IMPROVING COMPONENT DURABILITY

Transmissions and
Torque Converters
SECOND EDITION
 Table of
Contents

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Transmission ICM Hydraulic System — Direct Drive

POWERTRAIN COMPONENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

TORQUE CONVERTERS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Powertrain Costs
Converter Drive
Direct Drive
Controlled Throttle Shifting
Shifting With the Left Pedal
Shifting With A Decelerator Pedal
Torque Converter Wear Parts
Primary Causes of Torque Converter Failure
Extending Torque Converter Life

POWERSHIFT TRANSMISSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Transmissions
Primary Wear Parts
Clutch Discs and Plates
Thrust Washers
Seals
Other Wear Parts
Planetary Gearsets
Bearings
Shafts

TRANSMISSION CONTROLS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Mechanical Controls
Electronic Controls
Electronic Clutch Proportional Control (ECPC)

CAUSES OF TRANSMISSION REMOVAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Hauling Unit Transmissions
Cycling Transmissions
Transmission Removal and Installation Process

DRIVING DOWN COSTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Primary Causes Of Premature Wearout And Failure
Keys To Long Component Life
Keeping Oil Clean

Keeping Oil Clean. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

MEASURING FLUID CLEANLINESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

ISO Standards

SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Improving Component durability

Table of Contents 3
INTRODUCTION
major Component Costs

The cost to repair and maintain the transmission and torque

converter is a relatively modest portion of overall powertrain
costs. A typical ratio of powertrain life cycle costs for a
mechanical drive mining truck is:

Transmissions are found in nearly every kind of mobile mining equipment, and Engine....................................................... 34%
have two basic functions: Differential & Final Drives......................... 32%
Transmission & Torque Converter............. 9%
• Transmit power from the engine flywheel to the differential and drive wheels. Miscellaneous........................................... 25%
• Provide multiple gear ratios to reduce engine flywheel speed and increase Although transmission and torque converter life cycle costs
torque to the drive wheels. are not as high as engines and rear axles, significant savings
Many machine models also have a torque converter. The torque converter can still be achieved by extending component life.
acts as a fluid coupling between the engine and the transmission to
provide high torque at low speeds and high and high rpm for high speeds.
Understanding how these components work is key to improving life and
OHT Component Rebuild Costs
performance.
Engine . . . . . . . . . . . . . . . 34%
4% Torque Converter . . . . 3%
5%
3% Transmission . . . . . . . . 6%
Differential . . . . . . . . . . 4%
34% Rear Wheel GPS . . . . . . 28%
13%
Front Wheel GPS . . . . 13%
Hoist . . . . . . . . . . . . . . . . . . 3%
Front Suspensions . . . 5%
Rear Suspensions . . . . 4%

3%
28%
6%
4%

IMPROVING COMPONENT DURABILITY Improving Component durability

4 INTRODUCTION INTRODUCTION 5
Powertrain
Components

Power generated by the Transmission Controls Each component reduces Torque Converter
Hydraulically actuated clutches are engaged and input speed and The torque converter is a fluid coupling
engine is transferred from
disengaged by the transmission control assembly. increases output which transmits rotating energy from
the engine to the rear
Electronically controlled solenoids precisely control torque to drive the engine flywheel to an output
wheels through a series of the timing and speed of clutch engagement to the rear wheels. shaft which drives the transmission.
drivetrain components: provide smooth shifting and long clutch life. Increasing the load on the output shaft
causes the speed of the output shaft
• Torque Converter to decrease and torque to increase.
• Transmission
• Differential
• Final Drives

Differential
The differential is a simple, one speed gearbox consisting of a pinion
gear and ring gear. The output shaft of the transmission drives the
differential pinion gear. The pinion gear drives the ring gear assembly,
which transfers power to the left and right axle shafts. Differentials
provide a decrease in speed and an increase in torque.
Final Drives
The final drive assemblies consist of two planetary gearsets Transmission
connected together to provide a double reduction in speed and further Semi-automatic powershift transmissions consist of
increase torque to the drive wheels. Power from the differential is a number of hydraulically actuated clutches which
transferred through the axle shafts, through the double reduction actuate different gearsets to provide up to 8 different
planetary gears and to the drive wheels. Large machines use double forward speeds. These different gear ratios further
reduction planetary gearsets, while medium and small machines reduce the speed and increase the torque of the
typically use single reduction. transmission output shaft.

Improving Component durability Improving Component durability

6 Powertrain components powertrain components 7
Torque
Converters Converter Drive

During low speed acceleration, high levels of torque are needed to increase machine speed. The torque
converter acts as a fluid coupling to increase torque to the transmission input shaft.
The impeller is mechanically connected to the engine flywheel, and the turbine is connected to the
torque converter output shaft. The impeller is driven by the engine flywheel, and transfers power from
the flywheel to oil in the converter.
Torque converters have two basic functions: of a torque converter is usually longer than one
engine life by several thousand hours. Because
Low Speeds
torque converters are attached to the rear of the
Act as a fluid coupling to reduce speed and engine, they are often rebuilt as part of the engine Impeller Turbine

increase torque between the flywheel and overhaul. For a planned rebuild, doing both the
transmission input shaft. engine and torque converter at the same time
avoids the downtime of doing both separately at
Higher Speeds
different times and may be cost effective.
Provide a direct mechanical connection between Torque converters consist of four basic parts:
the flywheel and transmission through the use of a
lock-up clutch in the torque converter. • Impeller • Stator
• Turbine • Lock-up Clutch
Torque converters are very durable and are rarely
the primary cause of downtime. The wear life

Stator

Cutaway of a torque converter. Torque converter at higher speeds with the Torque converter at low speed.
lock-up clutch engaged.

IMPROVING COMPONENT DURABILITY Improving Component durability

8 Torque Converters Torque Converters 9
Fins on the impeller direct oil at very high force against fins on the turbine.
Controlled Throttle Shifting
This causes the turbine and converter torque output shaft to rotate. Power is
transferred from the converter output shaft to the input shaft of the transmission.
Controlled throttle shifting is a feature used on most electronically controlled hauling unit transmissions.
The shape of the turbine blade directs oil back to the center of the turbine and into
It momentarily reduces engine power, disengages the lock-up clutch, then engages the speed and
the stator. The stator has two functions:
directional clutch. Once the speed and directional clutch is engaged, the lock-up clutch re-engages and
• Acts as a reaction hub to significantly increase the efficiency of torque transfer engine power is increased. All of this occurs automatically within a fraction of a second. Controlled
to the turbine. throttle shifting dramatically reduces clutch wear and drive train shock loading during full power shifting.
• Redirects oil from the turbine back to the impeller in the same direction of This feature is used on an increasing number of loaders and track-type tractors.
Power is transferred from the flywheel to the oil in the
impeller rotation. converter.
On hauling unit transmissions, converter drive is only used in reverse and forward 2. DISENGAGE LOCK-UP CLUTCH 1. REDUCE ENGINE
speeds 1 and 2. On cycling units, converter drive is used in all forward and reverse POWER
speeds.

3. DISENGAGE CURRENT
SPEED CLUTCHES

Power is transferred from the converter output shaft to the

input shaft of the transmission.

4. ENGAGE NEW
SPEED CLUTCHES

6. REAPPLY
ENGINE POWER

The turbine blade directs oil back to the center of the 5. RE-ENGAGE
turbine and into the stator. LOCK-UP CLUTCH

Sequence of events during controlled throttle shifting.

Direct Drive

At higher speeds, torque demand decreases and the lock-up clutch is engaged
to connect the impeller to the turbine. This increases driveline efficiency by
eliminating the efficiency losses inherent in fluid couplings. The primary purpose
of the lock-up clutch is to increase drivetrain efficiency in higher speed, low torque
operating conditions.

Torque converter at higher speeds with the lock-up

clutch engaged.

IMPROVING COMPONENT DURABILITY Improving Component durability

10 Torque Converters Torque Converters 11
 Shifting With the Left Pedal Torque Converter Wear Parts

The intended use of the left pedal is to disengage the Torque converters are very durable and rarely fail before
torque converter while maintaining rated engine speed and the engine or transmissions. When they do have problems
maximum pump flow for the hydraulics. Operators may it is usually caused by excessive internal leakage past the
partially engage the left pedal while loading the bucket to get internal rotating seals or sleeve bearings. The most common
more engine rpm and hydraulic flow. When the left pedal is failure modes are:
partially depressed, the impeller clutch pressure is reduced
• Lock-up clutch rotating seals
and it begins to slip. The slippage reduces available rim pull
at the tires. The further the pedal is depressed, the more • Lock-up clutch discs
the rim pull is reduced. After depressing the pedal a certain • Other converter rotating seals
distance, it begins to act like a brake pedal and applies the
• Sleeve bearings
service brakes. 994D neutralizer pedal.

A sprag clutch allows the torque converter stator to spin STATOR LOCKED UP
freely in one direction, but lock-up in the other direction.
Older loaders were built with sprag clutches, but most Lock-Up Clutch Rotating Seals
current loaders have eliminated the sprag clutch and use the • Fail and lower clutch engagement pressure. Sleeve Bearings Lock-Up Clutch
(where applicable) Rotating Seals
fixed stator exclusively.
Lock-Up Clutch Discs
On the older machines with sprag clutches, high idle
directional shifts can damage the sprag clutch. The use of • Fail due to excess slippage from low lock-up clutch
the left pedal during directional shifts reduces the stresses FIXED engagement pressure.
on the sprag clutch and increases its service life. A sprag clutch allows the torque converter stator to spin freely in one direction, but • Loss of clutch engagement pressure over time can result
lock-up in the other direction.
from normal spring relaxation in the pressure control
valve.

Other Converter Rotating Seals

Shifting With A Decelerator Pedal
• Allow internal leakage within the converter which reduces
Track-type tractors with powershift transmissions have converter efficiency. Leakage also causes excessive heat
traditionally used decelerator pedals to reduce engine since leakage drains back to the sump and does not flow
speed during shifting. Fully depressing and holding the through the oil cooler.
Other Converter
decelerator reduces engine speed. Momentarily depressing Rotating Seals
Sleeve Bearings
the decelerator immediately before shifting reduces engine
speed and power and significantly reduces clutch wear and • Support rotating components within the converter, but
shock load to the powertrain. also act like seals. As sleeve wear occurs, internal leakage
increases and causes the same problem as leaking
rotating seals.
D11R cab with decelerator pedal.

IMPROVING COMPONENT DURABILITY Improving Component durability

12 Torque Converters Torque Converters 13
 POWERSHIFT
Primary Causes of Torque Converter Failure TRANSMISSIONS
Debris in the Oil

• Damages seals and sleeve bearings.

Improper Operation

• Failure of the sprag clutch due to misuse of the neutralizer feature on some
wheel loaders. The earliest transmissions were simple manual countershaft
transmissions used in track-type tractors. These transmissions
were engaged and disengaged from the engine by use of a
Extending Torque Converter Life hand operated clutch lever. Gear selection was made by a
manual gearshift. These transmissions were simple, rugged
Keep Oil Very Clean and dependable. But they were also labor-intensive to shift
Collapsed transmission filter element due to plugging.
Maintaining very clean oil prevents damage to bearings and seals from abrasive and required the operator to stop the tractor to change gears.
and metallic debris. Manual transmissions were the industry standard from the
Even very small magnetic fines in the oil can cause problems. Modern earliest days of gasoline powered tractors until the 1950’s,
electronically controlled transmissions use solenoid valves to precisely control when the next level of technology was introduced with the
shifting and clutch engagements times. The magnetic properties of these solenoid introduction of automatic transmissions.
valves attract metallic fines from the oil which can cause solenoid valves to
malfunction. Contamination in the lock-up clutch control valve can cause low
engagement pressure or extended engagement times. Both of these problems
can cause failure of the lock-up clutch due to excessive clutch slippage.
On some truck applications, the VIMS (Vital Information Monitor System) will
monitor lock-up clutch engagement time. This is done by measuring the time
required for clutch output speed to equal input speed during engagement. This is a
direct measure of the lock-up clutch condition and should be monitored periodically
along with the engagement pressure. Specifications for acceptable clutch
Metallic debris in a filter.
engagement times are available in the VIMS Application Guide for the specific
vehicle.

Avoid Abusive Operation

Misuse of the neutralizer feature on loaders can cause failure of the sprag clutch
in the torque converter. Full throttle directional shifts cause severe shock loading
to the entire drivetrain and eventually result in a major component failure. It is
important for operators to understand that improper operating techniques usually
result in premature failure of a driveline component and significantly increase
powertrain life-cycle costs.
Caterpillar Electronic Control Modules record and log abusive shift events on all
transmissions. Monitoring this data can help to identify how an operator may be
causing damage to the transmission and drive train due to abusive shifting.

Modern transmission / torque converter test bench checks pressures and shift settings and adjustments after a rebuild or major repair.

IMPROVING COMPONENT DURABILITY Improving Component durability

14 Torque Converters Powershift Transmission 15
The next major leap in technology and productivity occurred Present Transmission TRANSMISSION ICM HYDRAULIC SYSTEM — DIRECT DRIVE
with the introduction of the first hydraulically controlled Control
powershift transmission in 1959. The gear selector was
UPSHIFT DOWNSHIFT
connected to a spool valve in the transmission control PRESSURE PRESSURE

valve body which directed hydraulic pressure to the desired LOCK-UP DOWNSHIFT UPSHIFT
SOLENOID SOLENOID SOLENOID ROTARY ACTUATOR A
clutch pack. The hydraulic pressure engaged the clutch pack
and mating planetary gear set, providing the desired gear ON
3
reduction of engine power. E
TO LOCK-UP CLUTCH N1
RELAY VALVE B
NEUTRALIZER
Modern powershift transmissions still utilize hydraulic TO LOCK-UP PILOT OIL PRIORITY VALVE
REDUCTION
ROTARY
CLUTCH VALVE PRESSURE SELECTOR
VALVE
pressure to engage clutch packs and planetary gear sets. SUPPLY
PUMP
SPOOL
F
However, the complexity and unreliability of hydraulic spool 8 speed hydraulic control. PRESSURE
C
valves and electrical switches is being replaced by simpler
CHARGING LUBE
and much more reliable electronic controls. Transmission PUMP PUMP SCAVENGE
PUMP G
shifting no longer requires dozens of spool valves and a
TO TC
hydraulic governor. Modern transmissions use electronically INLET
D
RELIEF
controlled solenoid valves to engage and disengage clutch LUBE
VALVE H
PRESSURE
packs. These electronic valves are capable of precisely
LOCK-UP DUAL
controlling the rate of clutch engagement and reducing the SELECTOR VALVE GROUP STAGE RELIEF VALVE PRESSURE CONTROL
RELIEF VALVE GROUP
rate of slippage and wear during engagement. Changes
in shift points and clutch engagement can also be easily TORQUE CONVERTER
HOUSING TRANSMISSION CASE
LUBRICATION
RELIEF VALVE
changed through electronic programming to improve
The ICM control uses solenoids to upshift and downshift the transmission, and to operate the torque converter lock-up
transmission performance. clutch. Individual modulation valves for each transmission clutch provide precise clutch engagement.

Repair Frequency
Newer ICM (Individual Clutch Modulation) control is simpler and more reliable. It is also common to think of older transmissions as more reliable and durable before
the introduction of electronics. In fact, older transmissions required far more repairs OLDER
Transmission
and adjustments than modern electronically controlled transmissions.
Modern electronic powershift transmissions require only about 1/10th the number
of repairs and adjustments per 100 hours of operation than older transmissions with
hydraulic controls. Today’s transmissions also last about twice as long between
overhauls as early powershift transmissions.
There are a number of reasons for this dramatic improvement:
Improved Mechanical Design:
Including gears, bearings, and friction materials.
Electronic Controls:
Virtually eliminate pressure adjustments and provide much more precise shifting and Newer
controlled clutch engagement. Transmission

Improved Oils and Filtration:

Newer oils have more additives to extend oil life, and improved filters trap harmful
debris in the oil much more effectively. REPAIR FREQUENCY
(REPAIRS PER 100 HOURS)

IMPROVING COMPONENT DURABILITY Improving Component durability

16 POWERSHIFT TRANSMISSIONS Powershift Transmission 17
 Transmissions Clutch Discs and Plates

Semi-automatic powershift transmissions consist of a number of hydraulically Most transmissions are removed for overhaul due to
actuated clutches which actuate different planetary gear sets to provide different anticipated clutch wear or failure. Actual wearout and failure
speeds. Hauling unit transmissions used in trucks and tractor-scrapers have up of clutch drive plates and discs accounts for a relatively small
to 8 different forward speeds and 2 reverse speeds. Cycling units, used in wheel portion of transmission overhauls. When a clutch reaches the
loaders and track-type tractors typically have three forward and three reverse end of its normal wear life, most of the friction material has
speeds. worn away from the surface of the drive discs. Eventually,
slippage occurs between the drive and driven discs. This
New clutch disk. Worn clutch disk.
slippage produces extreme heat between the discs, which
Primary Wear Parts results in a breakdown of the friction material and drive
discs. The remaining friction material is quickly lost. The
Transmissions have only three types of basic wear parts:
significant loss of friction material produces more slippage
• Clutch friction and drive discs and even higher temperatures, resulting in disc warpage and
• Thrust washers total clutch failure.
• Seals
New drive plate. Worn drive plate.
Of these, clutches and thrust washers are the primary wear parts which cause
most transmission removals.

Thrust Washers
SEALS CLUTCH
FRICTION A secondary cause of transmission removal for overhaul is
DRIVE
thrust washer wearout which results in contingent damage to
DISKS THRUST WASHERS the planetary gearsets. Thrust washers are used to separate
the planet gears from the planet carrier. Accelerated wear of
the thrust washer causes it to become so thin, that it fractures
and is expelled from between the planet gear and planet
carrier. This allows the planet gear to rub against the carrier
New bronze thrust washer. Worn bronze thrust washer.
and wear into it. As the wear progresses, large amounts of
iron wear material are produced and are usually found in the
transmission screen during normal maintenance. It may also
be detected by the transmission sounding unusually noisy
during operation. This failure mode seldom results in sudden
transmission failure.
Depending on the thrust washer material used, an indication
of rapid thrust washer wear can be detected by SOS oil New synthetic thrust washer. Worn synthetic thrust washer.
condition monitoring prior to the actual failure of the thrust
washer. Bronze thrust washer wear is seen in oil samples as
elevated amounts of copper and lead. Bronze is only used in
thrust washers and would be the only source of lead in the
oil analysis. Copper is also an element of bronze, but is used
elsewhere in the transmission system (oil coolers and support
bearings). If the thrust washer is synthetic, it will not show in
the oil analysis. Broken synthetic thrust washer.

In the event the thrust washer of any material fails and is no

longer present between the planet gear and the carrier, SOS
will show an immediate elevation of iron in the oil.

IMPROVING COMPONENT DURABILITY Improving Component durability

18 POWERSHIFT TRANSMISSIONS Powershift Transmission 19
 Seals Bearings

Both synthetic lip seals and metallic Roller bearings are used to support
seal rings are used throughout the rotating components within the
transmission to direct and contain oil transmission. They are typically
pressure. Unless the transmission replaced during overhaul.
oil becomes contaminated or the
transmission is severely overheated,
seals are rarely the cause of
Metallic seal. Synthetic seal.
transmission removal.

Other Wear Parts New roller bearing. Worn roller bearing.

Most other wear parts in the transmission are designed to last or magnetic screens in the sump. Because the oil stays
Shafts
multiple life cycles and are seldom the cause of transmission clean, the wear life of hardened components, such as gears,
overhaul. Transmission oil is highly filtered and should remain bearings, and shafts is very long. However, when a failure
very clean during operation. The majority of debris in the oil occurs which generates large amounts of metallic debris, Torque from the engine is transferred
is very small particles of non-abrasive clutch material. Most other gears, bearings and shafts may albe damaged. from the flywheel, through the
abrasive wear metals are removed from the oil by filters transmission input shaft, to the
train of planetary gearsets in the
transmission, to the transmission
output shaft. The gearsets in the
Planetary Gearsets transmission provide a range of
gear reductions to match output
Each clutch controls a planetary PLANET GEARS PLANET CARRIER shaft speed and torque with vehicle
gearset, which is composed of the operating requirements. Components
following parts: are attached to the shafts by means New shaft. Worn shaft.
• Sun gear of splines. These splines will wear
• Planet gears over time, but normally last through
• Planet carrier several transmission life cycles.
• Ring gear
Planetary gearsets are very reliable and
durable, and normally last through two
or more transmission life cycles before
replacement is required.

SUN GEAR

RING GEAR

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

20 POWERSHIFT TRANSMISSIONS Powershift Transmissions 21
TRANSMISSION
CONTROLS Mechanical Controls

Mechanical controls were used on older machines. All Sticking Spool Valves
shifting, clutch modulation and clutch engagement pressure
Spring loaded spool valves react precisely to balance
is controlled by spring loaded spool valves and mechanical
hydraulic forces on each end of the spool. Small debris in the
shift linkage.
oil can become lodged in the spool bore clearance and cause
While these mechanical controls were sophisticated for their the spool to stick. This was the most frequent cause of shift
time, they suffered from three basics weaknesses: problems on older semi-automatic transmissions.
Changes in transmission speed and direction
are accomplished by engaging selected Loss of Spring Load Lack of Diagnostics
clutches. Clutch engagement occurs when Springs relax with age and repeated flexing. When a spring Mechanically controlled transmissions offered no diagnostic
pressurized oil is directed to the clutch piston. is used to control clutch pressure, loss of spring tension capabilities. Malfunctions usually required the serviceman to
Hydraulic force on the clutch piston causes results in a lower pressure. This can result in extended measure and analyze control and engagement pressures to
it to squeeze the friction and drive discs so clutch engagement times and increased clutch slippage. In a determine the problem. Effective troubleshooting required
semi-automatic transmission, loss of spring tension may also
tightly that they lock together. The engaged calibrated pressure gauges and a skilled serviceman with a
cause shift points to be incorrect. thorough understanding of system operation.
clutch permits the transfer of power through
its planetary gearsets to the transmission
output shaft. Clutch engagement occurs when pressurized oil is directed
to the clutch piston.
The speed of clutch engagement and
maintaining adequate engagement pressure
is critical to clutch life and machine
D9E TRANSMISSION CONTROL
performance. The speed at which this clutch
is filled and engagement occurs is called DIRECTIONAL VALVE
clutch modulation. Precisely controlled clutch
SPEED SELECTOR VALVE
modulation is critical to provide smooth shifts
without excessive clutch slippage.

These functions are performed by the

transmission controls. There are two basic
types of transmission controls.

• Mechanical
• Electronic

PRESSURE
SELECTOR VALVE

IMPROVING COMPONENT DURABILITY Improving Component durability

22 TRANSMISSION controls TRANSMISSION CONTROLS 23
 Electronic Controls Electronic Clutch Proportional Control (ECPC)

Most powershift transmissions still use springs to control Spring loaded spool valves have been largely eliminated. Fully proportional
clutch pressure and shift points, but are rapidly evolving electronic solenoid valves control clutch modulation, clutch engagement pressure,
to electronic clutch controls. Electronic transmission directional shifts and the lock-up clutch in the converter. Proportional solenoid
controls are far more reliable and durable than mechanical valves convert an electrical control current from the vehicle Electronic Control
controls. They also have some built-in diagnostic capabilities Module (ECM) to precisely control pressure and flow rate. This technology
which make troubleshooting much easier. The shift from maintains precise control of clutch modulation and shift points over the life of the
mechanical to electronic control has occurred within three transmission. It is far more reliable and durable than mechanical controls, which
generations of design: utilize spring loaded spool valves.

TRANSMISSION 6 MICRON
CONTROL PUMP FILTER
MAIN RELIEF
VALVE

Individual Clutch Modulation (ICM) CLUTCH SUPPLY

VALVES
Clutch modulation and engagement pressure is controlled
by a spring loaded spool valve for each clutch. Directional
shifts, and speed shifts are controlled by a rotating spool
valve, which is moved by upshift and downshift solenoid TO CONVERTER
valves. The rotating spool directs oil to the proper clutch CLUTCH INLET
6
engagement spool valve. An electronic solenoid valve also
CLUTCH SUPPLY
controls the lock-up clutch in the torque converter. VALVES

TRANSMISSION ICM
HYDRAULIC SYSTEM CLUTCH
CLUTCH 2
DIRECT DRIVE 5
UPSHIFT DOWNSHIFT
PRESSURE PRESSURE

LOCK-UP DOWNSHIFT UPSHIFT

SOLENOID SOLENOID SOLENOID
ROTARY ACTUATOR A

ON
3
E
CLUTCH
TO LOCK-UP CLUTCH N1 CLUTCH
RELAY VALVE NEUTRALIZER
B 3
PRIORITY VALVE ROTARY
4
TO LOCK-UP PILOT OIL
CLUTCH VALVE REDUCTION SELECTOR
PRESSURE VALVE
SUPPLY SPOOL
PUMP F
PRESSURE
C

CHARGING LUBE
PUMP PUMP SCAVENGE
PUMP G CLUTCH
CLUTCH 1
TO TC
INLET D 7
RELIEF
VALVE H
LUBE
PRESSURE

LOCK-UP DUAL
SELECTOR VALVE GROUP STAGE RELIEF VALVE PRESSURE CONTROL
RELIEF VALVE GROUP

TORQUE CONVERTER LUBRICATION

HOUSING TRANSMISSION CASE RELIEF VALVE

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

24 TRANSMISSION CONTROLS TRANSMISSION CONTROLS 25
CAUSES OF
TRANSMISSION Clutch Failure

REMOVAL
The second most common reason for transmission removal
is clutch failure.
Electronic Transmissions:
• The primary cause of clutch failure on electronic
transmissions is clutch slippage due to extended
shift times. This is caused by electronic shift valves
malfunctioning due to contamination of metallic fines in
Hauling Unit Transmissions Planned Component
the oil.
Replacement (PCR)
Non-Electronic Transmissions:
There are a number of reasons that transmissions may be More than 80% of the time, the reason
The primary cause of clutch failure on non-electronic
for a transmission removal is for a Worn drive plates.
removed from the vehicle for repair or overhaul. transmissions is also clutch slippage due to extended shift
Planned Component Replacement,
times. The springs which actuate control valve spools lose
PCR is one of the most common and powerful tools or PCR. A dealer or customer often
tension with age and extended use. This results in a loss
anticipates an expected wear life
used to reduce unscheduled downtime and minimize of clutch pressures and extended shift times. Control valve
based on previous product experience.
component cost-per-hour. However, overly conservative spools may also stick or move slowly due to:
In order to avoid a much more
PCR targets intended to avoid unscheduled failures expensive after-failure repair, a Planned • Very small debris in the oil being caught in the clearance
altogether may also result in premature overhaul several Component Replacement target is between the spool valve and its bore.
thousand hours before actual wearout would have determined. When the PCR target • Sticking, binding or misadjusted control linkage or cables.
occurred. This loss of usable life has the opposite effect hours are achieved, the component is
of increasing component cost-per-hour. removed for overhaul. The goal of PCR
is to extract the maximum amount of
In order to obtain the maximum life and lowest cost-per- component wear life, but to overhaul
hour, some progressive customers have adopted a policy the component before an actual failure Worn clutch disks.
occurs in order to minimize overhaul
of “Run To Full Life”. Rather than using a fixed PCR
cost. Planned Component Replacement Thrust Washer Wear
target based on past experience, this strategy utilizes also permits a more efficient and
prognostic tools such as VIMS and SOS to determine The third most common reason for transmission removal is
economical planned repair.
planet gear thrust washer failure. The cause of accelerated
when the maximum amount of actual usable wear life has
thrust washer wear is excessive gear side loading. Some
been obtained. amount of side loading is inherent when two gears run
together.

Worn thrust washers.

Servicemen removing the transmission from a mining truck for a Planned Component Replacement.

IMPROVING COMPONENT DURABILITY Improving Component durability

26 CAUSES OF TRANSMISSION REMOVAL CAUSES OF TRANSMISSION REMOVAL 27
 Cycling Transmissions Clutch Failure

The second most common reason for removal of a cycling unit transmission is
Normal operation of a cycling unit premature clutch failure due to excessive oil temperatures. High oil temperatures
transmission is very different than cause very rapid wear of clutch friction material, or bonding failure of the friction
that of a hauling unit transmission. material to the steel friction disc. The loss of friction material results in clutch
Cycling transmissions change slippage, which produces extreme localized heat. Oil temperature in a failing clutch
direction frequently, and are heavily can exceed 400˚ F. This heat accelerates failure of the clutch material and results
loaded in the forward direction. in disc warpage.
New clutch disk.
The primary reason for removal of
Excessive Oil Temperatures
a cycling unit transmission from a
DRIVE CLUTCH DRIVE
vehicle is clutch wear or failure. There There are four main causes of excessive oil temperature:
PLATE PLATE PLATE
are several causes. Torque Converter Stall
Normal Clutch Wear Too much time spent in torque converter stall causes oil temperature in the
converter and transmission to rise very rapidly. Machine overloading and/or high
The most common reason for rolling resistance aggravates this problem.
transmission removal in cycling unit
transmissions is normal wear of Normal clutch engagement. Excessive Leakage
the forward clutch. In the forward A small amount of internal leakage in the transmission and torque converter
direction, wheel loaders crowd a pile DRIVE CLUTCH DRIVE is normal. However, as transmission and torque converter seals and sleeve
PLATE PLATE PLATE bearings become heavily worn, the leakage rate increases. This leakage returns to
to load the bucket while track-type
tractors push a load. In reverse, the sump and bypasses the oil cooler. If the rate of leakage becomes excessive, oil
wheel loader is only carrying the temperatures may become elevated from too much oil bypassing the oil cooler.
loaded bucket, while the tractor is Worn Transmission Pump
only carrying its own weight while The transmission pump has abundant flow capacity to provide ample flow to the
repositioning for another dozing pass. Excessive clutch slippage generates very localized oil oil cooler while maintaining desired clutch engagement pressure. If excessive
temperatures.
Most loading and dozing operations pump wear occurs, the reduced flow capacity can result in inadequate clutch
also operate in a single speed. As a engagement pressure and clutch slippage.
DRIVE CLUTCH DRIVE
result, most clutch wear occurs in PLATE PLATE PLATE Abusive Operation
the directional clutches. The forward
Full throttle shifts or improper use of the decelerator causes excessive clutch
directional clutch has a much more
loading and slippage during engagement. The result is both high oil temperatures
severe duty cycle, and usually wears
and very rapid clutch wear. Shock loading of the drivetrain may also result in failure
before the reverse or speed clutches.
of mechanical driveline components.

Very high oil temperatures cause clutch material to

deteriorate quickly.

Worn clutch disk.

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

28 CAUSES OF TRANSMISSION REMOVAL CAUSES OF TRANSMISSION REMOVAL 29
 DRIVING
Transmission Removal and Installation Process DOWN
Transmissions, more than any of the other major components, suffer from a poorly
performed installation process. To assure a proper installation, use the checklist
available from your local dealer. Key steps include:
COSTS
• Assure control valves are properly adjusted.
• Rebuild or replace the transmission oil pump.
• Rebuild or replace the transmission oil cooler.
The keys to reducing transmission life cycle costs is to utilize all of the
• Always replace the drive shaft u-joint bolts.
• Replace transmission oil lines.
wear life built into the transmission and eliminate unplanned failures. This
• Recondition or replace wire harness. often requires some change in both the way in which a machine is used in
production and how it is maintained. Having a basic understanding of how a
powertrain operates and what causes it to wear out and fail is essential to
extending component life.

The practices that maximize component life are quite simple. Quit doing
things that cause components to wear out and fail. A good starting point for
transmissions is to review the primary causes of premature wearout and
failure.

PRIMARY CAUSES OF PREMATURE WEAROUT AND FAILURE

Clutches Thrust Washers Seals

• Extended engagement time • Machine overload • Excessive oil
• High rolling resistance temperature
• Excessive oil temperature
• Metallic debris in
• Overload
the oil
• Abusive operation

IMPROVING COMPONENT DURABILITY Improving Component durability

30 CAUSES OF TRANSMISSION REMOVAL Driving costs Down 31
 Lube Circuit: 6-MICRON
KEYS TO LONG COMPONENT LIFE
Oil from the transmission lube pump is used to cool and lubricate all of the gears, FILTER
bearings, and clutches in the transmission. Lube oil is filtered by a 25 micron
Manage Payload and Minimize Rolling Resistance b) Perform a Mid-Life Transmission Tune-Up. Check and
filter. This relatively coarse filter is used in order to trap clutch debris without
reset transmission operating pressures to spec. This will
prematurely plugging during the normal 500 hour PM interval. Filter plugging from
Machine overload and high rolling resistance significantly assure that clutch engagement times are correct and will
clutch friction disc material is most likely to occur during the initial break-in period
increases torque loads on drivetrain components. Excessive help to maximize clutch life.
on a new or rebuilt transmission.
torque loads are a primary cause of clutch and thrust washer
failure. Periodic Preventive Maintenance and Condition Control Circuit:
Monitoring Oil from the transmission control pump is used to operate the control valves and
a) Use the 10-10-20 rule to avoid excessive payload.
Diagnosing system condition and monitoring trends is an actuate the transmission clutches. Control oil is finely filtered by a high efficiency
• The actual payload may exceed the rated capacity by
effective way to identify problems before they become six-micron filter. This level of filtration is necessary to remove very small metallic
no greater than 10%, no more than 10% of the time.
failures. fines that are attracted to the magnetic field of the solenoid valves and can cause
• The actual payload may never exceed the rated
the valves to malfunction.
payload by more than 20%. a) Trucks equipped with a VIMS (Vital Information 25-MICRON
b) Haul roads must be maintained to eliminate steep Management System) have the capability to monitor trends FILTER
grades and soft underfoot where possible. Minimizing in slip times for each clutch. Excessive slip times usually
rolling resistance reduces powertrain torque loads and indicate a clutch has excessive wear or clutch engagement
extends component life. pressure is low. The VIMS PC program should be used Keeping Oil Clean
Proper Operating Practices periodically to monitor slip trends and identify problems
before clutch failure occurs. There is a rapidly growing realization by customers worldwide that maintaining very
a) Abusive operation can cause excessive temperatures b) The condition of wiring harnesses should also be checked clean oil improves component reliability and durability. This is driving a demand for
and premature failure. frequently. A common source of excessive clutch wear is better filtration. Currently there are two methods to improve oil cleanliness during
b) Avoid excessive time in torque converter stall. Excessive intermittent connections in the wiring harness. This can operation.
stall time quickly overheats the oil which damages cause inconsistent signal voltages to transmission shift
clutches and seals. controls, and result in excessive clutch slippage.
OFF-BOARD FILTRATION
c) Avoid improper use of the decelerator pedal on tractors. The use of off-board filtration carts during PM has gained wide acceptance. The
Full power directional shifts transfer damaging shock Perform Proper R&I Procedure
carts contain air or electric pumps which draw oil from the component on the
loads through the transmission and drivetrain. Always remove and install following Caterpillar checklist machine and pass it through a large, High Efficiency filter on the cart, then return it
d) Avoid high idle directional shifts to eliminate severe procedure. to the machine. Oil continues to circulate until it reaches a target cleanliness while Off-board filtration carts effectively remove contaminants
driveline shock loading. This can be improved with other PM activities are being performed. Because the component is not running from rear axle oil.
proper use of the left pedal. Clean Lube Oil
and continuing to generate debris, the off-board filtration process can clean the oil
Perform Mid-Life Transmission Tune-Ups The single most important factor in component durability is to very high levels for the start of the next PM period. In some applications, the
for the component to run in clean lube oil throughout its life. onboard filtration on the machine is not capable of removing contaminants as fast
Performing control valve adjustments every 4000 hours This includes: as they are generated. This allows the oil to become increasingly contaminated
is vital to improving transmission life. Over thousands of as the machine continues to operate. The off-board filtration process removes the
a) Built Clean — Rigid cleanliness standards during
hours springs which control spool valves in the transmission excess contaminates when it is repeated during the next PM. The net effect is
component rebuild.
controls can relax and lose tension. This can cause clutch that the average cleanliness of the oil is much better over time and component life
b) Installed Clean — Cleanliness maintained during
pressure to be low and extend clutch engagement time. is improved.
installation on the machine.
This is a leading cause of accelerated clutch wear.
c) Operated Clean — Throughout the life of the component.
a) Inspect transmission filters and screens at PM. Look
Transmission oil should be maintained at ISO -/18/15 or
for any signs of excessive clutch material which may
cleaner at all times. Even very small debris in the oil can
indicate accelerated clutch wear. If clutch wear is
cause control valve spools to stick resulting in excessive
suspected, check operating pressures and clutch
clutch slippage and premature failure. The use of high quality
Electronic transmissions usually have
engagement times to make sure they are correct.
transmission filters is critical to trapping and retaining debris. two levels of filtration.
Transmission screens should also be cleaned and inspected
at each PM interval to remove debris and assure that
abnormal wear is not occurring.

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

32 driving down costs Driving Down Costs 33
 What is
Clean Oil?

797 rear axle filters.

Each different machine system “Clean” oil is a somewhat relative term,
generates a different amount of depending on a number of variables.
ON-BOARD FILTRATION debris between service intervals. • Is the oil new or in-service?
Fluid Filters Following are typical examples of
• What is the oil type?
Oil cleanliness may be improved in some applications “clean” oil after PM service has
simply by using finer micron filters in onboard circuits. In been performed: – Engine
one documented case, replacing the 25 micron filter on – Hydraulic
the transmission charging circuit with a six micron filter
improved average oil cleanliness to approximately 16/13.
USED OIL – Gear
Filtered Transmission Fluid 16/13
However, switching to finer filters may cause initial filter Oil cleanliness is generally expressed
Rear Axle 18/15
plugging during the PM period as large amounts of small using ISO 4406 to show the amount
debris are trapped in the finer filters. The plugged filter Hydraulic System (without brakes) 16/13
Hydraulic System (with brakes) 19/17
and size of debris particles in a cubic
should be replaced and the machine placed back into service.
Experience has shown that this usually occurs only once or New OIL
milliliter of oil, as discussed above.
twice before the oil cleans up and then finer filters will last Engine and Hydraulic Oil 16/13 18/15
The cleanliness of oil samples may
the duration of the PM period. be determined in a laboratory using
Breather Filters Scheduled Oil Sampling (SOS), or in the
Breather filters may be another source of contamination in field using portable particle counters.
dusty applications where dust particles are extremely fine. However, both methods use the same
Very small dust particles may pass through standard breather basic process to measure the size and
filter media and contribute to system contamination. Some
number of particles in the sample.
customers have effectively eliminated this problem by
Caterpillar no longer uses the old “wire mesh” tank breathers. Current breathers are High
replacing standard breather filters with a High Efficiency fuel
Efficiency filters often mounted a foot or more above the tank. These filters significantly
filters. (filter shown right) reduce dirt entry into the tank.

Any oil, regardless of type or viscosity grade, new or oil that

LIGHT LIGHT
is to be reused, should be dispensed
SOURCE into the machine
WATER at SOURCE PARTICLE
ISO - / 16 / 13 or cleaner.
Optical particle counters shine a laser light through the
sample and measure the size and number of shadows
caused by particles in the oil. The results are analyzed and
converted to an ISO reading. The problem is that even new
oil contains some particles, which are not actually debris.
These additional particles make the oil appear dirtier than it
really is. PHOTO DETECTOR PHOTO DETECTOR
DETECTOR ELECTRONICS DETECTOR ELECTRONICS

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

34 Driving Down Costs What is Clean Oil? 35
Measuring
Fluid Cleanliness ISO 4406
ISO Size Categories

ISO 4406 establishes a three-factor code (X / Y / Z) to express fluid

cleanliness. The X factor represents the number of particles larger than
Number of particles per ml 4 microns. The Y factor represents the number of particles larger than
Range More than Up to add 6 microns and Z factor indicates the number of particle larger than
Number including 14 microns. Caterpillar reports the Y and Z codes (for oils) to keep
24 80,000 160,000 consistency with older data and reports X, Y and Z codes for fuel.

The term “clean oil” is a relative term depending on the type of oil and where it 23 40,000 80,000 X= numbers of particles larger than (>) 4 microns
is used. There are several types of oils used on Caterpillar machines in various 22 20,000 40,000 Y= numbers of particles larger than (>) 6 microns
systems. Each different machine system generates a different amount of 21 10,000 20,000 Z= numbers of particles larger than (>) 14 microns
debris between service intervals. The first step is to understand how cleanliness 20 5,000 10,000
The number of particles of each size are categorized in ranges shown
of fluids is measured. 19 2,500 5,000
in the chart. Notice that each range is twice the number of the range
18 1,300 2,500
that precedes it. The most common ranges used to express oil
ISO Standards 17 640 1,300
cleanliness are usually from 13 to 24.
16 320 640
Hydraulic and lube oil cleanliness is generally expressed in terms of ISO rating. 15 160 320
An example of dirty fuel would be around - / 19 / 17:
This refers to the International Standards Particle Size ISO Range # Particles in 1 ml
14 80 160
Organization Standard 4406, which classifies fluid cleanliness by the number 13 40 80 4 Microns 21 10,000 – 20,000

and size of particles in a certain quantity of fluid. Particle size is measured 12 20 40

6 Microns 19 2,500 – 5,000

in microns, which is very small. A micron is one millionth of a meter or 11 10 20

14 Microns 17 640 – 1,300

4 / 100,000 of an inch. 10 5 10 An example of very clean fuel would be around - / 16 / 13:

• A human hair is about 4 / 1,000 of an inch or 100 microns in diameter 9 2.5 5
Particle Size ISO Range # Particles in 1 ml
8 1.3 2.5
• The smallest particle which can be seen by the human eye is about 40 microns 4 Microns 18 1,300 – 2,500
7 .64 1.3
6 Microns 16 320 – 640
• The critical particle size for wear particles in a modern diesel engine fuel 6 .32 .64
14 Microns 13 40 – 80
system is 5–7 microns
With thin fluids that contain large amounts of very small particles, such as
diesel fuel, Caterpillar uses all three numbers in the ISO code. However,
on thicker viscosity hydraulic and lubricating fluids, the number of very
small particles is less important. Fluid cleanliness is usually expressed
using only the two larger particle sizes. As an example, 18 / 16 / 13 would
be stated as simply - / 16 / 13.

Micron Size Explained

IMPROVING COMPONENT DURABILITY IMPROVING COMPONENT DURABILITY

36 Measuring Fluid Cleanliness MEASURING FLUID CLEANLINESS 37
SUMMARY Improving component
Durability Series

By far the most effective means to increase transmission and torque converter
life is maintaining a high level of oil cleanliness. Maintaining an ISO -/18/15 level or
better has been proven to consistently add 30% to 50% increased overall life.

Fluid Cleanliness Maintenance

• Install clean oil. Oil added to the transmission • Monitor VIMS information for excessive clutch
should meet ISO -/16/13 new oil cleanliness. engagement times and abusive shift practices.
• Run clean. Use High Efficiency filters to keep oil • Perform a 4000-hour transmission tune. Check FUEL SYSTEMS Final Drives and POWERSHIFT COMPONENT REMOVAL
at peak cleanliness continuously. Note that after a and reset transmission operating pressures to SENR9620 English Differentials TRANSMISSIONS and INSTALLATION
SRNR9620 Russian SEBF1015 English SEBF1016 English SEBF1017 English
transmission rebuild, the clutches will create wear spec. S8NR9620 Bahasa SRBF1015 Russian SRBF1016 Russian SRBF1017 Russian
particles during the break-in period. Filters may 40 PAGES S8BF1015 Bahasa S8BF1016 Bahasa S8BF1017 Bahasa
• Perform oil analysis and particle count. During oil SSBF1015 Spanish 40 PAGES 24 PAGES
plug during break-in. 44 PAGES
change, inspect filters and screens.
• Monitor cleanliness. Check particle count at each
PM to maintain ISO -/18/15. Kidney loop filter the
Component Removal and
oil if required.
Installation
Other factors to achieve improved life include:
• Use Caterpillar Removal and installation checklist
Operations for R&I.
• Recondition or replace related system items
• Avoid machine overload. including oil pump and cooler, lubrication lines,
• As much as practical, hauls should be designed to electric harness. Always replace drive shaft
minimize steep grades and maintain steady grade U-joint bolts.
to minimize transmission shifting. ENGINES HYDRAULICS Managing Fluid Improving Component
SEBF1018 English SEBF1019 English Cleanliness Durability Series
• Maintain haul road underfoot conditions and SRBF1018 Russian SRBF1019 Russian SEBF1020 English SEBF1021 English
proper drainage. S8BF1018 Bahasa S8BF1019 Bahasa SRBF1020 Russian SRBF1021 Russian
48 PAGES SCBF1019 Chinese S8BF1020 Bahasa S8BF1021 Bahasa
44 PAGES 44 PAGES

Improving Component Durability Series: This series of high quality booklets

The greatest opportunity for cost savings contains full-color graphics and easy-to-understand explanations of the main
lies in effectively utilizing the life and value causes of wear and failure in major system components. Special attention is
given to practices that cause accelerated wear, and how to dramatically improve
already built into the machine.
component life in many applications.

IMPROVING COMPONENT DURABILITY Improving Component durability

38 SUMMARY Improving Component Durability Series 39
© 2012 Caterpillar Inc. All rights reserved
Printed in U.S.A.
SEBF1016-02 04/12
CAT, CATERPILLAR, their respective logos, and “Caterpillar Yellow,” as well as corporate and product
identity used herein, are trademarks of Caterpillar and may not be used without permission.