator. During vehicle disaccelarating
or braking, the rotating energy of the wheels is used to
pump fluid from the low pressure reservoir into the high
pressure accumulator. Up to 70 percent of the energy
normally wasted as brake heating can be stored and later
reused for vehicle accelaration. The system also has idle
reduction feature and hydraulic drivetrain replaces
mechanical transmittions offering aditional fuel saving
potential. This yard hostler is projected to improve the
fuel efficiency by 50 to 60 percent and reduce GHG
emissions by over 30 percent.
One of the latest trends in CHE industry is fully
electric yard hostlers, advertised as zero-emission
equipment. As most full electric on-road vehicles this
system uses electric motor and lithium-ion batteries.
The electric hostlers manufacturers promise range from
80km to 150km depends on load, sufficient for two shift
operations. The overall GHG emission reduction
potential is significant, but can vary depending on
power grid mix supply emissions due to energy
consumption of up to 40 kWh per operating hour [12].
3. EVALUATION OF CHE FOOTPRINT

Determining environmental footprint of container
terminal or CHE is important and complex task. The
environmental footprint of CHE activities at container
terminals can be determent either by directly measuring
emissions or estimating them using various models or
methods.
The first way, by measuring the emissions is the
most accurate, but also the most expensive and time
demanding and can only be done as aftermath. Direct
emissions measurement, thus disables early stage
planning and comparison of CHE before actual
acquisition.
The second approach, using modelling and different
methodology application, enables preventive approach,
through comparison of CHE without actual ever seeing
machine. The emissions are estimated employing
developed models and/or using inventories for
representing CHE technical data, such as rated power,
model year, fuel type, annual hours of operation, load
data, etc. The average emissions per engine for each
equipment type are then multiplied by that number of
operating shifts or hours, further by the total number of
engines the CHE group and annual emissions for certain
equipment.
It is important to underline, that uncertainty in each
of input parameters in the begging due to numerous
iterations can lead to significant uncertainty in the final
results of estimated CHE emissions. With these methods
comparison of any type of port machinery could be
unreliable, since the slightest aberration in early
modelling can result in favouring one piece of
equipment over other.
3.1 LCA AS COMPARISION TOOL
Certain pieces of handling equipment have

advantages over others and certain terminal
configurations (size, average number of handling
operations, etc.) are more suitable for certain types of
CHE, but regarding overall port sustainability it is
important to determine which solution or equipment has
lesser environmental footprint.
When regarding to tools of assessment of
environmental
impact
of
products,
certain
methodologies have advantages over others, but
according to the authors opinion the most appropriate
way to determent environmental footprint is to carry out
Life-Cycle-Assessment (LCA).
LCA methodology outlined in ISO 14040 (2006) is a
quantitative tool for assessment of environmental
impacts of products and services [13]. It is systematic
approach for analyzing the entire life cycle stages from
material extraction through manufacturing, use and
eventually disposal or recycling preferably. Therefore it
is often called a cradle-to-grave analysis.
The application of LCA for evaluations of
environmental impact or comparison of container
handlers is not widespread, although in the recent years
more experience regarding this subject is available [10].
The LCA methodology could be interesting tool for this
purpose due to several facts.
First it offers consistent comparison of both

production phase of machine, propulsion system and
alternative fuel solution, since LCA can address
assessment of environmental burden of fossil fuel
extraction, production, distillation and distribution and
also electricity production. This is of importance for
CHE, due to rising popularity of electrification solutions
recommended for RTG cranes and yard hostlers.
Secondly, the LCA offers evaluation of
environmental footprint based on immense inventory
data without need for on-site measurements. Additional
advantage of LCA is following. Ones the environmental
impact of common model of CHE is established, results
could be used for future assessments of upgrades and
retrofit features coming out on market. In essence the
structure and manufacturing process of most common
CHE has change little to none since these machines
were introduced and most of LCA inventory once made
can be used again.
3.2 AN EXAMPLE OF LCA OF CHE
In order to further encourage the use of an LCA and

importance of considering the entire life cycle when
evaluating the new CHE technology GHG emission
reduction potential the example of LCA study is given.
In the brief example the result of comparison of three
RTG cranes (Conventional vs. Hybrid vs. Electric) are
presented.
Table 1. Cradle to Grave results of LCA - CML method
CRADLE TO GRAVE
Method: CML 2001 dec.2007 Conventional
Hybrid
E-RTG
GWP (CO2e) [kg CO2-Eq.]
6.337.584,07 3.939.581,91 1.793.537,99
AP [kg SO2-Eq.]
80.202,27
49.222,23
14.160,56
EP [kg Phosphate-Eq.]
13.610,44
8.221,01
1.653,52
ODP [kg R11-Eq.]
0,06
0,06
0,26
POCP [kg Ethene-Eq.]
8.461,55
5.103,05
1.201,95
Radioactive waste (kg)
745,19
771,27
3.529,38
The example of LCA shows a significant reduction

of Global Warming Potential (GWP), Acidification
Potential (AP) and Eutrophication Potential (EP) for
hybrid RTG and E-RTG crane models over
conventional. The resulting outcome is due to
significant reduction of consumption of diesel fuel in
use phase, where upstream phase(production) and
downstream phase (disposal or recycling) show
almost even results. Relatively higher level of
environmental impact of Hybrid and E-RTG cranes
upstream phase has little influence on overall results
due to small share in entire 15 years long life cycle of
cranes.
Figure 6. Global-warming-potential of RTG cranes
399
4. CONCLUSION
The effort of CHE industry in providing ports and

container terminals with environmentally more efficient
technology is becoming more visible than ever. Almost
every piece of CHE today is offered with hybrid,
electric zero-emission or alternative fuel solutions, as
retrofit or brand new model.
In era, when terms such as green, eco-friendly,
carbon-neutral, or zero-emission are part of almost
every day discourse, fleet of conventional CHE
machinery is redundant. The hybrid super-cap RTGs,
electric E-RTG cranes, hybrid and electric yard hostlers,
promise significant GHG emission reduction and fuel
saving potentials and their introduction in to the port
operations has almost zero environmental downsides.
Once the automotive industry further improves ICEs for
alternative fuel and fuel-cell use and ports facilities are
adapted for new machineries, the mainstream
application of these technologies in CHE will take
place.
On the other side, for the assessment of
environmental footprints CHE and comparison of novel
and conventional technologies without on-site
measuring LCA methodology is recommended. One of
the greatest potentials of the LCA is its possibility to
offer details information through inventory data,
necessary for CHE fleet acquisitions and optimisations
of port infrastructure in achieving the sustainable
operations.
REFERENCES
[1] Jensen, R. A.: On the Complexity of Container

Stowage Planning, IT University of Copenhagen,
TR-137, December 2010.
[2] Ebeling, C. E.: Evolution of a Box, Invention and
Technology, November 2009.
[3] Pruzan-Jorgensen P. M., Farrag A.: Sustainability
Trends in the Container Shipping Industry, BSR
report, September 2010.
[4] Cannon, J. S.: Container Ports and Air Pollution,
An Energy Futures, Inc. Study, 2009.
[5] Chin, H., Curlow J., Lwik, L., Yun Xu, S.: Global
Ports: Trends and Opportunities, RREEF Research,
April 2009.
[6] California Air Resources Board, Regulation for
Mobile Cargo Handling Equipment at Ports and
Intermodal Rail Yards, September 2012.
[7] Vujii, A.: Ecological and economic efficiency of
hybrid technology in era of sustainable
development, (in Serbian), Money, market, capital,
Serbian Chambre of Commerce, Vol. 1/11, pp. 91104, January 2011.
[8] Zrni N., Vujii, A.: Reduction of RTG cranes
emission by using hybrid technology, Proceedings
of the conference Shaping Climate Friendly
Transport in Europe: Key findings & Future
400
Directions, REACT 2011, University of Belgrade,

Faculty of Transport and Traffic Engineering,
Belgrade, Serbia, pp. 180-187, 2011.
[9] Obata, K., Sakamoto, T., Yoshioka, N., Fujisawa,
N., Yoshikawa H., Monzen T.: Grid-Powered
Electric Transfer Crane, Mitsubishi Heavy
Industries Technical Review, Vol. 47, No. 2, June
2010.
[10] Zrni, N., Vujii, A.: Evaluation of environmental
benefits of CHE emerging technologies by using
LCA, (proceedings of) Internation Material
Handling Reaseach Colloquim, Gardanne, France,
June 2012.
[11] Calstart: Liquefied Natural Gas (LNG) Yard
Hostler Demonstration and Commercialization
Project, (Final Report), The Port of Long Beach,
August 2008.
[12] Bse, J. W.: Handbook of Terminal Planning,
Springer, 2011.
[13] Uherek, E., Halenka, T., Borken-Kleefeld, J.,
Balkanski, Y., Berntsen, T., Borrego, C., Gauss,
M., Hoor, P., Juda-Rezler, K., Lelieveld, J., Melas,
D., Rypdal, K., Schmid, S.: Transport impacts on
atmosphere and climate: Land transport,
Atmospheric Environment, Vol. 44, pp. 4772-4816,
2010.

CLOSING SESSION AND

ROUND TABLE
PAST, STATE OF THE ART AND FUTURE
OF INTRALOGISTICS
Georg Kartnig
Professor
Engineering
Bruno Grsel
Professor Emeritus
Engineering
Nenad Zrnic
Associate Professor
Department of Material Handling,
Constructions and Logistics
Past, state of the art and future of

intralogistics
After briefly reviewing the history of intralogistics, this paper examines the
outlook for the technologies concerned. This is related to the so-called
megatrends, such as globalisation, urbanisation, demographic shifts
and climate change, which are expected to bring about major global
transformations over the next few decades, and which are also likely to
determine the future functions of intralogistics and the focus of research in
the field.
Keywords: intralogistics, megatrends, internet of things.
1. INTRODUCTION
This paper offers a brief introduction to the history of

intralogistics and the trends that are likely to shape its
future. What changes are to be expected over the next
3040 years, and how will these influence the focus of
intralogistics research? The authors argue that these
changes can be deduced from wider global megatrends.
Firstly, however, it is necessary to define the term
intralogistics, which has only entered the English
language fairly recently.
The Intralogistics Forum of the Verband Deutscher
Maschinen- und Anlagenbau (VDMA) defines
intralogistics as: The organisation, control, execution
and optimisation of in-plant material and information
flows, and of goods transhipment in industry,
distribution and public sector facilities. [1]
by expert subcommittees which advised the standards

committees.
The introduction of standardised loading devices in
the shape of containers and pallets promoted the
development of forklifts and stacker cranes overhead
cranes with a column and lifting trolley. The advantages
of pallet racks for storage were space saving and easy
access to all stored goods. The greatest achievement of
the experts of the day was undoubtedly the
standardisation of the 800 x 1200 mm euro pallet. This
was the key to the standardisation of logistics equipment
and systems.
2. HISTORY OF INTRALOGISTICS
The following section owes a strong debt to Technische

Innovationen fr die Logistik (Technical Innovations for
Logistics) by W. Gnthner and K. Heptner. [2]
The history of intralogistics goes back to the
immediate postwar period, when economic and
industrial development was mainly driven by
manufacturing. In-plant transportation initially relied on
simple equipment such as bag carts, other trolleys and
overhead cranes. Goods were stored at ground level as
block stacking suffered from poor visibility and
accessibility.
This situation began to change in the early 1950s,
under the influence of new transportation methods
developed in the USA. It was the introduction of pallets
as universal loading devices and of forklift trucks that
had enabled the US Army to meet its gigantic logistics
needs during the two world wars and the Korean War.
This new technology was adapted to German conditions
Correspondence to: Professor Georg Kartnig
Getreidemarkt 9/E307, 1060 Vienna, Austria
Email: georg.kartnig@tuwien.ac.at
Figure 1. History of intralogistics
The 1960s were a period of strong economic growth,

resulting in the rapid expansion of manufacturing,
distribution and international trade. A side-effect of the
economic boom was escalating labour and material cost
inflation. By then managements were already aware that
it was necessary to look for efficiencies in all of a
companys operations and not just the manufacturing
process. The storage area stood out for its rationalisation
potential. To exploit this potential, storage needed to be
seen as more than a necessary evil, and to be turned into
a useful and efficient buffer between the various
production stages, and between production and the
market. Using the technology available at the time, it
was already possible to integrate the storage function in
a companys work flows, resulting in lower
warehousing costs, use of space saving storage systems
and higher throughput. This inevitably required
increased investment, and the changes involved implied
a move from labour to capital intensive warehousing
401
methods. The 1960s can be summed up as a decade of

rapid progress in warehousing technology.
The first automated 20-metre high rack warehouse
was built in Germany in 1962. The advent of this type
of storage ushered in a period of advances in the
development of rack feeders, either suspended from
rails or running on ground level rails. The designs
featured one or two masts, composed of lattice or solid
web girders, drive systems using direct current or threephase current motors, and automatic analogue or digital
positioning. Performance improved steadily, with
speeds reaching 3 m/s, and rack heights rising to 30 m.
Other advances were the automation of transport and
storage processes, and computerised storage
management by punch card.
In the early 1970s the emergence of a buyers
market and associated changes in consumer behaviour
forced businesses to rethink their approach to
production and distribution. The market was now
demanding quality products, and a wider range of
product variations. Beside this, high availability and
short delivery times were now expected.
Existing storage systems were unable to cope with
these shifts in consumer behaviour. New concepts were
needed if companies were to respond to these demand
patterns at reasonable cost. As a result new
warehousing, order picking and dispatching methods
took on an ever increasing significance.
The decade witnessed a wave of investment in
automated high rack warehouses and associated
materials handling equipment by manufacturing and
distribution companies. The expansion of the order
picking and distribution functions transformed simple
warehouses into distribution centres. Wholesalers were
particularly alive to the advantages of modern
distribution centres in terms of operating costs and
service quality. During this period materials handling
was strongly influenced by the introduction of new
technologies such as electric monorail systems, AGVs,
AS/RS and long goods storage systems.
However, the biggest force for change was enabling
electrical engineering, electronics and information
technology. The arrival of the first usable
microprocessor in 1972 can be said to mark the dawn of
a third industrial revolution. Microprocessor based
technologies were first put to work with AS/RS, for
functions such as control, positioning and data transfer,
as well as error reports. Later, they began being
employed to control functions upstream and
downstream of warehousing. Microprocessors took over
the control and monitoring of both material and data
flows. All in all, the 1970s were a period of big strides
in the automation of materials handling technology.
The economic situation in the early 1980s and the
desire to emulate Japanese production methods
triggered a drive for more flexible manufacturing,
aimed at cutting the cost of short production runs.
Manufacturers turned to automated production cells and
adaptable NC machine tools. However in-house
logistics was still being managed by conventional
automated handling systems. As a result plant designers
began looking at manufacturing as a whole, including
both internal and external processes. This gave rise to
402
the so-called just-in-time philosophy, which sought to

optimise the whole supply chain by achieving prompt
deliveries all along it. Reorganising production
processes in this way depended on the deployment of
new IT systems and communication technologies. New
electronic data transfer systems were rolled out, and
standards established for information exchanges. The
identification of goods by barcode labels and scanners
was brought to full maturity for industrial applications,
making it possible to meet the demand for reliable
linking of flows of goods and information. The
introduction of barcode systems can probably be singled
out as the main landmark of the 1980s for intralogistics.
The replacement of manual by automated
identification boosted the efficiency of sorting systems.
With the potential performance improvements now
sufficient to justify heavy investment in automated
sorters, they made rapid inroads in a wide variety of
industries.
A new development phase was initiated by the
availability of better PCs from the mid-1980s on. PCs
were used for warehouse management, and in storage
planning for calculations, design and simulation.
The search for further efficiencies along the entire
supply chain during the following decade was labelled
lean production. Another key trend at this time was
efforts by companies to refocus on their core
competencies, which led to increased outsourcing of
logistics operations.
On the logistics equipment front the main focus was
on mini-load storage technologies, using lighter,
faster and more efficient load handling devices, for
small part storage. These permitted big increases in
storage and retrieval capacity. Following initial
setbacks, AGVs now claimed substantial shares of the
in-plant transportation market.
During the 1990s there were also striking advances
in the integration of computers and peripherals with
Ethernet based data networks. The introduction of ring
and star bus topologies brought down network
installation, maintenance and troubleshooting costs.
At the outset of the new millennium globalisation
took over as the dominant force in industry and trade.
Logistics had the task of merging the supply chains of
different partners into global networks. Supply chain
management became the holdall term for the design,
optimisation and operation of these networks. Central
goals were optimising the portfolio of assets in the
supply chain by applying the pull principle, and
expanding the pool of bulk buyers in just-in-time and
just-in-sequence organisations. These strategies have
encouraged the construction of industrial parks close to
customers.
An important impetus for new developments has
come from the internet and the related rise of ecommerce between businesses (B2B), between
businesses and consumers (B2C), and peer to peer
between consumers (C2C). One of the first online
retailers was Seattle headquartered Amazon, which has
since rolled out a global IT, fulfilment and warehousing
network, connected by modern satellite communication
technology.
In order preparation, voice picking systems have

achieved the necessary maturity, and the error rates are
now acceptable.
Wireless LAN based techology is being applied to
in-house logistics notably, the control of AGV
systems, and communication with mobile terminals in
assembly plants and distribution centres.
However the biggest breakthrough of the past
decade has certainly been the introduction of the new
RFID identification technology. RFID tags enable
goods and transportation devices to carry much more
information with them, enabling them to fulfil a far
wider range of functions than barcode labels. The
technology has numerous applications in all areas of
logistics.
3. MEGATRENDS
Following this brief review of the history of

intralogistics we should now like to examine the trends
that are likely to have a substantial influence on life in
the near to medium term, and their potential impact on
intralogistics.
The term megatrend was first used in 1982 by
John Naisbitt to designate large social, economic,
political, and technological changes ... (that) influence
us for some time. [4] Today megatrends are regarded
as an important strategic concern by many corporate
headquarters organisations. For instance, the fact that
the Siemens Group aligns its business segments to the
urbanisation and demographic changes megatrends
shows how seriously it takes this subject.
Megatrends have three defining characteristics that
set them apart from other trends: [4]
Time horizon
Megatrends are observable over a period of decades.

There are quantitative, empirically distinct indications
of their existence in the present which can reliably be
projected at least 15 years into the future.
Reach
Megatrends are ubiquitous; their scope extends

throughout the world. Moreover, they cause
multidimensional interactions between all the main
political, social and economic subsystems. However
their characteristics differ from region to region.
Effect strength
Megatrends have radical effects on all social agents

governments, consumers and businesses.
Z_punkt GmbH a German consultancy which
specialises in strategy innovation lists the following
20 key megatrends of the present. [4] These are:
4. IMPLICATIONS OF THE MEGATRENDS FOR
INTRALOGISTICS
The following is a brief discussion of the above

megatrends that are likely to be of particular relevance
to intralogistics.

Table 1. megatrends according to Z_Punkt GmbH
1.
Demographic change
2.
New level of individualisation
3.
Rapidly improving health standards
4.
Women on the advance
5.
Cultural diversity
6.
New mobility patterns
7.
Digitalisation
8.
Learning from the nature
9.
Ubiquitous intelligence
10.
Convergence of technologies
11.
Globalisation
12.
Knowledge-based economy
13.
Business ecosystems
14.
Changing world of work
15.
New consumption patterns
16.
Revolution in energy and resource use
17.
Climate change and environmental impact
18.
Urbanisation
19.
New political world order
20.
Growing global security threats
Globalisation
Globalisation is the process of increasing global

interdependence in all areas (the economy, politics,
culture, the environment, communication, etc.).
This intermeshing of global relationships is
affecting individuals, companies, institutions and
governments. The main drivers of globalisation are
technical progress, particularly in communications
and transportation, and political decisions to
remove trade barriers.
Urbanisation
Rapid growth of megacities.

Development of appropriate infrastructure solutions.
New lifestyles and approaches to housing.
Revolution in energy and resource use
Scarcity of strategic resources (fossil fuels, fresh

water, metals and minerals).
Use of alternative energy sources and renewables.
Energy efficiency revolution.
Decentralised energy supplies.
CO2 emissions and global warming.

Growing environmental problems in emerging and
developing countries.
Clean technologies.
More responsible approach by companies.
403
New level of individualisation
Ever wider range of products to meet individual

needs.
Rapid technological advances in information

technologies such as the internet and email, and
convergence between technologies such as
materials engineering and drive systems.
The linking of virtual and real worlds, neural
networks, swarm behaviour, artificial intelligence
and robotics.
Growing global security threats
Smouldering cultural conflicts.

Procurement and sales risks.
Strikes and collapse of supply chain partners.
Global terrorism.
Demographic change
Aging and declining populations in the West.

High birth rates in developing countries.
Increasing migration flows.
The Bundesvereinigung Logistik (German Federal
Logistics Association) reaches similar conclusions (Fig.
2). The chart also plots the significance that industrial
companies in Germany, the USA and China attach to
the various trends at present and expect them to have in
2015. [5]
Figure 2. Impact of megatrends on logistics [5]
5. FUTURE CHALLENGES FOR INTRALOGISTICS
What do these trends mean for intralogistics, and what

future research thrusts do they suggest?
The megatrends outlined in sections 2 and 3 point to
the research thrusts summarised in Fig. 4. We shall now
look at three of these research areas in detail, giving
examples.
The globalisation and urbanisation megatrends,
and the global logistics and supply of megacities
challenges indicate a need for more, and more powerful
logistic systems: The watchword, to borrow from the
Olympic motto, will be higher, faster, further.
404
Figure 4. Future challenges for intralogistics[6]
One example of this trend is the use of shuttle

systems instead of AS/RS. This can raise handling
capacities per lane from 120 LE/H to approximately
1000 LE/H. [9]. Other advantages of shuttle systems are
greater flexibility and scalability.
Industry surveys and publications have lately been
signalling a major wave of innovation in AS/RS
systems. This partly involves improvements to
conventional S/R equipment. These mainly relate to
lighter designs to reduce weight and manufacturing
costs, and increased travel and lift speeds, as well as the
use of advanced control, information and
communication technology to increase throughput and
enhance energy efficiency (particularly through energy
recovery). At the same time, however, novel
technologies, in the form of so-called shuttle systems,
are also appearing on the scene.
In the constantly growing small parts market,
widespread implementations and industry debate reveal
a rapidly growing interest in shuttle systems.
Typical features of shuttle systems as compared to
convention S/R equipment are:
Smaller, lighter and faster vehicles without columns,
equipped with the usual load-carrying equipment;
Use of multifunctional rails at each shelf level as
drive rails for the shuttles, as well as vertical
conveyors in front of the lanes to accept the loading
devices or transport the shuttles;
High energy efficiency because of the low power
consumption of shuttles and the vertical conveyors;
Good scalability because of the flexible, modular
design.
Table 2 summarises the main advantages and
disadvantages of the competing systems. This
comparison demonstrates that both approaches to
storage and retrieval systems have their pros and cons,
and as a result there will probably continue to be room
for both. Opting for the right system or a combination of
the two will cost money, and will require advice and
support from competent and impartial engineers.
The revolution in energy and resource use, climate

change and environmental impact, business ecosystems
and learning from the nature megatrends will give birth
to a new discipline, green logistics. Environmental
protection and resource conservation in logistics are no
passing fad, and their growing importance will drive
long-term changes. Energy efficiency is at the heart of
the EUs Europe 2020 Strategy [18] for smart,
sustainable and inclusive growth and of the transition to
a resource efficient economy. Energy efficiency is one
of the most cost effective ways to enhance security of
energy supply, and to reduce emissions of greenhouse
gases and other pollutants. In many ways, energy
efficiency can be seen as Europe's biggest energy
resource. This is why the Union has set itself a target for
2020 of saving 20% of its primary energy consumption
compared to projections, and why this objective was
identified in the Commissions Communication on
Energy 2020 as a key step towards achieving our longterm energy and climate goals [19].
Environmental awareness becomes increasingly
important in every aspect of human's life: politics,
economics and everyday life. The issue of emissions in
the changing global climate and recent economic
uncertainties is pushing policy makers and industries to
promote strategies and technologies for reduction of
emissions and fuel consumption. In addition to this, the
public is placing demands for more environmental
operations of industries, but without jeopardizing
current comfort and consumers habits [11]. The climate
change combat placed some industries more than others
under complete scrutiny the transport industry and as
well as logistics/intralogistics. The issues of ecology,
sustainability and social responsibility are becoming
increasingly important aspects of business enterprises
everywhere. The (intra)logistics industry is no
exception, of course. It is transport and (intra)logistics
sector that has allowed huge leap in growth of
companies over the past few decades, and it could be
said that development in these sectors is what's
contributing most to globalization [12]. Transport
systems have significant impacts on climate change,
accounting for about 20-25 percent of world energy
consumption and CO2 emissions [13]. Greenhouse gas
emissions from transport are increasing at a faster rate
than any other energy using sector [14]. Intralogistics
can be influenced directly by the recent initiatives of
becoming a green sector and meets the categories such
as are plant layout and material flow systems, handling
and conveying equipment (cranes, industrial trucks, port
handling equipment, conveyors, etc.), stock (bigger the
stock we keep, bigger the building needed), the
assignment of new technologies respectively, as well as
transport packaging. Some green logistics projects have
already been implemented. So, we have a permanent
increase in researches concerning environmentally
friendly technologies in intralogistics sector. Most of
them have been presented during the worlds leading
fair in this field CEMAT-Hannover in 2011. Moreover,
the motto of the last CEMAT was sustainability in
intralogistics and accordingly during the fair several
presentations and forums discussed various aspects in
this field.
For instance, reduction of emissions concerning

industrial trucks could be achieved by the use of
environmentally
friendly
and
efficient
drive
engineering. In 1997 with the Toyota Prius, the first
series of hybrid vehicles were brought on the market.
After the change of the emission levels of work
machines at the latest, this theme reached the attention
of forklift producers. The industrial trucks can be suited
for cross breeding because of their dynamic drive and
load profiles, because of the fact that the percentage of
stop and go process for short distances driving in a
constant speed is very high [12]. Today the forklift can
be powered by a number of fuel options including
gasoline, diesel, electrical battery, compressed natural
gas (CNG) and liquid propane gas (LPG). Mitsubishi
Heavy Industries have developed the world's first
engine/battery hybrid forklift trucks with 4.0 to 5.0 ton
rated capacities. By integrating a lithium-ion secondary
battery developed in-house and high-efficiency motors
with small-size, low-exhaust emission diesel engines
that comply with new emission regulations, the
company has realized outstanding environment-friendly,
fuel-efficient performance: approximately 39% greater
fuel efficiency and CO2 emissions are 14.6 tons less
than the standard internal-combustion powered trucks.
On the other hand, during CEMAT 2011 German
company Still presented its serial production of hybrid
forklift trucks.
Among different parts of intralogistics sector the
container sector is currently the fastest growing
industry. Container shipment and handling division is
experiencing explosive growth due to containers
pouring from Asia, mainly from China [15]. In the U.S.
only, container shipments more than quintupled in from
1980 to 2006. Shipment to and from U.S. ports rose
from roughly 8.4 million Twenty Foot Equivalents
(TEUs) to 44.4 million TEUs in this period. Over the
last decade alone, container shipments rose 80.8 percent
[11].
Consequently, the growing container shipment industry,
affects the growth of seaports and container terminals
and corresponding cargo handling equipment (CHE) as
well. The scale of above mentioned growth is expected
to reach its peak after 2025, additionally increasing
share of container handling in global CO2 emissions
[16]. This massive growth will account for a significant
increase of emissions by container port operations.
Container port operations can be divided into three
sectors. The first is offshore and involves the passage of
transoceanic ships to their berths, the second involves
activities within the port boundaries such as unloading
of containers from the ships and their transfer by cargo
handling equipment (CHE) and the third includes the
trucks and trains that originate within or near the port,
but which leave the ports on highways and rail lines to
serve distant markets [11]. Each sector is significant
source of air pollution, but CHE is probably the major
part of port emissions contributing to regional and
community environmental degradation, since their
emissions occurs near residential areas bordering the
ports. Thus environmental efficiency of port operations
is equally important as key performance figures such as
number of TEU operations and overall capacity of
405
terminals. This fact challenges port authorities and

industries behind port operations to increase number of
container handlings and at the same time to reduce
overall emissions and environmental impact [11].
Deeper look into the impact of CHE emissions
reveals that Rubber Tired Gantry (RTG) cranes which
are used to move intermodal containers from truck to
stack and back again, have share of more than 40
percent. In response to this, CHE industry developed a
variety of technologies and systems, to reduce fuel
consumption and emissions and improve overall RTG
efficiency. This includes emerging technologies such as,
variable speed generators (VSGs), hybrid RTGs with
regenerative breaking and super caps technology (EcoRTGs) and electrified zero emission models (E-RTGs).
All of these solutions show significant improvements
over conventional cranes, reducing CO2, NOx and SO2
emissions and cutting operation costs up to 90 percent.
Beside emerging technologies listed above, industry is
experimenting with alternative fuels for CHE and RTG
such as LPG, CNG and biofuels [11]. For instance, an
example of evaluating environmental benefits of
emergency technologies is given in [11], where the
state-of-the-art technology for RTGs is being analyzed
in order to find out the most eco-efficient solution. A
conventional RTG crane is compared to hybrid EcoRTG with super-cap energy storage system and
electrified E-RTG crane. The last two solutions
represent the latest trend in CHE industry. The
methodology used to carry out RTG cranes
environmental impact comparison is Life Cycle
Assessment (LCA) outlined in ISO 14040, as a tool
which offers possibility to address entire product's life
cycle in a consistent way. The obtained results of RTG
cranes LCA are presented in accordance to ISO 14040
principles with the highlight on CML and TRACI
impact assessment methods. Based on the obtained
results,
the
recommendations
on
reducing
environmental footprint of ports are done by necessary
improvements on RTG cranes. The objective of the
research presented in [11] was twofold, the use of LCA
methodology as a tool in the early stage of design is
promoted due to its possibility to offer preliminary
information and details of processes and materials.
Finally, current developments present new challenges
for ports and terminals. Environmental aspects reflect in
[17]:
climate change
scarcity of space
globalization
improved quality of life
hunger for energy, consumer demand
ecological market economy - combining
economy and ecology
According to [17] forms of environmental impacts in
ports particularly relevant for manufacturers of handling
equipment are:
noise and light
exhaust gas
dust
406
space
energy wastage;
other forms of environmental impacts in ports are:
waste
excavation work and removal of the excavated
material
loads hazardous to the environment
refueling
disposal of wastewater from the ships
Considering that most of our energy resources are
based upon fossil energy sources and therefore necessity
of implementing environmentally friendly technologies
in bulk materials handling industry, there is still an
enormous potential to save energy and costs as well
[11]. Since most of the energy is consumed by electric
motors big costs and energy savings can be achieved by
energetically optimizing drives.
In future, it will be essential to address companywide sustainable logistics concepts. Green logistics will
be expected to prove that it is not merely sustainable but
also efficient.
According to polls of logistics experts, more than
65% rate environmental management as very
important or quite important (Fig. 5). Every fourth
retailer and almost every third service company has
plans to develop environmentally friendly products and
services. Green logistics undoubtedly has excellent
prospects but it is still in its infancy. On average, only
2030% of the managers say that progress has been
made towards implementing it. As would be expected,
public and listed enterprises, and other large companies
are leading the way. [7]
Figure 5. Perceived importance of environmental

management
In line with overall trends in technology, in recent

years environmental aspects have grown in importance
in intralogistics.
Nevertheless, survey results show less than 15
percent of all industrial and distribution companies
subjecting their operations to carbon footprint checks,
so far.
Table 2. Comparison between conventional stacker cranes and shuttle systems [7]
Conventional stacker crane
Shuttle system
PROS
CONS
Limited capacity per lane (max. 120 double cycles

per hour)
High power consumption (20 kW), and more
complex electrical installations due to high
starting currents
Low redundancy
Low scalability
High performance (up to 1,000 picks per hour))

Good scalability (performance and capacity)
Good energy efficiency through lower energy
consumption (approx. 100W per shuttle)
Use of new energy supplies (supercapacitators)
Service platforms in aisle (service and
troubleshooting)
Autonomous vehicles (shelf and storage feed area)
High investment costs (rack, power rails and lifts)
Increased complexity of storage management
(more vehicles and lifts, hence more interfaces)
Throughput determined by vertical conveyors
Limits to weights and dimensions of stored goods
Increased engineering input
Proven handling and control technologies

Relatively simple overall system control
Good potential for energy recovery
Less engineering effort
Low investment costs (pallet rack)
Lower operating costs, given large storage space
and moderate throughput
Options for improving environmental and resource

conservation performance include: minimisation of
moved dead weight and resultant lower energy demand,
energy recovery and energy efficient conveyor system
design.
The digital life and ubiquitous intelligence
megatrends are connected with the diffusion of new
technologies including the internet of things and
cellular conveying technology:
Increased demands are being placed on in-house
material handling systems. Growing product variety and
shorter product life cycles are making order loads and
order structures harder to predict, meaning that handling
systems must be dynamically adaptable without giving
rise to excessive costs. Modularisation and
decentralisation, both in control software and in the
design of conveyor systems, have great potential in
terms of flexibility, robustness and reusability.
Technological progress in sensors, data processing,
communications, orientation and identification will also
make it easier to find innovative new solutions to
transportation problems. [9]
In this changed environment, characterised by
fluctuating order volumes and a growing number of
products in distribution networks, intralogistics will face
severe tests. Material handling systems in distribution
centres and manufacturing facilities be confronted with
an increasingly complex and dynamic environment that
is likely to overtax the capabilities of monolithic control
architectures and rigid materials handling systems.
There will be a need for research to develop
decentralised, modular and adaptive solutions for the
control of goods and information flows. A start has been
made, and the industry already offers conveyor systems
that support low-cost modular expansion and partially
decentralised control.
The idea behind decentralised control architectures
is to assign the goods in transit the controlling role in
the material handling system. They use the transport
modules and additional software to perform this role.
The three basic components of the internet of things
are:
Self managed transport units (TUs);
Handling modules; and
Software that coordinates the transport units and

modules (eg. directory services) or provide system
transparency (eg. visualisation).
Fig. 6 shows how the control principle of the
internet of things differs from conventional, hierarchical
material flow control. Functions that were previously
located on different hierarchical levels of the control
pyramid are distributed among the modules and
transport units.
Figure 6. Decentralisation in the internet of things:

autonomous, cooperating units combine to form a nonhierarchical materials handling system [10]
The proposed control paradigm of the internet of

things introduces modular and flexible control systems
based on RFID technology and software agents. To
make the material flow control and the handling
modules flexible, in future rigid, fixed conveyor
systems will have to be replaced by mobile units that
can perform autonomous or cooperative logistic
functions. The Fraunhofer Institute for Material Flow
and Logistics has introduced the notion of cellular
materials handling by a collective of standardised,
autonomous small vehicles. This concept extends to all
kinds of conveyor modules, including stationary units,
provided that they use the plug-and-play principle and
can automatically merge into a material handling
system, permitting organic growth. To leverage the full
potential of cellular transport systems the handling
modules themselves would need to be designed for
maximum flexibility.
The internet of things paradigm, i.e. a degree of
intelligence on the part of the goods to be transported,
yields the vision of logistic objects that can move
themselves within a given physical space. Within this
space a set of services (transportation and software
services) is available to the transport units. The objects
407
use these services to execute their workflow. They

request the transport services required and negotiate to
obtain the best available service in cases where there are
multiple vendors.
This detachment from fixed, hierarchical structures,
with a central computer programmed to control modular
and flexible distributed control systems, is referred to in
current literature as the internet of things.
Unique identification of objects by barcodes or 2D
codes is possible, but automatic identification using
RFID is often regarded as crucial to the internet of
things, since transponder technology can transmit far
larger amounts of data. A simple application of the
internet of things is package tracking via the internet.
Today postal operators offer the tracking of parcels in
their transport processes as an online service.
When we speak of the internet of things in
connection with intralogistics, usually a degree of
autonomous control is implied. Self-controlling objects
do not necessarily need network structures that run on
the global internet. Since in an intralogistics context the
network will be local, it might be more accurate to refer
to an intranet of things.
The internet of things and cellular materials
handling are possible answers to the challenges of
modern logistics. Here, intelligent, on-demand
interaction between autonomous units replaces
inflexible, centralised processes, leading to reduced
system complexity and increased robustness, versatility
and expandability.
The demographic change megatrend deserves an
additional mention, as the man-machine interface
should not be forgotten. For instance, excluding errors
by designing logistics components that are easy to
operate will make it easier to employ personnel with
little training.
6. CONCLUSIONS
Of the 20 global megatrends proposed by Z_punkt, we

picked the following trends as most significant for
intralogistics:
Globalisation
Urbanisation
Individualisation
Demographic change
Based on these megatrends we were able to identify

challenges for intralogistics and research topics that are
likely to play a major role over the next few decades. In
our opinion the main research thrusts will be:
Higher, faster, further
Green logistics
The internet of things and cellular conveying
technology
REFERENCES
[1] Michael ten Hompel and Volker Heidenblut,

Taschenlexikon Logistik, Springer-Verlag, 2008
[2] Willibald A.Gnthner, Klaus Heptner, Technische
Innovationen fr die Logistik, Huss-Verlag, 2007
408
[3] John Naisbitt, Megatrends: Ten New Directions

Transforming Our Lives, Warner Books, 1984
[4] Die 20 wichtigsten Megatrends, Z-Punkt GmbH,
www.z-punkt.de
[5] Bundesvereinigung Logistik, Trends und Strategien
in der Logistik, 2008
[6] Frank Straube, Trendforschung in der Logistik
Logistikinnovationen 2015+, Berlin-Brandenburg
Konferenz, 2008
[7] Willibald A.Gnthner, Entwicklungen und Trends in
der Logistik, lecture given on 29 November 2008
[8] Klaus Heptner, Shuttles unter der Lupe, DHF
Fachzeitschrift fr Intralogistik, issue 5/2011
[9] W.A. Gnthner and P. Tenerowicz, Modularisierung
und Dezentralisierung in der Intralogistik, Industrie
Management, issue 1/2011,
[10] Gnthner, Michael ten Hompel: Das Internet der
Dinge in der Intralogistik, wt Werkstattstechnik
online, series 100 (2010) H. 3
[11] Zrni N., Vujii, A.: Evaluation of environmental
benefits of CHE emerging technologies by using
LCA, Presented at 12th International Material
Handling Colloquium IMHRC 2012, Gardanne,
France, June 25-28, 2012.
[12] Zrni N., Rajkovi, M.: Does intralogistics sector
care about environment: Sustainability and energy
efficiency in warehousing, Proc. 11th International
Conference Research and Development in
Mechanical Industry RaDMI 2011, 15 - 18.
September 2011, Sokobanja, Serbia.
[13] Moriarty, P. and Honnery D., The prospects for
global green car mobility, Journal of Cleaner
Production, 16, 1717-1726 (2010).
[14] Geerlings, H. and van Duin, R., A new method for
assessing CO2-emissions from container terminals: a
promising approach applied in Rotterdam, Journal
of Cleaner Production, 19, 67, 657666 (2011).
[15] Inoue, S., Climate initiative of the Worlds
ports, Climate Action, 45-47 (2008)
[16] Zrni, N. and Vujii, A., Reduction of RTG
cranes emission by using hybrid technology,
Proceedings of the conference, Proceedings of the
International Conference REACT, Shaping Climate
Friendly Transport in Europe: Key findings &
Future Directions, University of Belgrade, Faculty
of Transport and Traffic Engineering, Belgrade,
Serbia, 180-187 (2011).
[17] J. Mller, Energy-efficient, high-performance
hybrid and diesel-electric drives for mobile terminal
handling equipment, presented at CeMAT Port
Forum, topic: Integrating sea and inland ports using
technical innovation, 2011, Hannover.
[18]http://ec.europa.eu/energy/efficiency/action_plan/ac
tion_plan_en.htm
intralogistics: A new trend in research, Proceedings
of the 7th Triennial International Conference, Heavy
Machinery HM 2011, Session B, pp. 127-132,
Kraljevo, 2011.
AUTHORS INDEX
Alil A. .........................................309
Altefrohne M. ...........................195
Anders M. ......................................7
Aniscenko A...............................181
Arizanovi D. ............................171
Arsi M. .....................................155
Batina D. ...................................319
Berbig D. ...................................195
Bjeli N. ....................................231
Bojani G. .................................337
Bojani V. .................................337
Bonjak S. ................. 141, 149, 155
Breiner K. ..................................201
Cahoon S. ..................................377
Clausen U. ................................205
Czmochowski J. .........................39
ovnjuk J. ................................181
uk M. ......................................297
Huo Y. F. ...................................357
Overmeyer L. .......................1, 215
Ivanievi N. ..............................171
Panteli M. ................................135
Papan S. ....................................385
Park N. K. .................. 341, 351, 357
Pat B. .......................................247
Pavlovi G. ................................285
Petkovi Z. ........ 101, 113, 141, 149
Petranovi M. ...........................373
Petronijevi P. ..........................171
Petrovi N. .................................177
Pietrusiak D. ........ 39, 119, 125, 161
Pjevevi D. ..............................331
Popovi D. .................................231
Prenner M. .................................25
Przybylek G. .............................119
Janevski J. ...............................167
Janoevi D. ..............................177
Jerman B. 89,107,141,297,319,395
Jodin D. ............................. 243, 303
Jokanovi S. ..............................293
Jovanovi M. ..............................95
Jovanovi Z. .............................257
Kartnig G. ............................55,401
Kessler F. ....................................25
Kofja D. ........................... 385, 389
Kker M. ..................................195
Komljenovi D. .........................135
Kosani N. .................................251
Kovcs Z. ..................................247
Kraft M. ....................................263
Kriak L. ..................................135
Krhn T. ...................................215
upri N. .......................... 185, 191

Daleziou S. ................................325
Danilovi M. ..............................185
Decker K. .....................................55
Dedi A. ....................................191
Dentsoras A. ................................77
Dewitz M. ..................................237
Dragovi B. ... 369,373,377,385,389
orevi Milo ..................107,319
orevi Momilo ....................221
Emeljanova I. ...........................181
Frobse T. .....................................1
Furmans K. ...............................195
Gajovi V. ..................................269
Galka S. .....................................237
Gai M. ............................ 101, 285
Gai V. .....................................113
Gehrke P. ...................................195
Georgijevi M. ..........................337
Gnjatovi N. ............. 141, 149, 155
Gottvald J. ................................129
Grandis B. ................................373
Grsel B. ...................................401
Gnthner W. ............................237
Gurning S. ................................377
Hafner N. ...................................209
Havlicek G. ..................................55
Hladnik J. ..................................319
Hoffmann K.................................13
Hribar A. .....................................89
Huerta A. ...................................363
Landschtzer C. ........................303
Langerholc M. ..........................107
Leonhardt T. ................................7
Lien H Jr. ..................................83
Lodewijks G. ........................61, 65
Lommen S. ..................................61
Longo F. ....................................363
Lottersberger F. .......................209
Lu B. .................................. 351, 357
Lyridis D. ..................................325
Marinkovi D. ..........................227
Marinkovi Z. ................... 227, 273
Markolovi S. ............................369
Markos P. ...................................77
Markovi D. ........................95, 273
Markovi G. ..................... 227, 273
Malak P. ...................................125
Metrovi R. .......................369,373
Mihajlovi V. ............................149
Mikijeljevi M. .........................369
Milenovi I. ...............................141
Milievi M. ..............................221
Milojevi G. ..............................149
Miodrag Z..................................205
Mikovi V. ...............................221
Mitrovi B. ................................185
Moczko P. .................................119
Nguyen H. O. ............................377
Nikitakos N. ................................51
Nikoli V. ..................................177
Nuric S. .....................................135
Oduori M. F. .............................313
Ognjanovi M. ..........................279
Radivojevi G. ..................231, 269

Radoii G. .................................95
Radosavac M. .......................1, 215
Rajkovi M. ..............................251
Rakin M. ...................................155
Ratkovi B. ...............................231
Risti Milo .......................279, 309
Risti Marko .............................309
Rogi M. ....................................293
Rusiski E. ..........................39, 119
Savi Z. .....................................155
Savkovi M. ......................101, 285
Schmidt T. ....................................7
Schott D. ......................................61
Siegel A. ........................................7
Smolnicki T. .....................125, 161
Solazzi L. .....................................71
Staco M. ..................................161
Stankovi M. .............................309
Stanojevi M. .............................191
Suh S. C. ...................................341
Szab L. .....................................247
kraba A. ..................................389
kuri M. ..........................385, 389
ostakov R. .................................83
Teodorovi D. ...........................331
Tesch C. ....................................205
Tinello D. ..................................243
Todorovi S. .............................293
Tomi V. ...........................227, 273
Trummer W. ............................243
Vasin S. .....................................279
Vidi N. .....................................331
Vuji A. ...................................395
Vukadinovi K. .........................331
Vukievi I. ...............................331
Weiblen J. ..................................201
409
AUTHORS INDEX
Wolfschluckner A. ....................303
Zacharioudakis P. .....................325
Zadek H. ....................................263
Zamiralova M. ............................65
Zdravkovi N. ................... 101, 285
Zeli A. ........................................83
Zrni N. ..................... 107, 113, 221
............ 251, 319, 395, 401
410

Mhcl12 Final

Загружено:

Сведения о документе

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

Mhcl12 Final

Загружено:

Авторское право:

Доступные форматы

3 - 5 October 2012

BELGRADE, SERBIA, 2012

INTERNATIONAL SCIENTIFIC COMMITTEE

Jesa Kreiner, USA

President of the Honorary Scientific Committee

Honorary Scientific Committee

Nikola Babin, Serbia

Joerg Oser, Austria

President of the Organizing Committee:

Vice President of the Organizing Committee:

Prof. Dr. Sran Bonjak, Serbia

Prof. Dr. Georg Kartnig, Austria

Belgrade, October 2012

Sran Bonjak, Georg Kartnig, Nenad Zrni

ABOUT THE ORGANIZER

Vienna University of Technology

Serbian Ministry for Science and Technological Development

HIGH-PATRON OF THE CONFERENCE

SESSION A HOISTING AND CONVEYING EQUIPMENT AND TECHNOLOGIES

Zrni N, Langerholc M, Jerman B, orevi M.

SESSION B CONSTRUCTION AND MINING EQUIPMENT AND TECHNOLOGIES

Dedi A, Stanojevi M, upri N.

SESSION C LOGISTICS AND INTRALOGISTICS SYSTEMS

SESSION D CONSTRUCTIONS AND DESIGN ENGINEERING

SESSION E SPECIAL SESSION: MARITIME AND PORT LOGISTICS

M / M / nb QUEUE MODEL-BASED STUDY OF SPECIFIC COST RATIO IN A PORT.......................... 369

Metrovi R, Dragovi B, Grandis B, Petranovi M.

M / M / 1 / k QUEUE ...................................... 373

Gurning S, Cahoon S, Dragovi B, Nguyen H-O.

CLOSING SESSION, PLENARY SESSION IV INVITED PAPER AND ROUND TABLE

XX International Conference on "MATERIAL HANDLING, CONSTRUCTIONS AND LOGISTICS"

FME Belgrade 2012. All rights reserved

Proceedings of the XX International Conference MHCL12

Trends and Experiences of Testing the

Figure 1. Examples for different splice methods of

A vast number of studies for the optimization of

Proceedings of the XX International Conference MHCL12

FME Belgrade 2012. All rights reserved

For more than 30 years, the dynamical fatigue

Figure 2. Local belt tensile force progression of a belt

For the experimental reproduction of the stress, a

Figure 3. Saw tooth shaped test force progression

For the test analysis different upper test loads FO of

In December 2011, a revised issue of the DIN 22101

Figure 5. First design of a test rig for the fatigue strength

During this time, two test rigs were designed and

FME Belgrade 2012. All rights reserved

belts, these pulleys can be exchanged according to the

Proceedings of the XX International Conference MHCL12

An abstract of the most important facts is presented

Figure 6. Test rigs at the ITA

Proceedings of the XX International Conference MHCL12

FME Belgrade 2012. All rights reserved

Figure 7. Change of the cylinder stroke during the test (example)

3. FATIGUE STRENGTH RESULTS AFTER 1,000

Since 1975, 1,000 conveyor belt splices were tested

Figure 8. Number of tested belts per year at the ITA

Of all tested belt specimen 26 % have passed 10,000

FME Belgrade 2012. All rights reserved

Figure 9.Development of the splice fatigue strength until

This reference fatigue strength value was the upper

Proceedings of the XX International Conference MHCL12

the other hand that means conveyor belts with lower

Figure 10. Development of the splice fatigue strength