Proceedings of 2008 IEEE International Conference on
Mechatronics and Automation
FB2-2
An Optimal Lead of a Ball Screw-nut for Minimizing
Energy Dissipated in a Linear Actuator
Zuowei Li, Teruyuki Izumi, and Hai Zhou
Abstract In order to help reduce global warming, it is im-
portant to minimize the dissipated energy even in a mechanical
servo system. The present paper proposes a simple method
for determining an optimal lead of a ball screw-nut used in
the servo system. The rolling friction is represented by the
efciency of the ball screw-nut system. Even if the system is
nonlinear due to rolling friction, an optimal velocity function
can be obtained analytically by introducing a zero crossing time.
This is the time at which the input torque to the ball screw-
nut changes from positive to negative. The optimal velocity
function is determined from the optimal zero crossing time
which depends a forward and a backward efciencies of the
ball screw-nut system. The energy dissipated by the optimal
velocity function can be obtained analytically by neglecting
the viscous friction. The optimal lead of the ball screw-nut,
which minimizes this analytical dissipated energy, is obtained
by solving an algebraic equation. The results of simulations
indicate that the optimal lead can greatly reduce the amount
of dissipated energy.
Index Terms Ball screw-nut, Coulomb friction, Dissipated
energy, Efciency, Linear actuator, Optimal lead.
I. I NTRODUCTION
The amount of energy dissipated by all machines must be
decreased in order to help reduce global warming. Recently,
many studies about energy saving have focused on me-
chanical servo systems driven by pneumatic actuators[1][2]
and motors[3][4][5]. In an electro-mechanical servo system
composed of a motor, a power transmission and a load,
the amount of energy consumed depends on parameters
such as the resistance of the motor, frictional forces in the
transmission, the inertia of the load, and so on. Moreover,
it is greatly inuenced by the transmission ratio, the ve-
locity function of operation and regeneration of conserved
energy. A well-known method for determining the most
suitable reduction ratio of a gear train is called the inertia
matching method. Some motor design methods by Roos[3],
Cusimano[6], Kenzyou[7] and Armstrong[8] have discussed
how to determine the gear ratio using a modied inertia
Manuscript received Feb 25, 2008. This work has partly been supported
by the Grant-in-Aid for Scientic Research from Japan Society for the
Promotion of Science (General Research (C) 18560250).
Z. Li is with Dept. Electronic and Control Systems Engineering, Shi-
mane University, 1060 Nishi-kawatsu, Matsue, Shimane, Japan (e-mail:
s079428@matsu.shimane-u.ac.jp)
T. Izumi is with Dept. Electronic and Control Systems Engineering,
Shimane University, 1060 Nishi-kawatsu, Matsue, Shimane, Japan (cor-
responding author to provide phone: +81-852-32-8905; fax: +81-
852-32-8905; e-mail: izumi@riko.shimane-u.ac.jp)
H. Zhou is with Dept. Electronic and Control Systems Engineering,
Shimane University, 1060 Nishi-kawatsu, Matsue, Shimane, Japan (e-mail:

  (1)
zhou@ecs.shimane-u.ac.jp)
978-1-4244-2632-4/08/$25.00 2008 IEEE
1006
matching method. However, these studies do not take into
consideration the friction and inertia of the gear or energy
regeneration, and do not discuss how optimal the velocity
function is.
In order to reduce the energy consumed by mechatronic
systems, the power normally dissipated when decelerating
in a position control should be stored for subsequent regen-
eration into a super-capacitor using power electronics[11].
If this is done, the consumed energy becomes equal to
the dissipated energy due to the mechanical friction of the
transmission and the ohmic resistance of the motor. These
friction and Joule losses are dependent on the transmission
ratio and the velocity function. There are many papers for
determining the reduction ratio of gears, however few papers
for discussing the optimal transmission ratio of a ball screw-
nut used in a linear actuator.
This paper proposes a method for determining the opti-
mal lead of a ball screw-nut which minimizes the energy
dissipated in a linear actuator subject to a start-stop motion
cycle. The dissipated energy is composed of Joule losses
in the motor and frictional losses in the linear actuator
including the ball screw-nut. First, the optimal velocity
function is determined from the optimal zero crossing time
which depends a forward and a backward efciencies of the
ball screw-nut. Using this function, the energy dissipated can
be obtained analytically by neglecting the viscous friction.
The optimal lead of the ball screw-nut is obtained from
solving an algebraic equation. The results of simulations
indicate that the optimal lead can greatly reduce the amount
of dissipated energy.
II. DYNAMIC EQUATION AND DISSIPATED ENERGY
A linear actuator system is composed of a DC servo motor,
a ball screw-nut and a guide as shown in Fig. 1. Let  be
the current of the motor,  be the torque constant, cm be
the Coulomb friction torque. Then the output torque of the
motor is expressed by    cm . We assume that r
is the rolling friction observed from the nut side in the ball
screw-nut, s is the Coulomb friction between the nut and
the guide, and  is the lead of the ball screw. Using these
parameters, the efciency of the ball screw-nut is represented
by


1   cm   s   r 


1   cm   s 
where x is a velocity of the nut. From this equation, the Fs linear guide
rolling friction Fr is expressed using the efficiecy as: K , R , Tcm
screw Hs x (t )
 
Fr = (1 ) 2l1 (Ki(t) Tcm ) Fs . (2) motor nut
Fr lead l
For a position control, the rolling friction force can be
assumed positive as:
Fig. 1. A linear actuator composed of a ball screw-nut system
Fr = (1 )|2l1 (Ki(t) Tcm ) Fs |, (3)

because the direction of the velocity is unaltered. Therefore,

a dynamic equation of the linear actuator system is given by III. F ORWARD AND BACKWARD EFFICIENCIES OF THE
BALL SCREW- NUT SYSTEM
M x(t) + (1 )|2l1 (Ki(t) Tcm ) Fs | + Fs Since the lead l is defined to be a translational distance
= 2l1 (Ki(t) Tcm ), (4) of a nut per rotation, the lead angle of the screw is given
using its radius r as:
where M is a total inertia mass of the system. To simplify
l
this presentation, a transmission ratio = tan1 . (12)
2r
2
n= , (5) The friction angle of the system is given using a friction
l coefficient as:
is introduced. Using n, (4) can be rewritten into = tan1 . (13)
M x(t) + (1 )n | Ki(t) Fcm |= n(Ki(t) Fcm ). (6) We define that f is a forward efficiency when the screw
is driven by the motor, to the contrary, b is a backward
Here, Fcm is a total Coulomb frictional torque denoted by efficiency when the screw is driven by the inertia of load via
Fs the nut. Using (12) and (13), they are represented by
Fcm = Tcm +
2l1 tan
Fs f = , (14)
= Tcm + , (7) tan( + )
n
tan( )
and the inertia M is composed of two elements as b = . (15)
tan
M = m + (2/l)2 Hs This shows that the efficiency of the ball screw-nut differs
= m + n2 H s , (8) by the direction of a transmission force.

where m is a total mass of the nut and load, and Hs is a IV. G ENERAL SOLUTIONS OF THE VELOCITY FUNCTIONS
inertia moment of the screw. Assuming that the reduction The optimal velocity function, which minimizes J in (9)
of kinetic energy due to decelerating the driving system is under the constraint of (6), (10) and (11), can be obtained
stored into a super capacitor for energy conservation, the from an optimal control theory [9]. However, for the case
dissipated energy is reduced to Joule loss generated by the herein, the optimal control theory cannot be applied directly
armature resistance R and friction losses. The latter losses because the absolute value of the input torque is included in
are a product of the velocity and both of the rolling and the (6). Therefore a zero crossing time tc is introduced [10]. This
Coulomb friction forces. Thus, the dissipated energy in the is the time when an input torque of the ball screw changes
system is given by from the positive to the negative direction. The duration [0,
 tf tf ] is divided into two periods according to whether the input
 
J = (1 )n|Ki(t) Fcm | + nFcm x(t) dt torque is positive or negative. The periods [0, tc ] and [tc , tf ]
0
 tf are called by the first and the second, respectively. Let us
2 assign subscripts a and b to their periods of velocity and
+ R i(t) dt , (9)
0 current functions.
where the duration of operation is from t = 0 to tf . In a
A. Positive torque in the rst period
position control, the boundary conditions for the positions
and velocities at these times are specified as When the input torque of the ball screw is positive, namely,

x(0) = 0, x(0) = 0 , (10) Ki(t) Fcm 0, (16)

x(tf ) = xf , x(tf ) = 0 . (11) then, the dynamic equation of (6) is rewritten into

M xa (t) = f n(Ki(t) Fcm ), (17)

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where the efficiency f is applied because the motor torque
is positive in this period. Letting xa (t) be x1 (t) and xa (t)
be x2 (t), the state equation can be given by
x1 (t) = x2 (t), (18)
x2 (t) = M 1 f n(Ki(t) Fcm ). (19)
According to Hamilton-Jacobi theory and the maximum
principle, the Hamiltonian function is given using adjoint
variables p1 (t) and p2 (t) as:
Ha = Ri2 (1 f )nK i x2 f nFcm x2
+p1 x2 + p2 M 1 f n(Ki Fcm ). (20)
From partial differentiations of (20), Euler canonical equa-
tions are derived as:
x1 = x2 , (21)
x2 = M 1 f n(Ki Fcm ), (22)
p1 = 0, (23)
p2 = (1 f )nKi + f nFcm p1 . (24)
The optimal current function obtained from Ha /i = 0 is
i(t) = (2R)1 {M 1 f nKp2 (1 f )nKx2 }. (25)
From (23), the solution of p1 (t) is a constant c1 . Then,
the Euler canonical equations are represented only by p2 (t)
and x2 (t). Substituting (25) into (22) and (24), the Euler
canonical equations are arranged to be
B. Negative torque in the second period
When the input torque of the ball screw is negative, the
dynamic equation of (6) is shown using b as:
M xb (t) = (2 b )n(Ki(t) Fcm ). (34)
Similarly to the first period,
b1 = (2R)1 M 1 (2 b )(1 b )(nK)2 ,
b2 = (2R)1 (M 1 (2 b )nK)2 , (35)
b3 = (2R)1 (1 b )2 (nK)2 ,
are defined, and the velocity function of the second period
is as follows:
xb (t) = b2 (d1 + nFcm )t2 /2 + d2 t + d3 . (36)
V. D ETERMINATION OF OPTIMAL FUNCTIONS FROM THE
BOUNDARY CONDITIONS
Let us determine six coefficients in two velocity functions
xa (t) and xb (t) from the boundary conditions (10) and (11),
and definition of the zero crossing time tc . Since c3 = 0 is
given from initial state xa (0) = 0, the velocity function of
the first period is
xa (t) = a2 (c1 + nFcm )t2 /2 + c2 t. (37)
From the final state xb (tf ) = 0, (36) gives an expression
d3 = b2 (d1 + nFcm )tf 2 /2 d2 tf . Then, the velocity
function of the second period is

x2 (t) = a1 x2 (t) + a2 p2 (t) M 1 f nFcm , (26) xb (t) = (t2 tf 2 )b2 (d1 + nFcm )/2 + (t tf )d2 . (38)
p2 (t) = a3 x2 (t) + a1 p2 (t) + c1 + f nFcm , (27) At the zero crossing time t = tc , the input torque to the
ball screw-nut is zero, and the acceleration is also reduced
where
to zero. In the first period, xa (tc ) = a2 (c1 + nFcm )tc +
a1 = (2R)1 M 1 f (1 f )(nK)2 , c2 = 0 is satisfied. As this equation leads an expression
a2 = (2R)1 (M 1 f nK)2 , (28) c2 = a2 (c1 + nFcm )tc , the velocity at tc in the first period

a3 = (2R)1 (1 f )2 (nK)2 . is obtained as
To eliminate p2 (t), (26) is differentiated and arranged to be
xa (tc ) = a2 (c1 + nFcm )tc 2 /2. (39)
x2 (t) + a1 x2 (t)
p2 (t) = . (29) Similarly, xb (tc ) = 0, then d2 = b2 (d1 + nFcm )tc is given.
a2
the velocity at tc in the second period is given by
From (27) and (29), p2 (t) is eliminated and an equation
xb (tc ) = (tf tc )2 b2 (d1 + nFcm )/2 (40)
x2 (t) + a1 x2 (t) a2 a3 x2 (t) a2 c1 a2 f nFcm
a2 p2 (t) = ,
a1 The velocity has to be continued at t = tc , namely,
(30)
is obtained. By substituting this equation into (26) and rear- xa (tc ) = xb (tc ). (41)
ranging using (28), a differential equation with one variable
From (39), (40) and (41), d1 can be expressed with c1 as:
is reduced as
f 2  tc 2
x2 (t) (a1 2 + a2 a3 )x2 (t) = a2 (c1 + nFcm ). (31) d1 = (c1 + nFcm ) nFcm . (42)
(2 b )2 tf tc
As the coefficient (a1 2 +a2 a3 ) becomes zero from (28), (31) Using the boundary conditions of positions, the distance x
f
is turned to must be satisfied
x2 (t) = a2 (c1 + nFcm ). (32)  tc  tf
The general solution x2 (t) of this equation can be found xa (t) dt + xb (t) dt = xf . (43)
0 tc
easily and renamed to xa (t) as
Then, the constant c1 can be determined as
xa (t) = a2 (c1 + nFcm )t2 /2 + c2 t + c3 , (33)
3 1
c1 = xf nFcm . (44)
which is the velocity function of the first period. tf a2 tc 2

1008
As a result, the optimal velocity function can be expressed VII. O PTIMAL LEADS OF THE BALL SCREW- NUT
using the zero crossing time tc as follows:
The minimum dissipated energy given by (49) is a function
 2
xa (t) = 3xf 1 (t tc ) ,
of the lead l of the ball screw-nut, as seen from (5). The
(0 t tc ),
2tf tc 2 efficiencies f and b and the equivalent total Coulomb fric-
3xf  (t tc )2  (45)

tion Fcm are the functions of lead l as seen from (14), (15)
xb (t) = 1 , (tc t t f ). and (7), respectively. The optimal lead l1 , which minimizes
2tf (tf tc )2
the dissipated energy, can be obtained by differentiating (49)
This expression shows that the optimal velocity function is with respect to n or l. However, it is time-consuming in
independent of the Coulomb frictions Fcm and efficiencies numerical calculation. In order to obtain the optimal leads
f and b . By substituting (45) into (17) and (34), the optimal analytically, they are assumed to be independent of the lead
current functions of the first and second period are reduced l. Then (49) is changed to a new criterion Jc2 .
as:
3xf M t + tc Fcm A. Proposed optimal lead

ia (t) = + ,

t nK t 2 K

f f c The optimal lead, which minimizes the dissipated energy,
(0 t tc ), can be obtained by differentiating (49) with respect to n as:
3xf t + tc (46)


M Fcm
ib (t) =
2
+ ,

tf (2 b )nK (tf tc ) K dJc2
=0. (50)
(tc t tf ). dn

VI. T HE MINIMUM DISSIPATED ENERGY BY THE This is represented by a general quartic equation
OPTIMAL VELOCITY FUNCTIONS
2Hs (C1 Hs + C3 )n4 + (C2 Hs + C4 )n3
A. The optimal zero crossing time (C2 m)n 2C1 m2 = 0, (51)
The dissipated energy J is calculated by integrating (9),
where, the coefficients C1 , C2 , C3 and C4 are as follows:
into which (45) and (46) are substituted. The resultant J is

a function of zero crossing time tc because (45) and (46) 3xf 2  f b + 2 2 R
include the parameter tc . The optimal zero crossing time tc C1 = ,

tf 3 f (2 b ) K2


that minimizes J can be obtained by solving 3xf 2 f b R

C2 = Fcm 2 ,
tf f (2 b ) K (52)
J
= 0. (47) 9  xf 2 2 f b



tc C3 = ,

8 tf f (2 b )


The analytical solution tc is represented in a simple form C4 = Fcm xf .
using the forward and backward efficiencies as:
A numerical solution n2 can be easily calculated and is
2 b converted to the optimal lead from l2 = 2/n2 .
tc = tf . (48)
f + (2 b )
B. Simpler criterion neglecting the Coulomb friction
If f = b = , tc changes to (2 )tf /2, which coincides
with the result of a reference [10]. In order to obtain the analytical solution, the Coulomb
friction Fcm is neglected. In this case, the criterion is
changed to
B. Minimum energy
Again, by integrating (9) and substituting (45) and (46) us- Jc3 =
 x 2  M 2 + 2  R 9 xf 2 2 f b
ing the optimal zero crossing time tc of (48), the minimum 3 3
f f b
+ M .
dissipated energy is obtained as: tf n f (2 b ) K2 8 tf 2 f (2 b )
(53)
 x 2  M 2 + 2
f f b
J = 3 3
tf n f (2 b ) The optimal lead, which minimizes this criterion, can be
xf M 2 f b  R reduced to the quadratic equation and solved easily as
+3 Fcm + Fcm 2 tf
tf n f (2 b ) K2
l3 =
9 xf 2 2 f b  
+ M + nFcm xf . (49) 3K 2 t  14
8 tf 2 f (2 b ) Hs Hs (2 + f b )2 + 8R f f (2 b )(2 f b )
 .
This expression becomes a criterion for an optimal design of (2)1 m(2 + f b )
the ball screw-nut system. (54)

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 6 5

Dissipated Energy J [J]

Dissipated Energy J [J]

5 m =15 [kg]
4
4
3 J4
3 m =10 [kg] J3
2
2 J2
1 m =5 [kg] 1

0 0
0 0.01 0.02 0.03 0.04 3 4 5 6 7 8 9 10 11 12 13 14 15 16
lead l [m] Mass m [kg]

Fig. 2. Dissipated energy J vs. lead l for 3 kinds of mass of nut and load Fig. 4. Comparisons of dissipated energies among 3 kinds of the optimal
lead

0.020
Optimal lead [m]

is a minimum point marked by the symbol . The larger the

0.015 mass m is, the greater the curvature in the neighborhood of
l2
the minimum becomes. Therefore, when the inertia of the
0.010 load is large, it is important for saving energy to find the
l3 optimal lead which minimizes the dissipated energy.
0.005 l4
B. Optimal leads
The mass m of the load was varied from 4[kg] to 15[kg]
0 in order to examine its influence on the optimal lead. The
3 4 5 6 7 8 9 10 11 12 13 14 15 16
Mass m [kg] three curves in Fig. 3 show the optimal leads obtained in
subsections VII-A, VII-B and VII-C. The solid line illustrates
Fig. 3. Differences the optimal leads l2 obtained by solving (51). The broken line and the dot-dash
line are l3 and l4 which are calculated easily from (54) and
(55), respectively. They are much less than l2 because the
total Coulomb friction is large.
C. Conventional criterion (Inertia Matching Method)
If the rolling friction Fr is zero, then f = b = 1. In C. Comparisons of the energy dissipated in the optimal
this case, an optimal lead l4 can be given by substituting leads
f = b = 1 into (54) as Figure 4 shows the dissipated energy for m. In this figure,
 the three curves J2 , J3 and J4 correspond to the real energy
Hs dissipated in the linear actuator system using each optimal
l4 = 2 . (55)
m lead obtained in Fig. 3. As m increases, so does the energy
This lead l4 is represented by the ratio between the inertia dissipated. The energy J2 obtained from l2 is the smallest
moment Hs of the screw and the inertia mass m of the trans- of the three criteria for all values of m. Also, the energy J2
lated load. It is identical with the inertia matching method. is nearly 1/2 of J4 obtained from l4 . This demonstrates that
It follows that the inertia matching method determines an the optimal lead proposed herein can reduce the dissipated
optimal lead in the condition that all the frictions of a energy significantly.
transmission are neglected.
D. Discussions
VIII. S IMULATIONS AND D ISCUSSIONS To obtain the optimal lead l2 , we have to solve the quartic
We simulate position controls with a linear actuator includ- algebraic equation (51). This numerical solution is a little
ing a ball screw-nut. In the simulations, the parameters of the complicated compared with calculating (54) or (55). If the
motor are K = 0.041 [Nm/A] and R = 5.5 [], and ones of Coulomb friction Fcm is negligibly small, the lead l2 can
the ball screw-nut are f = 0.9, b = 0.8, Hs = 3 106 be replaced to l3 for easy calculation. The lead l2 obtained
[kgm2 ] and Fcm = 0.008 [Nm]. The operating conditions from proposed criterion is the best of the three ones because
are tf = 1 [s], xf = 0.2 [m]. it can achieve the greatest reduction in dissipated energy. If
we calculate the lead l1 which is described in the beginning
A. Inuence of the lead on the dissipated energy of the section VII, the application of l1 may make the
The dissipated energy are calculated by (49) for leads of dissipated energy smaller. However, leads of ball screws
ball screws. Three curves in Fig. 2 show the energy for three made in factories are not arbitrary lengths but discrete ones,
masses of the load m = 5, 10, 15 [kg]. On each curve, there for example 2,4,6,8,10 [mm]. Therefore, it is insignificant to

1010
obtain the optimal lead l1 accurately with difficulty. It follows
that the determining l2 from proposed optimal criterion is the
most practical method.
IX. C ONCLUSION
This paper has proposed a method for determining the
optimal lead of a ball screw-nut which minimizes the energy
dissipated in a linear actuator. First, the optimal velocity
function is determined using the optimal zero crossing time
which depends a forward and a backward efficiencies of the
ball screw-nut. The energy dissipated in the velocity func-
tion can be obtained analytically by neglecting the viscous
friction. Second, assuming the efficiencies and the Coulomb
friction to be independent of a lead, the proposed optimal
lead can be obtained easily by solving a quartic equation.
The results of simulations indicate that the proposed optimal
lead can greatly reduce the amount of dissipated energy in
comparison to the conventional inertia matching method.
In the future, we will study the influences of viscous
friction on the optimal lead in the system.
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