Performance Modeling and Cost-benefit Analysis

of Hybrid Electric Mining Trucks

Yanbiao FENG1,2, Zuoming DONG2, Jue YANG1 and Rui CHENG2
1
School of Mechanical Engineering
University of Science & Technology Beijing, Beijing, China
2
Department of Mechanical Engineering and Institute for Integrated Energy Systems
University of Victoria, Victoria, Canada
Corresponding email: zdong@uvic.ca

Abstract — To reduce greenhouse gas emissions and cut the
operation cost of large mining trucks, this paper presents a
technical feasibility and economic benefit analysis on a hybrid
electric mining truck under real world operation cycles. The
hybrid electric propulsion system of a typical Diesel-Electric
mining haul truck has been modeled in MATLAB Simulink
environment to perform fuel efficiency assessment and cost-
benefit analysis (CBA). The simulation and analysis results
showed that hybridization of mining truck can significantly
reduce fuel consumption, lower emissions, and pay back the
additional investment on onboard battery Energy-Storage-
System (ESS) in a short time. The battery life cycle in mining
operation schedule was taken into account during the CBA. The
research forms the foundation for mining truck hybrid electric
powertrain system design and control development.
Keywords— hybrid electric vehicle, heavy-duty vehicle, mining
truck, cost-benefit analysis, energy storage system, modeling and
simulation
I. INTRODUCTION
Increasing environmental concerns demand cleaner and
more efficient vehicle propulsion technology with less
greenhouse gas (GHG) emissions. Hybrid electric propulsion
system technology has been proven to be a promising solution.
Regular and plug-in hybrid electric vehicles, such as Toyota
Prius and GM Volt, have made a huge success in the
passenger cars market. Although the mining industry
contributes to a significant amount of GHG emissions [1], it
still operates heavy-duty trucks with direct drive or diesel-
electric drive using conventional diesel engines that operate at
poor engine efficiency and emissions for a considerable
portion of their working cycle. One effective way to reduce
the operation cost of mining equipment is to increase their
capacity and reduce the number of operation unit by
increasing the size and load capability of the truck. However,
when truck capacity increased beyond 200 tonnage, the total
cost ($/t) actually start to increase [2]. There is a need to find
an alternative path to further reduce the operation cost and
GHG emissions for these large mining trucks.
To reduce operation costs, considerable researches have
been carried out on improved tire management and
maintenance which contribute to about half of operation costs
for 300 tonnage class trucks [3][4]. In addition to the direct
factors to tire cost, a better tire maintenance and road
conditions can lower rolling resistance and fuel consumption
[5][6]. Open-pit road design is another focused area of
research for lowing mining operation cost. However, fuel
consumption improvement using more efficient powertrain
technology presents more potentials for energy saving and
operation cost reduction, as fuel cost accounts 45% and 30%
of operation costs in 220 and 300 tonnage trucks [3][7].
L.K. Sahoo [8] presents a model used for predicting fuel
consumption with multi-haul trucks and identified the optimal
fuel saving operation speed for a truck with mechanical drive
at 28km/h when unloaded and 25km/h when loaded with a
potential 15% fuel saving. Research on a hybrid underground
mining loader identified challenges from different types of
battery [9]. Study on hybrid excavator with super capacitors
presented a feasible hybrid solution for off-road equipment
[10], and Richter tested a full-scale hybrid truck and battery
cells, and concluded that the cost and life of batteries were
major obstacles [11]. At present, very limited research results
have been published on hybrid electric mining haul truck.
Recent research on the performance/cost improvements
and modeling methods (mathematical, electrochemical, and
life prediction) of batteries Energy Storage System (ESS)
revealed noticeable technology advances [12][13]. These
researches further opened the applications of battery ESS,
making it viable for heavy-duty mining truck hybrid electric
powertrain applications.
II. HYBRIDIZATION AND ELECTRIC MINING TRUCK
A. Conventional and electric mining truck
Present mining haul trucks have two powertrain
architectures: pure mechanical drive and diesel-electric drive
as shown in Fig. 1. The conventional mechanical drive system
consists of internal combustion engine (ICE), gearbox, final
drive, wheel reduction. Torque generated from the ICE flows
through the transmission/gearbox and final drive to the wheels
to propel the truck [14]. A diesel-electric drive system consists
of ICE, generator, rectifier, inverter, electric drive motor, and
wheel gear reduction. Power generated from the ICE is
converted to electric power to drive the electric motor which
propels the vehicle by converting electric power back into
mechanical power. The diesel-electric drive system utilizes the
higher torque of electric motor at lower speed to overcome the
poor torque capability of ICE, but the back and forth power

Supports from Transport of Canada and China Scholarship Council are 1

gracefully acknowledged.
978-1-5090-6190-7/16/$31.00 ©2016 IEEE
conversions reduce the overall system efficiency [15]-[17].
Diesel-electric forms the main stream powertrain architecture
for large tonnage haul trucks today. Various mining haul
trucks produced by major original equipment manufacturers
are listed in Table 1.
Mechanical Drive System Wheel
Wheel
Reduction

Final
ICE Gearbox
Drive

Wheel
Redcution
Wheel Fig. 2 CAT 795F AC (Courtesy of Caterpillar)

(a) Mechanical Drive architecture Front Series Hybrid Electric Rear

Wheel system Wheel
Diesel-Electric Drive Wheel
System Motor Wheel
Reduction Radial Gird
Wheel_Hub
Motor

ICE Gen DC_Bus

C175-16 Diesel AC
DC_Bus
Engine Generator

Wheel
Motor Wheel Wheel_Hub
Redcution
Battery Motor
(b) Diesel-Electric Drive architecture Package
Front Rear
Fig. 1 Two powertrain architectures Wheel Wheel

Fig. 3 Series Hybrid electric mining truck architecture

TABLE I. MINING HAUL TRUCK TYPE
Mechanical Drive Diesel-Electric Drive
CAT770, CAT770G, CAT 794 AC, CAT 795F AC
III. BATTERY LIFE CYCLE
Caterpillar CAT772G, CAT785C, Battery technology is critical for electrified vehicles. Many
CAT793D, CAT793F. industrial companies and researchers are working on the cost
CAT797F
reduction of battery with higher energy and power densities
EH1100-5, EH1700-3 EH3500AC-3, EH4000AC-3,
Hitachi EH5000AC-3 without sacrificing safety or performance. Normally battery
HD325, HD405, 730E, 830E-AC, 860E-1K, resistance increase and capacity fade are indicators of
Komatsu HD605, HD785, 930E-4, 930E-4SE 960E-2, degrading battery life, and these can be modeled using Eqs
HD1500 960E-2K (1)-(3) [19]. The results showed batteries in a passenger HEV
where, the bold font represents the truck of 200 tonnage & above. under 50% Depth of Discharge (DOD), with aggressive
cooling and opportunity charge can reach an average 14.8
B. Hybridization of an electric truck years of life, extendable by shallowing less DOD. In addition,
In Ref. [18], several hybrid powertrain architectures were the battery test results showed a battery can be in service for
introduced. There are two methods to build the hybrid mining average 40,866 cycles with 30% DOD and an aggressive
haul truck: to retrofit a diesel-electric truck into a series hybrid cooling system [20].
vehicle by adding an appropriate electric ESS; or to produce a
parallel hybrid mining haul truck by adding an electric motor °­ Rint = a1 t + a2 N
® (1)
to the conventional powertrain’s driveshaft. °̄Q = min ( QLi , Qactive )

Depending on the arrangement of the electric motor and °­QLi = d 0 + d1 t

transmission, more than five parallel hybrid powertrain
layouts can be achieved, although the retrofitting task is
demanding and more expensive. A new electric motor and
ESS, as well as electric power and control systems, including
rectifier, inverter, and battery management system (BMS), are
needed. Retrofitting the diesel-electric truck to hybrid electric,
on the other hand, is more straightforward by adding a battery
ESS/MBS and changing the powertrain control. This research
thus focuses on the conversion of diesel-electric mining truck
into a series diesel-electric hybrid electric vehicle with front-
engine and rear-wheel-drive.
® (2)
°̄QLi = e0 + e1 N
­°( a1 , d1 ) = f ( ΔDOD, T ,VOC )
® (3)
°̄( a2 , e1 ) = f ( ΔDOD, T , VOC )
where, Rint, Q is the relative resistance, relative capacity,
respectively. ¨DOD is the depth of discharge. T, Voc is battery
temperature, battery open circuit voltage, respectively.

2
 IV. SIMULATION MODELS
A. Diesel-Generator Set model
The diesel engine is the main power source, which drives
the generator, hydraulic pump and other accessories. The
engine output torque is decided by the control strategy for
better efficiency, and the engine speed is calculated using
Equation (4) to meet the vehicle’s power need.
dω
Tengine − Tacc = ( J e + J G ) (4)
dt
where, Tengine, Tacc, Je, JG, ¹ , are torques needed to drive
engine and accessories, engine and generator inertia, and
engine speed.
The hydraulic steering, brake, and hoisting system of the
mining truck consumes significant amount of power, and in
this research, the accessories power has been taken into
account and set to a constant 75 kW for the following reasons:
• The continuously operating steering and brake system
share a hydraulic pump, which counts about 70 kW [21]
in a 300 tonnage mining haul truck.
• Other accessories, such as the air conditioner and starting
battery charging system, counts for about 2 kW.
• The hoisting system holds a separate hydraulic pump,
which is more than 200 kW [22], and it only works for
less than 20 seconds in a single drive cycle [23].
SOC = SOCinitial −
³I B dt
(9)
Cnom
where, Cnom is the battery nominal capacity, and SOCinitial is
the battery initial SOC.
C. Induction Motor Model
In large mining haul truck, the AC induction motor
directly drives the wheels via a wheel reduction which is
modeled in the induction motor model in this work. Similar to
the generator model, the induction motor’s input electric
power is determined by a 2-dimensional look-up table.
dωi
Tout = Tw NWR + ¦ J i (10)
dt
Pe = f (Tout , ωmotor ) (11)
where, Tout, Tw, J, ¹ˈPe, NWR are motor output torque, wheel
torque, rotating components inertia, rotating components
speed, motor input electric power, and wheel reduction ratio
of the ith motor rotor, wheel reduction gears, and wheel.
In a 300 tonnage truck with a double reduction, the wheel
reduction efficiency is about 0.9468 [24]. To simplify
calculation, this study consider the efficiency as 1. Tw is
calculated by the control strategy, while rotor speed ¹motor is
determined by the vehicle speed.

Subsequently, the instantaneous fuel consumption rate be D. Vehicle Dynamics Model

(unit, g/s) can be obtained from a look-up table which is based According to the longitudinal vehicle dynamics, the
on data from real world experiments. mining haul truck propulsion forces can be determined.
be = f (Te , ω ) (5)
The total fuel consumption, Be, in a drive cycle can thus be ­ Frolling = f (m + LS * P) g cos( β )
°
calculated with the total fuel consumption rate. ° Fgrade = ( m + LS * P) g sin( β )
°
Be =
³b e dt
(6) ® Faero = 1 CD Av 2 (12)
ρ ° 2
° dv
where, ² is the diesel fuel density, unit g/L. °(δ m + LS * P ) = Fprop − ( Frolling + Fgrade + Fbrake + Faero )
¯ dt
With the generator input torque Tacc and speed ¹ , the where, Faero, Fbrake, Fprop, f, m, LS, P, CD, A, v , £, ¥ are the
generator output electric power can be determined from a aerodynamic resistance, brake force, propulsive force, rolling
look-up table model based on generator experiment data. resistance co-efficient, truck curb mass, truck load state, truck
payload mass, aerodynamic resistance co-efficient, front area,
PG = f (Tacc , ω ) (7) vehicle speed, road inclination, and rotation component
coefficient, respectively. When the truck is empty, the truck
B. Energy Storage System Model load state variable, LS, equals 0, and when the truck is fully
The battery ESS needs to have enough energy capacity to loaded, the truck load state variable, LS, equals to 1.
meet the needed power in sustained operation. To evaluation The front axle load, Wf, and rear axle load, Wr, are
the hybrid mining haul truck performance, a simple Rint determined by the truck’s mechanical parameters.
battery model is selected [12]. The model is shown in
Equations (8) and (9), with an ideal voltage to define the ­ La hg hg
°W fm = mg cos ( β ) − mg sin ( β ) − ma
battery open-circuit voltage. The battery resistance Rint and ° L L L
open-circuit voltage Uocv are the functions of battery’s State of ° § L'a hg' hg' ·
°W fP = LS * ¨¨ Pg cos ( β ) − Pg sin ( β ) − Pa ¸¸
Charge (SOC). This battery model was implemented as a 1- ° © L L L ¹
dimensional look-up table, using data collected from ® (13)
°W = Lb mg cos ( β ) + hg mg sin ( β ) + hg ma
experiments. ° rm L L L
°
U L = U ocv − I B Rint (8) ° § L'b hg' hg' ·
°WrP = LS * ¨¨ L Pg cos ( β ) − L Pg sin ( β ) − L Pa ¸¸
¯ © ¹
where, UL, IB are terminal voltage and battery current. ­°W f = W fm + W fP
The battery SOC is determined by Equation (9). ® (14)
°̄Wr = Wrm + WrP
3
where, Wfm, Wrm, are the front axle load and rear axle load of
empty truck. WfP, WrP are the front axle and rear axle loads of
fully loaded truck. La, L, hg, La’, hg’, are the distance of empty
truck center of gravity to the front axle, distance from front
axle to rear axle, empty truck center of gravity from ground,
payload center of gravity from front axle, and payload center
of gravity from front ground, respectively.
The tire slip ratio is defined as a function of propulsive
force and drive axle load.
§ Fprop ·
s= f ¨ ¸ (15)
© Wr ¹
In driving wheel rotation speed,¹wheel, is determined by:
v characteristics. At present control strategies for hybrid electric
ωwheel = (16)
r (1 − s )
In braking, wheel rotation speed,¹wheel, is determined by:
v
ωwheel = (1 − s ) (17)
r and low computation requirement, comparing with the more
where, r is the tire rolling radius.
In braking, the regenerative braking system kicks into
operation to divide the total brake force into the regenerative
braking force from the induction motor, the front mechanical
braking force, and the rear mechanical braking force.
­ Wf
° Ffbrake = m + LS * P g ( Fbrake − Fbm )
° ( )
®
W
(18)
°F = r
( F − Fbm )
°¯ rbrake ( m + LS * P ) g brake
where, Ffbrake, Frbrake, Fbm, are the front axle brake force,
rear axle brake force, and regenerative brake force.
V. OPERATION CYCLE
Mining trucks operate in a special duty cycle: waiting to be
load at a flat loading place, driving on flat and uphill with full
loaded, dumping the load, and returning downhill empty. A
typical driving cycle is generated from [25], consisting of the
target vehicle speed, truck load state, and estimated road
elevation, as shown in Fig. 4.
The truck operating cycles can be described: truck leaving
the loading place full loaded and driving uphill (Load State
(LS = 1)); truck dumping load at flat (Fig. 4 (a)); truck leaving
the dumping place and heading for the loading place empty
(Fig. 4 (b)).
(a) Full Loaded Drive Cycle
(b) Empty Unloaded Drive Cycle
Fig. 4 Typical duty cycle of a mining truck
VI. CONTROL STRATEGY DESIGN
The control strategy for this series hybrid mining haul
truck is specially designed according to its operation
vehicles falls into two categories: rule-based control,
deterministic or fuzzy rule-based; and optimization-based
control, using off-line Dynamics Programming (DP) global
optimization or real-time optimal control techniques. The rule-
based strategy has the advantages of ease of implementation
advanced and complex optimization-based strategies.
The deterministic rule-based strategy mainly consists of
thermostat control (on/off control) and power follow control.
The on/off control maintains the battery SOC between the
preset upper and lower limits by turning on and off the diesel
engine. If the SOC is equal or less than the lower limit, the
diesel engine starts and operates at a relatively fixed speed
with maximum energy efficiency, to charge the battery and
propel the vehicle. When the battery SOC reaches the upper
limit, the diesel engine is turned off, and the battery ESS
provide the propulsion power. Different from a transit bus
which operates on a typical drive cycle consisting of many
starts and stops, the power demand of a mining haul truck
stays at a higher value, requiring the battery to discharge a
higher current, and resulting in a short battery life.
In this baseline control strategy for a series hybrid mining
truck, the engine is the primary source of power, and the
battery is used to supply additional power and torque when
needed, since the power demand at its full loaded drive cycle
is huge. The control rules are based on the following
heuristics.
• Below a certain engine torque demand and when the battery
SOC is lower than its upper limitation, the engine provide
additional power output to charge battery;
• If the engine torque demand is greater than a specific value
and the battery SOC is greater than its lower limit, the
engine operates at its most efficiency point and the battery
starts to discharge;
• The motor acts as generator when brakes, and battery is
charged mainly by regenerative braking;
• The end SOC of unloaded cycle must meet the loaded cycle
initial SOC, while the end SOC of loaded cycle is the initial
SOC of unloaded cycle.
4
 VII. COST BENEFIT ANALYSIS TABLE IV. ANNUAL OPERATION COST

With the proposed hybrid electric powertrain design, the Fuel Annual Cost/US$/year
Diesel Price
Consumption Fuel Cost Battery Cost
retrofitted hybrid mining haul truck has additional costs: the
added battery ESS and the load capacity loss due to the Current 1.405e6 L/year 1004575 -
additional weight of the ESS. The CBA has been carried out 23400
US$0.7151/L
considering both of the net hauling productivity (tons/year) Hybrid 1.279e6 L/year 914485 22620
12480
and hauling cost ($/ton).
Since its introduction in 1990s, the Li-ion battery has been Due to the decrease of the hybrid mining haul truck’s load
considerably improved in all areas, including energy density, ability, overall productivity (ton/year) and cost ($/ton)
power density, and cost. In 2009-2010, battery costs about comparison are needed. Table 4 shows the annual fuel cost
$764 US per kWh. More recently, with the mass production of result (Diesel price comes from US Energy Information
Tesla Model S and Nissan Leaf with large battery packs, the Administration website, 2015 annual average). The fuel costs
battery cost dropped considerably. The battery costs in Nissan are compared in Fig. 5. As we can see from the comparison:
Leaf was about US$300 per kWh in 2013, and average cost of the hybrid mining truck shows slightly lower productivity than
battery in Tesla Model S became US$290 per kWh in 2014 the diesel-electric mining truck due to the additional battery
[26]. Other researchers suggested that the battery cost may package and the battery foothold mass. However, since the
reach US$ 200 per kWh in 2020, and US$ 160 per kWh in hybrid mining truck holds a great potential in terms of fuel
2025 [27]. In this study, a typical mining truck with 312 kWh saving, hybrid mining truck gives a substantial reduction in
battery has been modeled. Three battery cost assumptions are fuel cost, 8.9% improvement compared with the diesel-electric
used, US$300 per kWh from Leaf, US$290 per kWh from mining truck. As a result, the hybrid mining truck showed
Tesla, and US$200 per kWh in future, as shown in Table 2. better production cost despite the deterioration in productivity,
as shown in Fig. 5.
TABLE II. BATTERY COST
The battery pack added additional truck manufacturing
Nissan, Leaf Tesla, Model S Future, 2025
cost. The CBA provides the projected time needed for fuel
Price/US$/kWh 300 290 160
savings to recover the additional investment on batteries.
Cost/US$ 93,600 90,480 49,920
Table 5 shows the estimated payback time under battery prices
The additional battery and battery foothold mass leads to of market leaders (Leaf and Tesla) and in 2025 projection.
the trucks load capacity reduction. In recently, Tesla Li-ion
car battery pack holds about 120 Wh/kg energy density [28].
In 2012, the US Joint Center for Energy Storage Research
(JCESR) had set a target of 400 Wh/kg in 2017. To evaluate
the cost, the value of 120Wh/kg was used. The weight of the
battery pack is thus calculated to be about 2.6 metric tons, and
the battery foothold counts for 3 metric tons [11]. With a
typical 6,000 operation hours per year use [25], the diesel-
electric CAT 795F AC under this drive cycle can transport Fig. 5 Productivity & Cost comparison
3.22e6 metric tons per year. To meet the same performance,
TABLE V. PAYBACK TIME COMPARISON
the hybrid counterpart’s payload capacity goes down to 307
metric tons, with a productivity 3.16e6 metric tons per year. Annual Fuel Savings Battery Cost Payback Time
As discussed previously in Section 3, the Li-ion battery under Leaf US$ 93600/4year 12.5 months
this service condition will approximately last for 4 years. Tesla US$90090 US$ 90480/4year 12 months
Future US$ 49920/4year 6.6 months

VIII. RESULT AND DISCUSSION In addition, a WTW (Well-To-Wheel) carbon dioxide

Based on the powertrain system model and selected drive emission analysis was also conducted based on the GREET
model (the Greenhouse gases, Regulated Emissions, and
cycle, simulations were carried out in MATLAB/Simulink Energy use in Transportation model). The PTW (Pump-To-
environment. During the loaded cycle, the mining haul truck Wheel) carbon dioxide emission calculation adopted the
went uphill with full loaded, resulting to the power demand as carbon dioxide emission factors for transportation fuels
shown in Fig. 4. The battery was discharging in this cycle, and provided by the US Energy Information Administration,
the fuel consumption dropped down. While in the unloaded Voluntary Reporting of Greenhouse Gases Program. The
cycle, the truck went downhill, and the battery was charging. improvements on fuel efficiency rate, CO2 emissions,
In total, the hybrid mining haul truck presented 9% fuel production cost ratio, and average payback time are shown in
consumption improvement over the traditional diesel-electric. Table 6.
TABLE III. FUEL CONSUMPTION COMPARISON TABLE VI. COMPARISON BETWEEN HYBRID AND CURRENT TRUCK
Each Cycle Annually Hybrid-electric Diesel-electric
Loaded Cycle Unloaded Cycle Total Fuel efficiency rate (L/100KM/T) 3.43 3.70
Current 105.5 L 31.1L 136.6 L 1.405e6 L WTW CO2 Emissions (G/KM/T) 109.14 120.62
Hybrid 84.1 L 40.3L 124.4 L 1.279e6 L Production Cost Ratio (US$/T) 0.2898 0.3121
Payback Time (Month) 12.3 -
5
 The hybrid electric propulsion system brings better fuel
efficiency, reduced truck operation cost, and a significant
improvement in carbon dioxide emissions. Simultaneously,
the fast declining battery cost ensures a short payback time.
IX. CONCLUSIONS
In this work, the MATLAB/Simulink powertrain system
model for series diesel-electric hybrid mining haul truck was
developed using the Power Follower Control Strategy to
manage power. A dedicated drive cycle was formed using
real-world data in oil-sand mines. Fuel consumption savings
of different mining haul trucks were used to investigate their
hybridization feasibility. Furthermore, the productivity and
costs of regular and hybridized mining trucks are compared.
Comparing to the present diesel-electric mining haul truck
with no onboard battery ESS, the simulation results show that
the proposed series hybrid mining haul truck can reduce fuel
consumption by 9%, or save about $90,090 US per year. The
added battery weight leads to minor truck load capacity and
productivity decrease of 2.16%, while the more significant
fuel cost saving balances it up to produce a net operation cost
reduction of 4.8% (US$/ton). The net cost saving leads to
about one year of time for added battery cost recovery.
This study provides a promising solution to reduce the
operation costs and GHG emissions for heavy-duty mining
trucks. Further research can be devoted to powertrain system
and component sizing optimization and optimization-based
control strategy for the series mining haul truck, and
examining the benefits of more advanced powertrain
architectures.
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