Chapter 6

Excavating and Lifting

6.1. Introduction
Whether the working equipment moves on tracks or tires has a major influence on productivity (how
much dirt can be moved or excavated in a certain amount of time or how fast material can be transported).
Both types of movements offer advantages and disadvantages based on working and surface conditions.

6.2. Types of Excavation Projects

 Rock Hammer
- typically done to remove rock from a site. This can be a very time consuming, labor intensive
process so the right equipment is needed for this initial loosening of rock.
 Compacting and grading
- this is usually done to affect the shape and slope of the land or to increase soil density. The
equipment used in this process may include grade trimmers and motor graders.
 Lifting and moving
- sometimes, trees, debris and structures need to be removed from an area. This also requires
disposing of these materials or moving them to another location.

6.3. Excavators
This is the machine most often associated with excavation projects. It is a power-driven digging machine
and has a long bucket arm attached to a cab where the operator sits and can rotate 360 degrees. Running
on tracks, this is a large piece of equipment used for big jobs. It is typically used to dig trenches, demolition,
snow and forestry removal, lift pipes and heavy objects, and grade the ground. It has different attachments
such as a clamshell attachment to pick up dirt and debris.

 The major types of excavators used in earthmoving operations include:

 Hydraulic excavators and
 Members of the cable-operated crane-shovel family (shovels, draglines, hoes, and
clamshells)
 Dozers, loaders, and scrapers can also serve as excavators.

 Types of hydraulic excavators:

 Spider excavator
- designed to work on all types of terrain, such as steep inclines and narrow ditches, it
moves on “legs” instead of tracks.

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  Amphibious/Swamp excavator
- specially made for jobs near water, it has a special kind of track that makes it perfect for
dredging projects.

 Zero swing excavators

- this machine has an arm that can only swing within its own width, making it the perfect
piece of excavation equipment for confined spaces.

 Advantages of excavators over cable-operated excavators:

 Faster cycle time
 Higher bucket penetrating force
 More precise digging
 Easier operator control

6.4. Tie-Crane Shovel Family

In 1836, William S. Otis developed a machine that mecanically duplicate the motion of a man digging
with a hand shovel. From this machine evolved the family of construction machines known as the crane-
shovel.
Members of this family include the shovel, backhoe, dragline, clamshell, mobile crane, and pile driver.
The crane-shovel consists of three major assemblies:

 a carrier or mounting (crawler, truck, or wheel mounting)

 a revolving superstructure containing the power and control units (also called the revolving deck or
turntable)
 a front-end attachment

The crawler mounting provides excellent on-site mobility and its load ground pressure enables it to
operate in areas of low trafficability. It is widely used for drainage and trenching work as well as for rock
excavation. Truck and wheel mountings provide greater mobility between job sites but are less stable than
crawler mountings and require better surfaces over which to operate.

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 The name of a particular member of the crane-shovel family is determined by the front-end attachment
used. Thus, a crane-shovel with a shovel attachment is refered to simply as shovel.

6.5. Excavator Production

To utilize the equation given in section 5.2 for estimating the production of an excavator, it is necessary
to know the volume of material actually contained in one bucket load.
The methods by which excavator bucket and dozer blade capacity are rated are given in the table
below.
 Plate line capacity
- The bucket volume contained within the bucket when following the outlie of the bucket sides.
 Struck capacity
- The bucket capacity when the load is struck off flush with the bucket sides.
 Water line capacity
- Assumes a level of material flushed with the lowest edge of the bucket sides (i.e.,the material
level corresponds to the water level that would result if the bucket is filled with water).
 Heaped volume
- The maximum volume that can be placed in the bucket without spillage based on a specified
angle of repose for the material in the bucket.

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 Bucket-capacity rating methods
Machine Rater Bucket Capacity
Backhoe and shovel
 Cable Struck volume
 Hydraulic Heaped volume at 1:1 angle of repose
Clamshell Plate line or waterline volume
Dragline 90% of struck volume
Loader Heaped volume at 2:1 angle of repose

Note:
 Since the bucket ratings for cable shovel, dragline, and cable backhoe are based on struck volume,
it is often necessary to assumed that the heaping of buckets will compensate for swell of the soil.
That is, a 5 m3 bucket would be assumed to actually hold a 5 BCM of material. A better estimate of
the volume of material in one-bucket load will be obtained if the nominal bucket volume is
multiplied by a bucket fill factor or bucket efficiency factor.
 The most accurate estimate of bucket load is obtained by multiplying the heaped bucket volume
(loose measure) by the bucket fill factor. If desired, the bucket load maybe converted to bank
volume by multiplying its loose volume by soil’s load factor.

Fill factors for excavators

Material Bucket Fill Factor
Common earth, loam 0.80 – 1.10
Sand and gravel 0.90 – 1.00
Hard clay 0.65 – 0.95
Wet clay 0.50 – 0.90
Rock, well-blasted 0.70 – 0.90
Rock, poorly blasted 0.40 – 0.70

Backhoe bucket fill factors

Material Fill Factor
Moist loamor sandy clay 1.00 – 1.10
Sand and gravel 0.95 – 1.10
Hard, tough clay 0.80 – 0.90
Well blasted rock 0.60 – 0.75
Poorly bllasted rock 0.40 – 0.75
Adapted from Caterpillar Handbook

6.6. Production Estimating for Hydraulic Excavators

Production for hydraulic excavator maybe estimated using the equation below together with the Table
on Standard cycles per hour for hydraulic excavators and Table on Swing-Depth factor for backhoes which
have been prepared from manufacturer’s data.

Production(LCM)=CSVBE Where:
C=cycles hour
S  swing  depth factor
V  heaped bucket volume
B  bucket fill factor
E  job efficiency

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Note: In trenching work, a fall-in factor should be applied to excavator production to account for the work
required to clean out material that falls back into the trench from the trench walls. Normal excavaor
production should be multiplied by the appropriate value from Table on Adjustment factor for trench
production.

Standard cycles per hour for hydraulic excavators

Machine Size
Type of Material Small Excavator Medium Excavator Large Excavator
Wheel Tractor
0.76 m3 or less 0.94-1.72 m3 Over 1.72 m3
Soft (sand, gravel,
170 250 200 150
loam)
Average (common
135 200 160 120
earth, soft clay)
Hard (tough clay,
110 160 130 100
rock)

Swing-depth factor for backhoes

Depth of Cut Angle of Swing (deg)
(% of Maximum) 45 60 75 90 120 180
30 1.33 1.26 1.21 1.15 1.08 0.95
50 1.28 1.21 1.16 1.10 1.03 0.91
70 1.16 1.10 1.05 1.00 0.94 0.83
90 1.04 1.00 0.95 0.90 0.85 0.75

Adjustment factor for trench production

Type of Material Adjustment Factor
Loose (sand, gravel, loam) 0.60 – 0.70
Average (commom earth) 0.90 – 0.95
Firm (firm plastic soils) 0.95 – 1.00

6.7. Job Management for Hydraulic Excavators

In selecting the proper excavator for a project, consideration must be given to the maximum depth,
working radius, and dumpimg height required. Check also for adequate clearance for the carrier,
superstructure, and boom during operation.
Although the excavator will excavate fairly hard material, do not use the bucket as a sledge in
attempting to fracture rock. Light blasting, ripping, or use of a power hammer may be necessary to loosen
rcok sufficiently for excavation. When lifting pipe into place, do not exceed load given in the manufacturer’s
safe chart for the situation.

6.8. Shovels
The hydraulic shovel illustrated in the figure below is also called a front shovel or hydraulic excavator-
front shovel.
The hydaulic shovel digs with a combination of crowding force and breakout (prying) force as
illustrated in the figure below. Crowding force is generated by the stick cylinder and acts at the bucket edge
on a tangent to the arc of the radius from point A. A breakout force is generated by the bucket cylinder and
acts at the bucket edge on a tangent to the arc of the radius through point B. After the bucket has penetrated
and filled with material, it is rolled up to reduce spillage during swing cycle.
Both front-dump and bottom-dump buckets are available for hydraulic shovels.

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 Advantages of bottom-dump bucket:
 more versatile,
 provide greater reach and dump clearance, and
 produce less spillage

 Disadvantage of bottom-dump bucket

 Heavier than front-dump bucket of equal capacity resulting in a lower bucket capacity for equal
weight.

 Advantages of front-dumpbucket:
 Have a slight production advantage
 Cost less and requires less maintenance

Although the shovel has limited ability to dig below track level, it is most efficient when digging above
track level. Other excavators (such as the hydraulic excavator and the dragline) are better suited than the
shovel for excavating below groung level. Since the shovel starts its most efficient digging cycle at ground
level, it can form its own roadway as it advances. The shovel should have a vertical face to dig against for
most effective digging. This surface, know as the digging face, is easily formed when excavating a bank or
hillside. Thus, embankment digging with the material dumped to one side (sidecast) or loaded into haul
units provides the best application of the shovel. The ability of the shovel to form its own roadway as it
advacnes is a major advantage. Other applications of the shovel include dressing slopes, loading hoppers,
and digging shallow trenches.
When the material to be excavated is located below ground level, the shovel must dig a ramp down
into the material until a digging face of suitable height is created. This process is known as ramping down.

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6.9. Production Estimating for Hydraulic Shovels
Production for hydraulic shovels maybe estimated using the equation below together with Table on
Standard cycles per hour forhydraulic shovels which has been from manufacturer’s data.

Production(LCM)=CSVBE Where:
C=cycles hour
S  swing  depth factor
V  heaped bucket volume
B  bucket fill factor
E  job efficiency

Standard cycles per hour for hydraulic shovels

Machine Size
Small Medium Large
Material Under 3.8 m3 3.8 – 7.6 m3 Over 7.6 m3
Bottom Front Bottom Front Bottom Front
Dump Dump Dump Dump Dump Dump
Soft (sand, gravel, coal) 190 170 180 160 150 135
Average (common earth, soft
170 150 160 145 145 130
clay, well-blasted rock)
Hard (touch clay, poorly
150 135 140 130 135 125
blasted rock)

Adjustment for Swing Angle

Angle of Swing (deg)
45 60 75 90 120 180
Adjustment factor 1.16 1.10 1.05 1.00 0.94 0.83

Front shovel bucket fill factors

Material Fill Factor
Bank clay; earth 1.00 – 1.05
Rock-earth mixtures 1.00 – 1.05
Poorly-blasted rock 0.85 – 0.95
Well-blasted rock 0.95 – 1.05
Shale; sandstone 0.85 – 1.00
Adapted from Caterpillar Handbook

6.10. Job Management for Hydraulic Shovels

The two major factors controlling shovel production are the swing angle and lost time during the
production cycle. Therefore, the angle of swing between digging and dumping positions should always be
kept to a minimum. Haul units must be positioned to minimize the time lost as units enter and leave the
loading position. When only a single loading position is available, the shovel operator should utilize the time
between the departure of one haul unit and the arrival of the next to move up to the digging face and to
smooth the excavation area. The floor of the cut should be kept smooth to provide an even footing for the
shovel and to facilitate movement in the cut the area. The shovel shpuld be moved up frequently to keep it
at an optimum distance from the working face. Keeping dipper teeth sharp will also increase production.

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6.11. Draglines
The dragline is a very versatile machine that the longest reach for digging and dumpimg of any
member of the crane-shovel family. It can dig from the above machine level to a significant depths in soft to
medium-hard material.
Bucket teeth and weight produce digging action as the drag cable pulls the bucket across the ground
surface. Digging is also controlled by the position at which the drag chain is attached to the bucket. The
higher the point of attachment, the greater the angle at which the bucket enters the soil. During the hoisting
and swinging, material is retained in the bucket by tension on the dump cable. When tension on the drag
cable is released, tension is removed from the dump cable, allowing the bucket to dump.
Buckets are available in wide range of sizes and weights, solid and perforated. Also available are
archless buckets which eliminate the front cross-member connecting the bucket sides to provide easier flow
of material into and out of the bucket.

While the dragline is very versatile excavator, it does not have positive digging action or lateral
control of the shovel. Hence bucket may bounce or move sideways during hard digging. Also, more spillage
must be expected in loading operations than would occur with a shovel. While a skilled dragline operator
can overcome many of these limitations, the size of haul units used for dragline loading should be greater
than that of those used with a similar size shovel.
The maximum bucketsize tobe used on a dragline depends on machine power, boom length, and
material weight. Therefore, use the gragline capacity chart provided by the manufacturer instead of the
machine’s lifting capacity chart to determine the maximum allowable bucket size.

6.12. Production Estimating for Dragline

To estmate dragline production using the tables, determine the ideal output of the dragline for the
machine size and material from the Table for Ideal dragline output, then adjust this figure by multiplying it
by a swing-depth factor and a job efficiency factor as shown in the equation below.

Expected production   ideal output  swing  depth factor  efficiency 

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Ideal dragline output – short boomn(BCM/h)* (This is a modification of data published in Technical Bulletin
No. 4, Power Crane and Shovel Association, Bureau of CIMA, 1968)
Bucket size (m3)
Type of material
0.57 0.75 0.94 1.13 1.32 1.53 1.87 2.29 2.62 3.06 3.82
Light moist clay or loam 99 122 149 168 187 203 233 268 298 356 413
Sand and gravel 96 119 141 161 180 195 226 260 291 348 405
Common earth 80 103 126 145 161 176 203 233 260 287 340
Tough clay 69 84 103 122 138 149 176 206 233 260 313
Wet, sticky clay 42 57 73 84 99 111 134 161 183 206 252
*Based on 100%, 90 swing, optimumdepth ofcut, material loaded into haul units at grade level

Optimum depth of cut for short boom (This is a modification of data published in Technical Bulletin No. 4,
Power Crane and Shovel Association, Bureau of CIMA, 1968)
Bucket size (m3)
Type of material
0.57 0.75 0.94 1.13 1.32 1.53 1.87 2.29 2.62 3.06 3.82
Light moist clay, loam, sand and
1.8 2.0 2.1 2.2 2.3 2.4 2.6 2.7 2.9 3.0 3.3
gravel
Common earth 2.3 2.4 2.6 2.7 2.9 3.0 3.2 3.3 3.5 3.7 4.0
Wet, sticky clay 2.7 2.8 3.0 3.2 3.4 3.6 3.7 3.9 4.1 4.2 4.4

Swing-depth factor for draglines. (This is a modification of data published in

Technical Bulletin No. 4, Power Crane and Shovel Association, Bureau of CIMA,
1968)
Depth of Cut Angle of Swing (deg)
(% of Optimum) 30 45 60 75 90 120 150 180
20 1.06 0.99 0.94 0.90 0.87 0.81 0.75 0.70
40 1.17 1.08 1.02 0.97 0.93 0.85 0.78 0.72
60 1.25 1.13 1.06 1.01 0.97 0.88 0.80 0.74
80 1.29 1.17 1.09 1.04 0.99 0.90 0.82 0.76
100 1.32 1.19 1.11 1.05 1.00 0.91 0.83 0.77
120 1.29 1.17 1.09 1.03 0.98 0.90 0.82 0.76
140 1.25 1.14 1.06 1.00 0.96 0.88 0.81 0.75
160 1.20 1.10 1.02 0.97 0.93 0.85 0.79 0.73
180 1.15 1.05 0.98 0.94 0.90 0.82 0.76 0.71
200 1.10 1.00 0.94 0.90 0.87 0.79 0.73 0.69

Note: To use the Table on Swing-depth factor for draglines, it is first necessary to determine the optimum
depth of cut for the machine and material involved from the Table on Optimum depth of cut for short
boom. Next, divide the actual depth of cut by the optimum depth and express the result as a
percentage. The appropriate swing-depth factor is then obtained from the Table on Swing-depth
factor for draglines, interpolating as necessary.

6.13. Job Management for Dragline

Trial operations may be necessary to select the boom length, boom angle, bucket size and weight,
and the attachment position of the drag chain that yield maximum production. As in shovel operation,
maximum production is obtained with a minimum swing angle. In general, the lightest bucket capable of
satisfactory digging should be used since this increases the allowable bucket size and reduces cycle time.
It has been found that the most efficient digging area is located within 15 forward and back of a vertical line
through the boom point as shown in the figure below. Special bucket hitches are available which shorten
the drag distance necessary to obtain a full bucket load. Deep cuts should be excavated in layers whose
thickness is as close to the oprimum depth of cut as possible.

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6.13. Clamshell
When the crane-shovel is equipped with a crane boomand clamshell bucket, it becomes an excavator
known as a clamshell. The clamshell is capable of excavating to a great depths but lacks the positive
digging action and precise lateral control of the shovel and backhoe. Clamshells are commonly used for
excavating vertical shafts and footings, unloading bulk materials from rail cars and ships, and moving bulk
material from stockpiles to bins, hoppers, or haul units. Clamshell attachments are also available for the
hydraulic excavator.
A clamshell bucket is illustrated in the figure elow. Notice that the bucket halves are forces together
by the action of the closing line against the sheaves. When the closingis released, counterweights cause the
bucket hallves to open as the bucket is held by the holding line.

Bucket penetration depends on bucket weight assisted by the bucket teeth. Therefore, buckets are
available in light, medium, and heavy weights with and without teeth. Heavy buckets are suitable for digging
medium soils. Medium buckets are used for general-purpose work, including the excavation of loose soils.
Light buckets are used for handling bulk materials such as sand and gravel.

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 The orange peel bucket illustrated in the figure above, is principally utilized for underwater
excavation and for rock placement. Because of its circular shape, it is also well suited to excavating piers
and shafts. It operates in the same principle as does the clamshell.

6.14. Production Estimating for Clamshell

No standard production tables are available for the clamshell. Thus, production estimation should be
based on the use of the equation given in section 5.2.

6.15. Job Management for Clamshell

The maximum allowable load bucket weight plus soil weight) on a clamshell should be obtained from
the manufacturer’s clamshell loading chart for continuous operation. If a clamshell loading chart is not
available, limit the load to 80% of the safe lifting capacity given by the crane capacity chart for rubber-tired
equipment or 90% for crawler mounted equipment. Since the machine load includes the weight of the bucket
as well as its load, use the lightest bucket capable of digging the material will enable a larger bucket to be
usedand will usually increase production. Tests may be necessary to determine the size of bucket that yields
maximum production in a particular situation. Cycle time is reduced by organizing the job so that dumping
radius is the same as the digging radius. Keep the machine level to avoid swinging uphillor downhill.
Nonlevel swinging is hard on the machine and usually increases cycle time.

Problem Set for Chapter 6:

1. Estimate the actual bucket load in BCM for a loaded bucket whose heaped capacity is 3.82 m 3. The soil’s
bucket fill factor is 0.90 and its load factor us 0.80.
2. Find the expected production in LCM per hour of a small hydraulic excavator. Heaped bucket capacity
is 0.57 m3. The material is sand and gravel with a bucket fill factor of 0.95. Job efficiency is 50 min/h.
Average depth of cut is 4.3 m. Maximum depth of cut is 6.1 m and average swing is 90.
3. Find the expected in LCM per hour of a 2.3 m3 hydraulic shovel equipped with a front-dump bucket. The
material is common earth with a bucket fill factor of 1.0. The average swing is 75 and job efficiency is
0.80.
4. Determine the expected dragline production in LCM per hour based on the following information:

Dragline size = 1.53 m3

Swing angle = 120
Average depth cut = 2.4 m
Material = common earth
Job efficiency = 50 min/h
Soil swell = 25%

5. Estimate the production in LCM per hour for a medium-weight clamshell excavating loose earth. Heaped
bucket capacity is 0.75 m3. The soil is common earth with a bucket fill factor of 0.95. Estimated cycle per
time is 40 s. Job efficiency is estimated at 50 min/h.

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