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SAE TECHNICAL
PAPER SERIES

Development of Hydromechanical
Transmission (HMT) for Bulldozers

Hiroyuki Mitsuya, Keiji Otani, Tsutomu Ishino,

Ryouichi Maruyama, and Toshiyuki Akasaka
Ksmatsu Ltd.

International Off-Highway &

mA
and
=For
The Engineering Society
Advancing Mobility
Sea Air and Space,
Powerplant Congress & Exposition
Milwaukee, Wisconsin
September 12-14, 1994

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Development of Hydromechanical
Transmission (HMT) for Bulldozers
ABSTRACT
Conventionalmediumto large-sizedbulldozers have
a powertraincomprisedofa manuallyoperatedpowershift
transmission connected in series with a torque con-
verter. There is a growing need, however, for a power
train that is more efficient and easy to operate, thereby
increasing bulldozer productivity.
One answer to this growing demand is the
hydromechanical transmission (HMT) developed by
Komatsu for medium to large-sized bulldozers. The
HMT consists of a powershift transmission combined in
parallel with a hydrostatic transmission (HST) featuring
a pair of hydraulic units. The HMT has a continuously
variable shifting ratio and achieves high efficiency and
automatic shifting. Additionally, it has an electronic
controller that controls the transmission ratio to maintain
engine speed at the maximum power point. As a result,
bulldozers with the HMT demonstrate greatly improved
productivity over bulldozers with the conventional
powertrain. Furthermore, automatic shifting releases
the operator from shifting operation, allowing the opera-
tor to concentrate on operating the work equipment and
thereby reducing operator fatigue.
This paper explains the method of selecting the
gear train and hydraulic unit, and provides an outline of
the control method.
1. INTRODUCTION
Discussed in this paper is the hydromechanical
transmission (HMT) developed by Komatsu for medium
to large-sized bulldozers. This paper presents the
reasons for selecting the HMT, its design method and
the results of machine-installedtests.
Hiroyuki Mitsuya, Keiji Otani, Tsutomu Ishino,
Ryouichi Maruyama, and Toshiyuki Akasaka
Komatsu Ltd.
2. PERFORMANCE REQUIREMENTS AND COM-
PARISONOFDIFFERENTTRANSMISSIONSFOR
MEDIUM TO LARGE-SIZED BULLDOZERS
Table 1 shows performance requirementsof trans-
missions for mediumto large-sizedbulldozers, and how
they are met with different types of transmissions.
Medium to large-sized bulldozers are often used in
large mines and other jobsites at very high operational
ratios. At these sites, production cost can be reduced
primarily by minimizingthe fuel and labor costs as much
as possible. Fuelcost would be reducedbythe transmis-
sion if it could utilize engine output more efficiently.
Since the HMT is a continuously variable transmission,
it maintains engine revolutions at the maximum horse-
power point at all times regardless of load fluctuation,
thereby maximizing the engine's potential. In addition,
the HMT is highly efficient and engine power loss is
minimized.
The Japanese construction industryfaces the prob-
lem of an agingworkforce as young people tend to prefer
working in a comfortable off ice environment. This also
applies to bulldozer operators. Ease of operation is an
importantfactor when it comes to reducingthe burdenon
older operators or training new operators in a short time.
Under these circumstances, an automatic transmission
with less shifting shock is highly desirable. The HMT
meets all these requirements as it is a shock-free,
continuously variable automatic transmissionthat works
to reduce the burden on the operator.
It is evident that the HMT is excellent for medium to
large-sizedbulldozers. Although it involves a high initial
outlay, it is likely to increase productivity substantially
over the conventional transmission as discussed later
(see 6. Test Results). Its outstanding cost performance
more than overrides the high initial cost.
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Table 1 Performance Requirements of Transmission for Medium and Large-Sized Bulldozers

Direct
TIC + TIM Powershift shifting
Requirement Impact HMT with TIC + TIM without HST
with main
lockup TIC clutch
Continuously
variable shifting A @ A A X X @
Work
mance and
High efficiency A @ @ 0 @ @ A
fuelefficiency ~otorquecut-off B @ A (@I A A A @
Shifting response B @ 0 (a) 0 0 A @
Easy opera- Automatic shifting A @ X (@I X X X @
tion and work
environments Shifting shock B @ 0 0 A A @
Initial cost B A 0( A ) 0 @ 0 A
Overall
performance Compact design B 0 0 0 @ 0 0
Durability A @ @ @ @ @ @
Note: Symbols in parentheses under "TIC + TIM with lockup" indicate automatic shifting with the addition of ECMV
(electronically controlled modulation valve).(')
Legends: A = Highly important @ = Excellent HMT = Hydromechanicaltransmission
B = Important 0= Good TIC = Torque converter
A = Fair TIM = Transmission
x = NIA HST = Hydrostatic transmission

3. OUTLINE OF THE HMT
Figure 1 shows the simplest configuration HMT in
which engine power is divided into two lines; the me-
chanical power being transmitted from the engine di-
rectly to the differential carrier in the planetary gear
differential, and the hydraulic power beingtransmitted to
the sun gear by way of the variable hydraulic pressure
pump (PV) and the hydraulic motor (MF). The two lines
are combined again at the differentialand the combined
power is delivered from the differential ring gear. The
swash plate of the variable pump is regulated and the
motor rotation is changed according to forward or re-
verse direction, as needed. The revolutionoutput speed
can be changed continuously from 0 to the maximum
level as the following equation holds true regarding the
speed of revolution of the planetary gear:
ana + bnb = (a + b) fi ........... Equation (1)
where,
a: Number of teeth of sun gear
b: Number of teeth of ring gear
na: Speed of revolution of sun gear
nb: Speed of revolution of ring gear
nc: Speed of revolution of carrier
Zero power is transmitted to the hydraulic line when
the motor speed is zero. This ensures very high effi-
ciency as the engine power is transmitted entirely to the
mechanical line, as in the case of a powershift transmis-
sion without torque converter.
Although the HMT simultaneously achieves con-
tinuously variable hydraulic drive and highly efficient
mechanical drive, the motor needs to run at a constant
speed when the output revolution speed is zero. This
requires a very complicated control mechanism as the
motor speed must be precisely controlled according to
the engine speed for the vehicle to remain stationary.
This problem is solved by combined use of the hydro-
static transmission (HST) in which the zero vehicle
speed corresponds to the zero speed of motor revolu-
tion. As shown in Figure 2, clutch C1 that engages and
disengages mechanical power, a gear train that trans-
mits the motor revolution directlyto the output shaft, and
clutch C2 that engages and disengages the gear train to
the motor output shaft, have been added to the HMT
configuration shown in Figure 1. Then, as shown in
Figure 2, clutch C1 is disengaged and clutch C2 is
engaged when the gear speeds are below a predeter-
mined point (point A). In other words, the HST mode is
selected inthis condition so that the output shaft is driven
directly by the hydraulic motor. When the gear speeds
are above point A, clutch C1 is engaged and clutch C2
disengaged so that the HMT mode is selected in exactly
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Motor revolu-
tion speed

I Input revolution speed - constant

Figure 1 HMT of the Simplest Configuration

the sameconfigurationas shown in Figure 1. As a result,
the motor speed remains zero when the vehicle is
stationary and high efficiency is obtained during travel or
work.
4. DESIGNING THE HMT
The design method of the HMT is presented below.
(1) Layout of the HMT
Two basic requirements had to be met. The HMT
had to be fully compatible with conventional trans-
mission designs, and the transmission had to be
separate from the steering system. The existing
steering control system was selected to avoid an
increased number of parts while reducing develop-
ment cost and time.
Bulldozers need an adequate track shoe width to
maintain a low ground contact pressure. This
necessarily reduces the width of the main frame,
which presents a width restriction for the transmis-
sion contained within the main frame. For these
reasons, a particular configuration was chosen for
the HMT in which all planetary gears for mechanical
drive and differential were fitted onto a single axis.
A hydraulic motor was positionedparallelto the axis
and the two were connected by a transfer unit.
(2) HMT gear train
The gear train was designed to meet the following
design requirements:
a) The planetary gears had to be fitted onto a
single shaft from inputto output (straight-through
type) with three forward and reverse gears
each.
b) The existing forwardlreverse switching of con-
ventional transmissions had to continue to be
used.
c) The output shaft revolution speed range had to
match that of conventional transmissions to
maintain compatibility.
d) Efficiency had to be improved by reducing the
number of gear meshing of the second forward
gear which is the most frequently used gear on
a bulldozer.
e) In addition to d) above, overall workload had to
be increased by improving the efficiency in the
normal range by setting the drawbar pullloper-
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Input

Motor revolu-
tion speed
I
i
Output

3
Output revolution

C1: disengaged
C2: Engaged =IC C1: Engaged
C2: Disengaged

Figure 2 HMT and HST Combination

atingweight ratio of 0.4 to 0.6W (mostfrequently fewer and smaller-sizedclutchesthan conventional

used in second forward gear position) to the transmissions, as shown in Table 3 below.
point of highest efficiency (hydraulic to me-
chanical power ratio of 0%). Table 2 Elementary 'Technologies for Size Reduc-
f) The largest drawbar pull inthe forward direction tion of Transmission
hadto be 1.40r higher (determinedby combina-
tion of hydraulic motor selection - discussed
later).
g) Low cost had to be achieved.
Figure 3 shows the gear train that was chosen
from the standpoint of the above design require-
ments.
(3) Transmission element technology
The HMT requirestwo transmission paths including
the mechanical and hydraulic lines. The element
technology listed in Table 2 was used to reduce the
size of the mechanical transmission component.
The thermal load of the HMT can be minimized due (4) Hydraulic equipment
to the synchronousengagement of clutches (see (2) The HMT uses the HST in the 1st forwardlreverse
in 5. HMT Control). Therefore, torque capacity was gears. For this reason, the maximum drawbar pull
the only item requiring considerationwhen design- of 1.4W must be delivered in the HST mode. The
ing the clutches. For this reason, the HMT has far necessary delivery rate of the hydraulic motor is
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Motor speed ratio

(HMT motor revlengine rev)

Figure 3 HMT Gear Train and Speed Ratio Graph

determined by the following formula once the maxi- R: Sprocket radius

mum effective pressure is determined for the HST FD: Traveling resistance
circuit: W: Operating weight
R (1.4 x W + FD) k: Coefficient
92 xk The required permissible speed of the motor is
~P/vT X PTM X PPL
determined by the motor speed at shifting points
q: Motor delivery rate and maximum vehicle speed.
AP: Maximumdifferentialpressure in HSTcircuit The specificationsof the HMT pump are determined
77: Motor torque efficiency by the requirementto absorb all engine output inthe
pTM:Reduction ratio from motor shaft to TIM HST mode.
output shaft ( I st gear) One of the problems when using the HMT on
p:, Reduction ratio from TIM to the sprocket bulldozers isthe pump motor responsewhen switch-
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ing between forward and reverse. For example, Table 3 Comparison of Clutches
when shifting from 2nd forward to 2nd reverse, the
pump swash plate must move three strokes be-
cause, in the case of the HMT, the speed is reduced
or accelerated as gear shifting occurs sequentially
from one gear to the next. A slow response of the
swash plate movement would cause a time lag in
forward-reverse shifting. The response time of the
new pump motor in the HMT is about twice that of
the conventional type.

II Monitor I
Controller

d&dd
k
Throttle lever
Brake pedal
I( t - lever
Steering
F-N-R lever

Figure 4 Control System Configuration

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Input signal Control logic Output signal

- a Determinationof target engine speed

torque
Engine ^f Maximum
power point
,
Control to maintain Constant
speed (at max. power point)
corresponding
position to throttle

Engine rev

@ Recognition of present status

I~ n ~ i n e D q

Clutch solenoid signal

Motor rev sensor

e = - no
n~

@ Determinationof target speed ratio

Present speed ratio e =

k: Coefficient
-(E = 0 at neutral position)

@ Control to achieve target speed ratio

Move HMT pump and motor swash plates to switch the speed
stages

servo drive

-
Clutch solenoid
On-Off signal

Figure 5 Concept of Constant Engine Speed Control

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5. HMT CONTROL (2) Clutch switching control

Figure 4 shows the newly-developed control sys-
tem configuration of the HMT. The HMT is electronically
controlled, and actuators (clutchswitchingsolenoid valve,
pump motor swash plate drive servo valve, etc.) are
controlled accordingto the throttle lever position, engine
speed, motor speed and other inputs.
The HMT control is divided into two parts; speed
ratio control to maintain a constant engine speed and
switching control between shift gears.
(1) Constant engine speed control (speed ratio control)
The HMT has a continuously variable shifting ratio.
By using this feature properly,the engine speed can
be kept constant regardless of the change in revo-
lutionoutput speed due to loadfluctuation. Figure 5
shows how this control is achieved in the HMT.
Clutch switchingon the HMT is performedwhen the
relative speed is zero. Figure 6 shows the change
in revolution speed of each element in the 1st HST
and 2nd HMT gear train (shown in Figure 2) as an
example. Concerningclutch C1, the motor speed is
0 when the output speed is 0.This meansthecarrier
speed of the planetary gear is also 0 and, since the
output speed is 0, the ring gear speed is also 0.
From equation (I), the sun gear speed, which is the
drum side speed of clutch C1, is also 0. Since the
hub side of clutch C1 is engaged directly with the
input shaft, it is rotated at a constant speed, thus
resulting in a non-0 relative speed. As the motor
speed rises in the negative direction and the output
speed increases, the carrier speed rises in the
negative direction and the ringgear speed increases

Specific

," >
Output
speed

iMT
I
C1: Engaged C1: Disengaged

nput , 31 output

Figure 6 Specific Speed of Gear Train in Figure 2

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in the positive direction. Therefore, the drum side
speed of clutch C1 increases in the positive direc-
tion. Switching occurs when the drum side speed
becomes equal to the hub side speed. Clutch C1 is
engaged at this point and clutch C2 is disengaged.
This means clutch C1 is engaged at the relative
speed of 0 and clutch 2 is also engaged at the
relative speed of 0 during deceleration.
As described above, since shifting in the HMT
occurs when the relative speed of the next clutch to
be engaged is 0, that clutch is engaged before the
currently-engaged clutch is disengaged. If the next
clutch engagement instruction is sent from the con-
troller after the relative speed becomes 0,there will
be a time lag equal to the filling time of the next
clutch. This necessarily causes interrupted accel-
eration and deceleration. To prevent this problem,
the change in the speed ratio is monitored and the
time at which the relative speed of the clutch be-
comes 0 is predicted. The HMT is controlled
accordingly so that the clutch preparation begins
precisely at the next clutch filling time in advance.
This eliminates time lag (interruption in acceleration
or deceleration) to achieve smooth shifting. Fig-
ure 7 shows the relationship between the hydraulic
pressure acting on the clutch and the speed ratio of
the motor at the time of clutch switching.

time
r .rc
0s
32
VJ 0
m o
2! g
Qc
.o r
'5 0
m m
-tj .s
2%
r
I
Begins Ends
Filling Begins before
the predicted time

Figure 7 Clutch Switching Control

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6. TEST RESULTS
Table 4 shows the test results of the newly-devel-
oped HMT as installed on an actual machine. Special
attention must be directed to the fact that the HMT
achieves a further increase in production capacity over
the TIC + TIM automatic shifting with lockup. Although
this design enables automatic shifting, it is subject to a
large fluctuation in engine speed, making it impossibleto
draw maximum power from the engine at all times.
(4) This paper deals primarily with application of the
HMT to medium and large-sized bulldozers. The
same concept is applicable to wheel loaders and
other construction machines.
(5) The next step of researchwould be to find a way to
enhance the overall control quality of the machine
through power distribution to the work equipment,
load control by the work equipment, etc.
REFERENCES

7. CONCLUSION (1) K. Kusaka, 0. Ohkura: "A Transmission Control

System for Construction Machinery*
(1) Application of the HMT, a hybrid transmission con- SAE901557 (1990)
sisting of hydraulic and mechanicalpowertransmis- (2) K. Nakamura, K. Mihara, Y. Kibayashi, T. Naito:
sion lines, was assessed in medium to large-sized "lmprovement on the Fatigue Strength of Case
bulldozers, and verified in a work load test installed Hardened Gears by a New Heat Treatment Proc-
on an actual machine. ess" SAE821102 (1982)
(2) The optimum HMT design method was established (3) Y. Akamatsu, N. Tsushima, T. Goto, K. Hibi, K. Itoh:
regarding gear train selection, hydraulic equipment "lmprovement of Roller Bearing Fatigue Life by
selection, strength of gear, clutch and other ele- Surface Roughness Modification"
ments, etc. SAE910958 (1991)
(3) The optimum control methodwas developedforthe
HMT for bulldozers, and was verified as installed on
an actual machine.

Table 4 Results of Machine-InstalledTests on the HMT and Comparison with Other Transmission System

1.2 --
Test result
1.I--

Production 1.o --
capacity
ratio
-4
-4

Power train TIC + TIM

type TIC + TIM TIC + TIM with UC HMT
without UC with UC automatic
shifting

TIM Lockup clutch - 0 0 -

configu-
ration TIC 0 0 0 -
TIM 0 0 0 0
Automatic shifting - - 0 0
Continuously - - - 0
variable shifting

Note: UC indicates Lock up Clutch.