Mechanical

Power
Transmission

Mechanical
Engineering Series

ee
Palgrave Macmillan
 Mechanical
Power
Transmission

Edited by Peter C Bell BSc

ee
Palgrave Macmillan
Published by
The Macmillan Press Limited
Technical and Industrial Publishing Unit

Managing Editor William F Waller

AMITPP AssiRefEng

General Manager Barry Gibbs

The Macmillan Press Limited

Brunei Road Basingstoke Hampshire UK

ISBN 978-1-349-01199-5 ISBN 978-1-349-01197-1 (eBook)

DOI 10.1007/978-1-349-01197-1
©The Macmillan Press Limited 1971
Softcover reprint of the hardcover 1st edition 1971 978-0-333-12546-5
SBN 333 125 460
Forevvord
The power developed by various types of engine may
be converted into widely differing forms of useful work,
up to a considerable distance from the prime mover.
The many types of mechanical power transmission used
in industry are discussed in this book.

The simplest form of transmission is a shaft joining, say,

an engine to a driven unit such as a compressor;
however, there are many types of shaft and appropriate
couplings required to meet industrial applications of
this basic drive (chapter 1 ); flexible shafts are discussed
in chapter 1 2.

To disengage the drive system, various clutches are

used, from simple manually-operated devices to fully
automatic mechanical, hydraulic, and pneumatic types
(chapter 2). Hydraulic and pneumatic systems are used
as single couplings or as complete drive complexes,
and are discussed in their various forms (chapters 6,
7, 8). Probably the most widely used industrial mech-
anical transmissions involve one or more of the variants
that have been developed from the simple gearwheel
(chapter 3). The rope has long been used as a method
of transmitting mechanical effort over a distance; chain,
rope, and belt drives have developed extensively to
meet modern industrial needs, and these are discussed
in the book (chapters 9, 10, 11 ).

The types of transmission mentioned so far are used in

many fields of industry; there are certain areas for
which special designs of these transmissions have been
developed. These include: miniature gears (chapter 5);
instrument and control drives (chapter 14); variable-
speed drives (chapters 4 and 13); oil-shear clutch and
brake systems (chapter 16).

Some mechanical drives incorporate brakes for their

correct function, and these braking devices are dis-
cussed separately (chapter 15). The book is completed
by a glossary of terms and a guide to makers of trans-
mission equipment.
Conten ts
Chapter Page Chapter Page
1 Shafts and Couplings 7 10 Rope Drives 93
D G Barnett MIProdE W R M Lindsay
Technical Director Technical Director
Standage Power Couplings Ltd Martin Black Wire Ropes (Northern) Ltd

2 Clutches 17
11 Belt Drives
A Gaunt
103
D H Ashworth MISE
Head of Clutch Design
Power Transmission Engineer
Crofts (Engineers) Ltd
Industrial Products Division
The Goodyear Tyre & Rubber Co (Great Britain) Ltd
3 Constant Ratio Gear Systems 25
K Lightowler CEng MIMechE
Product Application Manager 12 Flexible Shaft Drives 111
David Brown Gear Industries Ltd P J Wood
Technical Manager
4 Variable Speed Drives 37 The S S White Industrial Division of Pennwalt Ltd
D Gill
Technical Specialist
Crofts (Engineers) Ltd 13 Process Control by Variable Drive
J P Crum AssociTAI 115
5 Miniature Gears 45 Publicity Manager
Allspeeds Limited
R Nichols FCAe CEng AFRAeS AMCT
Technical Director
Reliance Gear Co Ltd
14 Instrument and Control Drives 121
P S Glover
6 Torque Converters and 55 Chief Designer
Hydraulic Couplings Reliance Gear Co Ltd
A L Gatiss
Technical Consultant
Brockhouse Engineering Ltd 15 Transmission Brakes 131
S J Pinder
7 Hydrostatic Drives 69 Technical Director
J D Hamilton Elliston, Evans & Jackson Ltd
Chief Experimental Officer, Special Products Division
National Engineering Laboratory
16 Oil-shear Drive Systems 139
8 Pneumatic Drives 77 G M Sommer President
D J Bickley CEng MIMechE G M Sommer Co Inc
Director and P C Bell BSc MCIMM
The Globe Pneumatic Engineering Co Ltd
Guide to Equipment Makers 145
9 Chain Drives 83
Technical Staff
Renold Limited Glossary of Terms 153
 Chapter 1

Shafts and
Couplings

D G Barnett M/ProdE
Standage Power Couplings Ltd

The need for a flexible coupling as a means of joining a

prime mover and driven machine is now universally
accepted. Its purpose is to provide a flexible element
between two machines, absorbing or minimising torsional
fluctuations and relieving bearings of loads imposed by
inaccurate alignment or subsequent movement.

Historically the earliest couplings were made to join lengths

of line-shafting and were normally of the solid flange or
split muff type. Difficulties in alignment prompted the
development of the Oldham coupling for parallel shaft
displacements, and engine connections were often through
a simple coupling consisting of cast hubs laced together
with leather belting. From this beginning many couplings
have evolved for various duties in a wide variety of designs
and materials. At present the designer is faced with an
almost bewildering assortment, and choice is often made
on price considerations or factors other than basic technical
merit. It is the aim of this chapter to review the main estab-
lished designs of mechanical couplings together with their
applications and their relative merit. Reference to specific
couplings or trade names has been avoided. First, one
should consider some of the design factors affecting
couplings and clarify some of the terminology which is
used.

Line shafting, once a vital method of transmitting power in

industry, has now all but disappeared, and with it many
associated problems. The almost universal application of
the electric motor to individual drives has reduced machines
to simple close-coupled units. The remaining shafts can
vary between simple interconnecting devices to complex
shafts of specific torsional properties.

SHAFTING
Design and stress requirements of shafting is a subject well
documented in most technical reference books, I and it is
therefore not proposed to give extensive formulae here.
7
 in gas turbine and traction drives, but it must be emphasised
that these are part of a transmission system produced as a
result of lengthy analysis, rather than a simple means of
joining two units.

A
B engagement equivalent (Fig. 2B) has two flexible elements,
Fig. 1. Types of drive shaft: (A) simple unsupported shaft
(car dan shaft); (B) simple supported shaft; (C) complex shaft.
Solid bright drawn mild steel (28-32 tons tensile; 1 ton=
1.016 t) is satisfactory for the majority of shafts of moderate
lengths and speeds. A working stress of 560 kg/cm2 (8 000
lb/in 2) is acceptable for this material. For more critical
applications ENS material (35--45 tons tensile) may be
specified, and shafting may be turned all over to ensure
straightness and balance. For applications where weight
and length are important considerations hollow shafting
has much to commend it. Holl.Qw material for shafting is
not easily obtained; commercial cold drawn tube appears
a good proposition, but since its straightness is not good
and wall thickness non-uniform its use may be limited. A
better proposition is welded tube which has better straight-
ness, and since it is formed from sheet its wall thickness is
uniform and therefore has superior balance.
COUPLINGS
The two most common coupling configurations are shown
in Fig. 2. In its simplest form the coupling consists of two
hubs joined by some flexible element. This type of coupling
is known as single engagement (Fig. 2A). The double
and with hubs (as shown) it is a spacer coupling. With hubs
turned inwards it has the usual nominal shaft gap. Two
similar couplings mounted on the ends of an intermediate
shaft form a cardan shaft unit (Fig. 1A). It must be appreci-
ated that the type of flexible element employed depends on
the coupling layout. That shown at Fig. 2A is normally
required to take angular and parallel misalignment, while
each element of the double or cardan shaft coupling will
only be required to accommodate angular misalignment.
Obviously the amount of parallel misalignment possible
in these designs is a function of the maximum permissible
angle and the length of the spacer or intermediate shaft.
Misalignment
The purpose of a coupling is to take up errors of shaft
alignment and, depending on the particular design, to
absorb or reduce torsional variations. The three modes of
misalignment are shown in Fig. 3 somewhat exaggerated.
It will rarely be found that a single mode of misalignment
exists in any one drive and all three will be catered for to
varying extents according to the design of coupling
employed.
Fig. 2. Coupling configurations: (A) single engagement; (B)
double engagement coupling.

In the design of shafting, one rarely has to work from

theoretical considerations only. A coupling or bearing size,
A
or some other fixed data usually forms a starting point.
Shafting normally falls into one of the categories in Fig. 1,
of which (A) is possibly most common, and more will be
said when discussing couplings for cardan shafts. In cases
(A) and (B) the aim is to provide a shaft of minimum diameter
compatible with the torque to be transmitted and the
length and speed. In example (C) due allowance must be
made for the weight of shaft-mounted pulleys and for the
reactions of the belt driving torques. Pulleys and couplings
are usually fitted with keys, which are discussed later. In
the design of shafts, care should be taken to avoid sharp
corners or changes of sections which would give rise to
stress concentrations. B

In certain applications a shaft may be called upon to perform

far more than mere transmission of power. A properly
designed shaft may greatly affect the running of a complete
system. Elaborate and costly contoured shafts are employed
8

B 1~----~
6 =¥~---t
Fig. 3. Forms of misalignment: (A) angular; (B) parallel;
(C) end.float.
How much misalignment? This is the question frequently
asked and most difficult to answer. The normal close
coupled drive of medium to large size should be aligned
with the utmost care; the better the alignment, the longer
the coupling life. The fact that a coupling can take mis-
alignment should never be made an excuse for poor
workmanship.
A reasonable figure for a single element coupling would be
0.25-0.40 mm (0.010-0.015 in) parallel misalignment or -!0
angular. Where both types of misalignment are present in
combination, individual amounts would be less. Some rub-
ber couplings can greatly exceed this, say up to 0.8 mm
(0.030 in) and 5°. These figures are however subject to
individual drive conditions of which the main factor is
speed. For drives where a certain definite misalignment
must be present, say the drive to a flexibly mounted machine,
it is common to use a spacer type coupling or cardan shaft.
With this, useful amounts of misalignment can be obtained
with normal couplings, subject to the length of the inter-
mediate portion.
End float
Most couplings can take end float to varying degrees, some
lend themselves to telescopic movement; eg gear type. The
main consideration here is the load needed to slide the
coupling under static or dynamic loaded conditions. Most
couplings cater for end movement by sliding the element,
which at very best can approximate to a spline but is
probably very much worse than this. Therefore the load is
a function of the transmitted torque and the coefficient of
friction of the particular element. Exceptions to this are
couplings indicated in Table 2.
Resilience
Almost all couplings are referred to as flexible or resilient,
and these two terms should not be confused. A flexible
coupling is one which will tolerate misalignment of the type
mentioned above, but it is not necessarily resilient. A
resilient coupling is torsionally soft as well as being flexible,
as already defined. The torsional resilience of a coupling
may vary from less than a degree to the order of 15°. The
coupling stiffness is normally expressed in kgfm/rad (or
lbfftjrad in British units). It is not always advisable to
select the softest possible coupling. Selection should be
made bearing in mind the relative inertias and torque
fluctuations of the coupled machines. A detuning coupling
is one in which the relationship of torque and twist is not
linear. The torsional characteristics of the drive are there-
fore altered according to the torque transmitted.
Reversing drives
Virtually all couplings can transmit equal torque in either
direction, but special consideration should be given to
drives which are frequently reversing or in which torque
reversals occur without a change in the direction of
rotation.
Maintenance requirements
Ideally a coupling might be installed and forgotten, but no
coupling should be treated in this way, although it would
appear that many are. At the very least, couplings which
are claimed to be maintenance-free should be given a
periodic examination to ensure the condition of the drive
element. All metal couplings usually require regular lubri-
cation, and it may be necessary to remove covers to check
the condition of elements. Rubber couplings generally
require little attention, but they should be periodically
carefully checked since rapid deterioration may occur
without warning.
Overload protection. It is sometimes convenient to combine
a normal flexible coupling with an overload protection
device. Such devices are usually of shear pin design or a
form of slipping clutch. Prospective users should consult
an appropriate manufacturer.
DESIGN FACTORS
The majority of couplings fall into the simple types (Fig. 2)
consisting of a driving and driven hub with a flexible centre
member of some suitable design. When considering
couplings for a particular drive the following factors should
be considered.
Drive
(1) Torque or power to be transmitted.
(2) Torque variations and frequency.
(3) Whether reversing.
(4) Speed variations.
9
 (5)Starting torques.
(6) Shaft sizes and types.
(7) Key size and type.
(8) Drive conditions, shock load, etc.
(9) Misalignment.
(10) End float.
(ll) Temperature or abnormal ambient conditions.
(12) Type of driving and driven machines.
(13) Position and inertia of any flywheel.
(14) Whether flange or flywheel mounting required.
Coupling
(1) Quantity.
(2) Type.
(3) Compatibility with above drive conditions.
(4) Maximum bore size.
(5) Initial cost.
(6) Relative cost of replacement drive elements.
(7) Maintenance requirements.
(8) Ease of installation.
(9) Interchangeability of parts.
(10) Adaptability.
(11) Weight and inertia.
(12) Maximum speed and balance.
These conditions are largely self explanatory but some
clarification may be needed. The coupling should be easily
separable into two halves without any axial displacement
of either driving or driven machine. This allows easy
removal of, say, a motor armature or gear shaft without
disturbing foundations. Many designs of couplings parti-
cularly in smaller sizes do not fulfil this condition and this
may or may not be important on the particular application.
Designs should be adaptable for different drive conditions.
It may be possible to vary the torsional resistance and to
limit the misalignment capacity to angular only for use in
spacer or cardan shaft drives.
Coupling materials
Coupling hubs can be made in most engineering materials,
commonly: steel, cast iron, sintered iron, zinc alloy,
aluminium alloy, and certain plastics depending on the size
and duty involved. Small couplings can be economically
diecast, while larger units are produced from fully machined
steel forgings.
Speed
Maximum speeds of couplings are normally quoted by
manufacturers. Speed may be limited by the centrifugal
loading on the elements or the coupling hub material. In
the absence of any other limiting factors it is usual for the
linear speed of the largest diameter of a cast iron coupling
not to exceed 30 m/s (100 ft/s). A steel coupling may be
run at double this speed. For high speed drives, special
attention must obviously be paid to coupling balance. Up
to the above limits the normal coupling machined all over
is usually satisfactory, but where higher operating speeds
are required special factors must be considered. The overall
diameter should be as small as possible, compatible with
torque capacity. Dynamic balancing should be employed,
10
and all-steel construction is almost certain to be necessary;
high carbon or alloy steel may have to be used. All projec-
tions should be avoided to minimise air resistance and
whistle. Since all-metal couplings are appropriate to these
conditions, special attention may have to be given to
lubrication.
Keys, keyways, and mounting
Small couplings for fractional-power (less than 750 W or
1 hp) drives may be a sliding fit on their respective shafts,
secured by grub screws or pins. A key should be used on
shafts of approximately 13 mm (0.5 in) or larger; the key
may be parallel or tapered according to personal preference.
Parallel keys are often used on sizes up to 76 mm (3 in) and
tapered keys on larger sizes; there is however no hard and
fast rule. The keys used should be in accordance with the
relevant standard.2 Currently, coupling manufacturers are
asked to cut keys to the British 1929 standard, the 1958
standard, and for non-standard and metric sizes. Multiple
keys are sometimes used in larger size shafts and drives
subjected to particularly heavy loads.
The coupling must be a good fit on its shaft. Exact amounts
of clearance or interference are matters of personal pre-
ference, but small shafts (say up to 33 mm; 1.5 in) are often
made a sliding fit while larger shafts are usually made an
interference fit. Coupling manufacturers, if left to their
own discretion, usually provide hubs bored to a light
interference fit. It is therefore important to specify particular
requirements.
Keyless drives
Gaining popularity is the tapered bush method of fitting
coupling hubs. These eliminate the need for keys, although
a key may sometimes be fitted. A typical bush is shown in
Fig. 4, which shows that the coupling is bored tapered to
suit the split bush, which can be forced in with two screws.
This action compresses the bush so that a satisfactory drive
can be obtained; the bush can be released in a similar man-
ner. The main advantage of this system is that keys and
keyways can be eliminated, shaft sizes are not so critical,
and bushes with different size bores can be stocked to
Fig. 4. Typical taper bush.
DRIVEN MACHINE FACTORS Grinding. crushing, screening Pumping and compressing
Steelwork plant plant plant
Forging machine (belt or chain Rotary screen 1.3 Blower 1.25
driven) 2.0 Grinding mill 1.5 Fan 1.25
Wire mill 2.0 Ball mill 2.0 Pump (centrifugal) 1.25
Shearing machine 3.0 Pulveriser (coal) 2.0 Exhauster 1.2
Bar straightening machine 3.5 Cement mill 2.25 Rotary compressor 1.5
Tube mill (drawbench) 3.5 Disintegrator 2.25 Mine fan (ventilating) 2.5
Forging machine (direct driven) 4.0 Rubber mixer 3.0 Pump (ram) 3.0
Cane knives 3.0 Compressor (quadruplex
Steelworks cranes (Reversing Joggling machine 3.5 radial type 2.0
and with brake drums) Ore crusher (large gear Compressor (reciprocating) 3.0
Main hoist 3.5 reduction) 4.0
Auxiliary hoist 3.5 Roller cane mill 4.0 Miscellaneous
Slewing 3.5 DC generator 1.25
Long travel 2.5 Conveying and hauling Alternator 1.3
Main cross traverse 2.0 machinery Welding generator 2.0
Auxiliary cross traverse 2.0 Conveyor (belt) 1.25 Textile machinery 1.25
Automatic boiler stoker 1.5 Propeller (marine) 2.5
Other cranes Winch and capstan 2.0 Paddlewheel (marine) 2.7
Main and auxiliary hoist. reversing Winder and haulage 2.5 Electric or hydraulic steering
and with brake drum 3.0 Suction elevator (grain) 2.75 gear 2.5
Long travel, reversing and with Passenger and goods lifts 3.5 Bar reeling machinery 2.5
brake drum 2.0
Main and auxiliary cross traverse 1.75 Paper-making machinery PRIME MOVER FACTORS
Rotary screen 1.3 Turbines and electric motors 0
Wood and metal-working Brush doctor 1.5 Steam and petrol (gasoline)
machinery Drying cylinder 1.5 engines 1.3
Light wood-working machinery 1:25 Couch roll 2.0 Oil (paraffin) engines 1.5
Machine tools. (Excluding Press roll 2.0 Gas engines: 1 cylinder 2.7
planing machines) 1.25 Calender rolls 2.7 2 and 4 cyl 2.5
Wood-planing machinery 1.5 Pulper 3.5 Diesel engines: 6. 7, 8 cyl 2.0
Sawing machinery 2.0 4 cyl 2.25
Heavy wood-working machinery 2.0 1. 2, 3, 5 cyl 3.0
Planing machines. reversing
(metal) 2.5

Table 1. Typical drive factors used as a guide to the selection of suitable couplings.

simplify mounting. Furthermore, time taken in key fitting, COUPLING RATING AND SELECTION
often by skilled personnel, is eliminated. Their disadvantages
are the higher initial cost of the bush, plus taper boring, The capacity of a coupling is quoted in manufacturers
drilling and tapping of hubs. They also tend to reduce the tables as its torque capacity usually as a ratio of hp (kW)
maximum parallel bore which can be tolerated in a boss of per rev/min or hp (kW) per 100 rev/min; figures of torque
given diameter. Taper bushes are available in a range of (kgfm, lbfin, lbfft) are often quoted in addition. This
sizes covering bores of 9.5-127 mm (i-5 in). capacity is the resilient capacity of the coupling and is
normally independent of speed. The ultimate or yield
Larger shafts and bosses can be provided with keyless drives capacity, not usually quoted, would be many times greater.
by shrink fitting or preferably by the hydraulic fit method, a
which consists of expanding a hub by hydraulic pressure The general formulae for power and torque are:
and fitting by pressing on at loads which are reduced by
interposing an oil film. The design requirements of this . 000 lbf ft kW X 6105 kgf m
T orque= hp X 33
rev/mm x 2n rev/min x 2n ·
method are quite critical, but for heavy and difficult
applications the system is excellent. These can be simplified to:
Torque (coupling capacity)= hp/(revjmin) x 5252 lbfft
Special shafts =kW/(rev/min) x 972 kgfm.
So far, only plain round shafts have been considered.
Certain drives are through tapered shaft ends with key and Coupling selection
clamping nuts; typical of these are marine propellers and A standard selection procedure which is applicable to all
standard mill motors. Splines and serrations are used where types of couplings is given by the formula:
the design calls for sliding movement or special location. p
Both methods should however be considered for quantity T=ji.F1 +F2)
production since they are difficult to produce economically
in small numbers unless special tooling is available. where T=torque; P=normal drive power; N=normal or
11
slowest speed or drive; F 1 =factor based on characteristics
of driven machine; F 2 =factor based on characteristics of
driving machine.
Individual manufacturers give tables of drive factors based
on their own experience and on the characteristics of their
couplings for which they are intended to be used. Typical
factors are given in Table 1. The purpose of these factors is
to allow for the torque fluctuations inherent in a particular
drive. Of course they cannot be exhaustive, but they are
suitable for the selection of simple drives.
In complex applications, eg where flywheels are incor-
porated, a more exact analysis of the torsional conditions
may be necessary. Manufacturers can often supply special
torque curves for complex machines, and make full investi-
gations of the requirements. Drive factors are presented
as a guide to coupling selection and should be used with
care, supplementing them with factual information when
available. After selecting a coupling on the above informa-
tion a check should be made to see that shaft diameters are
compatible with the coupling chosen and that the speeds
can be tolerated.
Torsional vibration
So far, drives have been considered as two separate machines
with a flexible element between them. This approach is
satisfactory for the majority of close-coupled drives but
complex drives may have to be considered as a complete
torsional system. The phenomenon of torsional vibration is
now well known but many failures have been attributed to
it in the past. A drive approximates to a series of masses
joined by elastic shafting; when transmitting a torque the
shafts deflect, and upon removal of the torque the system
vibrates at its natural frequency. If it should now happen
that the frequency of the drive impulses coincide with the
natural frequency of the system, the magnitude of such
vibration will theoretically be so high as to cause failure.
This is a simplification of a very involved subject, but there
are several books available on this subject. 4 In brief,
torsional vibration problems do exist, their solution both
mathematical and practical can be lengthy and costly, but
a good coupling or damper of detuning properties can often
separate critical vibration frequencies to give satisfactory
running.
Coupling installation
Couplings should be installed in accordance with the
manufacturers instructions, which usually stress the need
for good shaft alignment. Couplings that have identical
hubs can be aligned by placing slip gauges at intervals
between the faces to check the parallelism and by a straight
edge over the hub periphery. More accurate alignment can
be carried out by use of a dial test indicator located on one
hub reading on the other.

Table 2. Coupling capacities and characteristics.

NORMAL CAPACITY RANGE

COUPLING TYPE
lbf ft (W) kgf m (Y)
hp per rev/min lbf in (X) kgf em (Z) A B c D E F G H J K L

Solid couplings 5.0 26000 w 3600 y X X X X

Gear type 0.04-50 210-260 000 w 29-36000 y X X X X X X
Metal disc type 0.001-10 5.2-52 000 w 0.72-7 200 y X X X X X X X X
Oldham modified 0.006-3.0 31-15700W 4.3-2160 y X X X X X X
Chain 0.003-2.5 16--13100 w 2.2-1 810 y X X X X X X
Bellows 3.5-18 X 4.0-21 z X X X X X X X
Flat spring 0.006-50 31-260000 w 4.3-36 000 y X X X X X X X X
Coil spring 0.006--50 31-260000 w 4.3-36000 y X X X X X X X
Spider 3.5-2100 X 4.1-2 400 z X X X X X X X
Rubber bush 0.005-10 27-52 000 w 3.7-7 200 y X X X X X X X
Rubber block 0.04-50 21 0-260 000 w 29-36000 y X X X X X X X
Rubber disc 0.01-2.0 52-10 500 w 7.2-1 450 y X X X X X X X X
Bonded simple 2.5-700 X 2.9-800 z X X X X X
Bonded complex 0.008-1.5 42-7 900 w 5.8-1 090 y X X X X
Tyre type 0.003-1.5 16--7 900 w 2.2-1 090 y X X X X X X X X
Hooke's type plain 4-3000 w 0.55-415 y X X X
Hooke's type needle roller 0.001-4.0 5.2-21 000 w 0.72-2 900 y X X X X

Note: Although 50 hp per rev/min is the maximum capacity shown here, it does not follow that this is the the maximum for any
particular coupling.
Key: (A) Angular misalignment capacity per single engagement. (B) Parallel misalignment capacity per single engagement.
(C) End float. (D) Maintenance or lubrication required. (E) No maintenance required. (F) Replacement drive element available.
(G) Able to dismantle for vertical assembly. (H) Free limited end float. (J) Operating temperature; normal ambient only. (K)
Operating temperature; extreme subject to correct lubricant. (L) Suitable for high speeds.

12
 MECHANICAL SHAFT COUPLINGS

SOLID FLEXIBLE RESILIENT UNIVERSAL

I I I I I
II I
I I
I
I
DOG OR CLAW SPLIT BOLTED GEAR DISC OLDHAM CHAIN CONSTANT VARIABLE
CLUTCH MUFF FLANGE TYPE TYPE
L,
VELOCITY VELOCITY

I
RATIO RATIO

All
(HOOKES TYPE)
MODIFIED
OLDHAM ~~EN~~~iiC I I
DOs:SGlEn
METAL

I
ENG DDUBl;ENGSIT'
I
UNIVERSALGEAR & 'NEEDLE
SPECIALDESIGNS ROLLER
PLAIN
BEARING

CARDAN
SHAFTS
l
BELLOWS
TYPE
FLAT
SPRING
COIL
I
SPRING
ELEMENT
IN
COMPRESSION
ELEMENTIN
SHEAROR
~ CARDAN
SHAFTS

I
TORSION
I
LAMINATED GRID OR I I
SPIDER RUBBER RUBBER
I I I
RUBBER SIMPLE COMPLEX TYRE
I
PLATES FORMED BUSH BLOCK DISC BONDED BONDED TYPE

I
SPRINGS

I
I I I I I I
MARINE

CARDAN BRAKEDRUM FLYWHEEL OVERLOAD BRAKEDRUMFLYWHEEL OVERLOAD MARINESEMI-

SHAFT TYPE MOUNTING PROTECTION TYPE MOUNTINGPROTECTION UNIVERSAL

CARDAN
I
Fig. 5. 'Family tree' to indicate main designs or groups of couplings. SHAFTS

It is important to note that the initial setting of the coupling

should take into consideration the dynamic conditions. Fig. 6. Gear-type coupling.
Thus if a shaft centre height or length increases due to a
temperature rise, allowance should be made for this in
the cold setting. 5

COUPLING TYPES
Having discussed the general requirements of couplings,
here are some of the individual properties of couplings,
together with general designs. Figure 5 shows a family
tree for couplings on which may be traced the main designs
or groups. These are repeated in Table 2, which gives details
of the characteristics and ranges of the various types. The
information given should not be taken as complete, since
data from various manufacturers differs, and certain other
types of couplings are available.

Solid couplings. These need little explanation or illustration.

They are satisfactory for certain applications, eg joining
lengths of shafting, but they must never be used for joining
two machines since it is impossible to ensure sufficiently
accurate or stable alignment.

Flexible, torsionally rigid couplings. These find a wide range

of applications and are available in ranges up to the largest
sizes. A very popular design is the gear coupling Fig. 6, Fig. 7. Metal disc coupling.
which has successfully replaced resilient couplings on drives
without severe torque fluctuations, and its reliability and
small overall dimensions have been used to advantage.
The basic single and double engagement forms can be
extended to various special types. The disc coupling (Fig. 7)
is one of the few couplings to be virtually maintenance-free.
It is used extensively on smooth to medium shock condi-
tions, for example on motor pumping sets. The disc con-
figuration varies between different manufacturers, but con-
struction is almost always in stainless steel. The design is
ideal for high humidity or dirty inaccessible locations.
13
 Fig. 8. 'British-American' coupling.
The Oldham coupling originally used for parallel mis-
alignment only has evolved to the form shown in Fig. 8,
known as the British-American coupling. It caters for small
amounts of misalignment in three planes. The chain
coupling is simply two sprockets joined by a duplex chain,
with a lubricant-retaining cover.
All-metal resilient couplings. The best known couplings of
this type employ either flat laminated springs (Fig. 9) or a
continuous grid spring. The springs are housed in flared
slots cut into the periphery of each hub, and therefore
resilience and misalignment capacity are obtained.
Couplings of this type have been employed successfully on
every class of drive over a long period of time and they can
be supplied in many modified forms to suit individual
requirements. A couplil}g employing coil springs arranged
between projections on mating hubs is available although
it appears to have gained little popularity in the UK.
Fig. 9. All-metal spring-type coupling.
14
Fig. 10. Rubber bush coupling.
Rubber couplings. Although termed rubber couplings for
convenience, most couplings of this type now owe something
to elastomers and plastics such as neoprene and poly-
urethane. This has been the fastest growing group of
couplings in recent years.
The rubber bush coupling (Fig. 10) once almost alone in
this field has been joined by a wide variety of designs.
Rubber couplings in general possess a greater capacity for
misalignment and torsional resilience, and they are usually
cheaper than an equivalent all-metal coupling. The range
of sizes is generally smaller, and speeds are limited. Environ-
mental problems can occur and certain adverse conditions
are obviously unsuitable for components made of synthetic
materials.
Universal couplings. A universal coupling may be defined as
one able to take more than the normal amount of angular
misalignment, usually between 5° and 35°. Large parallel
misalignments can be catered for by using two universal
couplings with an intermediate shaft. The generally most
popular type of coupling is the Hookes joint (Fig. 11) which
is available in several ranges having either plain or needle
roller bearings. The design is very well known, as is the
fact that a single joint imparts an uneven velocity ratio to
the driven shaft, dependent on the magnitude of the angle.
Provided that simple rules are observed, this effect can be
cancelled out by using two joints or a double joint.
Several constant velocity ratio joints are now produced,
although they are mainly confined to automotive drives
rather than standard industrial units. An interesting excep-
tion is the universal gear produced for hand-operated con-
trols; with two meshing toothed wheels this type can drive
from 0° to 90° in a single unit (Fig. 12). Large universal
joints of various designs are produced, and the prospective
user should seek the advice of a specialist firm.
DRIVE REQUIREMENTS
Drive conditions for fractional-power drives (ie less than
about 750 W, or 1 hp) are normally not critical, and quite
large amounts of misalignment can be tolerated. Many
simple rubber type couplings are available and selection
may be made on personal preference. Several torsionally
rigid couplings are available for instrument drives down to
about 6 mm (0.25 in) overall diameter; some of these may
be made entirely of plastics materials.

Fig. 11. Hooke's joint type of coupling.
Fig. 12. Universal gear.
Medium industrial drives. Almost all the listed couplings
are suitable for drives in this section, say up to 750 W (1.0
hp) per rev/min. Selection can be made from the table of
factors with due consideration for shaft sizes and the par-
ticular requirements dictated by a specific drive.
Heavy industrial drives. Drives of the largest sizes may
require close analysis, although many can be selected by
normal methods. Careful consideration of the inertia of the
driving and driven machine will help to decide whether a
torsionally soft or rigid coupling can be used. Misalignment
is likely to be critical, and assistance with any doubtful
points should be sought.
The future development of couplings will almost certainly
be along the lines of the inexpensive unit employing syn-
thetic driving members possibly of limited life. Already
accepted for low and medium power drives, they are begin-
ning to extend to the ranges of heavy industrial application.
The need for maintenance-free service has spurred develop-
ment in this direction together with the availability of more
suitable materials.
The gear coupling has become increasingly popular for a
wider range of drives and in view of its compactness and
high capacity its use is likely to extend over a wider field.
The all-metal spring type coupling has been popular for
many years, and although it may have lost some ground
to the other types its adaptability to difficult conditions
will ensure its future continued use.
This chapter cannot include every coupling or condition,
but the information given is intended to clarify the require-
ments and enable a preliminary assessment to be made.
The prospective user is advised to consult one or several
coupling manufacturers early in the development of a
project, and to take advantage of their experience and
co-operation.
REFERENCES
l. Machinery Handbook. Machinery Publishing Co,
London.
2. Keys and keyways; BS46 Pt I. British Standards Institu-
tion, London.
3. SKF oil injection method. The Skejko Ball Bearing Co
Ltd (SKF organisation).
4. Kerr Wilson. Practical solution of torsional vibration
problems (2 vols). Chapman & Hall.
5. Characteristics of flexible couplings; BS3170. British
Standards Institution, London.
15
 Chapter 2

Clutches

A Gaunt
Crofts (Engineers) Ltd

In designing a mechanical friction clutch use is made of the

basic characteristic of friction, which is the tangential or
lateral force resisting the sliding motion of one body over
another, and is proportional to the total pressure perpen-
dicular to the sliding surfaces. The study of friction in itself
is complex but simple laws relating to friction are true over
a limited range of sliding velocities and pressures used
between the corresponding members.

The friction value varies according to the materials used,

but for industrial applications one of the mating surfaces
is often steel or cast iron which is used in conjunction with
a friction medium, usually a bonded asbestos material
which may incorporate a metallic inclusion for better
anti-fade qualities. There has often been a tendency to dis-
regard the type of metal structure and finish of mating
surfaces when considering practical friction problems, so it
is well to note that cast iron offers many advantages.

The torque produced by a friction clutch is the product of

the perpendicular force acting at the centre of area of the
friction surface, the coefficient of friction (p) and radius of
centre of friction area; ie
Torque = J1 x perpendicular force x radius of
centre of friction area
The perpendicular force is the product of the total friction
surface area and the unit pressure per unit area; ie
Perpendicular force = friction surface area x pressure
per unit area of friction surface
For normal woven type bonded asbestos materials pressures
of up to 35-42 gf/mm 2 (50-60 lbf/in 2) are allowable, for
moulded asbestos base materials pressures up to 175 gfjmm 2
(250 lbf/in 2) and sintered metal materials up to 280 gfjmm 2
(400 lbf/in 2 ). It is recommended that friction material
manufacturers are consulted about the characteristics and
data applicable to a particular lining.

For optimum clutch torque, it follows that material with a

high coefficient of friction should be allied with the highest
possible pressure, but it must be remembered that high
17

Fig. I. Spring type centr(fugal clutch.
temperatures at the friction surface (from excessive slip
conditions due to high torque and speed or both) if sustained
for too long result in a drop in coefficient of friction value
(fade) leading to a drop in torque or complete bum out of
clutch linings. Wear is also associated with heat, and
increases with temperature; generally speaking material
with a high coefficient of friction should have a low temp-
erature working level, whereas materials specifically pro-
duced for high temperature and wear resistance have a
smaller friction value and thus give a reduced clutch torque
for the same size of unit.
In selecting a clutch to give reasonable life, certain factors
must be known; the most important are:
(1) Torque or power (kW, hp) involved.
(2) Speed.
(3) Frequency of clutch operation.
(4) Starting torque.
(5) Inertia of machine involved.
(6) Shaft diameter.
(7) Method of clutch activation.
(8) General conditions.
Any one of the foregoing could determine the size and type
of clutch to install, but due consideration must be given to
all points for optimum clutch selection; however, since heat
proves to be the main destructive feature in any friction
clutch it is important to give special attention to points 3,
4, and 5.
Normally, clutches are used when it is desired to engage or
disengage a machine from the main drive without stopping
or starting the prime mover. The importance of allowing a
petrol (gasoline) engine, diesel engine, or electric motor to
start under no-load and attain speeds at which appreciable
torque is available for accelerating the load is well known.
Smooth acceleration can also be obtained with friction
clutches owing to their capacity for slip during engagement;
heavy stresses can thus be reduced below those which would
normally apply under direct starting conditions. Friction
clutches can also be used for rapid cyclic operation, index-
ing and reversing drives, whilst certain designs are easily
18
adapted as brakes. A further, but most important function
is to allow driving machinery to be disconnected quickly,
thus providing a safety measure for a machine operator in
case of emergency.
Friction clutches consist of a driving half and a driven half
with a friction element between the two. The method of
applying the friction element usually provides the descrip-
tion given to the clutch. Thus, if the friction medium is in
the form of a disc and pressure is applied by mechanical
means through an operating lever, this is known as a
manually-operated disc clutch; similarly, if the friction
medium is attached to a shoe moving radially inwards or
outwards into a rim, this is known as a manually-operated
rim clutch. If the integral clutch mechanical system is
replaced with a magnetic, hydraulic or pneumatic system,
the clutch is then designated an electro-magnetic, hydraulic
or pneumatic disc or rim clutch. When centrifugal force is
used to apply pressure, the design is generally known as a
centrifugal clutch.
Clutches can be further sub-divided into two categories ;
ie (1) where they are required to connect two shafts in line
they are termed clutch couplings; (2) where they connect
two shafts parallel some distance apart through a chain,
belt, or gear drive with one of the wheels attached to the
clutch portion (mounted on metal bushes or on roller
bearings) they are termed clutch pulleys.
CENTRIFUGAL CLUTCH
Centrifugal types of clutch, as the name suggests, depend
upon the centrifugal action of suitably weighted slippers in
one half which, when the clutch is running at speed, exert a
centrifugal force upon a mating shell which is keyed to a
separate shaft. This is a rim clutch.
The basic construction consists of the driving portion con-
taining radially-sliding slippers fitted with friction facings
suitably radiused for engagement with the driven shell
Fig. 2. T ypical centrifugal clutch. ( Courtesy W R Anderton and
Co Ltd. )
Couphng· shaft to
shaft type
 *~
~ 300
:::/ ----;_--------,
\
\
\
:> I
u 200 \
100 B '--------
0 2 3 4 5 6
T1me seconds
Fig. 3. Current required by a 7.5 kW (10 hp) cage motor:
(A) no clutch fitted; (B) starting against same load when
fitted with centrifugal clutch; no springs.
portion. Springs may be fitted to control the movement of
the slippers according to the drive characteristics. Apart
from the friction linings, the material often used in standard
designs is cast iron, although to meet special conditions, the
clutches can be made in steel. The centrifugal clutch is
automatic in operation, and the power developed depends
upon the speed at which the driving member and slippers
are rotated; the resulting torque varies as the square of the
speed, and the power developed varies as the cube of the
speed. For example, manufacturers' power tables show that
doubling the driving speed increases the developed power
eight times; thus it will be appreciated that to obtain maxi-
mum efficiency from this design and also to ensure most
economical size, these clutches should be run at high
speeds.
Two variations of this design of clutch are available: (i)
springless (no spring) type, in which no retarding effort is
applied to the centrifugal movement of the slippers,
resulting in appreciable torque being exerted at some 15%
to 20% of the nominal speed; and (ii) the spring type, in
which the centrifugal movement of the slippers is retarded
by the insertion of a suitably rated spring in each slipper.
In the spring type, engagement is delayed until the slipper
portion has reached a much higher speed (usually 60% to
75% of the nominal speed) at which point the prime mover
is capable of developing the necessary starting torque.
In order to give some indication of the saving of current
which occurs when a centrifugal clutch is installed on a
cage motor, records have been made of the actual current
consumption by a motor without a clutch and also when
fitted with a centrifugal clutch with and without springs.
Fig. 3 indicates the current actually recorded by a 7.5 kW
(10 hp) cage motor starting against the load with a direct-
on-line starter and connected to the machine by a flexible
coupling (no clutch fitted). The graph also indicates the
current required by the same motor under the same con-
ditions (ie the same load and direct-on-line starter) but
connected to the load by a centrifugal clutch coupling
without springs. Note the maximum current demand is for
a reduced length of time. Fig. 4 indicates the current
required by the same motor doing the same work but
connected to the load by a spring-controlled clutch coupling
and started by star-delta type starter. Note the peak current
is reduced and also the amount of current actually required
is reduced.
*E 300~
-I
200
j 100 I ~-----
7 8 OL--,~!--2~'--3~'--4~'~s~'~s~'~7~·---~a~~a~~,'o~
T1me seconds
Fig. 4. Current required by a 7.5 k W motor starting under same
load as in Fig. 3, but by star-delta starter and fitted with spring-
controlled centrifugal clutch.
These graphs show clearly how the fitting of a centrifugal
clutch affects the amount of current required to set a given
load in motion, and if the motor is frequently started the
saving in cost of current is substantial in large installations.
Generally, if a cage motor fed by 3-phase current is started
by a direct-on-line starter, and the starting torque required
to set the driven machine in motion does not exceed 100%
full load torque, a centrifugal clutch without springs is
satisfactory. Ir however, the peak current is of primary
importance, star-delta type starters should be used, and a
spring controlled clutch fitted. If the starting torque is over
100% of full load torque a star-delta starter can be used,
and an operated type of clutch should be installed.
The spring type clutch is very widely used because of its
superior starting characteristics, and since the friction
slippers are held clear of the driven shell when disengaged,
drag torque and friction heat are avoided. It is frequently
desired to rotate the driven shell portion without the clutch
being engaged (eg standby emergency drives, such as dual
drive to fans or pony drives to installations where large main
motors are used); for such applications the spring type
clutch is very suitable.
The main advantages of the centrifugal clutch are that it is
automatic in operation, no external operating mechanism
being required, and the resultant reduction in cost and
complexity of installation; with the spring type, engagement
can be delayed, allowing smaller (and cheaper) prime
movers to be utilised since they can be run up almost to
normal full load speed before the clutch engages.
The limitations of this type of clutch include: inefficiency at
low speed; unsuitability for rapid cyclic duty due to heat
problems created by slip at start; the need to reduce speed
by 50% or more before disengagement takes place; and
inability to allow for a gradual engagement (when this
latter feature is desirable it is necessary to consider one of
the operated type clutch units described later).
MANUALLY OPERATED CLUTCHES
The manually-operated rim-type clutch is one of the earlier
designs, and has been in use for many years, the main
feature being the method of applying friction to the rim
through two or more pairs of radiused vice-like jaws or
friction slippers, which, being mounted in detachable slides,
19
 Typical applications are textile machine drives, low cycling
presses and general heavy duty low speed transmissions
with speeds up to 900 rev/min and powers up to 1100 kW
(1500 hp).

Disc type
In the disc type of clutch the friction medium consists of
annular plates or discs. The torque transmitting capacity of
any particular size of disc clutch can be increased very
easily without major increase in the physical dimensions;
ie by increasing the number of friction discs from one to
two or three. The power transmitting capacity relative to
size is extremely high for this design.

Since the mechanism of a disc clutch is not affected by

rotational speed, the maximum speed is thus limited to the
safe stresses permitted in the materials used in the con-
struction. As a consequence, this design is used for high
speed applications and/or rapid cyclic operations where
size and mode of operation permit.

Fig. 6. Disc type manually-operated clutch.

Fig. 5. Rim friction clutch.

are easily removed for replacement of friction linings

without disturbing associated equipment.

When disengaged, the friction slippers are well clear of the

rim, ensuring a drag-free condition. The use of toggles and
levers for engagement enables a large mechanical advantage
to be built into the clutch, and provide self-locking action
when in the engaged position. The clutch can be of heavy
and sturdy design, and is ideal for heavy operating condi-
tions, but is limited to low and medium speeds, since
centrifugal force may act on the inside slipper to such an
extent that at sufficiently high speeds the slipper is forced
into contact with the rim, thus creating drag torque and
heat. Moreover, where these clutches are used on medium
cyclic duty, wear on toggle levers and pins must be accepted;
frequent operation on small to medium size clutches is
restricted to designs in which standard hand lever operating
gear can be used. On larger sizes, requiring a large force at
the thrust collar, a more robust design of operating gear
such as the screw type is necessary, and although this design
can be electrically actuated, the time factor involved prevent
it being used for rapid cyclic duty.

The advantages of this mechanical rim-type clutch are the

large internal mechanical advantage designed into the
construction; freedom from drag when disengaged; de-
tached slippers which allow friction linings to be replaced
without disturbing any other part of clutch or drive ; and
low cost.

The limitations are its unsuitability for high speeds ; the

need to utilise screw operating gear on the larger sizes; the
number of wearing parts; and the need to lubricate these to
prolong its life.
20
The effective method of applying force to the friction discs
is by means of toggles or by rollers or balls on an inclined
plane; the design allows a neat and clean exterior. Up to
certain speeds and moderate cyclic duty, the thrust yoke is
manufactured from phosphor bronze or similar material,
for reasons of economy, but for higher speeds and higher
cyclic duty it is necessary to utilise a ball bearing thrust unit.
The smaller sizes can be operated by the normal hand lever
arrangement, but the larger sizes, as with the rim type
previously described, require a screw type operating
mechanism which limits the frequency of operation. With
this design, due to the various sliding parts in the mechan-
ism, regular maintenance is needed, the frequency depending
on the cyclic duty.

To overcome this limitation of a mechanical operating

system, several designs use compressed air or hydraulic
fluid as the operating agent, thus eliminating most of the
internal mechanical wearing parts and consequential
operating problems, whilst increasing the permissible cyclic Fig. 7. Selfadjustable multiplate disc clutch.
operations and facility of automatic sequence control. One
type uses a side-mounted air gland; when inflated this
applies direct pressure to the friction discs, without the
necessity of toggles, levers, etc, thus making a neat and
compact unit with the advantages previously described.

Alignment of the two halves of the unit, when used as clutch

coupling, is of great importance and it is recommended that
for manually operated clutches a centralising device is
employed for locating the respective shafts, using a ball or
roller bearing, or, for low speeds, a phosphor bronze bush
or similar material.

The advantages of the disc type clutch are suitability for

high speed applications; few wearing parts; single point
adjustment; and torque capacity relative to physical
dimensions.

The limitations are inherent drag torque, larger sizes require

heavier operating mechanisms and a lubricating system or
routine. Typical applications are all general transmissions,
conveyors, presses, steel mills, etc; speeds up to 2 500 revI
min torques up to 17 000 kgf m (125 000 lbf ft).
Multi-disc clutch
Multi-disc clutches are similar in principle to the disc
clutches previously described, except that to achieve a
larger torque capacity with small overall dimensions, a
multiplicity of discs is used. Consequently, the drag torque
is increased, and careful study must be given to this aspect
before specifying a multi-disc clutch. Many manufacturers
do not produce clutches of this type above approximately
300-350 mm (12- 14 in) diameter.
The general construction is similar to the single and double
disc design, but alternative disc packs are available, namely
a combination of steel and organic friction discs for dry
operation and steel to steel discs for wet operation. This
type of clutch can also be obtained with pneumatic and
hydraulic actuation. Since the percentage drag torque
Fig. 8. Air tube disc clutch. (Courtesy Wichita United Ltd.)
figure is generally higher in multiplate clutches, the dry
type is unsuitable for running for long periods disengaged
and most of these clutches are produced in the wet plate
version. (Special designs are discussed in chapter 16.)
The main advantage of the multi-disc clutch is that maxi-
mum torque is obtained for a minimum amount of space;
it can be supplied for dry and wet operation and with a self
adjusting feature.
Typical installations are medium to small power general
transmission drives for infrequent operation, machine tools
etc; speeds up to 3 000 rev/min wet plate type, 900 rev/min
dry plate type; powers up to 110 kW (150 hp).
21
ELECTROMAGNETIC CLUTCHES
The use of electromagnetic disc clutches in many spheres of
engineering has increased considerably in recent years (to
1971) due generally to the ease of control and compactness.
Several variations of this design are available, namely single-
plate, multiplate, toothed plate, stationary field, slip ring,
and floated plate, all having merits in particular areas of
application. There are many types available, but it is useful
to consider the two basic types of electromagnetic actuation
adopted in the design of magnetic clutches.

The first is the stationary field magnetic clutch with a closed

magnetic circuit in which an armature is employed to exert
axial pull on a disc pack; in this type adjustment is necessary
to compensate for wear on the friction discs. The second is
the floated type in which the clutch plates are part of the
magnetic circuit and in which self-adjustment for wear is
inherent in the design. The flux path passes through the
friction plates which are made of steel and, therefore, are
suitable only for running under oil mist or drip lubrication.

The SFC (stationary field coil) design, as its name implies,

utilises a stationary magnetic coil. This is energised through
terminals forming a positive connection and permitting
higher speed than a clutch with slip rings. This design can be
used on wet or dry applications, but obviously, since
adjustment for wear is a feature of the clutch, the installation
must be made so that adjustment can be carried out with
reasonable ease. Slip ring designs of the SFC clutch with
wet or dry plates can be obtained, but although this feature
enables the clutches to be accommodated in a small space,
it does restrict the maximum speed at which they can be
used due to the limiting velocities of the slip ring, normally
some 10 m/s (30 ft/s).
Fig. 9. tationary coil electromagnetic clutch.
Fig. /0. Electromagnetic friction di c clwch. ( Courtesy
We tool Ltd.)
The floated disc clutch is also made in the stationary field
or slip ring design and is self-adjusting for wear; it is,
therefore, suitable for applications where, due to space
restrictions, accessibility is difficult. As a consequence, this
type is often designed into machine tools. The advantages
of this clutch are rapid cycling capabilities, large torque
for small space, speed of response making it ideal for
critical time sequence applications, minimum lubrication
requirements, suitability for wet or dry applications and
inherent self adjusting feature; it is available with either
stationary or alternating rotating field coil, the former
eliminating the use of slip rings and consequently making
the unit capable of running at higher speeds.

The limitations of this design are susceptibility to heat,

inherent drag torque, unsuitability for repeated heavy
shock loads, need for careful and accurate installation, and
for ke6ping free from dust and other abrasive elements. It
is especially suited for machine tool applications, tape
controlled milling machines, computer drive tape decks and
general indexing machine drives, small conveyors etc;
speeds up to 6 000 rev/min torques up to 400 kgf m (3 000
lbf ft).

Tooth clutches
An extension of the electromagnetic disc clutch is the
toothed clutch (which may also incorporate sliprings).
Torque is transmitted by engagement of two tooth-type
crown serrations. Compared with the multiplate clutches,
22
the toothed type can transmit higher torques for the same
overall dimensions, and high relative speeds can be attained
since there is no drag torque when the clutch is disengaged.
Engagement can be made at standstill or at low relative
speeds; the clutch can be disengaged at any speed and load.
PNEUMATIC CLUTCHES
A useful design of pneumatic clutch is based on the principle
of inflating a flexible chamber or ring to apply actuating
pressure. One air operated rim type clutch is actuated by
means of a canvas reinforced rubber gland which forces a
ring of friction slippers onto the surface of a rim when
inflated, thus engaging the clutch. Two basic types are
produced; (i) the expanding design in which the friction
slippers are expanded outwards on to the friction rim; and
(ii) the constricting design in which the friction slippers are
forced radially inwards on to the friction rim.
Two basic designs are available; the first has the rubber
gland bonded on to its housing so that torque is transmitted
through the gland, thus imparting some resilience to the
clutch; this design is susceptible to heat generation. The
alternative design incorporates the actuating rubber gland
as a separate unit, torque being transmitted through
specially designed steel torque bars between the slippers;
the friction slippers are thicker and absorb a greater amount
of heat.
Fi . I I. Remo1•oble clutch gland for comracting- Iipper rim-
type clutch.
Fig. 12. Electro -
magnetic clutch;
float ed disc type.
Where, eg, the diameter is restricted, two clutch units can
be coupled to form a dual unit and thus double the available
torque. A wider type of this clutch design is available for
handling large powers. The design possesses the important
feature of being free from drag when disengaged, since the
friction slippers stand clear from the friction rim.
This type of clutch is available to cover a large range of
powers and speeds. By using solenoid-operated air valves,
these clutches can be used in rapid cyclic operations, a
small valve being capable of controlling a large clutch,
although obviously the response time varies according to
the size of valve used.
The advantages of this design are its large power range;
minimum number of wear parts; freedom from adjustment
during the life of the friction linings; no lubrication require-
ments; easy adaptability for use as either clutch or brake;
minimum maintenance; easy assembly; freedom from drag
torque in the rim type; minimum drag torque in the disc
type; suitability for rapid cyclic operation; arduous duty,
heavy shock loads; great heat absorption capacity; suit-
ability for high or low speeds and for constant slip (tension)
drives.
Limitations applying to this type of clutch include the need
to have a shaft end available for supplying air to the glands;
the reduction in power capacity at high speeds due to centri-
fugal force; failure of air supply leading to clutch or brake
disengagement; and higher cost compared with mechan-
ically operated types.
Typical applications especially suited to this type of clutch
are heavy press drives, earthmoving and drilling equip-
ment, steel mill applications, and other heavy arduous
drives; this type also can be used on all general transmission
drives where economics allow. Suitable for speeds up to
4000 rev/min in the disc type and torques up to 35 000 kgfm
(250 000 lbf ft) in the rim type.
23
Another type of pneumatic clutch is operated by an axially
mounted air cylinder which is moved by air pressure to
engage the clutch disc (or discs). This type is readily com-
bined with a friction disc brake system, and one typical
unit includes a spring-loaded fail-safe brake (ie normally
engaged). When air pressure (of the order of 5 bar) is intro-
duced into the actuating cylinder it moves an intermediate,
moveable, disc in an axial direction to disengage the brake
and engage the clutch. Operating characteristics for a single
plate clutch (used eg on metalworking, woodworking, and
textile machinery) are quoted in the range 50 kgf m at 2 000
rev/min to 2 500 kgf at 500 rev/min.
DEVELOPMENTS
The clutches described have been developed over the years
according to the demands of industry. As the trend is
towards higher speeds, rapid cycling duties, and sequence
control, the increase in demand is likely to be for the air
operated rim or disc type, and the electromagnetic or
hydraulic actuated multi-plate design.
24
Because of economic factors, the simpler types of clutches
will, however, still be required for many years to come on
general industrial drive applications.
The common denominator for friction clutches is the actual
friction material incorporated, and this is the subject of
intensive development which should lead to improved
clutch performance.
The foregoing comments outline the main principles for
readers interested in the application of clutches, but it is
recommended that engineers should consult manufacturers
and discuss fully their application problems so that optimum
results may be achieved.
Acknowledgment
The clutches illustrated in Figs. 1, 5, 6, 7, 9, 11, 12 are by
courtesy of Crofts (Engineers) Ltd.
 Chapter 3

Constant Ratio
Gear Systems

K Lightowler CEng M/MechE

David Brown Gear Industries Ltd

This chapter starts with a summary of the different types of

gear form which are commonly used, with an indication of
their characteristics and general applications.

Spur gears connect parallel shafts, and the tooth flanks are
parallel to the shaft axes. They tend to be noisy when
operating under load at moderately high pitch line speeds
due to the variations in mesh stiffness at different phases of
engagement. They are frequently used for low speed open
gear applications because they do not impart axial thrusts
to the supporting bearings and do not demand accurate
axial positioning.

Helical gears (single or double) connect parallel shafts,

and the tooth flanks form spirals around the shaft axes.
The variations of mesh stiffness at different phases of
engagement are generally very much less than spur gears and
therefore they can be operated at high pitch line speeds
with acceptable levels of noise and vibration. Single helical
gears under load produce axial thrust which must be con-
tained by the shaft bearings or other means. Double helical
gears have the facewidth split into two equal parts with
teeth of opposite spiral, this gives the advantage of cancel-
ling the axial thrusts produced from each spiral, therefore
the bearings are required to carry radial loads only. Care
should be taken when designing the mountings to ensure
that one shaft is axially free to allow the gears to apex
correctly.

Spiral gears connect shafts with non-intersecting axes. They

are basically helical gears having a common normal pitch
and they have sliding (theoretically point) contact. Their
load capacity is small, being mainly used to transmit
motion where convenient. Accurate axial location of gears
is not important to tooth contact.

Bevel gears (straight or spiral) connect shafts with inter-

secting axes. Theoretically any angle of axes can be adopted,
but there are limitations imposed by available machines.
Most gears are designed for mounting at 90°. Accurate
25
 Fig. I. Spur gears. Fig. 2. Single helical gears. Fig. 3.Double helical gears.

Fig. 4. Spiral gears. Fig. 5. S traight bevel gears.

Fig. 6. Spiral bevel gears. Fig. 7. Hypoid gears. Fig. 8. Worm gears.

axial location of both gears is important for correct tooth contact. The enveloping gear is the wheel which must have
contact. accurate axial location to ensure correct tooth contact.

Hypoid gears connect shafts with axes at 90°, but not lying
in a common plane. They are generated in a similar manner
to spiral bevel gears and resemble them in appearance.
Apart from the offset shaft their main advantage is to allow
a greater ratio for a given set of blank dimensions and
wheel torque. Their contact has a large sliding component
which makes lubrication conditions more severe. Accurate
axial location of both gears is important for correct tooth
contact.
Worm gears connect shafts with non-intersecting axes.
They can be regarded as spiral gears with one of the pair
modified to envelop the other, giving line instead of point
26
INDUSTRIAL GEARBOXES
Standard gearbox ranges are manufactured using helical,
spur, bevel, and worm gears either as single reduction units
or as multiple stage units of one or more types of gear.
Types available include:
(1) Single reduction helical units.
(2) Double or triple reduction helical units.
(3) Geared motor units, available in the foot mounting
form as a dimensionally standarised range to BS4517 :
1969 Dimensions of spur and helical geared motor
units (metric series).
(4) Single stage bevel units.

Fig. 9. Single stage helical gearbox.
(5) Bevel/helical double and triple reduction units.
(6) Single reduction worm gear units; the underdriven type
are standardised to BS3027: 1968 Dimensions of worm
gear units.
(7) Double reduction worm/gear units in three types cor-
responding to the single reduction types.
(8) Double reduction helical/worm gear units in three
types corresponding to the single reduction types.
(9) Motorised helical/worm gear units; foot, flange, and
shaft mounted types.
Fig. 10. Triple reduction helical gearbox.
Fig. 11. Foot mounting geared motor unit.
When standard gearboxes do not suit a special application,
units are designed to customers' requirements. Units with
a single inputshaft and multiple outputshafts disposed to
suit the driven machine are one example ; Fig. 16 shows a
unit with one inputshaft and twelve outputshafts. Figure 17
shows a double reduction helical gearbox with two output-
shafts for driving a rubber mixer. Where the torque require-
ment is above the capacity of the standard range, special
units are made to suit the particular conditions, Fig. 18
shows a gearbox for driving a cement grinding mill required
Fig. 1 2. Single stage bevel gearbox .
27
 to transmit 2 250 kW at 500/ 15.6 rev/min (140 000 kgfm
output torque). On gearboxes for such high torques it is
an advantage to keep the weight and size as small as possible
in addition to providing a generous service factor for
reliability. In the unit shown both of these objects are
achieved by splitting the power at the single inputshaft
between two layshafts which drive a common wheel on the
outputshaft. Special design features are incorporated to
ensure that the load divides equally between the two lay-
shafts. Figure 19 shows a worm/helical gearbox specifically
designed for repeated peak loads when driving furnace
pusher equipment in a steelworks; in this instance the
torque capacity is higher than available from standard
ranges and the casing is designed in steel to accept the
heavy shock loads involved.

LIMITATIONS AND CHARACTERISTICS

Fig. 13. Bevel/helical double reduction gearbox.
Power transmission capacity
The power capacity of gears is limited by their resistance
to two forms of failure, one being tooth surface fatigue
(pitting) sometimes referred to as 'wear rating' or 'durability
rating', the other being tooth bending fatigue, referred to
as 'strength rating'. Current British Standards for rating
gears are spur and helical BS436:1940, bevel BS545:1949,
worm BS721 :1963. The power rating section ofBS436:1940
is obsolescent, the new version will be in line with a similar
new ISO standard, and will be substantially in agreement
with the AGMA rating method (American Gear Manufac-
turers Association).

The maximum power that can be transmitted through gears

of different types is limited by current manufacturing
capacity, known materials, and methods of lubrication.
Approximate maximum powers are: helical 37 000 kW ;
spiral bevel 2 200 kW; and worm 450 kW; the values vary
with ratio and are only intended to give practical guidance
on what is available commercially.
Fig. 14. Single reduction worm gearbox (adaptable type; can
be mounted with different shaft dispositions by fitting alter-
native types off eet). Fig. 16. Specially designed gearbox with one inputshaft and
Fig. 15. Double reduction helical/worm gearbox (final stage twelve outputshafts for driving six stands of a rod mill finishing
underdriven ; also available with final stage overdriven or train in a steelworks.
vertical).

28
 Fig. 17. Helical gearbox with one input and two outputshafts, Fig. 18. Split train gearbox for driving a cement grinding mill
specially designed for driving a rubber mixer. in Spain, transmitting 2 250 kW at 500/15.6 rev/min.

The power capacities of standard ranges of gearboxes as
published in manufacturers literature might be limited by
any of the following:
(1) Wear rating of the gears.
(2) Strength rating of the gears.
(3) Worm bending strength (bending fatigue failure at the
worm root diameter).
(4) Thermal rating (the maximum power that can be trans-
mitted continuously without the temperature of the
gearbox rising more than a specified amount above the
surrounding ambient). The normal maximum operating
temperature for standard gearboxes is 93°C (200°F),
but use of special lubricants allows higher temperatures.
If a gearbox duty cycle consists of short periods on load
and periods off load, then the allowable power trans-
mitted during the on-load periods may be considerably
higher than the stated thermal rating. Thermal ratings
can be increased by the use of cooling water circulated
through a coil in the gearbox sump, by circulating the
oil through a separate cooler, by fitting a fan, etc.
(5) Bearing capacity.
(6) Mechanical strength of shafts, keys, etc.
(7) Case stiffness.
Maximum speeds
Table I gives approximate maximum peripheral speeds for
various types of gear. Many of the speed limitations are
concerned with the acceptable noise level and what is

Table 1. Approximate maximum peripheral speeds (metres/second) for various types of gear, manufacturing process, and accuracies.

Manufacturing process and approximate accuracy

Plano- Hobbing or
generating profile
to BS436: Shaping to Hobbing to grinding to
Form 1967 BS436: 1967 BS436: 1967 BS436: 1967 Continuous
Type of gear cutting grade 9 grade 7 grade 6 grade 4 generation

Spur 1.5 5 10 20 40
Helical 2.5 10 20 75 150
Straight bevel 1.0 5
Spiral bevel (helical bevel) 7.5 40
Spiral (crossed helicals) 2.0* 7.5* 15* 50* 100*
Worm wheels 20* 50*

* Also subject to limitations on rubbing speed dependent upon transmitted load, material combination, and
lubrication.

29

Fig. 19. Wormfhelical gearbox for driving a furnace pusher in a
steelworks.
acceptable on one application may be unsuitable for
another, for this reason the figures should not be taken as
strict rules.
Maximum ratios
Theoretically there is no limit to the ratio which can be
designed into a single reduction gear stage, but there is an
approximate ratio for each type of gear above which the
materials are not being used economically; these values are:
spurs and helicals 8/ 1, bevels 5/1, worms 70/1. There are
exceptions to this on particular applications such as gear
rings on ball mills and kilns, where the mountings are an
integral part of the machine, but the values quoted are true
for 90% of cases.
Efficiency
The losses in a gear transmission system can be divided
into two groups: (1) 'load losses' which are proportional to
the load transmitted and are mainly due to tooth friction;
(2) 'no-load losses', which are constant for a given operating
speed and temperature and are due to churning of the
lubricant, oil seal friction, etc. The tooth losses of helical,
spur and bevel gears are small, because their tooth actions
are predominantly rolling. The no-load losses can vary
from a small proportion to as much as 80% of the total losses
depending upon the gear peripheral speeds and the types
of bearing used. A good practical guide to the efficiency of
this class of gear, mounted in anti-friction bearings and
lubricated with oil, is to allow 1% loss per gear mesh when
transmitting full load, at part load the efficiency will be
lower because the fixed no-load losses are a higher percent-
age of the smaller total load.
Worm gear tooth action is predominantly sliding, therefore
the tooth losses are high compared with helical, spur, and
bevel gears; they depend mainly on the lead angle of the
30
worm and the coefficient of friction at the contact, which
varies widely with speed. Formulae for worm gear tooth
efficiency are:
tan A.
Gear efficiency (worm driving wheel)
tan (A.+ r/J)
Gear efficiency (wheel driving worm) tan (A.- r/J)
tan A.
where A.= worm lead angle; r/J=angle of friction=tan- 1 J.l;
f.l =coefficient of friction.
Efficiencies of worm gear units at various speeds, sizes, and
ratios are given in Fig. 20; the values are approximately
correct for commercially available single reduction worm
gear units lubricated with mineral oil. Exact efficiencies
should be checked with the supplier as they may vary a few
per cent depending upon design proportions. Sleeve bearing
losses vary widely with speed design and lubricant viscosity,
if they are used in gear units their individual losses must be
calculated and added to the churning and tooth losses to
obtain the overall gearbox efficiency.
Self-locking of worm gears occurs when the back-~irive
(wormwheel driving the worm) efficiency is equal to or less
than zero, that is when the lead angle of the worm is equal
to or less than the angle of friction. Theoretically, under
static conditions this occurs when the lead angle is approxi-
mately 7°30', but in practice the uncertainty of the value
of the coefficient of friction and vibrations originating from
adjacent machinery cause wide variations, which make it
unsafe to rely upon worm gears to be either self-locking
or not self-locking unless the lead angle is made respectively
less or more than 7°30' by a generous margin. To be safely
self locking under static conditions the lead angle should
be less than 4°30'. It should also be borne in mind tpat worm
gears that are self-locking under static conditions have high
efficiencies when running at motor speeds. A typical example
of this is shown in Fig. 21, where the back drive efficiency
varies between zero and 78%. From the above it is clear
that apparently self-locking worm gears should not be used
to sustain loads without the use of a brake. If a worm gear
of low or negative back drive efficiency is used to drive a
high inertia load and a brake is fitted at the motorshaft,
then the braking cycle will generate higher than normal
torques at the low speed shaft of the gearbox, and the
inertia distribution in the system should be checked to
ensure that these loads do not exceed the capacity of the
drive. High inertia loads include crane slewing and travel
drives, bogey and boom drives, etc.
Noise level
Noise is generated from gearing due to the torque fluctua-
tions associated with transfer of load between the teeth in
mesh; it increases sharply with increase in peripheral speed
(tooth contact frequency) and to a lesser extent with increase
in tooth load. Noise from enclosed gear drives emanates
from vibration of gearcase walls and foundations which
are excited by the tooth fluctuations. Badly designed gear
casings or foundation structures can be the main reason for
 40 100
50
90
60

------ -----------
80
70
_.'
80 *- ,..""8
>
u /
I
zw I
0 I
;::: 90
u I
<1: u.. "#. 40 I
u..
a: w
95 30 I
I
20
I
2000 10

OL-----~-----L----~----~~
500 1 000 1 500 2000
- 1000
--------~-----------------
WORMSHAFT SPEED (REV/MIN)
600 z
Fig. 21. Typical variation of worm gear
400 >
~

w
efficiency with speed; 60:1 ratio worm
a: gears; 350 mm centre distance; (A)
200 fa
w
forward efficiency; (B) back-drive effi-
c..
en ciency.
100 ~
a:
0
~

GEARBOX CENTRE DISTANCE (mm)

Fig. 20. Approximate efficiencies of worm reduction gearboxes.

an excessively noisy transmission system. Under such
circumstances the use of the most precisely manufactured
gears might not control the noise level within desirable
limits. The type of gear used has a great effect on the noise
level. Worm gears generally have the lowest noise level due
to the low peripheral speed of the wheel and the thick oil
film between the meshing surfaces, resulting from the high
sliding velocities which characterise their tooth action.
Helical gears, bobbed or profile ground to precision limits
have almost as low a noise level as worm gears and because
of their high efficiency may often be preferred where noise
and efficiency are important.
When the power of a drive exceeds 350 kW helical gears
would be used because the power capacity limit of worm
gears is being approached. Precision ground spur gears
with suitable profile modification give fairly good results
at moderate speeds. Spiral bevel gears tend to be noisier
than helical gears because the manufacturing accuracy is
not as good, the overlap ratio of the teeth cannot be made
so high and their mounting accuracy and rigidity seldom
equals that of cylindrical gears.
Accurate tooth spacing, tooth shape and tooth alignment
are essential to low noise level. As the peripheral speed of
gears increases the manufacturing quality must improve
accordingly. When designing gears and casings, careful
choice of tooth particulars can reduce torque fluctuations
and thus noise level. Structural rigidity of gear wheels and
mountings, and the use of cast iron cases, are all helpful
features to suppress noise transmission.
Economic considerations
When it has been established that various types of gear
would be technically suitable for a particular application,
then the deciding factor is lowest cost. Choosing a gear
unit from a manufacturers range of standard products
usually achieves this object, and relieves the user of the
expense of holding spare components for vital process
plant. Reliability of standard products (correctly applied)
is higher than that of specially-built units, because all of
the designs have been through product testing and develop-
ment before introduction to the market, and subsequent
use on a wide variety of applications quickly eliminates
minor teething troubles which could otherwise occur.
As illustrated earlier there is such a wide range of standard
products available that the user still has a difficult choice
to make, and to evaluate the true cost, the effects of the
type of unit on connected equipment and the subsequent
maintenance and running costs should be examined. To
the initial cost of the unit should be added costs of the
coupling arrangements, foundations, installation work,
lubricant changes, power loss when running, maintenance

31
 DRIVEN MACHINE

DEAD LOA,DS LIVE LOADS

I I
I I
Fnctton Work done lmpulstve lnerttal
I I I I
Transmtsston losses Indeterminate Acceleration and
Fnctton m dnven Shock loads deceleration
mach me Impact when torques
crushmg ores Important factor
Matenal on h1gh mertta
Table 2. Gear application classification by load characteristic. fallmg onto dnven loads. e g
dnven rolls reversmg roller
If th1s type tables, machmes
of loadmg 1s With flywheels.
TYPE OF MACHINE Uniform Moderate Heavy excess1ve, slewmg and
load shock shock ~~~!'~"Fro0~
full
traverse dnves
on cranes
speed may occur

Agitators and mixers

Liquid, semi-liquid X Fig. 22. Breakdown of driven loads into
Variable density X proportions of different types of loading.
Blowers
Centrifugal X
Roots type X
Brick making machinery
Brick presses X
Coal briquetting machinery X Fig. 23. Torque/time diagrams showing types of gearbox
Conveyors loading.
Uniformly loaded X
Rough or non-uniform +VE TORQUE
material X
Reciprocating and shakers X 1 UNIFORM LOADING

Cranes FLT OF
Hoisting X MOTOR

Drawbench X
Elevators X

Feeders
Pulsating loads X
Reciprocating X
Hoists X
Kilns X
Laundry machines
Tumblers X TIME
Washers X

Lifts X
+VE TORQUE 3 REPEATED STARTING ONE
Line shafts X ROTATION

Mills
Hammer X
FLT OF
Paper mill drives MOTOR
Calenders X
Pulp beaters X
Pumps
Centrifugal and gear X
Reciprocating (3 or more
cylinders) X +VE TORQUE
4 REPEATED STARTING BOTH
ROTATIONS OR PLUG REVERSING
Reciprocating (1 or 2
cylinders) X
Rubber machinery
Calender X FLT OF
Masticator X MOTOR
Mixer X
Screens (vibrating) X
Stone crushers X
Textile machinery
Carding machines X
Looms X
Wire drawing machinery X
·VE TORQUE

32
 and production time lost. The total obtained for each type
of unit considered should be compared to make the best
decision.
Single reduction worm gear units of high ratio have
significantly higher power losses than other types, but set
against this is the low initial cost, high reliability due to
the small number of components and the low noise level.
Helical gear units have low power losses, but have higher
initial cost, often require two or three reduction stages
against one in a worm gear, and the extra components make
it slightly less reliable with a higher noise level.
Shaft mounting units are generally more expensive, but
eliminate the costs of low speed couplings, foundations,
and skilled installation work. Units which accept flange
mounting motors eliminate the costs of high speed couplings,
foundations, and skilled installation work. Standard units
are available which are lubricated for life, using extremely
stable synthetic lubricants; this feature eliminates the cost
of new lubricants, regular maintenance checks on oil level,
and time lost during maintenance.
Units are available incorporating a variety of gear types
which combine many of the advantages and eliminate some
of the disadvantages which have been mentioned. For
example, shaft mounting helicaljworm motorised units
incorporate helical gears to keep the ratio of the worm
gears low and thus the overall efficiency high; the number
of bearings used is the same as a single reduction worm
gearbox, so reliability is high, shaft mounting and flanged
motors are employed to cut coupling and skilled installation
costs. The gearbox cost is higher, but the overall cost may
not be.
INDUSTRIAL DRIVE APPLICATIONS
Nature of driven loads
Driven loads are of a composite nature and can be resolved
into proportions of different types of loading as shown in
Table 3. Service factors for gear drive units.
Duration of
PRIME MOVER service
h/day
Fig. 22. The various application characteristics found in
practice are composed of different proportions of each type
of loading. It should also be remembered that the propor-
tions of each type of loading vary on the same drive between
the moment of starting when 'stiction' must be overcome,
through the acceleration period when inertial loads may
be predominant, to full speed when 'work done' may be
the main component.
To simplify the selection of mechanical equipment, the
majority of applications have been classified into groups
describing approximately the severity of the drive charac-
teristics. The classifications are uniform load, moderate
shock load, and heavy shock load. Typical application
classifications are shown in Table 2. The classification, type
of prime mover and the required operating life then serve
as a basis for choosing a service factor, with which to
modify the transmitted power to take account of the parti-
cular conditions. Typical service factors are in Table 3.
Application classification tables apply to drives fitted with
normal motors and are only for guidance. They do not
cater for drives fitted with high torque motors, and applica-
tions where extreme repetitive shock occurs or where high
energy loads must be absorbed, as when stalling.
Repeated starting
When starting a drive from rest, the transmission is sub-
jected to the higher torques developed by the motor during
acceleration. If starting is frequent, then the starting over-
loads must be taken into account when sizing the drive,
particular attention being paid to the fatigue strength of
all components. Repeated starting in both directions
doubles the range of stress to be considered under fatigue
conditions.
Figure 23 illustrates graphically the torque characteristics
of different types of loading, and shows clearly how much
more severe is a reversing load, compared with uni-
directional loading, when considering the fatigue strength
Nature of load on gear unit
from driven machine
Moderate Heavy
Uniform shock shock

2 0.75 0.9 1.25

4 0.8 1.0 1.3
Electric motor or steam turbine 8 0.9 1.1 1.45
12 1.0 1.25 1.55
24 1.25 1.5 1.75
2 0.9 1.1 1.25
4 1.0 1.25 1.4
Multi-cylinder internal combustion engine 8 1.1 1.35 1.6
12 1.25 1.5 1.75
24 1.5 1.75 2.0
2 1.1 1.35 1.75
4 1.25 1.5 1.85
Single cylinder internal combustion engine 8 1.35 1.65 1.95
12 1.5 1.75 2.05
24 1.75 2.0 2.25

33

8
 APPLICATION

STALLING CANNOT OCCUR STALLING CAN OCCUR

Continuous runmng or
1nfrequent operat1on
Frequent starts/stops/
plug reversals
r
Stalling not expected, Stallmg occurs
(not more than 5 starts/day)
I but could occur regularly due to

I
accidentally nature of dnven load
Analyse load magn1tudes

I
and check fat1gue or m1suse of the
Assess seventy of shock load and strengths of all equipment
select from manufacturer's catalogue components m d nve
r--
I
I I I
(refer to gearbox
manufacturer for
select1on
Select dnve as 1f
stalling cannot occur,
but use a shear pm
ChOICe 1
I
Cho1ce 2

Umform Moderate Heavy coupling at the low

load shock shock speed s1de of the dnve
Select dnve Ftt a self
With SUffiCient resetting type
strength and of shppmg
fleXIbtllty to couplmg to
accept stall 1solate the motor
mert1a and
select the dnve
to accept the
overloads generated
due to the mert1a
of the dnven half
h1gh speed coupling
and geanng

Fig. 24. Systematic application analysis for selection of a drive system.

of the drive components. Cases 1 and 2 can be dealt with of the motor (a constant); and the stored kinetic energy in
by reference to manufacturers catalogues, but cases 3 and the rotating parts, which produces a torque that varies with
4 should be referred to the drive supplier, giving extra the stopping rate. In most drives the major part of the
information as follows: stored energy is in the motor rotor and the motor coupling;
(1) Motor starting torque. therefore when stalling occurs at the driven machine most
(2) Brake torque (when applicable). of the stored energy must pass through the drive. It is
(3) Plugging torque (when applicable). usually not practicable to use a slipping device at the low
(4) Uni-directional or reversing. speed end of a drive, due to size and expense. Figure 24
(5) Frequency of starts or reversals. classifies the different reasons why stalling occurs, and
(6) WR 2 of motor rotor and motor coupling. suggests ways of protecting the drive system depending
(7) WR 2 of driven machine (in case of travelling motions upon how often stalling occurs and whether the user can
the total weight moved by one drive and the travelling accept resetting time on safety devices.
speed).
(8) Types of couplings used.

Braking
When a brake is fitted to a drive its torque capacity normally
matches that of the motor. If for any reason a brake of
greater capacity is fitted this should be taken into account
when sizing the drive.
Plug reversing
The transient torques, in a drive which is subject to plug
reversals, can be higher than either the motor starting
torque or the theoretical plugging torque; this is possible
due to torsional flexibility of the system and should be
allowed for by the designer. Reversing roller table drives
are subject to this type of loading.
Application analysis
If an application cannot be placed under one of the headings
in the application classification table, it should be systemati-
cally analysed to check if it is possible to select from the
manufacturers catalogue procedure, or if it is necessary to
pass it to the manufacturer for more detailed appraisal of
the loading conditions. Figure 24 shows a logical system
for handling the problem.
Stalling of drives
When a sudden overload stalls a drive, damaging forces
come from two sources: electrical overload torque capacity
34
FUTURE TRENDS
Commercial gearing will need to be manufactured to
increasing standards of accuracy and from higher quality
materials for both high and low speed operation. The reason
for this is the increase in unit size of power generating plant,
process plant, and so on. The avoidance of breakdowns on
the large units is of prime importance and demands high
reliability from all components. Other things being equal,
reliability of gearing can be equated to accuracy and
quality.
Hardening processes. The use of surface hardening processes
is being extended to larger gear sizes; the machine capacities
are already available and improvements in design and
hardening techniques are helping to minimise distortions,
which in tum minimises costs of corrective processes such
as profile grinding of the teeth.
Split train drives. There is a trend towards the use of multiple-
contact/split-power-train drives for high torque applica-
tions. The main advantages are the low weight and small
dimensions which often make transportation to site possible
in the fully assembled condition, where a conventional unit
would require expensive site assembly under adverse
conditions. There are also cost savings on foundations and
factory space.
Shaft mounted drives. Shaft mounting of gearboxes of all
sizes will be more widely applied. The advantages here
concern cost saving on couplings, foundations, baseplates,
skilled installation, and in many cases even the frame of the
driven machine can be made lighter when freed from the
need to keep the drive shaft in accurate alignment with
adjacent floor mounted equipment.
Lubrication. The use of synthetic lubricants is becoming
more widespread on all types of gearing. The life of the
lubricant is so much greater than the alternative mineral
oils that a considerable saving is made on maintenance
costs.
Standardisation and metrication. There is likely to be more
dimensional standardisation of gearboxes and associated
products on a national basis. The trend should be accelerated
by the introduction of metricated products, because both
processes can be combined to minimise the costs of change.
35
 Chapter 4

Variable
Speed
Drives

D Gill
Crofts (Engineers) Ltd
Once it has been established by a machine designer or user
that there is a necessity for driving a certain piece of machin-
ery at a variable speed, the designer is able to select from
many and varied methods of obtaining a variable speed
output. The desired result may be achieved by three basic
methods: (1) Mechanically. (2) Hydraulically. (3) Electri-
cally. However, many forms of these basic methods are
available, resulting in considerable difficulty in narrowing
down the choice.

Mechanical variable speed devices have by and large tended

to fulfill the majority of drive requirements, particularly in
the low power fields, and it is intended here to examine the
technical aspects of the various types of mechanical device
available. One must acknowledge, however, that the
hydrostatic type transmission, whilst more expensive
initially, is available with inherently wide speed ranges up
to 30: 1, and that more recent electronic developments have
widened the choice still further by employing the thyristor,
or silicon controlled rectifier, in association with a d.c.
motor to provide an infinitely variable speed system with
a constant output torque throughout the speed range.

Each variable speed drive has its advantages and dis-

advantages and of course the economics of the installation
merits strong consideration. It is necessary, therefore, before
choosing a particular drive assembly to obtain certain basic
information about the particular machine to be driven,
The type of variable speed drive to choose depends upon:
(a) the application - normal loading or shock loading
conditions; constant torque or constant power require-
ment.
(b) The torque or demand power at the machine and the
limits of speed variation required.
(c) Whether the machine may be stopped in order to effect
the change of speed.
(d) Whether the machine demands frequent adjustments
of speed, or, once fixed, does the speed remain the same
for any length of time.
(e) Capital cost. Cost must be related to performance,
reliability, maintenance, replacement and relative period
of usage.
37

MAX.
a: ..... .....
.... ---
w ..... .....
~
0 /
/ definite number of fixed speeds and do not require pro-
a.. /
/ vision for means of infinitely varying the machine speed.
MIN. OUTPUT
Fig. 1. Power characteristics of variable speed drives: (A )
constant torque; (B) constant power; ( C) an intermediate
between constant torque and constant power rating.
The majority of variable speed drives are designed for, and
generally are required to run at, constant torque output
throughout their speed range, that is to say the power
absorbed by the machine varies in direct proportion to the
machine speed. In such a situation the selected drive must
be capable of transmitting the maximum power at the
maximum speed that can be developed (Fig. 1).
Soine machines, however, require the torque to vary
inversely as the speed, resulting in constant power loading.
A specific example of this condition is, say, a reeling drum:
as the diameter of the reel increases (as the strip is wound
onto the reel) so does the torque required to produce the
constant tension increase. Under these conditions it is
necessary to select a drive capable of transmitting the maxi-
mum power at the minimum speed, and it is apparent that
a physically large assembly is required.
Fig. 2. Section through 4-speed change-speed gearbox.
38
In a third group, eg fans, the torque may be required to vary
exponentially with the speed, the power capacity at the
highest speed again being the selection criterion.
--
-- ----
c ----
CHANGE-SPEED GEARBOXES
There are a number of applications which demand a
In such instances it may be appropriate to consider installing
a type of unit (Fig. 2) in which an appropriate number of
change gears are carried on a gearbox drive shaft. By move-
SPEED MAX ment of a simple hand lever control any one gear can be
brought into mesh with a mating gear mounted on an
intermediary layshaft. Proprietary gearboxes are available
usually giving 2, 3 or 4 speeds, though in theory there is no
limit to the number of steps that could be made available.
Such a unit provides a positive drive assembly and as such
is suited to operating under shock loading conditions. In
its simplest form the unit is of the 'crash change' type, thus
demanding that the driving and driven media are stationary
before a change of speed ratio is effected. The teeth on both
pinion and wheel of the change gears are chamfered to
facilitate engagement. This type of unit lends itself to
combination with a flange-mounted cage motor to give a
resultant compact integral drive assembly of overall
efficiency of the order of 96%.
Further types are available with a constant gear mesh; the
speed change being effected through internal clutches. The
maximum ratio of top-to-bottom output speeds available
is between 6: 1 and 7: 1, with reverse gear if required, and
standardised ranges of units cater for power requirements
up to some 45 kW (60 hp).
One type of gearbox provides for a large number of ratio
steps in arithmetic progression. In this unit a smooth
positive change of speed is attainable without the use of
clutches. This is achieved by the use of ratchet face dogs
between the gears on the layshaft cluster, the layshaft gears
taking the form of specially designed cone wheels. A single
sliding gear is splined to the output shaft, and speed is
changed by moving this gear from one cone wheel to the
next: the dogs permit the relative rotational movement
between the two cone wheels during the change. Units of
this type are available to give up to 13 speed changes in the
one box, and up to the order of 35 kW (45 hp) throughout.
INFINITELY VARIABLE DRIVES
An infinitely variable speed power transmission is a device
which converts a certain constant input speed (usually from
a high-speed electric motor) into some ratio of that input
speed; the resultant ratio may, within the limits of the
particular design, be varied at will.
Users often specify a speed variation ratio larger than is
actually necessary, because of the apparent desire to allow
for some possible future speed requirements. This is quite
wrong from an economic point of view, since a drive with

Fig. 3. Sectional arrangement of multiple ratio step gearbox
(courtesy Varatio Ltd).
a markedly higher speed range than that required not only
involves higher capital cost, but probably also has an
appreciably shorter service life. One should therefore select
equipment that has a lowest possible speed ratio compatible
with drive requirements.
Pulley systems
An opening and closing pulley system, using a transverse
ribbed rubber belt as the transmitting medium provides
the most economic and simple variable drive. Basically this
system consists of two or more pulleys connected by either a
standard or wide section V-belt. Speed ratio is changed
by adjusting the diameter of one or more of the pulleys.
Belt transmissions of this type normally have an overall
efficiency of 85-90%. The best efficiency is usually obtained
when the complete drive scheme is designed so as to ensure
that the maximum output speed obtainable from the vari-
able speed drive corresponds with the maximum speed
required at the driven machine.
Spring-loaded automatic-adjustment variable-pitch pulley.
The most common arrangement is to provide one variable
pitch pulley (which for economy is fitted at the high-speed
end of the drive) and one fixed diameter pulley keyed to
the driven shaft. The variable pitch pulley is designed to
fit on the shaft of an electric motor, the motor then being
mounted on a moveable platform. Lateral movement of
the sliding platform (which is mounted on top of a rigidly
fixed base) then has the effect of increasing or decreasing
the centre distance between the variable pulley and the
fixed driven pulley. This motion in tum results in an increase
or decrease in the pitch diameter of the variable pulley,
and hence a smooth stepless speed variation is obtained
on the driven machine.
Fig. 4. Sectional arrangement of automatic adjustment variable
pitch pulley (courtesy Crofts ( Engineers) Ltd).
The variable pitch pulley assembly consists of two cone-
faced discs, one fixed the other sliding, which are combined
to form a V-groove pulley. The sliding cone is held in posi-
tion by a tensioned spring which maintains constant driving
pressure on the V-belt.
Speed is normally varied manually via a handwheel on the
slide base; the adjustment is necessarily made whilst the
drive is in motion. One cone (the fixed one) is keyed to the
motor or input shaft, the other (the sliding cone) moves
relative to this. Therefore, as the belt moves down the
sloping face of the fixed cone whilst changing pitch circle
diameters, it also moves out of line with the driven pulley,
unless some correction is made. To allow for this, therefore,
the top slide of the motor base is set at an angle so that, as
the belt moves down the angular face of the variable pitch
pulley, the pulley itself (and the motor) are moved in the
opposite direction, so correcting the alignment.
It is possible to mount the fixed pulley on the motor and
the variable pulley on the driven shaft. However, with this
arrangement, variable speed is obtained but the belt
velocity is constant over the full speed range, transmitting
constant power.
Pulley types, operating on the same basic principle to that
described above, are available with provision in the design
of the variable pitch pulley to co-ordinate the movement of
the two cones; ie both cones are spring loaded, thus eliminat-
ing the necessity for the angled slide base. These pulleys,
however, tend to be more complex in design.
It is well to appreciate that with drives from high speed
electric motors flexing of the V-belt occurs very frequently,
and causes the cross section of the belt to alternate rapidly
39
 . DRIVEN
I PULLEY
/
Fig. 5. Schematic arrangement of variable pitch pulley drive ( courtesy Crofts ( Engineers) Ltd).
between tension and compression (eg 25Hz for a 1500 rev/
min motor). If the belt is used on a pulley where the cones
are held together by spring pressure (as described above)
and the minimum pitch diameter is being used, then this
is the condition when the spring pressure is at a maximum,
which amplifies the distortion of the belt, and the result is
reduced belt life. To deal with this problem, springs are
made available in two strengths, standard and 50% of
standard. If it is known at the outset that a drive is to operate
at the minimum pulley cone diameter for most of its work-
ing life, it is usual to select a larger size pulley and fit a
weaker spring. In this way, the life of the belt can be
increased and the maintenance reduced.
Bearing in mind the above inherent features, and provided
that the correct drive has been selected, the user can reason-
Fig. 6. Variable pitch pulley with both cones spring loaded
(courtesy J H F enner & Co Ltd).
40
ably expect to attain a belt life of approximately 10 000
hours if alignment and other factors are correct. When
replacement becomes necessary this is neither costly nor
difficult.
This type of pulley is a common choice on drive applica-
tions where a speed variation up to 4: 1 is required, and is
available for transmitting up to 60 kW (80 hp) at a constant
torque. In order to obtain the higher power capabilities
two sets of cones are arranged side by side to form a dual
belt assembly. With this arrangement speed variation
ratios are normally limited to 3: 1.
The power that may be usefully transmitted by any belt
drive is a function of the belt tension and its velocity, the
basic relationship being :
effective belt tension x belt velocity
power a constant
(in British units: horsepower, tension in lb, velocity in
ft/min, constant= 33 000).
As size of a pulley is increased, it follows that its peripheral
velocity also increases for a given shaft speed. This can
become objectionable or even dangerous, and for this
reason the maximum allowable belt velocity is usually
restricted to around 30 m j s (6 000 ftjmin).
The maximum and minimum driven pulley speeds, are
calculated from the following (speeds in the same units,
eg, rev/min):
Minimum output speed= input or motor speed x (minimum
PCDv)/PCDn
Maximum output speed= input or motor speed x (maximum
PCDv)/PCDn
where PCDv and PCDn are, respectively, pulley cone
diameters of variable and driven pulleys.
If a user is uncertain of the optimum speed to drive a
particular machine, he may use a variable pitch pulley
experimentally in order to find the best speed to work his
machine; and having found that speed, may leave the pulley
at one fixed setting for a long time. This may lead to a pulley
becoming stuck so that it cannot be moved when a change
of speed is required. This condition is usually caused by
fretting corrosion: continual rotation of the pulley with
the belt in position causes the sliding cone to rock slightly
on the support from the fixed cone. Grease which is nor-
mally between the sliding parts is squeezed out by this
pumping action, the bore becomes dry, and seizing can
occur.

Manufacturers suitably treat the mating parts to prevent

any oxidation, but nevertheless it is always strongly
recommended that pulleys of this type be grease lubricated
little and often, making sure that grease does not leak onto
the cone faces. It is further recommended that units be
moved frequently throughout their entire speed range in
order to re-coat the surfaces with grease. Fig. 8. Arrangement of dual type variable pitch pulley.

When using spring loaded pulleys, sudden increases in

machine loading have the effect of increasing the belt
tension, and tend to open the pulley cones against the spring
pressure. In practice, the automatic adjustment pulley is
designed mainly for use on normal duty applications sub-
jected to steady loading conditions, and where the speed is
required to be changed during machine operation. As
previously stated, operation is normally by handwheel
control but other methods of manual control or electric
remote control can be arranged to suit the operating con-
ditions and the position of the installation.
Stationary adjustment type variable-pitch pulley. Should a
drive be subjected to heavy shock loading and/or very
heavy starting loads, a springless type of variable pulley is
available. This is essentially similar to the automatic adjust-
ment type, except that the pulley must be stationary to
change speed. A change of speed is carried out by removing
the screw which locks the screwed nut. The belt is slackened
by moving the slide base platform, the belt is set in the
approximate position in the groove, and the cones are
adjusted to suit, by means of the screwed nut. The belt is
then tightened by means of the adjustable base, and the
locking screw re-fitted to the screwed nut.
Because there is no spring pressure on the cones, these
pulleys behave exactly like fixed diameter V pulleys, the
pull of the belt holding the sliding cone against the adjusting
nut. Such a design is more suited to an application involving
high starting torques, and fluctuating and shock loading.
Size for size pulleys to this design may be used for higher
powers than the automatic spring-loaded type, because
the cones are positively held. Taken overall, a cost advantage
may be gained, though obviously the stationary adjustment
type may only be incorporated if the machine speed can
be varied whilst the drive is stationary; and furthermore,
provided that speed variation is only required at infrequent
intervals. Speed ratio and power ratings are generally as
for automatic adjustment pulleys.
Positive-control variable-speed pulleys. One disadvantage
of the previously described type of transmission is the
necessity for stopping the machine in order to change
speed. A further development, in order to overcome this
problem, led to the design of a positive springless type of
variable pitch pulley, in wpich the opening and closing of
the pulley cones is actuated through a thrust bearing by a

Fig. 7. The effect on a drive belt offlexing round a small pulley. Fig. 9. Positive spring less variable speed drive (courtesy Crofts
OUTER FACE ( £11gineers) Ltd).

RADIUS R I
IN TENSION R

41
screwed spindle and flexible shaft connected to the operating
screw and handwheel on the adjustable motor slide base.
Synchronisation of the base movement, or travel, and the
opening of the cones to adjust the diameter takes place,
ensuring constant tension in the belt whilst speeds are
varied.

Operation does not depend on springs and therefore the

pulley functions as a solid V-pulley drive throughout the
speed range, and is especially suitable for applications
where drives have fluctuating and/or shock loads. The type
is available for powers up to 60 kW (80 hp) and speed
variation ratios up to 4: 1.

It should be pointed out that the use of the word 'positive'

in connection with this unit refers to the type of control,
and because V-belts are used as the driving element, there-
fore slip and belt stretch can take place; hence speed is not
maintained strictly constant under varying loads.

The automatic adjustment and stationary adjustment

pulleys described have a speed variation limitation of 4 · 1 .
In order to obtain an infinitely variable speed range in
excess of this, one method is to combine the two types; ie
a manual control type variable pitch pulley mounted on
the driving shaft, connected (by V-belt) to an automatic
adjustment pulley on the driven shaft. Altering the motor Fig. 11. Section of belt-driven enclosed-type variable-speed
a embly (courtesy J H Fenner & Co Ltd).
pulley diameter manually causes the belt to rise or fall in
the groove of the automatic pulley against the spring
pressure, and so the driven speed is changed. With this
arrangement it is possible to obtain speed variations up to expensive adjustable speed mechanisms. In one arrange-
15: I. Since both pulleys are variable the belt velocity also ment of this type a fixed motor pulley transmits power to a
reduces in proportion to the ratio, therefore such assemblies fixed driven pulley via two variable pitch pulleys located on
transmit between constant power and constant torque. The a countershaft. The central sheave of the two countershaft
power they transmit at the minimum speed is given by : pulleys is floating, and speed variation is accomplished by
. . d power at maximum speed shifting the position of the countershaft forwards or back-
mtmmum-spee power= . wards, so that the effective pitch diameter of one belt
vratlO
increases as that of the other decreases in proportion.
. . d inputspeed Ideally both belts should be arranged in the same straight
mtmmum output spee = .
yratto line, but if needed one or both may be at an angle up to
30°.
maximum output speed=input speed x yratio
In the small power field, say up to 7.5 kW (10 hp), this vary-
Dual pulley countershaft systems. This type of drive meets
speed arrangement is an economical method of obtaining
industry's demand for a simple, flexible, small-power speed
speed variation ratios up to 7: I, and within its power and
control where it is neither necessary nor practical to use
speed range the field of application is practically unlimited.

Enclosed variable-speed units

Fig. 10. Typical arrangement of countershaft system.
The devices so far examined are 'open type' assemblies
which in certain instances, depending on the nature of the
machine and/or operation, may not be convenient. Also,
the use of open type drives generally places the onus on
the installer or user for ensuring that drive alignment is
correct before commissioning. Malalignment is usually the
main contributory factor when premature belt wear is
investigated.

A variety of enclosed type units are available which, in

general, have better performance and more favourable
operating characteristics than those dealt with previously,
42
but which are initially more expensive. The operating
characteristics are generally as previously outlined, units
working on the opening and closing cone principle, one set
of cones being mechanically opened or closed, the other
cones spring loaded and operating in sympathy with the
manually controlled pulley. Power transmission is by a
special wide-section V-belt having transverse ribs to provide
lateral rigidity.
An enclosed assembly of this type is very convenient for
combining with a flange-mounted electric motor and also,
if speed conditions demand it, an integral reduction gearbox
of either spur or single helical form. Combination of the
three basic parts, ie motor, variable speed assembly, and
reduction gearbox, provide a single compact unit, particu-
larly useful for installations in a limited space, which merges
smoothly and neatly into modem machine designs. A
variety of assembly types are available to satisfy the majority
of needs.
Power capabilities are up to 15 kW (20 hp) with speed
variation ratios up to 8: 1 usually on a constant torque
basis. An alternative self-contained drive is available for
larger powers and variations in speed utilising a hardwood
lagged or metal lagged slatted belt. The operating principle
is described as follows: two sets of cone discs move laterally,
apart or together, on their respective shafts causing the
transmission belt to assume different diameters - thereby
increasing or decreasing the speed of the driven shaft. This
adjustment is effected by means of two operating levers
attached to the cones and pivoted at a point midway between
the constant speed and variable speed shafts. The operating
levers are controlled by a right and left hand threaded
screw which, when rotated, regulates the movement of the
cone discs.
This transmission unit is sometimes looked upon as being
a little old-fashioned, but many thousands are in use
throughout industry in widely diversified installations,
transmitting up to 100 kW (130 hp) with speed variations
from 2: 1 to 16: l and a drive efficiency of approximately
90%.
Fig. 12. Variable speed hardwood-faced gear belt (courtesy
Crojis (Engineers) Ltd) .
Fig. 13. PIV chain in engagement with the cone wheel ( courtesy
Platt International Ltd).
Positive infinitely variable gears
It is apparent that a wide range of drives are available all
of which utilise a rubber or wooden belt of V form as the
transmission medium. One shortcoming of these types is
the fact that speed is not maintained strictly constant under
varying loads because of belt slip, stretch, and so on.
In the PIV (positively infinitely variable) gear, power
transmission does not depend on friction, but is effected
positively through a slat-type chain, each link of the chain
containing a cage fitted with steel slats; these slats are able
to move transversely, as well as to adjust themselves radially
in order to fit into the radial grooves of the cone shaped
wheels. Stepless variation of speeds up to a range of 6: 1
can be obtained, the speed being adjusted by hand control
whilst under load.
Three basic types of PIV unit, all totally enclosed, are
manufactured by a number of companies. These units
transmit up to 55 kW (75 hp) between constant horsepower
and constant torque with a peak efficiency around 90%.
All-metal friction VS drives
The distinguishing feature of the all-metal contact friction
drives is that rotary motion is transmitted from input to
output by friction through line or point contact, speed
variation being made by altering the relative positions of the
Fig. 14. Basic arrangement of friction type variable speed
assembly.
INPUT DRIVE
OUTPUT DR IVE
2 N2 REV/ MIN
T2 TORQUE
43
rotating members which are often balls or cones. Their
power transmission depends on a high contact pressure
between the driving members, the pressure varying with
torque requirements. The drive can skid when subjected to
sudden loading, resulting in increased wear of the drive
unit. (See also Chapter 16.)
A basic design of this type, known as the H-gear, can be
likened in design to the belt driven transmissions previously
described, the main difference being that the flexible belt
is replaced by a steel ring. Movement of rotating cones
allows the ring to take up different positions on the respec-
tive cones.
The FU variable speed unit operates on the principle that
a double conical roller is mounted between input and out-
put discs. By altering the roller position, either up or down,
the effective rolling diameter on the disc is changed and the
output shaft speed is varied. Units are manufactured in
single or four roller types and transmit between constant
horsepower and constant torque, speed variations up to
6:1, and powers up to some 50 kW (65 hp) from standard
models. Power transmitting capabilities are probably the
highest of the many friction drives available.
One of the most successful designs operating on the
friction principle is the Kopp Variator, of which the
operational principle is shown in the accompanying
diagram. Power is transmitted from the input shaft through
a pressure device to the input drive cone, thence to a series
of drive balls. The axes of the drive balls can be tilted to
produce a difference in contact radius and therefore a
speed variation. Steplessly variable output speeds are
44
1 1 RATIO 1.3 REDUCTION 3.1 INCREASE
Fig. 15. Mechanical principle of the Kopp Variator (courtesy
Allspeeds Ltd).
obtained from one-third of input speed minimum to three
times input speed (maximum), an overall range of 9: 1.
Efficiencies are between 70% and 90% depending on the
ratio of speed variation. The main characteristics of this
type of unit are its speed holding and sensitivity of control.
Units have a constant power output characteristic, which
means that they have excess power capacity for applications
which only require a constant torque.
Impulse drives
A further type of positive variable speed drive that meets
the needs of a small field of application is the impulse drive.
In this design a variable stroke mechanism, driven by the
prime mover, acts upon a one-way clutch or freewheel,
which transmits a turning moment to the output drive and,
as its generic name implies, gives pulsating movement to
the output shaft. Such drives are useful on low power
applications (say, up to 7.5 kW; 10 hp) when it is necessary
to provide a high ratio of speed variation.
 Chapter 5

Miniature Gears

R Nichols FCAe CEng AFRAeS AMCT

Reliance Gear Co Ltd

This chapter deals with miniature gears which, in common

with their larger counterparts in the power transmission
field, may be classified according to application, pitch, and
quality. Miniature gears are used in three main application
groups:
Low-power gears. This group encompasses the many
applications of medium duty gears used in commercial
products such as home appliances, power operated hand
tools, toys, and small industrial equipment. In this group
light or medium power requirements ranging from a few
gfcm torque to about 750 W (1 hp), plus motion transmis-
sion, are the important functions.
Precision, or instrument gears. This group comprises gears
which are usually small in diameter (up to approximately
120 mm) and of relatively fine pitch. Motion transmission,
often coupled with high indexing accuracy and low backlash
are of primary importance. Their precision ranges from
low to the very highest. Applications include instrument
drives, automatic control systems including servomechan-
isms, and computers.
Horological gears. Gears used in clocks and watches con-
stitute a special group of miniature gears which are not
dealt with here. Readers seeking information on these
gears should consult reference (1).
Pitch classification. Diametral pitches shown in parentheses
(DP) are the nearest recommended 'standard' pitches.
Coarse pitch gears. These are coarser than 1 module (24
DP). They are generally used for power applications and
the majority are of commercial quality. Pitches coarser
than 1.5 module (16 DP) are not used in the low power
applications considered in this chapter. ·
Fine pitch gears. This class covers pitches of 1 module (24
DP) and finer, usually up to 0.2 module (120 DP), although
involute-form gears have been produced at 0.125 module
(200 DP), and cycloidal-form watch gears are produced as
fine as 0.075 module (350 DP). The majority of precision
and instrument gearing is fine pitch. Figure 1 shows a
variety of fine pitch gears.
45
Quality classification. (1) Commercial gears. This is the least
precise gear group; applications are broad and varied,
being largely in consumer products and industrial equip-
ment. These gears are produced by methods favouring high
production and low cost. Sizes range from small to very
large and encompass both coarse and fine pitches.
(2) Precision gears. Closer control of gear function and
performance is provided by this gearing; application and
demand is more limited than for the commercial class. The
instrument servomechanism and control fields are the
largest users of these gears in the miniature range. Manu-
facture requires high quality machines, good procedures
and sometimes secondary refining processes such as grind-
ing or shaving. A further quality class of gear referred to
as ultra-precision is used in some literature, but this is
simply an extension of the precision class to represent
gears which have the very best quality.
Choice of gear type
In specifying a gear drive, it is important to consider which
type of gear is best suited to the application. This choice
may be limited by the geometry of the respective shafts, or
by the motion to be transmitted, but where accuracy of
motion is required the choice of gear type may take pre-
ference over other considerations. Having decided the type
of gear to be used the designer must then become familiar
with the analytical geometry of the type, and here it should
be noted that modern gearing (except for clock gears) is
based on involute curve teeth having a pressure angle of
20°. An understanding of such features as gear tooth form,
its generation, and action of contact, are important for the
designer, the theory is beyond the scope of this chapter but
many excellent books are available and any of the references
(2 to 5) provide necessary information.
Every type of gear is to be found in the miniature range,
but those most frequently used are spur, helical, internal,
bevel, worm and wormwheel; the most important features
of these types are now considered, and the fundamental
formulae of these gears is given in Table 1.
Spur gears
Used to connect parallel shafts, spur gears are by far the
most commonly used type of gear. They provide a relatively
simple tooth element, which is comparatively cheap to
produce, and which lends itself to maximum precision in
manufacture and inspection. Spur gears operate satisfac-
torily with fairly wide tolerances on centre distances, due
to the contact conditions of the involute profile. Where
backlash is critical, as in servomechanisms, close tolerances
on centre distances must be maintained or some backlash
eliminating device must be used. Spur gears are tolerant of
axial misalignment. Where inertia is critical these gears
have the smallest inertia when the pinion is cut directly
on the motor shaft; this is available as standard on many
instrument motors. The efficiency of spur gears can be as
high as 98% per pass, and with correct design a long
service life can be achieved. Special care is necessary in
the design of spur gears which are to be used in vibration
conditions, especially in a gear train which may remain
46
Fig. 1. Typical range offine-pitch precision gears.
static for long periods. Here, fretting between the teeth
may occur due to breakdown of the lubrication film,
though in this respect there is very little to choose between
any of the gear types, and the best remedy is to make one
of the mating pair of plastics material if accuracy require-
ments permit; alternatively, both gears should be hardened.
Helical gears
Helical gears are used to connect parallel-axis shafts, in
which case the helix angles of mating gears must be equal
but of opposite hand. Helical gears are also used to connect
shafts whose axes lie in parallel planes (crossed helicals);
the tooth spirals of the two gears need not necessarily be
of opposite hand, but the sum of the helix angles must equal
the angle between the shafts. Tooth contact in these cases
occurs at one point only, although this is enlarged due to
local deformation of the surface. The load carrying ability
and efficiency of these gears is low. Unlike spur gears and
parallel axis helicals the gear ratio of crossed helicals
cannot be determined from the ratio of the reference
cylinder diameters alone, since these can be altered by
adjusting the helix angles. The speed ratio must be deter-
mined from one of the following expressions:
Speed ratio=21
z2
d&l cos pl
---'~
or= --::--
da2 COS P2
where: Z =number of teeth; da =outside diameter ; p=helix
angle; suffixes (1) =pinion, (2) =gear.
To design a mechanism employing crossed helicals the
work done by W A Tuplin2 should be consulted. In both
parallel and crossed shaft applications helical gears develop
an axial thrust load which must be considered in the design
of the bearings and the housing. The magnitude of the thrust
load depends on the helix angle and is given by :
WT=Wt tan p
where WT=axial thrust load ; Wt=transmitted load; the
direction of this load is related to the hand of the helix,
and the direction of rotation.
The axial thrust can be eliminated by using double helical
gears but they are unusual in the miniature field. Where
space permits double helical gears can be made by using
opposite hand single helicals back to back. Helical gears
are slightly more complex to produce and inspect because
of the helix angle but generally they can be produced to an
accuracy comparable with straight spur gears. Helical gears
correctly designed have a virtually constant length of line
of contact for all stages of engagement, because all phases
of tooth action occur simultaneously. To ensure that this
is so, the following condition must be fulfilled:
Face width>- 1 0
Axial pitch=--- ·
(axial pitch= nm/sin Por n/psin /3).
This ratio is usually called the overlap ratio, and values of
7: 8 are used in large power transmission gears. In the
miniature range an overlap ratio of 0.5 is sometimes used
to ensure a smooth rolling action where space limitations
dictate the use of narrow face gears. As a result of the in-
creased tooth contacts, and load sharing, tooth deflection
is controlled and, though some modifications to the tooth
profile in both longitudinal and transverse planes take place
due to deflection, difficulties associated with the fluctuating
tooth deflections are absent. Helical gears can therefore
be run at very high speeds and carry higher tooth loads than
the same pitch of spur gears. For low-power gearing helicals
are frequently used not only because of their higher load
rating compared with spurs, but because about one-third
reduction in noise can be expected in any given application
providing the quality of the helical and spur are comparable.
The efficiency of helical is about the same as spurs.
Where precise control of backlash is important, helicals are
seldom used. The axial thrust produces end float on shafts
which is difficult to eliminate completely; because of this,
spur gears are always used where low backlash require-
ments must be met, as in servomechanism. With respect
to inertia and environmental limitation, helicals are identical
to spurs.

Table 1. Summary offundamental formulae.

SPUR GEARS
TO FIND KNOWING FORMULAE

Number of teeth (Z) and Z Zpc

Pitch diameter (dw) dw=-=-
Diametral pitch (P) p n
Diametral pitch (P) or number of teeth n ndw
Circular pitch (Pc) Pc=-p=z
and pitch diameter
Circular pitch or number of teeth and P=!!_=!_
Diametral pitch (P)
pitch diameter Pc dw
ndw
Number of teeth (Z) Diametral pitch and pitch diameter Z=dwP=-
Pc
Outside diameter (da)
DP and pitch diameter or DP and 2 Z+2
da=dw+-p=----p-
*
number of teeth
Root diameter (dr) Pitch diameter and dedendum {hr) dr=dw-2hr
Base circle diameter (db) Pitch diameter and pressure angle (IX) db=dw COS IX
Base pitch {pb) Circular pitch and pressure angle Pb=Pc COS IX

Tooth thickness (S) at Standard

Circular pitch S=Pc=ndw t
Pitch diameter 2 2Z
1
Addendum (ha) Diametral pitch ha=-p *
Pitch diameter or number of teeth -d +d _ Z, +Z2 Pc(Z, +Z2)
Centre distance (a) a- w, w,- 2P 2n
and pitch

Contact ratio (e)

Outside radius, base radius, centre e Jra~- Tb~ + Jrar- rbt- a sin IX
distance and pressure angle Pc COS IX

Backlash (linear) (j) Due to change in centre distance (~a) i=2(&a) tan IX

Backlash (linear) (j) Due to change in tooth thickness i=~S

Backlash (linear) along line of Linear backlash along pitch circle hA=j COS IX
action ULA)

Backlash angular Ua) Linear backlash ia=6880 j_

dw
Min. number of teeth for no 2
undercutting
Pressure angle Z=--
sin21X

*Not applicable to DIN.58400 Standard: see relevant specification for formulae. Table continued overleaf
tNot applicable to BS 978 Part 1. Fig. 2, Tooth form.
Suffixes (1) = Pinion or worm; (2) =Gear wheel.

47
Table 1 continued

HELICAL GEARS

TO FIND KNOWING FORMULAE

Normal circular pitch (PcJ Transverse circular pitch (Pc) (pc,) =Pc cos P (P=helix angle)
p
Normal diametral pitch Pn Transverse diametral pitch P Pn=--
COS p
Axial pitch Px Circular pitches Px=Pc cot P= f!c
Sin
p
Normal pressure angle ( 1Xn) Transverse pressure angle (IX) tan IXn =tan IX cos P
Pitch diameter Number of teeth and pitch
z z
dw P Pn COS P
Z1+Z2
Centre distance (parallel-shafts) (a) Number of teeth and pitch a
2Pn COS P

Centre distance (crossed-shafts) (a) Number of teeth and pitch

a=2~n (co~ 1 P1 + co~ 2P 2)

Shaft angle (crossed-shafts) (8) Helix angles of two mated gears B=P1+P2

WORM GEARS

Pitch diameter worm (dw,) Number of teeth (Zw) and pitch

ZwPc,
dw 1 = - }
- . - (Pen =Pc COS Y
n Sin y

Pitch diameter of worm gear (dw,) Number of teeth (Za) and pitch dw = ZaPc,
' n cos y

Lead angle ( y) Pitch, diameter, number of teeth y=tan- 1 _!__ =sin- 1 Zpc,
Pdw, ndw,
ZwPc,
Lead of worm (Pz,) Number of teeth and pitch Pz 1 = ZPc=--
cosy
Normal circular pitch Lead angle and transverse pitch Pc,=Pc COS Y
dw,+dw,
Centre distance (a) Pitch diameters a 2

Centre distance (a) Pitch, lead angle and number of teeth a= Pc. Z G r
2n li:os y sin y
+ Zw ]

Velocity ratio (u) Number of teeth u=~:=Zafor single start worm

BEVEL GEARS

Velocity ratio (u) Number of teeth

z1
u=z2
dw,
Velocity ratio (u) Pitch diameters U=-
dw,
sin <5 1
Velocity ratio (u) Pitch cone semi-angles u= sin <52
Shaft angle ( ~) Pitch cone semi-angles ~=<51 +<52

Internal gears Internal gears enable a high torque output to be obtained

Internal gears are used to connect parallel axis shafts. These
gears may be spur, single helical, or double helical, although
in the miniature range the latter type is not used. The
manufacturing method required for tooth generation is less
accurate than for external teeth, and precise inspection is
difficult. Internal gears are shaped with a pinion style cutter
or they may be broached; there are physical limitations on
the smaller diameters.
48
from epicyclic gear boxes of cylindrical design. The output
gears may be nearly as large as the box diameter and tooth
load sharing can be arranged between floating planetary
assemblies. In grease lubricated boxes a further advantage
of the internal is its ability to retain grease, which tends to
be centrifuged off external tooth gearing. High speed
reductions, up to 500:1, can be obtained in a one stage box
by suitable design. Efficiencies of 67% can be expected in
speed reducing trains, but only about 50% when the same
design is driven in the step-up direction; these efficiencies
are almost independent of ratio. High reflected inertias can
result from the use of planetary gearing and this aspect
should be carefully checked in critical inertia applications.
The overall backlash can be kept quite low by careful design,
but this factor also requires very careful examination.
When the radius of curvature of the wheel is infinite, a rack
is formed. A rack and pinion may be made with straight
spur teeth or with single-helical teeth. In both cases line
contact occurs at the teeth similar to ordinary spur and
helical gears. Rack and pinion drives are frequently used in
measuring applications where a linear to rotary motion is
required; for example encoder and digitiser drives for
machine tool numerical control, and position read-out.
Racks of very high precision are available as standard
items for these types of application.
Bevel gears
Where the shaft axes lie in the same plane and intersect,
bevel gears are used to connect them. Although any desired
angle between the shafts can be used within practical limita-
tions, 90° is the most common. Teeth may be parallel to
the shaft axes resulting in 'straight' bevel gears, or the teeth
may be inclined to the shaft axes giving 'spiral' bevel gears.
The tooth actions are essentially similar to those of spur or
helical parallel shaft gears. The tooth form of bevel gears
departs slightly from the true involute curve, but pairs of
wheels and pinions have a true action when correctly
mounted with their pitch cone apexes coincident and shaft
angles correct. Bevel gears should aways be purchased in
matched pairs. These gears are complicated to manufacture
and inspection becomes more involved because of the many
variables in geometry. Due to manufacturing limitations,
the face width of bevel gears should not exceed about one-
fifth of the pitch cone length. Where very accurate trans-
mission of motion is required, bevel gears should be avoided
if possible. Apart from the inherent errors which occur in
manufacture, the mounting of bevel gears is very critical
in precision applications. The efficiency of bevels is com-
parable to spur or helical gears.
Worm gears
Two main types of worm gearing are used in the miniature
range. One is similar to the power engineer's worm gear
in which the wormwheel is throated, to wrap round the
worm for maximum contact. The other, which is more
common in lightly loaded instrument drives, employs a
spur or helical gear meshing with a worm.
Worm gearing is the most versatile of the types of gears
suitable for connecting shafts lying in parallel plane whose
axes do not intersect. A wide range of ratios, usually between
5: 1 and 70: 1 can be achieved at the same centre distance
and the load carrying capacity is high throughout the range.
The shaft angle of 90° is usually employed, but other angles
may be used to meet special requirements. Where high
reduction ratios are required, under medium power con-
ditions the worm gear provides a very satisfactory solution.
Fig. 2. Basic rack and reference dnta.
The accuracy of worm gears is not comparable to spurs and
helicals since, although the worm can be accurately made
and precisely inspected, the throated wheel is complex and
cannot be inspected with a very high degree of accuracy in
normal production.
Assembly of worm gears is critical for satisfactory meshing
conditions and involves precise alignment of the worm
with its wheel. The lubrication of worm gears is very impor-
tant and generally involves a sealed oil-filled housing for the
gear, although special greases are available suitable for
use in instrument and domestic appliance worm drives.
The wear on a worm and wheel pair is significantly greater
than in other types of gearing, except crossed helicals,
because of the pure sliding action at the tooth contact
surfaces. The efficiency of worm drives is generally quite
low, being in the region of 25% to 35% for high-ratio single-
start miniature pairs. This can be improved to about 50%
if a spur or helical reduction pass can be mounted on the
worm shaft and by using a multi-start worm. In instrument
and servo drives the low efficiency of the worm gear is a
serious problem since it implies a high static friction which
reduces discrimination and accuracy of the system, and it
may necessitate the use of a larger motor to give the required
speeds and accelerations. Manufacturers do not offer, as
standard, motors with the worm cut directly on the shaft,
but specials are available and if used the reflected inertia
can be lower than spurs.
Worm gears are generally cheaper than spurs and helicals
when manufactured in large production quantities, but the
initial tooling required is more expensive, and for small
quantities spur and helical gears are the cheapest form of
gearing.
GEAR STANDARDS
Because gears are fundamental rotary transmission ele-
ments, standards have been developed to ensure interchange-
ability, uniform designs, common tooling and economic
manufacture. Unfortunately most countries have developed
their standards independently, and the result is that slight
differences exist which in some cases precludes interchange-
ability between gears cut to different standards.
Table 2 shows a comparison between five different fine pitch
standards for 20° pressure angle involute spur and helical
gears, which are in use in the United Kingdom, USA, and
49
Germany. The latter standard is also frequently used in
other European countries.
Useful current standards include: (1) BS978 Part 1; (2)
Admiralty Working Party on Gearing BR6001 (1); Ameri-
can Gear Manufacturers Specifications AGMA236.04,
AGMA309.01. However, since these are amended from
time to time by their issuing Authority, it is most important
to consult the latest editions wherever contractural obliga-
tions apply.
GEAR INSPECTION
Functional performance of a gear can only be assured if
the critical dimensions and parameters are correct. There
are many aspects of gear inspection and the subject is too
vast for complete coverage in this chapter.
Table 2. Comparison of standards for involute spur and helical gears (fine pitch series).
Measurement of a spur gear involves checking the following
parameters: outside diameter; tooth thickness; tooth pro-
file; pitch error; concentricity of reference circle to bore;
lateral run-out of the gear blank face; tooth alignment;
bore diameter; face width, overall length etc; metallurgical
condition.
Helical and worm gears require the following additional
checks: helical lead angle; tooth helix angle (tooth align-
ment). Bevel gears and throated worms have additional
elements which require inspection, and these may be special
to their design.
Considering a spur gear, it is important to realise that most
machine-cut fine-pitch gears are produced with a generating
cutter (hob), which is frequently of the 'topping' kind. This
means that the gear blank is turned to within 0.08 to 0.10

Footnotes (1) (6) (8) (2) (6) (3) (7)

Specification BS978 BS978 AGMA 207.04 DIN58400 DIN867
Symbol Part 1 Part 1
in Fig. 1 Fig. 2
Tooth parameter Fig. 2 (1968) (1968)

Pressure angle 200 200 200 200 200

Addendum 1/P 1/P 1/P 1.1 .m 1.0.m
1.35.m for 1.10.m or 1.30.m
modules depending on
1.4 1.4 1.~00 +.002" 1.0 to 0.6 manufacture
Dedendum hr p p 1.50.m for and special
modules finer requirements
than 0.6

Basic circular tooth thickness 1.5708 1.4136 1.5708

on reference line
s p p p 1.5708.m 1.5708.m

0.394 0.507 not not not

Fillet radius on basic rack fo11 ----p- -p- standardised standardised
standardised

p 20, 24, 32, not specified but 0.1' 0.2, 0.25, 0.3, 0.4, 0.5, 0.6,
Preferred pitches or 48, 64, 72, 80, 96, same as BS978 0.3, 0.4, 0.5, 0.7, 0.8, 0.9, 1.0
m 120, 140, 160, 200 are normally used 0.6, 0.8, 1.0 and coarse pitches
(P) (P) (m) (m)

0.3 0.3 none

Tip radius fo p p none none
optional optional
Minimum number of teeth on 12 18
18 18 20
pinion to avoid undercutting
Minimum number of teeth 5 8
8 10 7
possible*(4)

(1) BS=British Standard. (2) AGMA=American Gear Manufacturers Association. (3) DIN=German Standard.
*(4) In order to produce this minimum number of teeth on the pinion it is necessary to modify the addendum of the
tooth by cutting the required number of teeth on a blank with a non-standard outside diameter. For full information
the specifications should be consulted.
(5) The following tooth parameters should be noted since they can be calculated from the information given in the
above table: whole depth (h)=ha+hr; working depth (hw)=2ha; clearance=h-hw.
(6) Gears cut to AGMA 207.04 will mesh satisfactorily with gears cut to BS978 part 1 Fig. 1. (7) ISO(R)53 is
similar to DIN867 except for the root fillet form. These standards are coarse pitch series, more suitable for large
power transmission gears. (8) BS4582 part 1 is the metric equivalent of BS978 part 1.
50
mm (0.003-0.004 in) of its finished outside diameter. When
the gear is 'bobbed' the cutter removes this excess material
and 'tops' the teeth to the correct outside diameter. Pro-
viding the hob is accurately made and a high precision
generating machine is used, the tooth depth, tooth profile
and root diameter will be accurate, without further inspec-
tion. Precision cutter grinding is essential to maintain the
hob accuracy throughout its life.

Most fine pitch gears are inspected by means of the dual

flank rolling test. In this test the manufactured gear is placed
on a stub shaft which is attached to a floating carriage,
mounted on smooth low friction-ways. This carriage is
spring loaded towards a fixed shaft, on which is mounted
an accurate master gear or master worm. The gear being
inspected is slowly rotated in tight mesh with the master,
so there is dual flank contact, with no backlash, and varia-
tion in centre distance is recorded. The record may be by
means of a dial gauge in contact with the floating carriage,
or more usually, by means of a transducer coupled to a pen
recorder. Figure 3 shows a typical dual flank rolling tester,
Fig. 3. Dual flank rolling gear testing machine (courtesy
and Fig. 4 a typical test graph. It shows a high frequency J Goulder-Mikron Ltd).
wave form with a period equal to one tooth pitch super-
imposed on a low frequency wave form, with a period equal This functional test has two outstanding advantages but
to one gear revolution. suffers from two defects. The advantages are that it is a
simple, rapid, and cheap form of test, and it establishes that
The total composite error (TCE) is a direct measure of the a gear pair will mesh with backlash at the design centre
eccentricity of the bore to the pitch line (run out) combined distance. The defects are: the meshing condition is one which
with the tooth to tooth error. The two components of TCE is never realised in practice; and it is difficult to interpret
are readily separated by visual examination of the graph. the results in terms of elemental errors. Despite these
The tooth to tooth composite error (TICE) is a measure disadvantages, this test is the one most frequently used in
of tooth to tooth thickness variation, profile deviations, the fine pitch gearing industry.
tooth alignment errors, and adjacent pitch errors. The
various constituent parts of TTCE are not easily separated Repeatability and absolute measure of TCE and TTCE are
from the information on the graph. usually good, being in the order of0.0003 mm (0.0001 in). On

Fig. 4. Typical graph obtained from dual .flank rolling test.

STANDARD PITCH RADIUS

_VE
TOTAL COMPOSITE
MAX. ALLOWABLE PITCH RADIUS ERROR (TCE)

RUNOUT COMPONENT

MIN. ALLOWABLE PITCH RADIUS _ _ __

----.TOOTH-TO-TOO~.---­
COMPOSITE ER~~R_j
COMPONENT (TICE)

0 90 180 270 360

ONE REVOLUTION OF PRODUCT GEAR

51
the other hand, size measurement is not as reliable as an
absolute measure. This is due to the nature of the fixture
and the integration of several error sources in the calibra-
tion process. A repeatability of 0.0005 mm (0.0002 in) is
considered good. But it is important to note that this is
adequate for most applications including precision gears.
GEAR MATERIALS
A summary of the desired properties of gear material is:
(1) Machinability. (2) Stability. (3) Rigidity. (4) Wear
resistance. (5) High-strength properties. (6) Fatigue resis-
tance. (7) Shock resistance. (8) Corrosion resistance. (9)
Thermal stability. (10) Internal damping (to reduce noise
in operation). (11) Low cost. (12) Availability.
For fine pitch precision gearing the first four items are most
important, and some compromise can be made with the
other properties.
A wide range of ferrous, non-ferrous and plastics materials
possess some or all of the desired properties, and the gear
designer is faced with a large variety of choices. The final
selection should be based on an understanding of the
material properties and the requirements of the application.
Table 3 gives the important properties of some gear materials
frequently used in miniature applications.
Cast iron and steel are used for power transmission gears,
although these materials are seldom used for miniature
gears.
Steels are divided into two main groups, plain carbon, and
alloy steels. The carbon steels offer low cost, are reasonably
easy to machine, and most have the ability to be hardened.
A major disadvantage in instrument drives is their low
resistance to corrosion. Alloy steels cover a wide range from
low grade types to special high strength alloys. Stainless
steels are contained within this large grouping. Alloy steels
offer an extensive range of heat treatment properties which
makes this group of materials the most versatile.
Stainless steels are frequently used for precision gears.
These steels are divided into two groups: (1) the austenitic
series (EN58) is a true stainless steel resistant to nearly all
corrosive conditions; (2) the martensitic series (EN56),
which is not truly stainless, and offers less corrosion resis-
tance in certain environments, such as acid or alkali con-
taminated atmospheres and salt-water conditions. A further
distinction between the two series is that the austenitic
types are generally more difficult to machine, are non-
magnetic, and are not heat treatable; they do respond
slightly to cold working. The martensitic series are easier
to machine, are magnetic and they can be heat treated to
improve their physical properties, and hardness.

Ferrous metals Non-ferrous metals

Despite the introduction in recent years of plastics and The most commonly used non-ferrous materials are the
many new alloys with impressive characteristics, ferrous aluminium alloys, bronzes, and the zinc diecasting alloys.
materials are still widely used for gears because they offer Non-ferrous metals generally offer good machining capa-
high strength, response to heat treatment, and low cost. bility, resistance to corrosion, and non-magnetic properties.
Table 3. Contact and bending strength factors (in lb, in, and metric units).

Ultimate tensile strength Sc Sc

Material tonf/in2 kgf/mm2 lbf/in2 kgf/mm 2

Laminated bakelite fabric ~a ~12.6 4500 3.17 500 0.35

Polystyrene 2.7-4.0 4.3-6.3 1 500-2 200 1.05-1.55 400-600 0.28--0.42
Nylon and similar plastics ~5.3 ~8.4 3000 2.1 850 0.6
Aluminium, hard rolled 22 35 12300 8.65 890* 0.63* * For low speed
Aluminium, hard rolled 24 38 13400 9.4 1 030* 0.72* instrument
Phosphor bronze, sand cast 12 19 7200 5.1 700 0.5 applications: for power
Phosphor bronze, centrifugally drives use half these
cast 17 27 10000 7.0 1 000 0.7 values
Brass rod or sheet, hard rolled
to 170 Brinell 35 55 19500 13.8 1 200* 0.85*
Cast iron (high grade) 22 35 10500 7.4 1 450 1.0
Steels, including stainless and 40 63 24500 17.3 2000 1.4
toughened steels 55 87 33500 23.6 3000 2.1
70 110 40000 28 4000 2.8
fl II II 86 125 44000 31 4600 3.25
Carbon steels 0.7% to 1.0% C.
hardened to Rockwell 'C' 45 35000 24.6 7000 4.9
hardened to Rockwell 'C' 50 45000 31.7 10000 7.05 For boundary lubricated
hardened to Rockwell 'C' 55 50000 35 11 000 7.75 gears a value for Sc
Case hardened steels exceeding 6 000 lbf/in,
Core strength 45 71 47000 33 10 500 7.4 or 4.2 kgf/mm, is not
55 87 50000 35 11 000 7.75 recommended.
80 125 50000 35 12000 8.45
Graphite impregnated bronze 4 6.3 2200 1.55 400 0.28
6 9.5 3300 2.3 500 0.35
10 16 5500 3.9 700 0.49

Sb=AIIowable bending stress; Sc=allowable contact stress.

52
Aluminium as a gear material has the special feature of
light weight and a moderately good strength; it is also
corrosion resistant and easy to machine. A major dis-
advantage is its large coefficient of thermal expansion
compared with steels. Aluminium gears may be formed by
casting, extruding, machining or rolling, or combinations
of these processes. Aluminium is rarely used in power
transmission applications.
Bronzes have long been used as gear materials since they
offer good sliding properties when mated with steel gears.
They are particularly good as materials for worm-wheels,
and for one of a pair of crossed helicals, because of the
large amount of sliding which takes place on these types of
gears. Bronzes are extremely stable, and offer excellent
machining properties. The chief disadvantages are the high
specific weight and relatively high cost.
Diecast alloys
Many high-volume production low-cost gears are manufac-
tured by the diecasting process. Most are produced in
alloys of aluminium and zinc, and a few in brass and bronze.
Sintered powder metals
In the sintering process, fine metal powder and alloying
elements are moulded to shape under high pressure, and
then fired to fuse the mass. It is a high-volume production
method of manufacturing relatively high strength gears at
low cost. Metals used for gears are ferrite-based mixtures,
bronzes, and brasses. The initial tooling costs are high for
quality products, and so is the cost of the powder metals,
but to offset this the scrap losses are small.
Plastics
Plastics offer quiet operation, wear resistance, damping,
light weight, resistance to corrosion, the ability to operate
in many applications without lubrication, and low cost.
The disadvantages of plastics are that they are difficult to
machine to high precision standards, and suffer large
dimensional changes and instability with temperature
variations. Gears can be moulded complete with teeth, be
cut from bar or sheet material, or they can be cut from
moulded blanks.
Phenolic laminates with bases of paper, linen or cotton-
cloth, are suitable for a wide variety of gear applications.
Those with a cotton-cloth base are suitable for quite high
load applications. In all cases sheet material should be
used, to ensure that the laminations lie in the transverse
plane of the finished gear. Bar material is not used in gear
manufacture.
Nylon has good wear resistance, even when operated with-
out lubricant. A major disadvantage, in some gear applica-
tions, is its instability in the presence of moisture and
humidity. Materials such as Delrin (registered trade name
of E I duPont de Nemours & Co) are similar to nylon in
many respects but may be superior in regard to rigidity,
dimensional stability, and resistance to moisture.
Plastics generally have very low thermal conductivities,
and two plastics gears should not be run together if they
are to transmit any measurable amount of power. One of
the mating pair should be made of metal if frictional heating
problems are to be avoided. Plastics gears should not be
engaged with unprotected aluminium gears or with brass
or bronze gears, since high wear rates occur with these
combinations, even at fairly low surface loading. Reference
(6) gives useful information on plastics gear design.
PROTECTIVE TREATMENTS
Protective coatings are applied to metal gears for the pre-
vention of corrosion. The type of finish chosen is related to
the material, corrosive conditions, and the precision
quality of the gear. Finish coatings on the active surfaces
of gear teeth must achieve their objectives without changing
dimensions, profile, or surface finish. This limits coatings
to thin coverings of oxides or a substance which adheres
permanently to the base metal. Very few coatings meet this
requirement and therefore most miniature gears do not
have protective coatings applied to their teeth. The most
commonly used protective treatments are anodising,
chromate conversion coatings, passivation, and plating.
Anodising
Anodising is an artificially induced, thin, hard coating of
oxide, used to protect aluminium alloy gears. Anodised
gears have an improved appearance, and the coating offers
a significant resistance to corrosive atmospheres. The
thickness of the coating varies with the process used. The
chromic acid process is most frequently used for fine pitch
aluminium gears, and this produces a coating approx.
0.007 mm (0.0003 in) thick per surface. The sulphuric acid
process, sometimes used, produces a coating approx.
0.012 mm (0.0005 in) thick per surface. These coating thick-
nesses are much too great to allow their use on the teeth of
precision gears, consequently the anodising of these items
is usually limited to the gear blank prior to cutting the teeth.
During the anodising process the oxide film produced is
porous, and for decorative effects it can be impregnated
with dyes to produce a wide variety of colours, which are
then sealed in the final stages of the process. Sulphuric acid
anodising is nearly always used when the component is to
be dyed.
Chromate conversion coatings
Applicable to aluminium, bronze, zinc, and magnesium,
low temperature dip processes can produce a very thin
chemical film of chromate. The thin film has very little wear
resistance, but offers good corrosion protection in non-
abrasive applications. Because there is no dimensional
change, these coatings may be applied to all gears, including
precision, after cutting the teeth, but in operation the coat-
ing is soon removed from the teeth.
Passivation
Passivation is really a conditioning of the surface rather
than a coating; it is particularly applicable to stainless
steels. The process, which is essentially a low-temperature
53
nitric acid dip, results in an invisible oxide film that develops
the stainless property, removes 'free iron' particles left
from machining, and reduces the chances of electrolytic
corrosion on stainless steel gears meshing with brasses and
bronze. Passivation increases the risk of electrolytic cor-
rosion on stainless steel gears meshing with mild steel or
aluminium. Passivation does not affect the dimensions and
may be applied to finish machined components.

Plating
The common electroplatings ofcadmium, chromium, nickel,
and copper, are not suitable for gears, since they result in
considerable dimensional changes. They are also subject
to localised build-up, although certain chromium plating
processes have been developed which allow the even
disposition of the plating around items like gear teeth and
worms. Generally these platings should be limited to appli-
cation on the gear blank before cutting the teeth.

LUBRICATION
Lubrication serves several purposes, but in low power gears
and instrument drives its prime purpose is to reduce friction.
In addition it protects the sliding and rolling tooth surfaces
from seizing, wearing, and other types of surface failure,
which can cause problems if the gears are relatively highly
loaded and working near their capacity. Lubrication also
protects the teeth against corrosion, which is an important
function since few protective treatments are suitable for
application on gear teeth, as is noted above.

Most commercial gearboxes used in home appliances are

packed with grease to provide the necessary lubrication.
An important property of such greases is that they should
not 'channel' (ie form grooves where the gears run) since,
if this occurs, after a short initial running period the gear
train is starved of lubrication. problem of gear lubrication. Most gear applications are
temperature limited only by the limitations which exist for
A number of sotid lubricants containing graphite or
the lubricants in both the bearings and the gear box.
molybdenum disulphide are available, and these are suit-
able for instrument drives which must operate over a wide
The application of miniature gears in instrument and control
temperature range. These lubricants are also suitable for
drives, and examples of gear train design, are given in
use in vacuum. They should be used sparingly, since most
another chapter.
solid films change the tooth dimensions quite significantly,
an effect that cannot be tolerated in high precision gearing.
REFERENCES
Open gear trains are susceptible to contamination, and it
is advisable to guard against excessive exposure. When 1. W 0 Davies. Gears for small mechanisms. NAG Press
outer cases of instruments must be removed for maintenance Limited.
or adjustment of other components, the work should be 2. W A Tuplin. Gear design. Machinery Publishing Co Ltd.
done in clean and controlled environments. Where pro- 3. H E Merritt. Gears. Pitman.
longed exposure is likely, temporary or permanent inner 4. D W Dudley. Gear handbook. M cGraw-Hill.
dust covers should be used over the gear train. This is 5. G W Michalec. Precision gearing theory and practice.
particularly advisable in electromechanical components Wiley.
used in electronics system enclosures, where the danger 6. Gear design. Polypenco Ltd, Welwyn Garden City.
from solder, wire strands, and other debris is great. 7. The lubrication of industrial gears (1964). Shell Inter-
national Petroleum Co Ltd.
References 7 and 8 give useful information on the lubrication 8. The lubrication of rolling bearings (1966). Shell Inter-
of gear trains, which can be applied to most miniature gear national Petroleum Co Ltd.
boxes. Lubrication is an important subject and the major 9. Industrial lubrication (1966). The British P etroleum Co
oil companies offer advisory services to deal with the special Ltd.
54
 Chapter 6
Torque
Converter s and
Hydraulic
Couplings

A L Gatiss
Brockhouse Engineering Ltd

The term torque converter is a misnomer, since any mechan-

ism which changes the speed/torque characteristic of a
given power is a 'torque converter'. By general use, however,
the term has become adopted for that particular form which
completes the conversion hydrokinetically.

Both torque converters and fluid couplings transmit by

transferring their mechanical power by means of a centri-
fugal pump to a fluid and passing the fluid on to a turbine
wheel or wheels for reconversion to mechanical power.
The fluid thus gains kinetic energy in the pump and loses
it in the turbine. There is no mechanical connection between
the input and output and therefore both devices have a
certain looseness of connection which is not present in, say,
a gear drive or a hydrostatic transmission. Both devices
slip to a certain extent and although the slip represents a
loss of power it can be useful. If slip is induced for a pur-
pose, the heat generated can be conveniently extracted by
means of an oil cooler and not left in the device to cause
breakdown by overheating, as can happen in ega mechani-
cal clutch which is caused to slip.

Both fluid couplings and torque converters have their

fields of application in the transmission of mechanical
power, and these are discussed later.

FLUID COUPLING ACTION

The two parts of a fluid coupling rotate together as shown
in Fig. 1. The impeller rotates with the prime mover and
the turbine drives the load; the whole unit is full, or nearly
full, of oil. Because a fluid coupling always slips when
driving, when a load is being transmitted the turbine runs at
a slower speed than the impeller. The centrifugal pressure
created at (A) is therefore always greater than that developed
at (B) and a circulation of oil in the direction of the arrow is
thus induced. The circulation (at a rate of many kg/s) is the
medium by which energy is transferred from the impeller
to the turbine, but it is not the main driving force.
55

Fi~;. I. A ction of a fluid coup/in~.
The oil absorbs energy from the prime mover during its
passage from C to A and gives up that energy during its
subsequent passage through the turbine from A to C. It
is wrong to assume that the drive takes place because oil
from the impeller impinges on to and drives the turbine.
Such impingement does take place (due to slip) but it is
an adverse feature involving shock losses and is not the
main motive force. Further, the hydrostatic pressure
difference at A and B due to the slip plays its part in causing
oil to circulate in sufficient quantity. Apart from this, it
plays no part in transmitting drive. The drive is due almost
solely to the rapid change in velocity of the oil in the path
of impeller rotation (known as the velocity of whirl) as
distinct from the velocity around the circuit.
An impeller of a fluid coupling resembles a saucer with a
number of flat radial vanes (Fig. 2). Assume that the impel-
ler is rotating at 1 000 rev/min and is supplied with oil at
its centre D; the circumference of the impeller at D is 1 m
and the circumference at A is 2 m. Then all the oil passing
from D to A would have its velocity of whirl accelerated
from 1000 m/min to 2 000 mjmin, and the accelerating
force would be supplied by a force acting on the oil from
the vanes. This force has to be supplied from the prime
mover driving the impeller. The opposite action takes place
in the turbine where the decelerating force acting on the oil
provides the driving force on the turbine vanes.
Force is proportional to change of momentum; force
multiplied by radius of action= torque. The torque acting
on the impeller is therefore due to the total change in
moment of momentum of the mass of oil flowing from the
time it leaves the turbine to the time it leaves the impeller.
Let Np be speed of impeller (rev/min) and NT the turbine
speed; RP the outlet radius of the impeller (major radius);
RT the outlet radius of the turbine (minor radius); Q
quantity of oil flowing through the circuit per second.
The velocity of whirl VPw at impeller outlet is proportional
to NpRp and whirl velocity VTw at turbine outlet to NTRT.
Impeller torque oc Q(NTR2- NpR2)
. T p
Turbme torque oc Q(NpR2 -NTR2)
P T
From this it is obvious that the change of moment of momen-
tum (Fig. 1) as it affects the impeller for fluid travelling from
56
OIL BEING SPEED OF FLOW
PUSHED BY TH ROUGH CIRCUIT
VANE
IMPEL LER TURBI NE
Fig. 2. Impeller and lltrhine of'a.fluid coupling.
C to A is identical to the change from A to C and thus input
torque always equals output torque and no torque conversion
can be obtained from a fluid coupling.
Flow through the circuit, ie from A to BC and to A, in-
creases with pressure difference at A and B and decreases
with circuit resistance to flow. The latter term can include
viscous losses, shock losses at blade entry, and turbulence.
At low turbine speeds and corresponding rather low input
speeds, the velocity differences V Pw and VTw tend to be low
and therefore for equal torque transmission the mass flow
must be high. This calls for larger pressure differences
between A and B while the individual pressures tend to be
low at low speeds. Thus at zero turbine speed (stall) slip
is high (eg 700 rev/min) and the input runs at this speed. On
the other hand at high turbine speeds (say 2 000 rev/min)
the slip may be only of the order of 2% to 3% (Fig. 3). This
fact is possibly the main justification for including a fluid
coupling in a drive line. It enables a vehicle to stand with
the engine idling without too much driving effort, or a cage
electrical motor to be started up on load with no, or much
reduced, starting resistance.
Figure 1 shows a central torus to the oil circuit. This torus
is usually omitted from fluid couplings and the oil is
allowed to form its own circuit through the bladed members.
Fig. 3. Slip characteristics of a fluid coupling.
2000 IMPELLER
1950 (OR ENGINE)
SPEED·AT FULL
ENGINE TORQUE
IMPELLER
TURBINE
AND
TURBINE (OR OUTPUT)
SPEED ~---rSPEED
TURBINE SPEED
1950
The centre of this natural path tends to move out from the
centre of shaft rotation as the coupling speeds up due to the
effect of centrifugal force (Fig. 4). This effect is used to
increase the slip at low turbine speeds by the introduction
of a baffie as shown in the illustration. The oil circulation
moves clear of the baffie at high speeds.

The main features of a fluid coupling driven with constant

torque are: (a) High slip at low speed; zero efficiency at
stall. (b) High efficiency at high speed always improving
with speed. (c) A rising input speed with rising output speed.
(d) A one-to-one torque ratio at all times.

TORQUE CONVERTER ACTION

The features of a torque converter vary from those of a
fluid coupling and can be very broadly stated as giving, for
constant input torque: a constant input speed (which means
an increasing speed difference as the turbine slows under
load); an increasing output torque as the speed difference
increases.
Compared with a fluid coupling a torque converter has: (a)
A peak efficiency at a particular design point. (b) Generally
a lower peak efficiency. (c) Many design forms and purposes.
Whereas couplings have only two basic members (input
and output), torque converters have three basic members:
(a) input; (b) output; (c) reaction to frame (or stator as it
is sometimes called); this is true of all forms of torque
converters, mechanical as well as hydraulic.
Fig. 4. Oilflows in
a fluid coupling at
stall and speed.
A change in moment of momentum (which always refers to
the velocity in a plane at right angles to the axis of rotation
-or the velocity of whirl) can be effected in two ways. (1) By
altering the radius of action as in a fluid coupling when fluid
passes from the centre to periphery of the impeller wheel.
(2) By angling the blades so that fluid passing through a
member does not do so in a strictly radial sense but can be
turned either forward or backward of the direction of
rotation.

A gearbox has an input shaft, an output shaft, and the casing
is subject to reaction torque which must be taken to frame
if drive through the box is to be achieved. A simple epicyclic
gear has a sun, an annulus, and a planetary set, one of which
must be the input, one the output, and the other fastened to
frame. This fastening is often by a band brake, for instance,
so that by releasing the brake the epicyclic gear is put into
neutral drive.
Also input torque+ reaction torque= output torque.
Both fluid coupling and torque converter members derive
their torque load or drive from a change in moment of
momentum within the member zone of the fluid passing
through. The fluid coupling has only two member zones
and therefore any torque imposed upon the turbine is
simultaneously imposed upon the impeller member and must
The effect of angling the blades depends not only on the
amount of angle given but also on the velocity, and hence
the quantity of fluid, passing through the circuit. In fluid
couplings the effort is usually made to keep circuit velocities
low to maintain efficiency but in torque converters, with
their angled vanes, the circuit velocity becomes a design
factor and is much higher in value, power for power, and
hence the peak efficiency is lower. Figure 5 shows that, in
this design, the change in moment of momentum is effected
by both radius change and blade angling in the case of the
impeller and turbine, but in the reaction member the change
is obtained by blade angle alone.
Fig. 5. Effect of angling vanes in a fluid coupling.
TURBINE REACTION IMPELLER

be met by increasing the fuel to the prime mover.

A torque converter has three member zones (input, output,

reaction) so that any increased load on the turbine, usually
accompanied by a reduction in turbine speed, does not
impose increased load on the impeller but on the reaction
member instead so that: input moment of momentum
change= output moment of momentum change- reaction
moment of momentum change. These can be fairly balanced
out so that the input torque can remain reasonably constant
and hence the input speed remains correspondingly constant CIRCULATORY FLOW
over a wide range of turbine speed.
57
 COUPLING POINT
31 OF CONVERTER-COUPLING

OUTPUT SPEEO BASE OUTPUT SPEED BASE

Fig. 6. Idealised performance curves for single-stage torque Fig. 7. Idealised performance curves for a converter c oupling .
converter.

The mathematics of blade and circuit design are well
covered in the technical literature; however, it is useful to
understand the underlying principles. If mass flow depends
upon pressure difference at impeller outlet and turbine
inlet, then it follows that a decrease in turbine speed gives
increased mass flow provided that the impeller maintains
its speed. Increased mass flow increases turbine torque and
also increases reaction torque, as shown in Fig. 5.
Increased mass flow also tends to increase the impeller
torque, but this is offset by the effect of the reaction blade
angle which with more fluid velocity increases the velocity
of whirl of the fluid at the impeller inlet, which tends to
decrease the impeller torque. A similar decrease in velocity
of whirl can be achieved at the impeller outlet by increased
flow through the backward turn of the impeller vanes. It
depends on how these three factors are equated as to how
constant the input speed remains over the range of turbine
speeds. Completely constant speed of input (with constant
torque input) is never achieved, but it can be very close. On
the other hand, constant speed is often designed out. Motor
car designers want engine speed to rise as the turbine speed
rises to prevent a 'fussy' motion. Earthmoving designers,
on the other hand, prefer high engine speed at stall to over-
shoot the governor and leave power for other purposes.
This is commonly put to good use by mounting the reaction
to frame through a freewheel so that the machine acts as
a torque converter at output speeds up to the coupling
point, but above that speed becomes inoperative as a
reaction member and simply rotates freely. Such an arrange-
ment produces what is often called a converter coupling.
The effect on performance is shown in the idealised per-
formance curves (Fig. 7). The input speed remains constant
up to the coupling point while the machine as a whole acts as
a torque converter. At output speeds above the coupling
point the engine speed rises with the output speed until
the maximum of the prime mover is reached. At the same
time the output torque above the coupling point ceases to
drop and equals the input torque as with a coupling and the
efficiency instead of dropping to zero rises and continually
improves with speed. Converter couplings are always used
in conventional petrol (gasoline) engined cars and are the
most common form of torque converter. Figure 8 shows a
typical converter coupling.
Fig. 8.Single-stage converter-coupling.

Coupling point and converter couplings

Figure 6 shows an idealised performance curve for a single-
stage torque converter in which the reaction member is
fixed rigidly to frame. The engine speed and torque are
shown as constant. The output torque is shown as 3-times
engine torque at stall, decreasing to zero with increased
output speed and passing through a turbine speed at which
the torque ratio is I to I. This latter point is called the
coupling point, as in this condition the drive corresponds
to a coupling. To the left of the coupling point the torque
ratio is one plus; and to the right it is fractional. The
efficiency rises to a maximum from zero at each end; the
value of this maximum is usually around 88%.

The reaction torque is the difference between the input

torque and the output torque, and if this is positive at
zero output speed and zero at the coupling point, then it
is negative at output speeds above the coupling point, and
the reaction member tries to rotate in the opposite direction.
58
Multi-stage torque converter
Single-stage converters, discussed so far are the simplest
and cheapest form and are very satisfactory for a large
number of purposes. They give a torque conversion at stall
in the range 2: 1 to 3.5: 1, have a peak efficiency just below
the coupling point, and are very suitable as a basic design
for converter couplings. By accepting a peak efficiency
which is moved more towards the stall and which is there-
fore lower at the coupling point, a much higher torque
conversion is possible. Such designs commonly have
multiple stages of turbine and reaction arranged in series
with each other.

Single-stage converters, such as shown in Fig. 8, have

rotating outer casings which commonly form the flywheel
when adapted to internal combustion engines. This arrange-
ment does have the advantage of reducing overall weight
by eliminating the flywheel and also helps to improve the
efficiency of the machine, as any viscous drag between the
Fig. 9. Two-stage converter with rotating outer casing.
turbine and the outer casing does assist drive.

A rotating outer casing is quite possible with multi-stage

converters, and such a converter is shown in Fig. 9. More
normally, however, multi-stage converters have fixed outer
casings and are produced as torque converters and not as
converter couplings. As peak efficiency occurs lower in the
speed range, viscous drag is perhaps less important and
a fixed outer casing makes for simpler attachment of the
various reaction members. A fixed casing also allows easier
rapid filling and emptying, a factor of real importance when
it is necessary to perform these operations to cut the
converter in or out from the drive line. There are many
designs of this nature, especially on large drives for loco-
motives.
Split members
The split member is quite common, and differs from multi-
stage. It is usually applied to the reaction member of single
stage converter-couplings for the purpose of widening the
peak of the efficiency curve. Its action is shown by the entry
condition of the reaction member (see Fig. 10). At stall the
turbine is stationary and the fluid enters the reaction at an
angle acutely backward and at high velocity (v 1). At
coupling point fluid velocity v2 has greatly reduced and the
turbine has a high velocity VB giving an entry angle equal
to the outlet angle of the reaction blades. Obviously an ideal
blade cannot be designed for these very varying conditions
and a compromise is called for.
In a converter coupling where reaction to frame is mounted
through a free wheel, it is fairly convenient to split the
reaction into two distinct members so that each can run
separately on its own free wheel. This enables the complete
reaction blading to be given a greater control of turn, both
portions locking back to frame at stall, portion Ra running
forward out of the way at moderate conversion and both
running forward at turbine speeds above the coupling
point.
Rotatable vanes
Vanes are sometimes mounted on pivots so that their
effective angle can be changed by some outside influence
to alter the basic characteristics of the converter. Rotating
blades may also be made to move so far that they shut off
the circuit completely, thus giving low starting torques for
electric motors etc. All these designs introduce expense and
wear in parts, but they are in commercial use.

Fig. 10. Action of a split member design in a single-stage converter-coupling.

TURBINE REACTION TURBINE REACTION SPLIT REACTION 'iPLIT REACTION

I II I II I
i II
\Hki/
I

~~
I I Ij II
~II I I~/
,~I
\ 1

I I
I~H1 ~'N.,l
~ F~
~I
I
I
g§
~~
STALL
~
!1 f I I 1 II
COUPLING POINT
~ I t' ~I
COMPROMISE
111111
I II I
-;-
NEAR STALL
~
I~ l111
I~ ~II " " I
MODERATE CONVERSION

59

Fig. 11. Shut-off valve in a torque converter circuit to give full
neutral action.
Shut-off valves
A number of valves have been suggested, and one is mar-
keted, which serve to shut off the circuit when it is desired
to obtain a complete neutral. The most common is a ring
valve applied across the circuit either in the impeller or tur-
bine member (Fig. 11 ). Experimental work on this type of
valve seems to suggest that the method is not very useful
at high input speeds and with stalled turbine when quite
large drag torques are still transmitted with the valve
closed.
Design calculations
The detailed design of circuitry is definitely a matter for the
expert. The number of variables involved are considerable,
and progress can only be made by much diligent work,
preferably with a computer program. Given all modern
aids, there is still a gap between calculation and practice.
Most formulae make a number of assumptions which may
be far from true. The circuit velocity is given as a mean
arrived at by dividing quantity of flow by vane area; the
velocities can, however, vary very considerably at different
points of the vane passage cross section. Fluid does not
necessarily follow the path of blade shape at exit. The
effect of turbulence within a vane passage can only be a
guess. The full effect of impact at vane entry can be assessed
only empirically with some theoretical background. At
high speed differences the effect of viscous drag on other
than vane parts of a member can be considerable.
Despite these considerations, the effect of size follows quite
exact rules; ie if one has the full test figures for a particular
torque converter at a particular relevant input torque one
can fairly confidently predict the performance at some other
input torque or obtain the performance of a torque con-
verter of the same basic design but scaled up or down.
60
Predicting torque converter performance
To match a particular torque converter with a particular
engine, one aims to obtain a resultant performance chart
on the lines of Fig. 12. Here the base is output or turbine
speed and against this is plotted: output torque; engine
speed; efficiency.
The converter manufacturer prepares from test figures
taken at constant input torque, a chart relating various
parameters, from which can be produced a universal chart
on log-log paper giving the relation between input speed
and input torque for each of a suitable number of speed
ratios. With this chart is issued a table which gives the
speed ratio, torque ratio, and efficiency for each speed
ratio line plotted on the universal chart. Input speed and
torque are obtained from the universal chart by plotting
them on the torque curve of the engine and noting the
points of intersection; the output torques and speed can
then be calculated. The relevant charts and tables are
normally issued by torque converter manufacturers for
each size and type of converter made.
In performing this exercise one must be certain that the
engine torque curve plotted represents truly the net torque
available to the converter after making all allowances for
fan, altitude, braking system pump, charge pump, etc.
Selecting size of torque converter
To select the correct size of torque converter requires some
experience, but a good first idea of size can be obtained
by having a chart such as Fig. 13. This is similar to the
universal chart mentioned above, but only one speed ratio
line is plotted for each size of converter available. The
speed ratio line chosen for this purpose would probably
be that which corresponds to the coupling point, although
the stall line is sometimes more significant. By plotting the
input torque curve of the prime mover on Fig. 13 one can
see which torque converters are likely to be suitable.
Fig. 12. Performance chart for matching engine and torque
converter.
2000
1800
1600 100%
z
:iii 80% 200
>
w
a:
60%
z
w
i;
zw 40% 100
20%
....E"'
1-
...
:;)
1-
:;)
0 OUTPUT REV/MIN
 One British firm (Brockhouse) were involved in torque
70
converters during 1941, and converted and supplied some
60 a:
w 2 000 torque converters for aircraft towing. About 1946,
f- z
a:
w wa: American car industries adopted the torque converter, and
> ow
:5S in the 1950s and 1960s it expanded extensively into the
50 zw
o!:::!
UCI) <DO..
1600 DBB
industrial markets of North America and Britain, and
.E 40 perhaps rather more slowly on the European continent,
"'"'
w except for the almost 100% use of torque converters for
~
0
a:
railways in Germany.
0 30 1600 BBA
f-
w
z
t!l
~
1410 DBB
20 APPLICATION FACTORS
The great advantage of both fluid couplings and torque
1410 BBA
converters is their ability to accelerate loads from rest
smoothly and without operator skill. On the other hand
1339 BBA
they suffer from drag torque and do not provide good
'neutral' operation. If this is required then: (a) a clutch
1
must be introduced; or (b) a neutral must be introduced
1000 2000 3000 into any shift mechanism which may follow and the engage-
ENGINE REV/MIN
ment of the 'gear' must be by a band brake or other friction
Fig. 13. Chart used as a guide to selecting correct size of torque device (the engagement does not, however, need to be as
converter. delicate as is necessary with a conventional motorcar clutch);
or (c) the apparatus must be drained of fluid.
DEVELOPMENT Reverse cannot be obtained as a natural function of either
Torque converters date from the beginning of the 20th the fluid coupling or the torque converter, although torque
century. They were built initially to provide a reduction converters can be designed to drive specifically in the
gear between a steam turbine and the screw on ships. reverse direction. Over-run characteristics (ie engine brak-
This development is attributed to Professor Foettinger, in ing) are excellent with fluid couplings. In fact, they drive
Germany. The introduction within the following ten years equally well from impeller to turbine or turbine to impeller.
of suitable high speed gears rendered the torque converter Torque converter couplings of the type shown in Fig. 8
obsolete for this purpose. also have good over-run characteristics, but with some
designs of torque convertor over-run drive can be bad.
The origin of the fluid coupling is obscure, but is mentioned Little is generally published about this, which makes it
as part of a transmission by Ratcliffe, in 1911. The invention difficult to give real comparisons between different types.
of the converter-coupling may be associated with Allen
Coats who applied for an original patent in 1924. A two- Torque converters are torque-conscious rather than speed-
stage converter with both reactions mounted on free wheels conscious; ie if driven by a particular torque the input
was patented by Salemi in 1937. Herman Reisler patented speed depends to a large extent on the input torque level
the combination of a torque converter in combination with throughout torque conversion range as distinct from coup-
any epicyclic gear in 1926. ling range in a converter coupling.
Input speed is proportional to (input torque)t.
During the 1930s there was much activity in Europe.
Leyland, in Britain, brought out the 'gearless bus' using There is also a different input speed for given input torque
a Lysholm-Smith converter developed jointly in Britain at different levels of speed ratio, but this effect may be great
and Sweden. Voith were active in Germany, mainly on or small depending on torque converter design charac-
locomotive drives, a development which is now standard teristics. On the other hand, the output speed for any
on German railways and widely used throughout the world. given input speed and torque depends upon the level of
Coats working with Vickers produced a torque converter. torque imposed upon the output and on no other factor.
If the output torque demand becomes too great the output
During the 1930s the fluid coupling became very well will just stall.
known, eg the Daimler 'fluid flywheel' adapted for use with
the Wilson epicyclic gear box, well-known as the trans- The stalling effect can be altered by only partial filling with
mission adopted by London Transport buses; improved fluid, but this method is not greatly used with torque
versions are still marketed. In North America the Hydra- converters, except perhaps on locomotive drives. On the
matic transmission involved a fluid coupling, and was a other hand partial filling has been exploited to a large
major automatic transmission during the 1940-5 war extent in fluid couplings. High frequency torsionals can be
period. effectively damped.
61
APPLICATIONS
Applications can be sub-divided into industrial, marine,
locomotive, automobile, etc. The number of applications,
however, is very great and the underlying principles are so
general that only a few are discussed here. Even the applica-
tion of torque converters and fluid couplings overlap to
some extent.
Fluid coupling applications
Fluid couplings most simply consist of a rotating housing
with input and output shafts on either side. If the input shaft
is, say, the armature of an electric motor and the output
shaft forms part of a piece of machinery, and is therefore
held in bearings, no other support is necessary. The coup-
ling is not quite filled with oil and the filler plug is located to
prevent complete filling. Oil is flung out into the circuit
when the coupling rotates, and the air moves to the centre
and forms a buffer against oil expansion under heat. The
arrangement is neat, self contained, and the restricted
amount of air present prevents undue oil oxidation.
If the coupling is to run most of its time at speed, heat in
any quantity is only generated for a short period at starting.
Natural cooling through the casing can be usually relied
upon to dissipate this heat and any small amount generated
when normally working.
Such a coupling can have very varied applications when
driven by an electric motor or internal combustion engine,
provided that a coupling (ie one to one torque ratio) is
all that is required. An induction electric motor is powerful
enough to drive a loaded conveyor belt in the normal way,
but if the inertia is large and the power required considerable
the motor may well be distressed when starting from rest.
The starting current of a motor can be as high as 600% of
full load current, and if stalled there is no cooling air from
its fan. This effect can be reduced by star starting, but at
the expense of very low starting torque which may not be
sufficient even to move the conveyor. A traction type fluid
coupling at least allows the motor to reach a reasonable
speed immediately it is switched on; then allows 200%
full-load torque to be transmitted to give a quick accelera-
tion of the load, and subsequently the motor accelerates
rapidly to the speed range at which the current drops rapidly.
Extremely difficult starting conditions may call for a scoop
type coupling. In this design the fluid coupling is further
enclosed by a reservoir casing into which fluid is continually
allowed to escape from the coupling proper through an
orifice. It is returned through the scoop pipe, of which the
position can be varied by a lever, so as to bring the inlet
nearer or further from the periphery of the reservoir casing
to control the amount of oil left in the reservoir, and hence
the amount of oil in the fluid coupling. With this arrange-
ment the motor can be started up with the coupling virtually
empty and therefore under no load. When the motor is
running at speed the coupling can be filled in a controlled
manner to take up the load. If the heat generated is too
great, then with this type of coupling an oil cooler can be
incorporated in the scoop flow.
62
For powers of the order of 15000 kW (20000 hp) at 3000
rev/min, the whole coupling may be encased in a stationary
casing which has an oil sump. Oil is circulated through a
cooler to the main coupling by a centrifugal pump, and a
scoop acts to empty the circuit in a controlled manner. A
back-to-hack arrangement (or twinned unit) reduces dia-
meter by providing two circuits for power transmission in
parallel, but more importantly balances the very large thrust
forces which are present in units of this size.
The transmission of power from the engine to the propeller
of a ship can present problems, not so much perhaps for
starting as when reversing. When the ship is travelling nor-
mally the engine speed is constant, and a fluid coupling of
high efficiency presents no problem. When, however, the
ship has way on and it is desired to reverse, the drive back
from the propeller can be very high and very difficult to
deal with by friction clutches alone. By using an emptying
type coupling the connection between the engine and the
transmission can be cut completely while the gear is put
into reverse. The load can then be picked up as steadily as
required by refilling the coupling.
Another use of both couplings and torque converters is the
matching in of more than one internal combustion engine
to one power line. This not only assists in sharing the load
but, if an emptying type is employed, one engine can be
taken out of service as required provided that the turbine
bearings are kept lubricated.
Large centrifugal pumps and fans are designed to give a
rated output at rated head, and to have a peak efficiency at
this point. If it is desired to reduce the output quantity, then
either a throttle valve must be used at the pump outlet or
the input speed reduced. Partially closing a throttle valve
increases the head on the pump side of the throttle, as this
is characteristic of centrifugal pumps running at constant
speed, and the power loss through the throttle valve is
considerable. Variable-speed motors and their control
gears, on the other hand, are expensive to produce although
they can be efficient. An important alternative is to use a
filling type coupling to reduce the input speed, and consider-
able numbers of such units are used for pumping oil, boiler
feed water, boiler fans, etc.
Although induced slip in the fluid coupling represents a
power loss of (slip speed) times (torque), the reduction
in torque required to be transmitted counterbalances some
of this loss.
By far the greatest number of fluid couplings haye been made
for the automobile trade. Examples include the Wilson
gearbox by Daimler, AEC, and Leyland in Britain, the
Hydramatic in North America, and others.
Torque converter application
Foettinger's original application to ships drives has been
mentioned. Although credit is due to him for his efforts,
his application is by current standards a good example of
how not to apply a torque converter. He had the problem of
providing a simple ratio (of the order of 7: 1) at maximum
efficiency and therefore was concerned with a single design
point. A simple gear train did eventually, and would today,
do this job cheaper and more efficiently.
Fluid couplings can be very useful when the drive require-
ments are those of a coupling and torque multiplication is
not required; and they can be combined with gears where
torque multiplication is required. If, however, torque
multiplication can be achieved in the hydraulic unit then the
gears may be dispensed with or reduced in number. In
some instances torque converters can be used by themselves
to give all the requirements of the transmission; in a large
number of other cases they are used with a reversing gear.
In others, particularly in the automotive and earthmoving
fields, simple torque converters are combined with gears,
and in these fields have largely superseded the fluid coupling.
Locomotive transmissions (such as the Voith design) on
the other hand comprise a number of torque converters and
couplings, in parallel geared trains, the correct train for the
drive speed being selected by filling a selected torque
converter or coupling and emptying the others. The selec-
tion is automatic by a governor operating through valves.
Such torque converters are generally of the fixed outer
casing type which are readily filled or emptied. The Voith
fluid couplings are, however, of the normal rotating case
type, and these present a filling and emptying problem
which was overcome with a neat series of valves fixed into
the periphery of the coupling. With a rotating case the only
normal entry or exit for oil is at the centre, but because the
oil is flung out from the centre while the casing rotates it
becomes virtually trapped. In a scoop type coupling this
is overcome by drilling an orifice in the outer casing which
bleeds off a sufficient flow of oil for the relatively slow adjust-
ment of oil-content in the coupling which is required. The
emptying and filling method must be fairly rapid if used
for the purposes of changing gear. To obtain large quantities
of filling oil, a centrifugal filling pump is used to give large
quantities at the low pressure required for filling, and
reduces in power consumption when filling is completed
and the pressure rises.
Such torque converters as the Lysholme-Smith and Voith
multi-stage types must, of course, be matched carefully
with the peak power of the engine, as the impeller charac-
teristics of all torque converters decide the torque acceptance
from the prime mover at any particular input speed. Thus,
if the torque converter is 'too large' it holds the engine at
some speed below its maximum. On the other hand, if it
is 'too small' it allows the engine to run up to its governed
speed without absorbing the full torque of which the engine
is capable. This problem either calls for many varieties of
torque converter models or can be overcome by introducing
a gear between the engine and the torque converter input,
which is the system employed by Voith and by many other
users.
It should, however, be appreciated that a torque converter
converts input torque and if the torque converter is matched
to the maximum power of the engine this may be well
above the speed at which the engine gives its maximum
torque. This is not a great problem with industrial diesel
engines, and none with electric induction motors, but it is
a big problem with conventional motor car engines in
which the peak power may occur at, say, 5 000 rev/min and
the peak torque at 2 500 revjmin.
It is true that torque converters can be designed to give a
lower engine speed at stall and an increasing speed of engine
as the turbit~e speed increases, but this effect cannot
satisfactorily cover such a difference of 2 500 to 5 000 revI
min. A torque converter designed for a coupling point speed
of 5 000 rev/min and which had a stalled speed of, say, 3 500
rev/min would give a very 'fussy' drive. If on the other hand a
torque converter of the converter coupling type is used, then
it can be given a coupling point around the peak torque
condition and run up to peak power as a coupling.
TORQUE CONVERTERS IN INDUSTRY
Very few examples exist of torque converters on their own
without any form of mechanical gearing. One application
is in vacuum pump drives, where the load on the pumps
is heavy when pumping starts, but falls off as the vacuum
is built up. These were formerly electric-motor driven. Other
possible uses include conveyor drives, though these have
not yet been developed to any great extent.
Combined with reversing gears or more complex mechani-
cal gearing, the industrial uses of torque converters are
very widespread. The first really commercial application
was probably on aircraft towing tractors during the 1939-
45 war, and this illustrated well the great advantages which
could be obtained by using torque converters. The more or
less conventional tractors used in Britain had a friction
clutch drive, and these worked well as long as aircraft
remained light. With the advent of large bombers, which
often landed with flat tyres or off the runway, these tractors
Fig. 14. Characteristics involved in improving performance of
a torque converter for a shovel-loader (ie with multiple drive/
operating functions).
c -2500
2000
-1500
w
D
::> z
0 ~
a:
...
0 >
w
a:
w
B z
/ c;
'
zw
D
1000 2000
OUTPUT SPEED REV/MIN
63
proved unsatisfactory. Clutches burnt out or the tractors
failed to move the aircraft, while much damage was done
to aircraft legs in the attempt. With torque converters,
however, the large starting pull required could be smoothly
applied by the often unskilled labour available. If the power
of the tractor proved insufficient, the torque converter might
become rather hot, but no other damage was done and a
number of tractors could be used to provide a readily
synchronised pull. It was virtually impossible to change up
from low gear using the 'conventional' tractor towing a
large load, but with a torque converter a maximum draw
bar pull can be obtained by engaging a higher mechanical
gear, and once the mass is rolling acceleration can continue
up to the speed of this higher gear. Currently, most towing
tractors for large aircraft have torque converters, but there
are now available transmissions which have very heavy-
duty 'power shift' mechanical gearing which enable a higher
ratio to be selected on the move if required.
Fork lift trucks
Lift trucks developed quickly and began to adopt torque
converters in the late 1940s in Britain. Typically, a diesel-
engined version, of some 2 700 kgf (6 000 lbf) lift, was
originally fitted with a friction clutch of automobile type
and a gearbox to give two speeds in either direction. In a
busy factory the amount of gear changing, especially for
reversing, and the number of clutch engagements and
disengagements required (not only for gear changing but
to disconnect the drive to wheels while operating the lifting
mechanism) required a rate of about one operation every
two or three seconds. By introducing a converter coupling
and a power shift reverse : one of the two gear steps in each
direction was eliminated; reverse was obtained by the flick
of a lever; the drive did not need to be disengaged, except
perhaps to make a long lift, and this disengagement could
also be accomplished by the flick of the lever.
The gears of the original fork lift truck (FLT) track trans-
mission were epicyclic and engaged by hydraulically-
operated band brakes. Fork lift trucks, due to their low
top speed, require a high reduction in the final drive. It
was originally convenient to build some of this reduction
into the gearbox, and a pair of simple epicyclic trains gave
forward and reverse at 2.3: 1 reduction.
Epicyclic gears are compact and carry high loads but once
designed it is difficult to change the gear ratios to suit
different conditions. Band brakes are simple and effective
but suffer from two basic difficulties: (1) They impose a
load onto the drum which must be supported by a good
bearing. With only two trains as in the original FLT trans-
mission this is not difficult, as each of the two drums can be
supported from the two end walls of the case. If more gears,
and hence more epicyclic trains, are required then this
becomes a major difficulty (the major feature of the Wilson
gearbox was the design of double brake band adopted to
overcome the need for large support bearing, so that four or
more trains of epicyclic gears could be packed in close
proximity). (2) Band brakes are difficult to modulate into
engagement.
64
The alternative is to use multiplate clutches operated by
pneumatic or hydraulic pistons to clutch the reaction mem-
bers of the epicyclics to frame. This system does not produce
journal loading, allows for some degree of self-centring, and
makes engagement easier to modulate.
Shovel loaders
Shovel loaders have some factors in common with FLT
inasmuch as there are two main power sources. One is to
drive the vehicle and one to operate the shovel (or to lift on an
FLT); both power sources are commonly taken off one
engine and also sometimes operate together. Shovel loaders
are generally larger machines, fitted with large earthmoving
tyres, and have to operate on a variety of materials. They
may also have to be able to travel a considerable distance
to workshop or alternative sites.
These conditions call for a wider variety of transmission
speeds; 100 hp (75 kW) shovel loaders require generally two
working speeds of, say, 6 and 11 km/h (4 and 7 miles/h) and
a travelling speed of the order of30 kmfh (20 miles/h) making
three speeds a minimum with a conventional converter
coupling. Some are fitted with four speeds.
Current larger machines do not only load loose material
into a truck, but also scoop out material from the ground
surface or the working face of a quarry, and so are often
provided with four-wheel drive to obtain good traction on
poor surfaces. When loading the shovel, it is necessary to
operate the shovel itself and to maintain pressure to pene-
trate into the heap or face of material.
The shovel is usually operated by high-pressure oil pro-
vided by a suitable pump connected directly to the engine.
This pump may absorb 50% or more of the total engine
torque, which leaves only the remainder for pushing the
vehicle forward. A torque converter allows this diversion
of power to take place, and raises some interesting points
concerning matching.
Assume a torque converter performance (as in Fig. 7) which
has an 'ideal' flat engine characteristic for a constant input
torque. This can be matched to the maximum speed of the
engine (say 2 200 rev/min). By introducing the shovel
mechanism, 50% of the torque is used for the shovel
operation, and with only 50% torque going to the impeller
of the torque converter, the converter holds the engine down
to a speed of 2 200 x 0.5t or 1560 rev/min, and this in turn
controls the speed of the shovel pump.
This situation is not as serious as it appears on paper,
because:
(a) It is not likely that the shovel will work for long periods
at maximum pressure, and therefore it does not absorb
its full quota of torque for long periods.
(b) The maximum speed of shovel hydraulics is not usually
required until the shovel has filled and broken clear,
and at this point the vehicle is not required to drive and
has to be held on the brake. Most shovel loader trans-
missions have a to.rque release valve associated with
 Fig. 15. Sectional view of the DRFU torque converter; typically used with a diesel engine of 210 kW ( 280 hp) net at
1800 ··evfmin. (Courtesy Rolls-Royce Motors Ltd, Diesel Division.)
KEY: 1 Driving flange. 2 Direct drive clutch plates. 3 Control valve. 4 Control valve actuating pistons. 5 mpellerI
blades. 6 Stator blades. 7 Direct drive shaft. 8 Converter drive freewheel rollers. 9 Direct drive freewheel rollers.
10 Piston seal rings. 11 Gear driving quill shaft. 12 Woodward governor mounting point. 13 Quill shaft. 14 Auxiliary
drive skew gear. 1 5 Output flange. 16 Auxiliary drive housing. 17, 18 Oil pump housing and gears. 19 Oil transfer
connection. 20 Oil pump driving shaft. 21 Overspill pipe. 22 Freewheel outer race. 23 Heat exchanger. 24 Turbine bearing.
25 Oil filter pick-up. 26 Turbine blades. 27 Fine filter element. 28 Carbon ring seals. 29 Impeller bearing. 30 Piston
return springs. 31 Converter-drive clutch plates. 32 Converter-drive piston. 33 Gauze suction filter. 34 Direct-drive
piston. 35 Direct-drive dump valve. 36 Rubber block. 37 Clutch pump.

the vehicle braking system so that when the brake is
applied the mechanical portion of the transmission is
put into neutral by cutting off the oil supply to one of
the engaged clutches, thus leaving all the power
available to the shovel.
(c) Shovel loaders commonly have plenty of power avail-
able for vehicle motion when the shovel hydraulics
system is not calling for the maximum available to it.
However, performance can be improved by one or both of
two methods.
Method 1. Say that the vehicle requires 100 units of torque
to drive it up its worst incline when fully loaded; also that
the shovel hydraulics at maximum lift load and speed need
60 units of torque, but neither of these maximum conditions
are likely to be required together. Then one uses an engine
of 130 units of torque capacity but matches the torque
converter so that at full engine speed it only accepts the
I 00 units that the vehicle transmission needs. Then, when
the throttle is fully depressed to drive the vehicle forward,
the engine is allowed by the torque converter to run up to
its maximum speed (say 2 200 rev/min) at which point the
engine governor cuts in and reduces fuel to allow the
engine to give its 100 units of torque. By now drawing off
60 units of torque to the shovel hydraulics, the vehicle
transmission is left with 130- 60 = 70 units of torque and
the engine speed will only reduce to (70/100)!- x 2 200= 1850
rev/min (compared with 1560 rev/min, above). This
arrangement is very common, and it should be noted that
the extra cost is in the engine only, the very expensive
transmission and axle costs remain the same.

65

Fig. 16. Brockhouse 33 series torque con verter transmission.
Method 2. Instead of using a torque converter of constant
engine speed characteristics (as Fig. 7) arrange for the
engine speed (A) (Fig. 14) to rise at stall when supplied
at constant input torque (B), and arrange its size so that
point C matches the maximum engine speed. As the engine
speed will then not rise above this speed, the governor
reduces the engine torque at stall (D) with a corresponding
drop in output torque (E). This automatically leaves more
torque available for the shovel hydraulics at this stalled or
near stalled condition which is the occasion when the call
off in torque to the shovel hydraulics is likely to be a
maximum.
Typical torque converter transmissions
A typical transmission which may be used in a shovel
loader, large fork lift truck, towing tractor, etc has features
which include: (a) Converter coupling. (b) Gear drive out
to side for auxiliary pump drives, which are capable of full
engine power. (c) Charging pump for operating the clutches,
filling the converter, and circulating cooling oil. (d) One
pair of clutches for forward and reverse. (e) Three other
clutches for ratio changes. (f) Control valve to check torque
release and pressure modulation. (g) Four-wheel drive. (h)
Parking brake. (j) Full flow oil filter (20 microns). (k)
42 kgfm net torque input. (I) 100 kW at 2 350 rev/min.
(m) Gear ratios 0.8: 1, 2.2: 1, 3.5: 1. (Fig. 16.)
66
t-<1",.....--,fo.J OPTIONAL
PARKING
BRAKE
&
PROP
SHA FT
DRIVE
FOUR WHE EL
DRIVE SUMP
Converter or converter coupling?
Whether to use a torque converter or converter coupling
has already been discussed at some length, and it has been
shown that a converter coupling is necessary for eg spark-
ignition engined cars. For current industrial diesel engines
the problem is more open to discussion and opinions vary.
From the idealised performance curve (Fig. 6) the output
has a runaway speed at which the output torque and effi-
ciency is zero while full power is being fed in. This means
that if the engine is left at full throttle and the output is left
in neutral heating would occur to the full extent of engine
power.
In practice the engine speed characteristic is usually sharply
rising around the coupling point so that the power is cut
to some extent by the engine governor. The amount of the
cut depends upon the type of the torque converter and the
match. Some designers and manufacturers mention the
power cutting to 40% at runaway, whereas with a single-
stage converter it might be cut to 30% or less. If the cooling
system can handle these losses, not much harm is done,
but if it cannot severe overheating results.
A converter coupling does not suffer from this problem,
because over the clutch point the machine acts as a fluid
coupling and input torque equals output torque. If, there-
fore, no torque is called for on the output, the engine
just runs up on its governor and cuts all power input.
Periods of neutral running are therefore valuable as cooling
periods and less cooling overall is necessary.
On the other hand it can be argued that free-wheels are a
potential source of mechanical failure, and are better
omitted from a system.
Overrun braking characteristics
The need for overrun braking may or may not be important
in a vehicle, but can be very important in eg cranes. A
torque converter-coupling can provide some excellent
control features when lifting heavy loads with internal
combustion engines, as the load can be lifted or held and
even lowered by simply supplying more or less fuel to the
engines. When lowering, however, the load is driving the
engine in an overrun condition. This is quite satisfactory
with a fluid coupling or converter coupling, but some torque
converters with fixed reaction members exhibit runaway
symptoms which can be dangerous. In these circumstances
free-wheels may be introduced between the turbine and the
engine to prevent the turbine overrunning the engine.
BIBLIOGRAPHY
E W Spannhake. Hydrodynamics of the hydraulic torque
converter. SAE summer meeting 8 June 1949.
H F Haworth, A Lysholm. Progress in design and applica-
tion of the Lysholm-Smith torque converter with special
reference to development in England. Inst. Mech Eng
(UK) 1935.
W Hahn. Voith turbo transmissions. ibid 1935.
H Sinclair. Some problems in the transmission of power
by fluid couplings. ibid 1938.
N Schofield. Hydrokinetic transmission and design. Auto-
motive Design Engineering 1966, March, April.
Several authors. Advances in engineering - passenger car
automatic transmissions. SAE 1962 2 vol.
67
 Chapter 7

Hydrostatic
Drives

J D Hamilton
National Engineering Laboratory

Some specialist hydraulic firms supply complete hydro-

static drives designed to meet the user's requirement.
Others supply pumps, motors, and valves1 which the
engineering designer may embody in his own equipment.
This chapter deals with the general principles involved in
designing such a hydrostatic system. The graphical symbols
used are to international standards 2 · 3 .

HYDROSTATIC DRIVES
Hydrostatic drives can be defined as devices for the trans-
mission of energy by means of a pressurised fluid, thus
differing from hydrokinetic drives which utilise the kinetic
energy of the fluid. In hydrostatic drives there is a transfer
of fluid from the pump, which converts mechanical energy
to hydraulic energy, to the motor which converts the
hydraulic energy to mechanical output. The kinetic energy
changes in the fluid involved in this process are very low
compared with the pressure energy changes and can usually
be disregarded. The hydrodynamic effects of the fluid flow
result in loss of pressure, so that hydrostatic drive circuits
should be designed to give low pressure loss, consistent
with the overall economic operation of the system 4 .

The symbols and units used in this chapter are listed in

Table 1 ; they are consistent with British Standards and
CETOP recommendations5-7.

A hydrostatic drive consists of a pump (or pumps) and a

motor (or motors); in some cases the hydrostatic units
may operate either as a pump or a motor depending on the
function of the circuit. These units are called positive dis-
placement units because the rotation of the shaft is a func-
tion of the quantity of fluid displaced per shaft revolution.
This quantity is known as the capacity of the unit and may
be determined in the first place by a geometrical assessment
of the displacement elements of the unit. The standardised
method of obtaining the derived capacity is given in
BS46178 where for a pump at low pressure or a motor at
zero torque measurements are made of flow and speed and
69
the capacity derived as
for a motor
% mechanical power 100
Y/t 0 hydraulic power x
1000 1\Qe lj
!1n m rev.
2nnMe
(6)
LlpQe
The capacity of a unit can either be fixed or variable, in
steps or continuously. ~utputmechanical power x 100 .
for a transmission Y/t%
mput mechanical power
Calculations for hydrostatic units (7)
The mechanical power of a hydrostatic unit either at the
input shaft of a pump or the output shaft of a motor is the If a pump or motor unit is considered at 100% efficiency,
product of the torque and the angular velocity of the shaft. ilpQe 2nnMe
P=wMe Nmjs (1) 600 60000

=2nnMe kW
therefore
(2)
60000
The hydraulic power of a hydrostatic unit either at the out- (8)
put of a pump or input of a motor is the product of the If the torque efficiency is known or can be estimated then
pressure differential across the unit and the effective for a pump
volumetric flow of the unit
Me=ilpV1 _1_ (9)
P = ilpQe in consistent units (3)
20n Yftnn
but since the conventional unit used for flow is litre/min and for a motor
rather than m 3 /s, and for pressure is the bar= 105 Njm2
P=5/3 ilpQe Nmjs (10)

=LlpQe kW (4)
600
The overall efficiency of a unit is expressed as the ratio of Losses in hydrostatic units
the input and output powers, Performance characteristics of hydrostatic units often state
the volumetric efficiency 17v and the torque or hydro-
p2 mechanical efficiency Yftnn· To determine these values it is
Y/t=-
pl necessary to assign a value to the capacity of the unit. For
_ hydraulic power this purpose the derived capacity may be used when known
for a pump Y/t %
0 - • X
100 and can also be used to obtain the breakdown of losses
mechamcal power
within a unit.
= LlpQe X 104 (5)
2nnMe A hydrostatic unit has volumetric flow losses by what is
termed internal leakage, q.,; that is, flow loss between the
high pressure and low pressure parts of the valving arrange-
Table 1. Symbols and units used in connection with hydrostatic ment, and this loss is not normally measurable. There is
transmission systems.
also on many units, particularly piston-type units, a leakage
past the valve elements, piston clearances, and bearing
Symbol Description Unit Dimension surfaces which accumulates in the casing of the unit and is
externally drained back to the system reservoir. This is
Me effective torque Nm ML 2 T- 2 called external drainage, qd, and can be measured. Both
Mhm torque loss Nm ML 2 T- 2
T_, these flow losses are mainly a function of pressure and only
n rotational speed rev/min
p pressure bar* ML- 1T- 2 to a much lesser amount are affected by change of speed.
p power kW ML2 T- 3
Qd drainage flow 1/min L3T_, There are also losses within a hydrostatic unit which affect
internal leakage 1/min L3T_,
Qv the actual torque as compared to the theoretical (or derived)
Oe effective flow 1/min L3T-1
torque. This can be caused by hydrodynamic pressure loss
vi derived capacity ml/rev L3
within the porting passageways of the unit such that the
1Jt overall efficiency
1]v volumetric efficiency effective pressure in the displacement elements is lower than
1]hm torque efficiency the pressure measured outside the unit. There are also dry
(I) angular velocity rad/s T_, and viscous friction losses between moving parts and losses
due to churning within the casing. These combined losses
*The Sl unit is N/m 2 ; 1 bar=1 0 5 N/m 2 . 1 (litre) =1 dm3.
Note: The prefix~ indicates the difference between two values can be assessed as Mtm using the derived capacity. Such
of the quantity to which it applies. Suffixes 1 or 2 differentiate losses are mainly a function of speed but may vary to a
between input and output respectively. lesser degree as a function of pressure.
70
 (ii) Fixed displacement pump with variable displacement
Parameter Symbol Unit Pump Motor
motor. With the motor at maximum displacement this is
Internal leakage
V1n
Oe1-Qd-
similar to the fixed-pump fixed motor arrangement giving
Qv 1/min 1000-
V1n the same characteristics and advantages. By arranging a
Oe2-Qd number of set values of the motor displacement the system
1000
External drainage Qd I/ min Qd is equivalent to a change-speed gear-box and using a
Power loss by
continuously variable control of the motor displacement
l!.pqv gives an output with a constant power characteristic. The
internal leakage Pq, kW
600 maximum output speed is at minimum motor capacity
Power loss by p P2Qd llpqv which is usually not less than quarter maximum capacity.
kW
external drainage q,, 600 600
Volumetric V1n (iii) Variable displacement pump with fixed displacement
1'/v % Oe2x105
efficiency V1n 10 Oe1 motor. With the pump at zero displacement the system
operates as a clutch, although some systems produce a low
Torque loss Mhm Nm Me_l!.pVi l!.pVi_Me
20n 20n creep speed, which may be avoided by fitting a by-pass
Power loss by 2nnMhm valve across the pump. Stepless increase in the pump
Phm kW displacement causes increasing speed of the motor at a
torque loss 60000
constant output torque for a given pressure. Reversal of
Torque efficiency % llp Vi X 1 00 20nMe X 100
1'/hm
20nMe llpVi the output rotation of the motor can be achieved by using
Total power loss kW P,-P2 an over-centre pump, that is, one which by adjustment of
the pumping elements can reverse the direction of the fluid
Table 2. Analysis of losses in hydrostatic pumps and motors. flow to the motor.

Table 2 gives the analysis of losses in pumps and motors,
and by plotting these for such variables as pressure and
speed a general picture of the losses is obtained.
VARIATIONS OF HYDROSTATIC DRIVES
(i) Fixed displacement pump and motor. When a combina-
tion of fixed displacement units is used, the system is equiva-
lent to a single ratio gear-box, the gear ratio being the ratio
of the capacities. This provides an output speed which can
be considerably different from that of the prime mover,
usually employed for a speed reduction. Where the capacities
of the pump and motor are the same, the motor speed is
slightly lower than the pump speed according to the volumet-
ric efficiencies of the units. This simple system constitutes
a flexible drive, as the positioning of the motor is independent
of the pump position.
Fig. 1. Variable displacement pump with variable displacement
motor.
100
/
/
/ HYDROSTATIC DRIVE CIRCUITS
/;;;._'l'tr'MENT
. / PUMP N'\11 SPEED SOl MAXIMUM OUTPUT SPEED
20 40 10
OUTPUT SPEED - per cut
(iv) Variable displacement pump with variable displacement
motor. This system combines the characteristics of (ii) and
(iii) and gives a wider speed range at the motor output.
Constant torque is available throughout the increase of
pump displacement with the motor displacement held at
maximum. Decrease of motor displacement increases the
output speed range at constant horsepower as illustrated
in Fig. 1.
Figure 1 is drawn for an input pump speed of 50% of the
required output motor speed, and for equal displacement
units. From this pump it is possible to obtain constant
torque as shown just below the 100% level up to 50% of
motor speed. This point is known as the comer power of
the transmission. Thereafter by decreasing the motor dis-
placement to 50% a constant power characteristic is
produced. This system would give a limited speed range for
a given constant power input and the comer power is
therefore seldom used. It is more usual to use a wider speed
range of constant power by selection such as is shown in
Fig. 1 where a constant power control is used to give a 6: 1
speed ratio which remains within the limits of the maximum
torque lines. On many transmissions the maximum torque,
limited here to 16% of maximum speed, is required only
at the lower speed range. By choosing the appropriate
ratio of pump to motor displacement, the amount of
variation of motor displacement and the maximum speed
at maximum torque, greater speed ratios can be obtained
for a constant power requirement. 9
Open circuit
100 The simplest hydrostatic drive consists of a fixed displace-
ment pump and a fixed displacement motor using an open
circuit, as in Fig. 2. This system, in which the units may be
71
 of equal or unequal capacity, is used in many hydrostatic
drives of limited power, such as fan drives, conveyor
drives and auxiliary marine driveslo. Where the inertia of
the motor load may cause the motor to run on after the
flow to it has been stopped, it is necessary to provide the
non-return valve shown in Fig. 2. With this simple system
the designer is given flexibility in the layout of his equipment,
the connection between the power unit and the motor being
merely two hydraulic pipelines which may be flexible if
desired. In a hydrostatic drive the working pressure in the
Fig. 2. Open circuit system. system is proportional to the torque load, and the relief
valve shown in Fig. 2 limits the maximum pressure thus
preventing overloading of the system. Where a variable
speed at the load is required this can be obtained by using
a pump capable of giving the flow required for the maximum
speed and spilling off, by a simple spool type valve or a
pressure compensated flow control valve, to reduce the
2000 speed. Where reversibility of the motor output is required
a four-way valve can be used as is shown in Fig. 2.
zI•
This simple system is limited in the power used, up to about
g
... 1500

....
40 kW, as it introduces the problem of heat dissipation
from the circuit. It cannot be used where dynamic braking
i of the load is required.
81000
The units used in such a system are usually of gear or vane
type although piston types are also used, particularly where
higher pressures are required or where a low output speed
is required. Modem gear type units are now available at
pressures up to 200 bar and vane type units to 150 bar.

The typical performance of a low speed piston motor is

SO 100 ISO 200
PRESSURE - bar shown in Fig. 3. The design requirement of a motor is
(a) given as a torque at a required speed and from Fig. 3a the
pressure at the motor can be determined for the required
torque by interpolating between the lines given for different
speeds. These lines indicate the departure from 100% 'Ibm
which is given by the theoretical line. Knowing the pressure
the input flow can be obtained from Fig. 3b. In this case the
lines for increasing pressure indicate the departure from
100%1'fv.

By allowing an estimated pressure loss in the transmission

lines and valves 11 · 12 the pressure required at the pump can
be determined.

Typical performance of a gear pump is shown in Fig. 4.

Having determined the pressure required the output flow
from the pump can be checked as adequate for the motor
requirement. The pump performance is given for the
maximum speed of the prime mover, 2 250 rev/min, and
Fig. 4 also gives the input power required.

Closed circuit
100 ISO 200 The most commonly used hydrostatic drive systems use
OUTPUT SPEED-rev/~aln closed circuits. In these systems the return flow from the
(b) motor goes directly to the pump inlet. Since most units
used are of the type with external drainage it is necessary
Fig. 3. Low speed piston motor performance. to supply a make-up or boost pump to maintain the full
flow required. The boost pump is also used to maintain a
72
 a.,

..
"i PUMP SPEED 2250rev/lllin
-::;.
J

40...,..

so 100 200
PRESSURE Dl FFERENTIAL - •or
~----~----~~----~~--~~_JIQ
150 200
Fig. 7. Axial-piston pump variable displacement.
DIFFERENTIAL PRESSURE - Ap •or
Fig. 4. Gear pump performance.

pressure in the low pressure line of the transmission which
will prevent cavitation at the pump inlet. Sometimes it is
also necessary to include an accumulator at the pump inlet
to prevent dynamic system effects from reducing the boost
pressure below the required minimum pressure 13. Some
hydrostatic units are capable of working without boost
pressure but many require boost pressures of from 2 bar to
Fig. 5. Bi-directional closed circuit system.
20 bar to ensure cavitation-free operation, particularly
where pump speeds are high. Since the losses in a hydro-
static circuit generally appear as a temperature rise in the
fluid, there is often a need to provide for heat dissipation.
The boost pump can be used for this purpose: part of the
main circuit fluid is removed from the low-pressure line
to pass through a heat exchanger before returning to the
reservoir, and the boost pump must be sized so that it can
make up this flow in addition to the loss by external drainage.
Such a circuit is shown in Fig. 5 where the pump unit is of
the over-centre type providing flow in either direction
thereby giving reversible output direction at the motor
shaft.

Where reversible flow is not required the boost pump out-

put may be fed to the main pump inlet, the boost relief
valve connected to the outlet of the motor and the shuttle
valve can be omitted. The main relief valve system can
also be simplified by being fitted directly between the two
transmission lines. This is shown in Fig. 6 in which a non-
return valve is fitted between the transmission lines to allow
speed run-down of the motor.

Fig. 6. Uni-directional closed circuit system. To enable a choice to be made of suitable proprietary units
a first assessment of the system may be made using formulae
1 to 10. Having then selected units of the correct size and
rating for the system a reassessment can be made using these
formulae and values for the efficiencies of the units or it
r-
1
may be done using performance graphs of the particular
L
units. Where such performance curves are used it is advis-
able to ensure that they have been obtained under proper
test conditions as laid down in the British Standard method
oftest8 •

Figure 7 shows the performance of a variable displacement

axial piston pump for a fixed input speed of 1 500 rev/min
for a hydraulic oil at 50°C. This graph gives the output as
73

•
 INPUT FLOW - L/•in loa--·-----.----------,
50 100 150 200
400r-J=t1f7,~=.7f!~==~c:::~r---l
I -•..
~
u 75
...•
ElOO I
z >-
I
;; u
z
a
w .1>
050
_,I
~
150
c
;::
...
i&:
w
1-200
5... ......
z _,
_,
1-
:::>
0
\
\
........
-- _., "'
100 :t
c
"'
~25

---___
5
...
100
' '
'
~
......... 50
:a
If
0 O·S 1· 0
OUTPUT SPEED
0 INPUT SPEED
500 1000 1500 2000
OUTPUT SPEED - rn/111in

Fig. 8. Axial-piston motor fixed displacement. Fig. 9. Transmission efficiency.

a function of the swash angle of the pump. Figure 8 gives
the performance of a similar unit of fixed displacement
operating as a motor. Where a pump and a motor are
combined in a single casing, as a gear-box replacement, the
performance can be stated in a simpler manner as output
against input using the overall efficiency of the transmission
as shown in Fig. 9, which is for a typical tilting-head type
with variable displacement pump and fixed displacement
motor.
design. Some units use a rolling bearing around the cylinder
block to maintain alignment of the end of the block with
the valve plate, whereas the design shown relies on the shaft
stiffness. Different methods of retaining the slippers in
contact with the wear plate are used. Figure 10 shows a
spring fitted to each piston, but a central spring with slipper-
retaining plate can also be used. The hydrostatic balancing
of the valve plate to retain an oil film between it and the
rotating cylinder block also leads to variation in designs.

The tilting head, or 'bent-axis' as it is sometimes called, is

VARIABLE DISPLACEMENT UNITS
Variable displacement pump and motors are most often
of the axial piston type. Of these there are two main ver-
sions, the tilting-head or 'bent-axis' type and the swash-
plate type. Modern swash-plate pumps usually have a
rotating cylinder assembly and the swash-plate tilts within
limits, generally not more than 15° on either side of neutral,
to provide the variable displacement. A typical arrangement
is shown in Fig. 10, but there are many variations of this
a design whereby side-loads on the piston which occur in
the swash-plate type and thereby limit the angle of tilt, are
avoided. In the tilting head unit the oil flow has to pass
through the trunnions, and fairly large bearing arrange-
ments have to be provided for the main shaft. As a result
the units are much bulkier than the swash-plate type and
are limited by bearing life. They have the advantage of
using a greater angle of tilt, up to 35°. An example is shown
in Fig. 11.

Fig. 10. Axial-piston swashplate pump.

Fig. 11. Axial-piston tilting head pump.

74

Fig. I 2. High-torque low-speed hydraulic motor (courtesy
Carron Hydraulic ) .
LOW SPEED MOTORS
When axial-piston units are used as motors for wheel
drives, winches, etc, it is necessary to use a gear reduction
to obtain low speed with reasonable efficiency. For this
reason multi-lobe motors are increasing in their applications,
and the type shown (Fig. 12) is available up to 35 kNm peak
torque with overall efficiencies of 80 to 90%.
TRANSMISSION CONTROLS
To make full use of hydrostatic transmissions and to match
the system to the prime mover there are a variety of control
possibilities such as constant pressure and constant
powerl4.15.
REFERENCES
1. Designers Guide 71-72. Published by Fluid Power
International, London.
2. British Standard 2917:1969. Graphical symbols for
hydraulic and pneumatic systems.
3. CETOP Recommendation R3. Symbols for hydraulic
and pneumatic equipment. Association of Hydraulic
Equipment Manufacturers, London.
4. British Standard 4575:1970. Specification for hydraulic
power, transmission and control systems for industrial
equipment.
5. British Standard 3763:1970. The international system
of units (SI).
6. CETOP Recommendation Rl. Units. Association of
Hydraulic Equipment Manufacturers, London.
7. CETOP Recommendation R8. Definitions and symbols
of characteristic magnitudes - pumps, motors, and
integral transmissions. ibid.
8. British Standard 4617:1970. Methods of testing hydrau-
lic pumps and motors for hydrostatic power transmis-
sion.
9. C M Edghill. Some factors determining the choice of a
particular hydrostatic transmission unit. 1st Fluid
Power Symposium, January 1969, British Hydro-
mechanics Research Association.
10. P F Dudman. Fixed capacity pump systems. Fluid
Power International, 1971 36 (423), June, pp 43-46.
11. J D Hamilton. Steady-state flow characteristics of fluid
power components. Conference on oil hydraulic power
transmission and control. Proc.!MechE, London, 1961.
12. J D Hamilton and J McCallum. Fluid power circuit
design. ibid.
13. H McCallion, B R Dudley, G C Knight. Analysis of a
dynamically loaded hydrostatic transmission system.
1st Fluid Power Symposium, January 1969, British
Hydromechanics Research Association.
14. R W Rigby. An integral control constant pressure
device with built-in stabilisation for a variable delivery
axial piston hydraulic pump. ibid.
15. C M Edghill. Control features for hydrostatic trans-
missions. Fluid Power International Conference, London,
1970.
FURTHER READING
In order to keep abreast of developments in hydrostatic
transmissions the reader is recommended to study the past
and future papers of conferences such as
National Conference on Fluid Power, Chicago, Illinois,
yearly since 1947.
Fluid Power International Conference, London, bi-yearly
since 1958.
British Hydromechanics Research Association, Cranfield,
England, 1969 and 1971.
Institution of Mechanical Engineers, London: 1961 'Oil
Hydraulic Power Transmission and Control'. 1963
'Application of Hydraulics to Mobile Equipment for
Agriculture, Construction and Industry'.
BffiLIOGRAPHY
J F Blackburn, G Reethof, J L Shearer. Fluid power
control. John Wiley & Sons, New York, 1960.
W Ernst. Oil hydraulic power and its industrial applications.
McGraw-Hill Book Co, New York, 1960.
J R Fawcett. Applied hydraulics and pneumatics. Trade and
Technical Press Ltd, Morden, Surrey, 1968.
G R Keller. Hydraulic systems analysis. Industrial Publish-
ing Co, Cleveland, USA, 1969.
J Korn. Hydrostatic transmission systems. Intertext Books,
London, 1969.
E M Khaimovich. Hydraulic control of machine tools.
Pergamon Press, London, 1965.
E E Lewis, H Stern. Design of hydraulic control systems.
M cGraw-Hill Book Co, New York, 1962.
J J Pippenger, T G Hicks. Industrial hydraulics. McGraw-
Hill Book Co, New York, 1962.
75
 Chapter 8

Pneu matic
Drive s

D J Bickley CEng M/MechE

The Globe Pneumatic Engineering Co Ltd

To choose a single word to describe the whole range of

pneumatic power units is extremely difficult. The only term
which seems to cover all the various mechanisms is 'actua-
tor' and, therefore, this chapter is devoted to an examination
of linear, semi-rotary, and rotary actuators.

For the majority of industrial applications a suitable supply

of compressed air is required, normally at a pressure of
6--7 bars. Although for some applications, where demand
is small, a bottled supply may be satisfactory, it is far more
usual for an air compressor to be employed.

COMPRESSORS
Compressors are manufactured in a variety of types, ranging
from the very large axial flow turbine or centrifugal impeller
through orthodox reciprocating piston machines to rotary
vane and screw units. Very few plants can justify the
installation of the largest types and, therefore, piston, vane,
or screw compressors are most frequently employed. Each
design has particular characteristics and before final
selection the advice of manufacturers should be sought.
However some of the salient features are now discussed.

Piston compressor
Within the piston compressor type there is a wide range of
models. The larger units usually have horizontally opposed
cylinders and operate at a relatively low speed. Other
designs use a 'Y' or 'V' formation or even a single bank of
vertical cylinders. Compressors may be belt-driven or
close-coupled and can operate on a single or double acting
cycle and may utilise single or multi-stage compression.
When air is compressed heat is generated, and there is a
choice of air or water cooling system to maintain correct
operating temperatures.

Piston compressors may be stationary or portable; they

are still the most efficient type and operate over long periods
with minimum maintenance. It is usual to supply an air
receiver with these compressors, and in the smallest sizes
77

Fig. 1. Typical air compressor installation with ring main
distributor.
integrally mounted units are obtainable. Most factories
employ the compressors to feed into a ring main which
distributes the compressed air around the plant working
areas and provides tappings at convenient points.
Rotary vane
The rotary vane design employs an eccentric rotor which
accommodates radially sliding vanes or blades. When the
unit is rotated the blades fly out and contact the bor~ of
the housing which incorporates inlet and exhaust ports.
As the blades pass over the inlet port, air is drawn into the
crescent chamber between rotor and housing at a point
where the volume is greatest and is compressed as the
volume decreases virtually to zero, where rotor and housing
almost touch. Sealing between the blades, housing, and
end covers presents some problems; on the small machines
it is common to use oil flooding to lubricate, cool, and seal
possible leakage paths. Generally rotary vane machines
are smaller than piston units of equal performance.
Unlike the pulsating supply from the piston machines a
rotary compressor has a constant delivery and so may be
operated without a receiver. Some engineers prefer to use
a number of small units placed around the plant, supplying
actuators direct, rather than to install a ring main system.
Fig. 2. Rotary vane air motor.
- -
SILENCINGJ.1ili~~"ii'~~~rr.,
MATERIAL EXHAUST
78
Screw
Screw compressor units are of more recent design, and con-
sist of a main screw of multi-start lobular form, meshing
with a female rotor which is virtually a rotating seal. On
rotation, the screw lands part, air is drawn from the atmo-
sphere to fill the cavity, carried round by each rotor, and
compressed as they mesh again at the close-contact position.
To minimise wear it is necessary to avoid metal to metal
contact, and this is achieved either by an oil film or by the
use of timing gears. Like the vane models the delivery is
constant and, therefore, a receiver is optional.
Quality of air
When a compressor is installed, attention must be paid to
the quality of the air supplied by the unit. All atmospheric
air contains moisture to some degree, and a large amount
may be held in vapour form due to high compression tem-
peratures. To precipitate this moisture and safeguard the
actuators from wear or freezing when the air expands, it
is necessary to cool the supply before use.
A good installation draws cool air from outside the build-
ing and, after compression, passes it through aftercoolers
and intercoolers, where multi-stage compression is used.
Storage receivers should be located outside, and drain
cocks must be provided. All lines leaving the receiver
should be sloped to collecting pockets, and as far as possible
tappings should be from the top of the pipe, leaving an
unbroken surface for the condensate to drain. Pipes should
not be lagged.
Additional protection can be obtained by use of filters and
in extreme cases, by chemical or refrigerant type dryers.
Another solution, particularly on open sites, is to inject an
antifreeze lubricant into the air stream.
ACTUATORS
Although all actuators are tolerant to some degree of
moisture and grit, it will be realised that clean dry air,
suitably lubricated, is the ideal medium to ensure a long
trouble-free life.
Linear actuators
The group of linear actuators consists of three main types:
simple diaphragm, rolling diaphragm, and piston. The force
which each exerts is a function of pressure and the area on
which the air acts.
The simple diaphragm type is normally fabricated from
synthetic rubber in a flat or convoluted form, and is very
limited in stroke. Air may be applied on either side to give
a single or double acting operation or a spring may be
employed to provide return motion. These devices are
ideal for accurate positioning and are, therefore, frequently
used on control systems. Low pressures of 0.2 bar to 1.0 bar
are often specified for diaphragms, although full industrial
pressures can be accommodated. As an alternative to using
high pressures, increased thrusts can be obtained by banking
 Fig. 3. S imple diaphragm pneumatic linear actuator.
Fig. 4. Rolling diaphragm pneumatic linear actuator.

the diaphragms, which obviously increases the effective
area.
A diaphragm actuator can be fitted with suitable valving
and a ratchet to give full rotating motion, and when two
units are employed a reversing cycle can be obtained. This
arrangement is particularly suitable for the control of
process valves.
To overcome the limitations of stroke, a patented device,
the 'rolling diaphragm', was introduced. As there is no
relative motion between the diaphragm and the housing
bore longer strokes can be accommodated and the low
friction characteristic of the simple unit is retained. Un-
fortunately rolling diaphragms can only be used for single
acting applications as pressure applied to the underside
would cause the two layers of rubber to come into contact
and make the whole unit inoperable. Double acting motion
can be obtained by a return spring or by the use of a second
rolling diaphragm.
All diaphragms have the advantage of a positive seal, which
prevents any pressure leak from one side to the other.
Heavy duty linear actuators with moderate to large stroke
are usually of the cylinder and piston type. There is theoreti-
cally no limitation to the force or stroke which can be
provided although for practical purposes, and the difficulty
of obtaining raw materials, most manufacturers limit their
standard range to 305 mm (I 2 in) diameter bore and approxi-
mately 3m (10ft) stroke. A cylinder of this maximum size
would, at 6 bars, give a thrust of just over 4 100 kgf (9 000
lbf; 40 000 N), allowing 10% of the effort to overcome fric-
tion. Air cylinders are available in a variety of materials to
cater for light duties such as those required for packaging
machines, to the other extreme, for use in steel rolling mills
and mines.
brass, but for heavy duty cold drawn steel tube, honed and
sometimes hard chrome-plated in the bore, is employed.
Piston rods are precision ground mild steel, hard chrome-
plated on the diameter, although some units are available
with stainless steel rods.
Methods of construction also vary from four or more tie
bars, to direct screwed covers or the use of a split clamp ring
fitted onto the tube. Gland and piston packings vary from
make to make but the majority use nitrile rubber Us or
cups with a special section rod scraper ring. To reduce
impact at the end of the stroke air cushions are usually
provided, and for this application 0 rings are frequently
employed. Most cushions are adjustable so that final
impact on the end covers may be carefully controlled.
In addition to the basic cylinder a wide choice of mountings
is available. The smallest units may be mounted on a
screwed nose and all sizes may have foot brackets, front
or rear flanges, front, rear or central trunnions or rear
hinge. Rod ends may be plain screwed or forked ends, or
knuckles may be fitted. Flexible gaiters can still be supplied
for many models but the advent of the hard rods and
scraper ring has reduced the need for this added protection.
Fi[<. 5. H eavy duty air cylinder linear actuator.

End covers may be light alloy or iron castings or even solid

steel plate. Barrels are extruded or drawn aluminium or
79
Air cylinders can be mounted in any position, and may even
be fitted with a lower hook and top suspension to give a
cheap but effective air hoist. Cylinders can, of course, be
used for single and double action and for the hoist applica-
tion balanced pressure can be employed. When lifting, full
air pressure is applied underneath the piston while the top
is exhausted; but for lowering, air is admitted to both sides
which gives a net lowering thrust due to the air pressure
acting on the piston rod area. As balanced pressure opera-
tion does not rely on the effect of gravity the cylinder lowers
smoothly without a load and yet, even when loaded, there
is no snatching movement such as might be experienced
with a double acting arrangement. A further variation
incorporates a double extension piston rod projecting
through both end covers; the rod may be solid or hollow.
Because of the compressibility of air it is difficult to stop
an air cylinder at a precise mid-stroke position. Even
after the inlet valve is closed, air trapped in the cylinder
continues to expand and, until a point of equilibrium is
reached, the load continues to move. When the cylinder at
last comes to rest great care must be taken in removing
the load as, immediately the reaction is reduced, the air
very quickly expands causing the cylinder to move rapidly
through the remaining stroke. For these conditions it may
be an advantage to use an air/oil system. Oil is moved from
a storage tank into the cylinder by means of air pressure
and the action is controlled by closing the appropriate
section of the hydraulic circuit leaving the load supported
on a column of oil.
A satisfactory method of finding a mid-point is to use an
instrument called a positioner. The function of this unit
is to control the flow of air on either side of the piston and
to ensure that any movement is quickly and accurately
corrected. The required position is fed into a bellows or
diaphragm in the instrument, in the form of a pressure
signal. This signal is compared with a pressure fed back
from the cylinder's actual position, and as long as there is
Fig. 6. Piston and crank type of semi-rotary pneumatic
80
an imbalance the cylinder moves. When the required
position is reached the two signals are equal and so the
valve closes and the cylinder stops. It is usually necessary
to provide a mechanical connection between the piston
rod movement and the instrument; this mechanism may
be by means of cams or leve-rs.
Semi-rotary
Although there are probably less applications for semi-
rotary types of actuator there are many different designs
from which to choose. The simplest form consists of a vane
which sweeps round the casing through an angle of 90°
or more. The vane design is particularly popular for operat-
ing ball or butterfly valves, but is only suitable for small
units as the effort is applied directly to the output shaft
without any mechanical advantage.
For heavier duty, piston actuators are more common and
may be of a rack and pinion design or may employ an
orthodox crank mechanism. In either case it is possible
to introduce mechanical advantage and to fit a second
cylinder to provide additional effort. Other models using
Scotch yokes or roller chains are manufactured, but these
are not widely used.
Semi-rotary actuators can be arranged for single or double
strokes or may even be constantly reciprocating and used
for mixing duties. Some actuators are designed for con-
tinuous duty and operate day and night, stopping only eg
during annual plant shut-down.
Rotary
This section deals with rotary units which are more properly
called motors. The motors are capable of continuous rota-
tion and may be of a reversible or non-reversible type. Two
main types have evolved from a mass of novel designs, and
currently only vane and piston motors are found in general
use, although turbines and meshing gear motors may be
employed on special duties.
 Fig. 7. Radial piston rotary air motor.
The vane motor is similar in construction to the vane
compressor but oil flooding is never used. These motors
are very compact, light in weight, and relatively cheap.
Output speed depends upon size, but usually varies in the
range 2 000-20 000 rev/min. Inlet and exhaust timing on
vane motors is of great importance, and the most efficient
cycle can be produced in non-reversing machines. One-
direction rotation can limit the application of these motors
particularly where gear trains are employed and, therefore,
most manufacturers also offer a range of reversible machines
that develop equal power in either direction.
Although the basic design varies little, the number of blades
employed may be from four to six, or even more in the very
large sizes. Although the number of blades does not affect
the torque developed, it is of considerable significance when
designing the timing cycle. Vane motors are capable of a
reasonable variation in speed, but starting torque is
limited to something less than the optimum figure at which
maximum power is developed. Care must be taken to pro-
vide sufficient power to overcome static starting conditions.
There is a choice in the configuration of vane motors:
either a small diameter long rotor, of a type used in tools,
or the large diameter and relatively narrow rotor which
gives better starting characteristics. The former unit is
undoubtedly the most compact design available and has
an extremely attractive power-weight ratio. However, for
many industrial applications the relatively high speed and
low torque can be a disadvantage and may necessitate
considerable gear reduction. Although the larger rotor is
rather less attractive in size and weight, a lower speed and
higher torque provides many advantages. As these units
are specifically designed for industrial applications, ade-
quate mounting facilities are normally provided.
Although a special oil-free vane motor is made, all the
standard units require an oil mist in the air line for lubrica-
tion, but as no sump is required the motors are capable of
being mounted in any attitude. Filters are essential if
abrasion is to be avoided at the points of minimum
clearance.
The main problem with this type of motor is to ensure that
the blades are fully extended and in contact with the housing
bore before the unit is started. Three basic methods are
used for blade ejection: air loading, where high pressure
air is applied under the blade; spring loading by means of
leaf, coil or torsion springs; or pure mechanical methods.
Of these alternative systems the last is probably the best
as neither of the others can positively guarantee correct
operation. If correct blade ejection is not achieved very poor
starting will result.
Vane motors are manufactured from very small fractional
(less than 750 W or 1 hp) power up to approximately 11.2
bkW (15 bhp).
Piston motors. Within the sub-section of piston motors
there is a choice of axial or radial design. The axial pistons
operate directly on a swash plate or face cam and give a very
compact design with high starting torque at the relatively
low speed of 2 000 rev/min. Unfortunately these motors
are of somewhat complex design (employing a large number
of moving parts) and, therefore, are expensive to produce.
Because of the cost and complexity their use is somewhat
limited in industry.
For most medium and heavy duty applications the radial
piston motor is suitable. Although the radial design is
relatively large it is economic to produce and has excellent
81

10 10 ~
!
09
"'
08 08 ~
.
0 to selection of the valves which eventually compose the
06
04
02
800 1200 1 500 2000 2400
REV/MIN
Fig. 8. Typical performance curves for radial piston air motor.
starting characteristics with infinitely variable speed control.
All models are instantly reversible and may be stalled with-
out incurring damage.
The cylinders, four or more, are evenly spaced around a
common crankshaft and usually a segmental slipper big
end (connecting rod) is employed. Many designs use
a needle roller bearing crank, and the whole assembly is
retained by hardened steel rings and washers. Timing is by
a rotary valve driven at crank speed and, in order to avoid
any possibility of freezing, a constant pressure cycle is
employed. Most models have an oil sump; therefore, to
ensure adequate lubrication it is usual to restrict operation
to the horizontal position or vertically with the shaft point-
ing downwards. In all models there is a slight leakage of air
past the valve and pistons, and this must be vented from the
crankcase to atmosphere. Care must be taken to ensure
that the venting air does not also carry the lubricant out
of the casing, so most of the designs incorporate an efficient
baffling system.
It is usual for manufacturers to offer a wide range of acces-
sories with radial motors, these accessories include such
items as hand or remote control valves, brakes and gear-
boxes.
An air motor can perform the same functions as an electric
motor and even has some additional advantages; but there
is one exception, that of constant speed operation. The
output speed of an air motor depends on the air pressure
and the load applied, and if either of these varies the speed
departs from the set value. It will be seen from the accom-
panying performance curves that as torque increases so
speed falls until a maximum power figure is reached.
Additional loading causes further reduction in speed, and
so the power decreases until it reaches zero at the point of
stall. For best efficiency the motors should operate at the
optimum figure or at a slightly lower speed where the specific
82
air consumption will be slightly reduced. Radial piston
motors are available from about 190 W (0.25 hp) to 16.5 kW
(22 hp).
CONTROL
In order to obtain the best performance from pneumatic
actuators it is necessary to give at least the same attention
control circuit. Sophisticated circuitry is a subject in itself
but certain points are of universal interest. The valves must,
of course, be of sufficient size to pass the volume of air
required, and for reversing applications they must not
cause any restriction in the exhaust port. For motor opera-
tion, valves should preferably have proportional openings
to give a variable speed control and must have a central
neutral position to allow the motor to stop.
Many types of air silencers are now available, and although
these are very effective care must be taken to ensure that
the units do not cause restriction. It is always preferable
to fit a larger unit to allow a free passage of air and to avoid
any possibility of the element becoming clogged with water
or oil.
Finally mention should be made of the characteristics found
in all pneumatic devices. All units have the ability to vary
power and speed by pressure regulation and throttling of
the air supply; an important fact is that all equipment is
flameproof and suitable for use in the dangerous atmo-
spheres. Most equipment is resistant to heat and damp,
and many units may be operated completely submerged.
Operating media
Throughout this chapter reference has been made to com-
pressed air, but almost any other non-corrosive gas can
be employed. Many units now operate on natural gas, with
the exhaust being vented to atmosphere at a safe level or
fed back into the main at a reduced pressure. Waste process
gases such as nitrogen or carbon dioxide are also suitable
as operating media. For the future it may be possible to
operate the motors and other pneumatic equipment by a
refrigerant gas in a closed system, and if this is successful a
heat exchanger and expansion chamber may one day
replace the traditional compressor.
A pneumatic system is one of the most versatile power
sources available, and probably one of the safest.
Pneumatic clutch/brake systems
Compressed air (or other gas) is also used as the working
fluid in pneumatically-operated clutches and brakes. Com-
pact disc-type clutch and brake units are used in various
machines in eg the woodworking, textile, and metal-
forming industries. Although these are strictly classified
as mechanical drives, rapid engagement, release, and braking
is controlled by effective, though relatively simple, pneumatic
operation.
 Chapter 9

Chain Drives

Technical Staff
Renold Limited

The use of chain can be traced back some 3 000 years.

Early chains were made from rope and wood (in the form
of a rope ladder which ran on wooden wheels) and were
only suitable for slow hand drives. In medieval times, faster
drives incorporating blacksmiths 'dog' chain with wheels
designed to engage alternate links were developed; these
were followed by wire chain with U-shaped eye links having
a straight base.

In 1845 Galle chain with side plates, riveted bearing pins,

and loose inner link plates was introduced. Although of
small bearing area, since the thin inner link plates rotated
directly on the pins, it was suitable for transmitting power
from a steam engine prime mover. Brunei's ship SS Great
Britain (recently salvaged and now being rebuilt) is thought
to have employed this type of chain for the propeller drive.
The chain system connected a crankshaft-mounted wheel
(18ft diam, 38 in wide) to a 6-ft diam wheel on the propeller
shaft.

About 1870, cast malleable iron chain with links having a

solid base and hooked top member were developed, fol-
lowed in 1874 by chain with tubular base links and pins.
Although of lower tensile strength than Galle chain, it
had the advantage of a larger bearing area.

Six years later, in 1880, Hans Renold in England invented

and patented the bush roller chain which combined the
tensile strength of Galle chain with the larger bearing area
of the malleable pin type. The introduction of an accurate
journal bearing at each pitch point was the vital improve-
ment which led to significantly improved load-carrying
capacity and resistance to wear. The current British
Standard series of transmission chains is derived from the
original invention and is established as the predominant
standard in Europe and many other areas of the world.
Another significant invention by Hans Renold, in 1895
was the inverted tooth chain, and these two chains became
the principal power transmitting types.
83
 Fig. I. An inverted tooth chain ; the centre guide plate engages
a groove in the wheel toothed penjJhery.
Fig. 2. 3.067 in pitch cranked link chains on the track drives of
an excavator.

In the USA cranked link chain (or offset side-bar chain) is

POWER TRANSMITTING CHAINS
Inverted tooth chain. Derived from the block chain, this
type initially played an important part in the development
of the heavier mechanical power transmission by chain
from 1895. Until the roller chain took its place, the inverted
tooth chain or 'silent chain' was the standard for such
general power transmission purposes as motor drives to
generators, fans or lineshafts. About 1911 or 1912, it was
advocated as a substitute for gears in the design of camshaft
drives for car engines; currently it is still used for some
automobile camshaft drives in the USA and finds limited
use on industrial drives (Fig. 1).
The inverted tooth chain with either a round pin or rocker
type of joint proves entirely satisfactory under high power
and high speed conditions. Linear chain speeds of up to
6 000 ftjmin may be maintained continuously and the
available range of sizes from 0.375 in to 2.0 in pitch and
face width of 6.0 in enables a wide range of powers to be
handled (1 in= 25.4 mm).
However, the loading on the chain links is offset from the
neutral axis and this gives rise to combined tensile and
bending loads. The roller chain has also a better power to
weight ratio and is generally less expensive than the inverted
tooth chain. For these reasons it has overtaken the inverted
tooth chain especially with its further advantages: eg the
ability to gear on either side of the chain, and the rolling
engagement of the roller with the wheel teeth which reduces
both friction and tooth wear.
made to National Standard AS B.29-10:1962.
Cast chains. Detachable hook chain is manufactured from
pressed steel or malleable iron and consists of identical
links utilising the hook and bar principle. Pintle chain
comprises one piece cast links connected by steel bearing
pins and this can run on the same wheels as the detachable
chain. It has high strength and fully enclosed bearing sur-
faces which enables it to operate under more abrasive
conditions. There are many types of pintle chain, each with
a wide variety of cast attachment links which are useful for
conveying duties. Cast malleable chains to BS3756: 1964
are used largely for power transmission on slow speed
agricultural machinery and in factories dealing with chemi-
cals, cement, etc (Fig. 3).
Malleable replacement steel roller chain. This type of chain
is widely used on agricultural machinery and is covered
by BS2947 :1958.1t gears on the same wheels as the malleable
series, and the inclusion of the precision features or refine-
ments of the roller chain gives the advantages of increased
wear resistance and greater efficiency. When fitted with
attachments the chain is suitable for elevating and conveying
duties under rough and exposed conditions (Figs. 4, 5).
Fig. 3. A cast chain with detachable links.

Cranked link chain. Two features of this chain, which is a

development of the earlier cast malleable chain, are the
exceptionally high strength and the cranked side plates
which result in all links being identical. The chain is eminent-
ly suitable for low-speed heavy-load applications, which
in the case of earth-moving machinery (an extensive user
of this chain type) often involves exposure to the elements.
It is possible to remove one chain pitch at a time to compen-
sate for wear on a drive provided with limited centre dis-
tance adjustment. The increased susceptibility of the
cranked plate to fatigue under arduous service is amply
offset by the rugged construction of the chain (Fig. 2).
84
Galle chain -leaf chain. Composed of plates and pins only,
the predominant application for this type is in load suspen-
sion or balancing, eg sluice gates and fork lift trucks (Fig. 6).

Roller chain
The precision steel roller chain has almost completely
superseded all other types of chain previously used and
now dominates the field of normal chain driving applica-
tions. It is, therefore, proposed to discuss these chains in
more detail since they predominate in all industries, hand-
ling a wide range of powers and speeds from light instrument
drives up to heavy installations involving several thousand
kW (horsepower).

Breaking loads and gearing dimensions have now been Fig. 5. 'M' and 'K ' attachment plates built into a malleable
replacement chain.
standardised and the two important standards covering
steel roller chains are: British BS228: 1962; American
AS B.29.1 :1963. The International Standards Organisation
(ISO) has drawn up a recommendation which itemises the
sizes of both basic types (R707) which are known as BS
and AS series chains.

BS 228: 1962 covers chain pitches from 0.315 in (8 mm) up

to 4.5 in pitch, in three widths; namely simple, duplex, and
triplex. The widest BS chain is normally triplex, but for
increased power requirements up to four strands of triplex
(ie twelve rows of chain) can be specially matched for
length to run as a set (Fig. 7). Chains made to AS B.29.1 :1963
are available in simple, duplex, triplex, quadruplex, quin-
tuplex, sextuplex, and octuplex widths; ie eight rows in a
single chain (Fig. 8).
Extended pitch chains are made as extensions of both BS
and AS types which utilise the bearing pins, bushes, and
rollers of the standard roller chain but have inner and outer
plates of twice the pitch. These extended pitch chains are
intended for less arduous power and speed duties than the
equivalent 'short' pitch chain but present an advantage for
low speed applications over long centre distances where
weight and cost must be minimised. Bush chains (chains
with rollers omitted) are also made in short pitch format.
Fig. 4. Malleable replacement steel roller chain driving the reel
of a combine harvester.
Fig. 6. A galle chain with double link plates.
Roller chain choice
When deciding which series of roller chain to employ for
a particular application the following points should be
noted.
British Standard- BS Series. (1) The basic proportions of
this series of chains provide the largest possible bearing
area between bearing pin and bush at each articulating
pitch point; this gives the lowest possible wear rate under
any given load which is the normal drive requirement. (2)
Also inherent in the basic proportions of the BS chain
series is the optimum balance between strength and wear;
in most applications extension of the chain due to wear,
rather than physical breakage, is the terminating factor of
chain life. (3) The general overall precision inherent in
Fig. 7. Four matched strands of1.50 in triplex chain on a 485 k W
compressor drive in a coal mine.

85

Fig. 8. AS chains on an oilwe/1 drilling rig. Quadruplex chains
are shown, but sextuplet chains are also used to couple the mud
pumps. Total power is 1 340 k W.
this series (in particular, the pitch accuracy gives correct
kinematic gearing between chain and wheels) is a vital
consideration in high speed applications and is an indis-
pensable factor in minimising drive noise. Chain to this
standard finds the widest application in the United Kingdom
and in Europe.
American Standard - AS Series. (l) AS chain is most
valuable where the chain duty has to be related primarily to
providing a greater safety factor against high intermittent
peak loads rather than to other durability features. (2) AS
chain is especially suitable for slow speed highly impulsive
or very heavily loaded drives such as pile driving winches,
earth-moving machinery, and vibratory road rollers. (3)
Pitch for pitch, the breaking load of AS chain is generally
greater than that for BS and is achieved by heat treatment
of material to higher tensile strength values and by having
plates of greater cross-sectional area.
COMPONENT DESIGN
The various component parts of a roller chain are: inner
and outer link plates, rollers, bearing pins, bushes; their
design is discussed below (Fig. 9).
Link plates. Both inner and outer plates have to be considered
and, additionally in the case of multi-strand chains, the
intermediate plate. One of the variables is the plate profile
and, to provide a good power: weight ratio, the mass
effect is minimised by ensuring that the tensile strength of
the plate is balanced against the shear strength of the
bearing pin.
Roller. To ensure sufficient tooth strength on the wheel,
the roller diameter is limited to approximately 0.625 of the
chain pitch on a short pitch chain. This in tum limits the
diameters of the bush and of the bearing pin, and a very
careful balance has to be struck in the proportion of these
to ensure optimum chain strength. Roller wall thickness
86
is critical since the roller sustains considerable impact in
the wheel teeth at high speed and too thin a section could
result in roller breakage.
Bearing pin. Apart from specifying the body diameter, the
main feature is in selecting suitable material which has
adequate shear strength and good resistance to wear with-
out brittleness. The pin overall length must allow reasonable
clearance between the outer and inner links when assembled
into the chain.
Bush. The minimum bush bore is arrived at by providing a
suitable clearance between bush and pin for lubrication
access and freedom of articulation. In addition, the bush
wall thickness must be sufficient to prevent collapse under
arduous conditions of operation.
Interference fits. To obtain optimum chain performance it
is most important that the interference fits of the round
parts are carefully calculated and controlled in manufacture.
Also, in determining the tolerances of the chain components,
it should be remembered that when assembled, the finished
chain must comply with a specified tolerance over a
particular measuring length.
Chain materials. Perhaps the most important part of chain
design is the correct selection of materials and subsequent
heat treatment; this is based on metallurgical technology
and on considerable chain manufacturing experience. In
deciding what materials to specify, the strength of each
component can be calculated, and any heat treatments
applied must meet the requirements of shear stress, impact
resistance, bearing pressure, and wear resistance. In certain
cases, to cater for the characteristic of corrosion and high
temperature conditions, special materials are used; how-
ever, the manufacturer may require a minimum ordering
quantity for special chains and/or materials before pro-
duction can be justified.
Non-lubricated chains
Since a normal chain employs steel-to-steel bearing sur-
faces, lubrication is most important but sometimes impos-
sible to provide. There has always been a demand for chains
requiring no lubrication, and a range of 'non-lub' chains
Fig. 9. The component parts of a bush roller chain.
~ OUTER PLATE
BEARING
PINS~ ~- INNER PLATE
~~- BUSHES
~ g G-ROLLERS
~INNER PLATE
OUTER PLATE ---~
~
 Food, drink, chemical and packaging industries, where
high standards of hygiene are imperative, are markets for
stainless chains, whilst applications involving elevated
temperatures up to 450°C, or certain corrosive factors may
also call for chains in this material.

Plastics chain
Suitable for light duties, chains of plastics materials have
the properties of quiet operation, resistance to attack by
certain chemicals, and light weight. They have a lower
tensile strength than the equivalent roller chain but can
operate without the need for lubrication.

ADVANTAGES OF CHAIN DRIVES

Several of the major reasons for using chain drives, as
opposed to other forms of transmission, are enumerated
below.

(1) High efficiency. Precision steel roller chain is very flexible

Fig. IO. The timing drive on the engine of a modern car, using
0.375 in pitch duplex chain. A patented automatic adjuster
takes up the small degree of chain wear which develops during
the life o f the engine.
has been developed. It must be stressed that they are only
a partial answer to the problem. However, self-lubricated
chains are capable of operating for longer periods, before
rapid wear arises from lack of lubricant, than are normal
chains, but the life available from them is considerably less
than that of normal chains that have a system of continuous
lubrication.
and the components forming the journal bearings are made
to close tolerances. There is a freedom of joint articulation
as the chain engages with the wheels (specified to equally
high standards) which permits smooth and efficient flow
of power. Any friction between the chain rollers and sprocket
teeth is virtually eliminated because the rollers are permitted
to rotate on the outside of the bushes, independently of
bearing pin motion inside the bushes. As a result very little
energy is wasted.
Fig. II. Two strands of 4 5. 0 in p itchroller chain drive the cam-
shaft of a large marine diesel engine. The size of the chains may
be j udged b y comparison with the fitter who is working on them.

Non-lub chains have similar gearing dimensions to normal

transmission chains except that the bushes are made from
a sintered material which is vacuum impregnated with a
suitable lubricant during manufacture. The bush diameter
is increased in size to equal the diameter of the equivalent
roller chain.

Aluminium chains
Advantage is taken of the resistance of aluminium to atmo-
spheric conditions with the all-aluminium chain used in
such applications as automatic vending machinery, dis-
pensing such commodities as milk and beverages. Extended
bearing pins can be incorporated to operate controls such
as limit switches during the dispensing process.

Stainless chains
There is some demand for chains made of stainless steels
to operate in corrosive or high temperature conditions or
for use where contamination of a product cannot be
tolerated. Since the requirement is small and the materials
expensive, such chains cost considerably more than standard
chain, but a limited range of chains to British and American
Standards is marketed. These can be fitted with extended
bearing pins or 'M ' or 'K' attachment plates for conveying
duties.
87
 Fig. 12. Multiple shafts are driven by one chain on a sausage
drying conveyor.
The National Physical Laboratory (Teddington, UK)
carried out a mechanical efficiency test on a drive of 1 in
pitch simple BS roller chain operating on 23-teeth/57-teeth
stock wheels. The wheels were assembled on two shafts
mounted in ball bearing blocks enclosed in a standard
chaincase incorporating pump and sump lubrication.
Input and output torques for driving the complete unit were
measured and the test was carried out for six hours. From
the results it was established that, after deducting losses in
the bearings etc, the mechanical efficiency of the chain drive
lay between 98.4% and 98.9%. This high level of efficiency,
achieved by a standard stock chain drive under correct
conditions of lubrication and installation is only equalled
by close tolerance ground gears of the highest standard of
manufacture.
Fig. 13. One chain engages with chainwheels on both sides to
give contra-rotation to the rolls of a grain mill.
88
Fig. 14. Two large 18ft ( approx 6 m) diameter hose reels are
driven by circular chain racks of 1.50 in pitch. The chains are
fastened to the reels by means of duplex outer links and blocks.
(2) Positive drive. The chain offers a positive non-slip driving
medium. It provides a meshing action between the chain
rollers and wheel teeth which gives an accurate pitch by
pitch positive drive and which is essential in synchronised
drives such as those used on automobile camshafts, large
marine diesel camshafts, and packaging and printing
machines. Chain pitch accuracy is rigidly controlled during
manufacture. Under conditions of high speed and high
peak loads when the requirement is also for high efficiency
as in the automobile engine camshaft drive, the roller chain
has been proved consistently quiet and reliable in operation.
(3) Versatility and adaptability. (a) Chain drives can be
used over a wide range of shaft centres - from 2 in
(50 mm) up to more than 30 ft (10 m) under special
conditions. Drives can be engineered so that the wheel
teeth just clear or so that a considerable span is traversed
by the chain. Extended pitch chain is used in this latter
category.
(b) Chain has a certain degree of inherent elasticity, and
this plus the shock absorbing properties of the oil film
in the chain joints provides a cushioning effect. In
addition, the load distribution between a chain and wheel
takes place over a number of teeth, which assists in
reducing wear.
(c) One roller chain can drive several shafts simultaneously
at similar or varying speeds and in almost any con-
figurations of centre distance or layout. Due to its
ability to gear on both sides it is possible to obtain
reverse rotation. Its adaptability is, however, not
limited to driving one or more shafts from a common
drive for it can be used for an infinite variety of devices,
motions and operations including reciprocation, racks,
cam-motions, internal or external gearing, counter-
balancing, hoisting or weight suspension. Segmental
tooth, or 'necklace' chainwheel rims can be fitted to
large diameter drums (Figs. 12-15).
(d) Chain can be supplied with link plate attachments and
extended bearing pins, etc, which facilitate mechanical
handling and the operation of mechanisms.
(e) Under conditions of high temperature or oil contamina-
tion and when exposure to severe abrasive or wet
 environments is encountered, chain can readily give
acceptable service.
(f) Chain drives are compact and occupy little overall
space in relation to their power capacity (Fig. 16).
(g) It is simple to replace a chain, and does not normally
entail wheel or bearing removal.
(h) It is customary for manufacturers through their normal
distribution channels to carry a wide range of stock
pinions and wheels to enable drives to be supplied 'off
the shelf'. Typically, drives of up to 9:1 ratio and up
to about 500 kW (700 hp) at 550 rev/min are available
from stock. Beyond this limit are drives such as four
matched strands of triplex chain on wheels, made to
order, to transmit some 3 200 kW (4250 hp) at 300
rev/min.
(4) Reliability. Chains do not normally deteriorate with
time, the only evidence of age being elongation due to wear
which is very gradual and which can be offset by centre
distance adjustment or by an adjustable jockey pinion.
Provided that a chain drive is correctly selected, installed,
and maintained, a life of 15 000 hours can be expected
without chain failure either from fatigue or wear. Where
reliability and long life are essential, chains have been
selected on their performance for such applications as
marine diesel engines, control rod hoists in nuclear reactors,
and class one control systems for aircraft.
Steel roller chain drives provide basic power transmissions
for industry which are very competitive with other mechani-
cal devices in terms of efficiency, comparable cost, versa-
tility, and reliability.
CHAIN DRIVE SELECTION
Before attempting to select a chain drive, it is useful to be
familiar with the factors relating to chain life and per-
formance. A roller chain is subjected to tensile and impul-
Fig. 15. Cranked link chain rotates a mine tub tippler. The
toothed ring is formed of cast teeth connected by chain links
to form a 'necklace' which is wrapped round the drum and
secured in position.
sive loads, wear and fatigue. On its passage through one
complete drive cycle a chain link undergoes maximum
tension on the working or tight strand, centrifugal force
due to change of direction around a wheel and, for long
centre distance applications, tension due to catenary pull
in the slack strand. It is evident that the link loading pattern
is cyclic, building up from minimum to maximum as the
link passes around the wheels. These rapidly varying tensions
and link articulations impose substantial stresses and
strains.
Tensions
Generally the main tensile chain load is equal to the working
tension in the tight strand required to transmit the applied
power. Tension set up in the chain due to centrifugal force
is additive to the load pull, but does not affect the wheel
teeth or shaft bearings. It varies as the square of the chain
speed and is proportional to the chain unit weight. In
certain very high speed drives, the centrifugal pull can
exceed the working load. Catenary loading of the slack
strand does affect the chain wheel teeth and shaft bearings
but is only appreciable for long horizontal strands of
heavy chain.
Impulsiveness
The degree of impulsiveness imposed on a chain depends
on the characteristics of the driving and driven machinery.
An electric motor is a steady source of power whereas a
four cylinder internal combustion engine produces an
impulsive power flow. A rotary pump may be classed as
smooth, whilst the drive to a hammer mill or pulveriser
would be subject to heavy load fluctuations.
Wear
As wear slowly takes place on the working surfaces of the
chain joints, the bearing pin diameter decreases fractionally
whilst similarly the bush inside diameter increases. This
wear accumulation results in chain elongation and as a
Fig. 16. The compact nature of chain drives is illustrated by this
three-stage speed reducer for coalmine haulage; overall ratio
is 66:1. The previous similar unit had run for over 40 years
without any replacements.
89

NUMBER OF TEETH
Fig. 17. Chart showing cyclic speed fluctuation with number of
pinion teeth.
general rule the useful life of a chain ends, and the chain
should be replaced, when the extension over the original
nominal length reaches 2%. When there is no provision for
adjustment to take up this wear, the rejection limit is
usually taken to be from 0. 7% to 1%. Chain drives operating
at short centre distances wear more rapidly than those at
greater centres because each link articulates with greater fre-
quency in a given time as it passes round the wheels.
The importance of correct chain lubrication cannot be
over-emphasised as this has a marked effect on the wear
rate. A well-lubricated chain wears approximately 300
times less than one run dry, consequently the provision of
adequate lubrication will ensure long wear life. Merely
coating the outside of a chain with grease is ineffective; oil
must be used and made to reach the internal working areas
between the pin and the bush. Ingress of abrasive ma.terial
and corrosion accentuate wear of the chain, and cleanliness
is necessary to ensure optimum chain life.
Numbers of teeth in chainwheels
When a chain engages a wheel the mating tooth gap is
rising whilst the relevant chain link is falling. This rise and
fall of each chain pitch, due to the many-sided shape of its
path around the wheel teeth, causes a regular cyclic speed
variation in the chain. Figure 17 shows that the effect is
small for a 19T pinion and is quite negligible for 25 teeth.
As the number of teeth decreases, so the gearing becomes
increasingly irregular and energy is dissipated by impact
and friction; chain strand vibration is induced and chain
life is reduced with the increased angle of articulation.
Where, however, space saving is a vital design requirement
and the speed/power conditions are such that the disadvan-
tages of small numbers of teeth (below 17) are not para-
mount, then the limitations shown in Table 1 would give
reasonable performance.
Table 1. Limitations of small chainwheel tooth numbers.
Number of teeth 11 13 15
%maximum rated rev/min 20 30 50
% maximum rated power 30 40 60
90
Most drives have an even number of chain pitches and,
by using a pinion with an odd number of teeth, uniform
wear distribution over both chain and pinion teeth is en-
sured. Pinions with an even number of teeth should only
be used when special circumstances such as drive ratio or
space limitations make such a course unavoidable. It is
also good practice to make the sum of the teeth in both
wheels operated by the same chain not less than 50; ie
25T/25T on a 1: 1 ratio drive.
The design of the tooth profile caters for the increase in
chain pitch due to wear, but the maximum number of teeth
in any wheel should not exceed 150 because this represents
the optimum maximum which will accommodate reasonable
chain life without the chain riding over the tops of the teeth.
Wheel shaft centre distances
For optimum wear life the centre distance between two
wheels should normally be within the range of 30 to 80
times the chain pitch. For drives with short centre distances
it is recommended that the chain lap on the pinion should
not be less than 120°. On two-point drives this lap is
obtained when the shaft centre distance is equal to or
greater than the difference between the pitch diameters of
the wheel and pinion. Table 2 shows recommended centre
distances.
Drive lie, layout, and adjustment
Drives may be arranged to run horizontally, inclined or
vertically, but where the lie of drive is vertical or nearly so
it is preferable for the pinion to be above the wheel.
To obtain maximum chain life some form of adjustment
should be provided on all drives. Both manual and auto-
matic adjustment can be provided, but automatic adjustment
generally demands a special study of the conditions to
enable a suitable design to be provided. Typical of such
specialised adjustment arrangements is the camshaft drive
installed in a BMC B series car engine (Fig. 10).
For most normal industrial applications, adjustment is
made by movement of one of the shafts or by the use of a
jockey pinion and should be sufficient to take up chain wear
amounting to 2 pitches or 2% elongation whichever is the
smaller. A jockey should be mounted on the normally
unloaded strand of chain, preferably near to a large wheel
and gearing on the outside of the chain. There should be
at least 4 free pitches between the jockey and nearest wheel
and when in the initial position at least 3 pitches of chain
lap on the jockey. All mountings for jockeys should be
rigid, and after manual adjustment the moving member
must be securely locked in position.
Table 2. Recommended chainwheel shaft centre distances.
Pitch, in 0.375 0.50 0.625 0.75 1.00 1.25
Centre distance, in 18 24 30 36 42 48
17
Pitch, in 1.50 1.75 2.00 2.50 3.00
80
90 Centre distance, in 54 60 66 78 90
 Ptmon Speeds
Pmton Speeds R P M.
R PM

250 300 400 500 600 700 800 1000 1500 2000 3000 4000 5000 I ;QOQ
1 2 3
3 2 1 10 20 30 40 50 60 70 80 90 100 150 200 225 382 562
419 285 168 I
h 180 306 450
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209 152 89 5 COLUMN 2 ·DUPLEX CHAIN ~
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... __,............ .................. Speed I II Ill
~ ~~ 200 340 500
373 254 149 ..,........... AS HT
Steady AS
y --({\~ Chart Chart
/ Medtum AS Mm 23T Mm M23T
[............./ ............... ....... v"' lmpulstve Chart HT HT 100 170 250
187 127 075 090 153 225
168 114 067 Highly Mtn 23T Mm 23T M•n 23T
HT HT 080 136 200
149 102 060 lmpuiSIVB HT 070 119 175
131 089 052 ............... HT Heat treat Wheel Teeth
...... 050 102 150
112 076 048 -_.............
~ 050 085 125
093 063 037
.......... ............ 040 058 100
075 051 030
/ 030 051 075
058 038 022
...........
~ 020 034 050
037 025 ·015

~
019 013 008 010 017 025
314 419 524 828733838942105 16 71 2094 2818 3141 4188 5235 8282 7329 8378 1CM7 1571 2094 3141 418 8 523 5 6282
105 209

Pinion Speeds- RAD/S Pinion Speeds- RAD/S

1.0
 Ambient temperature Lubricant viscosity rating
°C °F (approx) SAE BS4231
-5 to 5 20 to 40 20 46-68
5 to 40 40 to 100 30 100
40 to 50 100 to 120 40 150-220
50 to 60 120 to 140 50 320
Table 3. Recommended chain lubricants.
Lubrication
Adequate lubrication throughout the life of a chain is
essential. The type and amount depends mainly on the
drive speed and care must be taken to ensure that the
lubricant reaches the working areas of the chain.
Methods of application. (1) Manual: low power, low speed.
(2) Drip feed: up to 50 hp (37 kW) and 1 200 ftjmin (6 mjs)
chain speed. (3) Oil bath: up to 50 hp (37 kW) and 2 000
ft/min (10 m/s) chain speed. (4) Pump feed: For any speeds
andjor power conditions; essential for drives over 50 hp
(37 kW); a copious supply of oil not only lubricates but also
cools the drive.
For most applications in the temperature ranges shown in
Table 3 a multigrade SAE 20/50 oil would be suitable. Dry
lubricants such as colloidal graphite or molybdenum
disulphide in white spirit or synthetic carriers can be
utilised for elevated temperature applications. At tempera-
tures from - 5°C to 40°C, low temperature initial greasing
and subsequent use of low temperature oils may suffice. It
should be noted that any abnormal conditions require
detailed evaluation by the chain manufacturer and lubrica-
tion specialist.
Drive selection
A complicated mathematical approach is not necessary to
arrive at a rapid and suitable chain selection for most
applications. The following basic information is required:
(a) Horsepower (kilowatts) to be transmitted.
(b) Speed in rev/min (radjs) of driving and driven shafts.
(c) Characteristics of the drive; eg degree of impulsiveness
of the driven load and type of prime mover.
Most chain manufacturers provide rating charts or tables
together with selection procedures for their products. These
are usually based on steady loading conditions, a 19T
pinion and a centre distance of 30 to 80 chain pitches, which
enables a drive life of 15 000 hours to be obtained with
correct lubrication, installation, and adjustment.
A typical rating chart and selection procedure for BS roller
chain are as follows: When the load is not steady and/or
the pinion has more or less than 19 teeth, the actual horse-
power (kilowatts) is multiplied by a selection factor from a
table (Table 4) to give the selection horsepower (kilowatts).
This selection horsepower (kilowatts) is then applied to the
chain rating chart (Fig. 18).
92
Machinery Number of teeth in pinion
characteristics 17 19 21 23 25
Steady 1 .1 1.0 0.9 0.85 0.75
Medium-impulsive 1.7 1.5 1.4 1.3 1.2
Highly-impulsive 2.2 2.0 1.8 1.7 1.6
Table 4. Selection factors used with rating chart (Fig. 18);
typical of chain-drive manufacturers guides to selection
procedures.
Where the power source is an internal combustion engine
of 4 cylinders or less, or is otherwise assessed as having
impulsive characteristics, substitute medium impulsive for
steady, and substitute highly impulsive for medium
impulsive against the machinery characteristic in the table.
When optimum drive performance is essential a minimum
of 23 teeth is recommended for medium impulsive drives,
where the pinion speed exceeds 50% of the maximum rated
speed, and for highly impulsive drives where the pinion speed
exceeds 25% of the maximum rated speed. In these circum-
stances pinions should also be heat treated for service under
the following conditions: (a) Steady drive characteristics
where pinion rev/min exceeds 70% of maximum recom-
mended speed when transmitting full rated horsepower
(kilowatts). (b) Medium impulsive drives where pinion
rev/min exceeds 50% of maximum recommended speed
when transmitting full rated horsepower (kilowatts). (c)
Highly impulsive drives; all cases. For powerjspeed, load-
ing or layout conditions outside the parameters specified,
it is advisable to consult the technical department of the
chain manufacturer.
INSTALLATION
At the installation stage all wheels must be mounted on
rigidly supported shafts, which must be parallel, and wheel
teeth must be correctly aligned. Where possible, wheels
should be placed close to bearings and must run truly on
their shafts. Before starting up a drive, the chain should be
adjusted to give the correct amount of slack, which should
never be less than half a chain pitch total to-and-fro move-
ment at the mid-point of the slack strand, when the other
strand is tight.
CONCLUSION
Chain drives are well established as an efficient means of
positive power transmission throughout modern industry.
They are relatively low in cost and simple to install and
maintain. Properly selected and regularly serviced, they
can be relied upon to function with complete absence of
trouble over long periods and, when chain wear makes
replacement advisable, new chains are universally available
and readily installed.
 Chapter 10

Rope Drives

W R M lindsay
Martin Black & Co (Wire Ropes) Ltd

As a means of transmitting power, steel wire ropes are

widely used throughout the world, and yet less is known
about them by users and designers of equipment than most
other plant in everyday use under their control. It is very
much in the interest of the user or designer that he should
understand some of the basic principles of rope construc-
tion and application. This knowledge will help the user to
assess the suitability of the rope for a given task and, when
necessary, enable the designer to present the correct
information to the rope manufacturer.

Bright or galvanised high tensile steel wire in the tensile

range 120 kgfjmm 2 to 180 kgfjmm 2 is the raw material of
the rope manufacturer. In Britain nearly all steel wire bought
or sold for ropemaking purposes should comply with the
BSS2763 :1968 'Round steel wire for ropes' which lays down
minimum standards of quality covering impurities, tensile
spread, torsion and bend test requirements.

Figure 1 shows the three basic components of a rope: wire,

strand, and main rope core. A rope is manufactured in two
operations: stranding, by which a number of wires are
twisted together to produce a length of strand; and closing
where a number of strands are twisted around a core.
Without considering unusual or special purpose ropes, the
number of wires per strand is likely to be between 6 and 49
and the number of strands between 4 and 34. This twisting
of wire and strand is known as the lay of the strand or rope,
the lay length is the distance taken by a wire or strand to
complete a turn (or helix) about its longitudinal axis.

In ordinary lay ropes, the direction oflay of the wires in the

strand is opposite to the direction of lay of the strands in
the rope. The direction of lay of both the wires in the strand
and the strand in the rope is the same in Lang's lay ropes
(Fig. 2). In addition to being left or right, ordinary or Lang's
lay, the layers of wires in the strand may also be arranged
in equal lay or cross lay. The wires in equal lay strands have
the same helix or pitch so that each wire in each layer has
the same lay length. The wire lies in a valley created by the
93
 Fig. I. Three basic components of a rope (from top): wire,
strand, core.
Fig. 2. Lay of ropes (from left) : right hand ordinary lay ; left
hand ordinary; right hand Lang's lay; left hand Lang's.
under wires or along the top of an under wire and is pro-
perly supported throughout its length. The covering layers
in a cross-lay strand lie at different angles to the under wires
and are poorly supported, making them very prone to early
fatigue failure (Fig. 3).
ROPE CONSTRUCTIONS
The three most common equal lay strand constructions are
Seale, Filler, and Warrington (Fig. 4).
Seale. Large outer wires are laid around an equal number
of smaller wires with the large outer wires lying in the valleys
created by the under wires.
Fig. 4. Rope constructions (from left): Seale, filler, Warrington .
94
Fig. 3. Wire position in cross lay (top) and equal lay.
Filler. The first layer of wires receives an equal number of
very small filler wires into the valley spaces thus creating
twice the number of valleys for the next layer of wires.
Warrington. A layer of wires alternately large and small
with the larger wires lying in the valleys of the under wires
and the smaller wires lying on the crowns of the under wires.
A description of ropes containing the three types of strand
illustrated would be:
(i) 6 x 19 Seale (9/9/1) nine large outer wires over nine
smaller inner wires over a core or king wire.
(ii) 6 x 19 Filler (12/6 + 6F/1) 12 outer wires over 6 inner
plus 6 filler wires over a core or king wire.

Fig. 5. Binding is necessary to prevent strands of cut rope flying
apart, unless wires and strands are pre-formed.
Fig. 6. Checking diameter of rope: left, correct method; right,
incorrect.
(iii) 6 x 19 Warrington (6 and 6/6/1) 12 wires alternately
small and large over 6 wires over a core or king wire.
Equal lay strand is not restricted to the 6 x 19 group of
ropes and can be obtained in the 6 x 36 group of construc-
tions, eg 6 x 36 (14/7 and 7/7/1).
Preforming is a process during manufacture whereby the
wires and strands are twisted into the exact position they
will occupy in the finished rope (Fig. 1). Internal stresses
are eliminated and all wires take their fair share of the load.
Further advantages of this process are that the rope is
quite inert when cut and does not have to be bound to
prevent the strands flying apart (Fig. 5). Broken wires remain
in position without damaging adjacent wires and during
handling and fitting there is less tendency for the rope to
kink.
Cores. These may be natural or synthetic fibre or a separate
rope known as an independent wire rope core. The function
of the core is to support the covering strands and to provide
a reservoir of lubricant to minimise friction between strand
and core and strand and strand.
Lubrication. The degree and type of lubrication at manufac-
ture varies with the conditions of operation and climate.
Lubrication during service will do much to reduce abrasive
friction between strands. It is doubtful whether any suitable
type of lubricant applied during service or method of
application will penetrate between the individual wires to
afford the same degree of lubrication as that applied during
manufacture.
Galvanising. Two methods are used: (a) Electro-deposit
where the greater degree of control over the uniformity of
the coating makes it particularly suitable for static ropes.
(b) Hot dip in molten zinc and drawn to final size giving
superior adhesion; often preferred for working ropes for
this reason.
Rope measuring
With the exception of one or two lift (elevator) rope sizes,
all ropes manufactured in accordance with a British Stan-
dard are specified in millimetre sizes. Ropes are made with
great accuracy, eg the 13 mm diameter 8 x 19 Seale construc-
tion rope containing 152 wires has a finished size tolerance
minus 0 + 0.39 mm. It is, therefore, important that such
accuracy is checked with equal accuracy when measuring
ropes (Fig. 6). Using a suitable caliper at two points not
less than I metre apart, two measurements should be taken,
each measurement at 90° to the other; the average of these
four measurements is the correct size of the rope.
ROPE SELECTION
The choice of a suitable rope for any set of working con-
ditions depends upon accurate assessment of the main
causes of wear. It follows that in order to make such an
assessment the cause and effect of rope wear must be under-
stood and identified (Fig. 7 shows the types of wear
described below).
Tension. All good wire will break under tension. Wire which
does not pull down at the broken tips is either of poor
quality or has suffered some damage or fatigue before being
subjected to a destruction load.
Fatigue. The break as illustrated can be caused by fatigue
only after prolonged work. It can also be caused by
secondary bending, ie where the wire is bending un-
supported over another wire as in cross-lay ropes or as a
result of surface cracking started by plastic deformation or
martensite.
Plastic deformation. Spreading of the outer wires is the
result of pressure either between rope and sheave/drum or
by hammering against a roller or some section of the rope-
using equipment. The effect is to cold work the wire in the
same manner as the smith or forge works a piece of steel. The
result is a brittle surface which can either flake off or start
a surface crack which will quickly extend into the body of
the wire.
Martensite. A surface embrittlement formed by a rapid
heating and quenching action. It can be caused by a fast
moving rope striking metal or a slow moving rope grinding
against metal or stone when under heavy pressure. Localised
temperatures in the order of 700°/800°C are created, arid
the rapid dissipation of the surface heat into the main area
of the wire creates a thin brittle surface with no ductility.
As soon as the wire is bent, the surface cracks develop in
the same manner as the plastic cracks already referred to.
The martensite layer is usually between 0.0127 mm and
95
 Fig. 7. Types of wire fractures: tension ( top left); fatigue (top right); plastic wear leading to cracks and fracture ( centre) ; martensitic
embrittlement leading to cracks and fracture (bottom). (Crown copyright) .

0.0254 mm, although in very bad cases the layer can be as From these considerations it is seen that various properties
much as 0.0762 mm. are required from a rope. Individually these properties are
not difficult to obtain; collectively they present a problem
A rope working under load must have strength; within since over-emphasis of one requirement may be to the
limits the higher the tensile grade of steel the greater the detriment of the others. Figure 8 gives some guidance on
strength of the rope. When working, the rope bends, there- rope selection where abrasion and fatigue are the two main
fore the tensile grade cannot be so high that it fatigues factors.
early in its life. For flexibility and resistance to fatigue when
bending, a large number of smaller wires would be desirable. SHEAVES AND DRUMS
The working rope is subject to some abrasion/wear from
sheaves and drums, therefore too-small wires are soon Many of the problems associated with ropes stem from
damaged. sheaves over which the ropes flex. As a general rule all
sheave and drum material should be as hard as possible.
Fig. 8. General guide to selection of ropes for service in which Once initial constructional stretch is removed, the tread
abrasion and fatigue are main factors. of a 'soft' sheave wears until it resembles a plaster cast of
MIN MAX
the rope surface. Unless a deeply imprinted sheave is
X /
replaced, any new rope fitted can suffer serious damage in
x::P~"- ; 6•7
a matter of days. Pressure in the sheave groove is directly
6•17 FILLER
x~"-
:>(<'~
/
J 6•19 SEALE proportional to the load on the rope and inversely pro-
.n~/
6X2l FILLER portional to the diameter of the rope and the tread radius
x..>-o ,._q..'P/
6 •19 WARRINGTON of the sheave. This may be expressed as:
X ~/
6xl9 FILLER
X~
8•19 SEALE P=~
A..O/ X't.l4,.. RD
6X31
~«-/ X 11..>-.
(;-"'/" ~
6 x 36 WARRINGTON where P=pressure in kg/mm 2 ; L=load on the rope in kg;
X~
iS·
r<;' . X
6X41 WARRINGTON R =tread radius (one half tread diameter) of the sheave or
~/'"
/ X
8•19 WARRINGTON drum in millimetres; D =diameter of rope in mm. Maxi-
/ X
8•25 FILLER mum radial pressures for different lays and sheave materials
are given in Table 1.
96
 Lay Cast iron Cast steel
kgf/mm 2 kgf/mm 2

6 x 19 Ordinary 0.352 0.633

6 x 19 Lang's 0-404 0.721
8 x 19 Ordinary 0.422 0.756
6 X 36 Ordinary 0.352 0.633
6 x36 Lang's 0.422 0.756

Table 1. Maximum radial pressures for different rope lays and

sheave materials.

Sheave grooving
A correctly grooved and maintained sheave is essential to
good rope performance (Fig. 9). British Standard 302:1968
'Steel wire ropes for cranes, excavators and general engineer-
ing purposes' covers the largest proportion of steel wire
ropes in general use. The permitted rope size tolerance
under this Standard is minus 1% plus 4%. When a rope is
bent under load over a sheave some distortion is both
inevitable and permissible, and to allow for this the groove
radius should be half nominal rope diameter plus 7.5%.
Fig. 9. Pulley sizes: (top)
Too tight a sheave may cause crushing and abrasion (similar correct for maximum
to Fig. 10) and too wide a sheave allows the rope to flatten support ofrope; ( centre) too
and the wires to take unequal loads, leading to early large, giving point contact
failure, so that after a period of use the rope cuts its own with groove and no lateral
seating (Fig. 11). support to rope; (bottom)
too small, nipping rope
between flanges and giving
Sheave diameter no support from base of
Irrespective of whether a rope is cross-lay or equal lay, groove ( effect worsens as
constant flexing over sheaves causes the wires to break up load increases) .
from the effects of fatigue. The increased bending stress
due to a small sheave, coupled with the increased tread
pressure already described greatly reduces the rope life
Fleet angle
potential. The minimum size for a working sheave should
Unnecessary abrasion to a rope is also caused by mis-
be not less than 300 x the outer wire diameter, and increases
alignment of sheaves and excessive fleet angles. The fleet
in this ratio up to 500 x the outer wire diameter show a
angle is that angle subtended by a line at right angles to the
marked improvement in the fatigue life of the rope. For
centre of the rope drum extending through the tread of the
round strand ropes the approximate diameter of the strand
sheave and a line from the side of the flange of the drum
outer wires can be found from:
to the sheave (Fig. 12). For grooved drums the fleet angle
. . diameter of rope should not be more than 2!0 (or It0 if the drum face is
dtameter of outer wtres=--~----:-.------!.----,:---=­
no. of outer wtres per strand+ 3 smooth).

Fig. /0 . Effect on rope of undersize pulley grooves: l -in (25.4-

mm) diam r-h ordinary lay opening and closing rope from
gantry crane, operating in abrasive conditions.

Fig. 11. Seating cut by rope

into base of over-wide
sheave.

97
 - -
I.
I
I.
I
+=------=1 ~---.
. II
-=
Fig. 12. Excessive fleet angle can abrade ropes: angle between drum centreline (at 90° to axis) and line from side of drum .flange to sheave.
Rope spooling
Care must be taken to ensure the rope is correctly wound
on to a smooth faced drum (Fig. 13). The natural tendency
for a rope under load is to rotate and partially unlay. Where
the rope is secured to the wrong side of the drum, the rope
rolls away from the preceding turns leaving large gaps
Fig. 13. Correct winding of rope on smooth-faced drum. Over-
wind: ( A ) spooled left to right ( ltor) use right hand (r-h) lay;
(B) spooled r to l use 1-h lay. Underwind: (C) spooled r to I
use r-h lay ; ( D) spooled I to r use 1-h lay rope.
© as 6 x 7 (6/ l) is well suited. Power is supplied through a
® ©
98
-
- -
i
·-r
I
I.
~
__l
I
I
I
between turns. When correctly fitted the rope rolls towards
the previous tum and forms an even well-spooled base for
the next layer of rope. The diagram shows that a left hand
lay rope may be used, but wherever possible users should
avoid this solution to the problem, since left hand lay ropes
are not always easily available.
OPERATING CONDITIONS
As a means of transporting materials over long distances,
endless rope haulage is still one of the most efficient and
economical methods available. Conditions are generally
severe, and abrasion is the principal wear factor. A rope
having large outer wires and a high breaking strength such
a surge wheel, and for a reversible system a full 'C' segment
is required ; a half 'C' segment is used on non-reversible
units. The profile dimensions for any rope size are shown
in Fig. 14. The correct method of reeving the rope on a surge
wheel is essential for smooth working, only Lang's lay
ropes should be used, as the grinding action between
adjacent turns of ordinary lay ropes results in excessive
plucking, abrasion, and displaced wires. Assuming a right
hand Lang's lay rope is to be used, the on-going rope must
start at the highest point on the non-reversible half 'C'
segment. On the reversible full 'C' segment the rope is
correctly reeved if the wires on the on-going rope in contact
with the surge wheel point towards the rim of the wheel. It
is important to check this carefully since the visible wires
point in the opposite direction.
The tractive effort required can be calculated from:
T1=e'"
Tz
Where T1 =the tension in kgf on the tight side of the rope;
T2 =tension in kgf on the slack side of the rope; e =base
log; f.1. =coefficient of friction; a= arc of contact of rope in
radians.
 6·5 K ROPE DIA. 6·5x ROPE DIA.

<I:
0

4-4·5 LAPS

Fig. 14. Profile dimensions for rope sizes on a surge wheel.

Independent wire rope core
Very few ropes 'wear out' in the accepted sense, distortion
in one form or another being the cause of a large number
of premature rope failures. The longer a rope can be kept
free of distortion, the longer it continues to give good service.
The use of independent wire rope cores (IWRC) in heavy
duty ropes for earthmoving machinery is now accepted
practice to reduce crushing and distortion. The use of
IWRC solely to improve fatigue life finds a limited number
of applications outside the heavy duty classification.
Comparatively few ropes are removed from service as a
result of fatigue only; a combination of abrasion, fatigue,
surface damage and corrosion in varying proportions being
responsible for wear which the use of IWRC would not
necessarily remedy. IWRC ropes should always be used in
hot working conditions when there is any possibility of
charring or serious drying out of the fibre core.
Investigations have been carried out extensively into the
fatigue-resisting properties of various ropes. Ropes from
the same production length, tested under identical condi-
tions, have produced a wide scatter of results. However,
from many testing programmes some acceptable facts for
everyday use have emerged. As already described, equal lay
ropes are superior to cross-lay ropes. IWRC ropes are
rather better than natural or man-made fibre core ropes,
although their superiority is less marked when they are not
working to full capacity. A general purpose crane rope for
example is rated to work at a factor of safety of 5 to 1, but
does in fact work for most of its life at 10 to 1 or better,
thereby reducing the apparent advantage of the IWRC in
heavily loaded fatigue conditions.
it continues to do so until the strands are nearly straight.
With a spliced rope this could be very dangerous as the
untwisting of the strands reduces the locking effect of the
splice tucks, allowing them to draw out. The direction of
the lay of the wires in the strand in ordinary lay ropes is
opposite to that of the strand in the rope and as the strands
unlay so the wires in the strand tighten to check the spinning
of the rope.
A spinning load in a restricted area such as shaft sinking
or on modem tower type cranes is a hazard to safety. Heavy
torque in a rope fitted on a multi-fall pulley block arrange-
ment can cause rotation of the bottom block and twisting
of the rope falls, making it very difficult to raise or lower
the load. In such circumstances the use of a non-rotating
rope should be considered (the term non-rotating is mis-
leading, and anti-rotating would be a more accurate
description since it is almost impossible to eliminate all
torque). Anti-rotating ropes are constructed with two or
more layers of strands laid in opposite directions so that
the torque effect from each layer is balanced (Fig. 15).
Fig. 15. Types of construction for anti-rotating ropes.

Rope rotation
In the 6-strand category, Lang's lay has a superior fatigue
life to ordinary lay; but unfortunately Lang's lay cannot
be used with one end free to rotate. The direction of the lay
of the wires in the strand and the strand in the rope are the
same, and if the free end of the rope is allowed to untwist,

99

Fig. 16. Deep nicking of wires caused by oxidised steel particles
released by abrasion when core lubricant dries out.
Running in
Multi-strand anti-rotating ropes are not nearly so robust
as 6-strand ropes and are very prone to kinking, frequently
caused by mishandling when being fitted. They should
always be ordered on reels and should never be fully loaded
before being carefully run in. With the rope under 25% of
its rated safe working load, the load should be raised and
lowered over its maximum working length at least six
times. This process should be repeated with the rope under
50%, 75%, and 100% of its rated safe working load and,
finally before being taken into service, a test load of 200%
should be raised. This pre-service drill allows all strands to
become properly bedded and greatly minimises the risk of
subsequent birdcaging caused by slackness in the strands
congregating adjacent to sheaves or winding drums.
Fig. 17. On-site re-ree/ing of ropes from stock should be done correctly (top); wrong methods (below) make rope lively and difficult to fit .
100
Corrosion
Corrosion in ropes is most common on the outer surfaces
of the strands where it is easily seen and can be minimised
by the application of a suitable lubricant. Internal corrosion
is most often due to particular industrial conditions where
there is heavy air contamination by corrosive fumes or
vapour or where the rope is constantly wetted and dried out
several times each day. Internal corrosion can also affect
ropes which are left in the same position for long periods
when not in use. Normal opening and separation of the
strands at the point where the rope bends (over a sheave
etc) allows any corrosive element access to the centre of a
rope. Internal corrosion is difficult to detect, the first signs
usually being a local reduction in diameter and a looseness
among the wires. Galvanising, though it reduces the effects
of corrosion, can sometimes create a false sense of security
and, for ropes working in highly corrosive conditions, the
safe action is regular and careful inspection.
Rope deterioration somewhat similar in effect to corrosion
can be caused by the drying out of the core lubricant, often
due to warm working conditions. Friction between rope
core and strand due to constant flexing of the rope releases
minute particles of steel which quickly convert to free
ferrous oxide and form a highly abrasive layer on the core
surface. The result is excessive core wear and reduction in
size which in turn allows increasingly heavy contact between
the strands so that the wires in contact suffer deep pressure
nicking leading to large numbers of broken wires at the
strand interstices (Fig. 16).
Reserve strength is the strength of the rope excluding the
strength of the outer cover of wires which are the first to be
destroyed or damaged through abrasion etc. Ropes with a
high reserve strength are sometimes preferred in the mis-
taken belief that they carry a hidden margin of safety for
the user; but this is not so, and rope should not be chosen
 Outer Inner wires
Type wires (reserve
strength)

6 X 7 (6/1) 83 17
6 x 19 Seale (9/9/1) 69 31
6 X 19 Filler (12/6+6F/1) 57 43
6 x 19 Warrington (6 and 6/6/1) 58 42
6 x 36 Warrington (14/7 and 7/7/1) 49 51
6 X 41 Warrington (16/8 and 8/8/1) 49 51
17 x 7 Anti-rotating 65 35
18 x 7 Anti- rotating 54 46
34x7 50 50

Table 2, Percentage distribution of total strength of rope.

on this basis. When assessing the condition of a working

rope, the remaining strength can be roughly estimated by
using the reserve strength data in Table 2. In the light of this
estimate the working load limit should be de-rated and the
revised load limit used only for as long as it takes to obtain
and fit a new rope.

Re-reeling
Many users cut the length of rope they require from a stock
reel or wind from a stock reel to a small easily handled reel
for fitting on site. When using the second method, wrong
reeling can make a rope lively and difficult to handle and
fit, although fortunately it will not affect the performance
of the rope once fitted (Fig. 17).

Kinking
Ropes stand a surpnsmg amount of punishment when
working and yet countless ropes are ruined by careless
handling before they have even started to work. A kink is
easily formed, and may start from an apparently innocent
loop in the rope. A kink is potentially by far the most
dangerous single type of damage which can be inflicted
upon a rope, and Fig. 18 shows the formation and final
appearance of a kink. Note that the lay/helix has been
shortened in the middle of the kink section and it is here
that the individual wire relationships have been disturbed
along with physical damage to those wires which were on
the inside of the kink loop. The rope is now in a dangerous
condition and can fail without warning.

SECURING ROPES
The methods of securing rope ends are many and varied,
and only the principal types of terminals are discussed here.

Hand splicing. This is the traditional method of forming

a securing eye at a rope end. It is the means of joining one
part of a rope to another part of the same rope (eg eye
splice) or of joining one rope to another. In either case it
involves the interweaving of the separate strands.

Regulation 39 of the Shipbuilding and Ship Repairing

Regulations 1960 states: 'A thimble or loop splice made in
any wire rope shall have at least three tucks with a whole
strand of the rope and two tucks with one half of the wires
Fig. 18. A ismple loop (top) can lead to formation of a kink
( centre) which r esults i n damage to wires and shortening of
lay/helix in middle of kink section (bottom) ; a knked
i rope
can fail without warning.

101
 Fig. 19. Mechanical splice on a rope made with a ferrule. Fig. 20. Methods of attaching clips to wire rope: correct (top) ;
wrong (bottom).

cut out of each strand. All tucks shall be against the lay of and the tail of the knot secured by a grip, the efficiency can
the rope .. . Provided that this regulation shall not operate be 50% or less. Table 3 gives the recommended minimum
to prevent the use of another form of splice which can be number of grips per fastening.
shown to be as efficient as the form of splice specified in this
Regulation'. Safety and economy
The attitude taken by some users to many working ropes
The efficiency of a splice decreases with increases in rope is that they are expendable and, although this may not be
size, as shown by the following data for diameter of rope unreasonable for some applications, the possible conse-
and corresponding efficiency of splice: 6 mm and under quences of neglect or abuse are frightening. A steel wire
98%; 10 mm to 16 mm 95%; 19 mm to 26 mm 85%; 28 mm rope is manufactured with a high degree of precision and,
to 38 mm 80%; 42 mm and above 70%. given the right treatment, will transmit power safely and
economically often under difficult conditions.
Mechanical splicing. The formation of a securing eye in a
rope other than by hand splicing is often referred to as
mechanical splicing, and by far the greatest number can Table 3. Minimum number of grips for fastening ropes as
be classified as ferrule secured eye terminals. The material diameter increases.
of the ferrule may vary but the largest proportion are made
from an aluminium alloy. These ferrules, when fitted to a Diameter of rope Number of grips
rope under considerable pressure, will develop 90% of the not less than
full breaking strength of the rope (Fig. 19). Up to and including 19 mm 3
Over 19 mm through 32 mm 4
Swaging. A steel fitting drill~ to accept a rope end and then Over 32 mm through 38 mm 5
compressed about the rope by means of rotary hammers. Over 38 mm through 44 mm 6
A swage will develop the full breaking strain of the rope. Over 44 mm 7

Bulldog grips. Bulldog grips are a quick and, if fitted pro-

perly, efficient method of securing a rope on-site. They
must be fitted with the bridge of the grip in contact with the
main or standing part of the rope, and should not be
reversed alternately. Grips should be spaced at approxi-
mately 6 rope diameters apart and if correctly fastened will
develop about 80% efficiency. Grips reversed alternately
will develop 70%/75% efficiency; and with the rope knotted
ACKNOWLEDGMENT
The illustrations in Fig. 7 are Crown copyright and are
reproduced from The Ropeman's Handbook (2nd edition
1966) published by The National Coal Board Production
Department in collaboration with the Safety in Mines
Research Establishment.

102
 Chapter 11

Belt Drives

D H Ashworth MISE
The Goodyear Tyre & Rubber Co (Great Britain) Ltd

Belt drives have been consistently growing in use, and in

the variation of types offered, ever since the invention of the
steam engine by James Watt in 1769. Broadly speaking,
there have been three 'periods' of development: (1) the
Industrial Revolution when the steam engine came into
use, which brought long line shafts from big stationary
engines, and, driving the machines, flat transmission belts
made of such materials as sewn canvas, balata, woven
cotton, hair, leather, and rubber and canvas. (2) The
arrival of the V-belt, in the USA in 1928, but in the UK not
really catching on until the late 1930s. This made possible
the use of small individual motors for each machine, giving
greater flexibility of movement and cheapness of operation.
(3) The third period, starting in the mid 1940s, covered the
introduction of synthetic materials into belts and made
possible great advances in performance in all types of belts
and brought about the design of some new ones.

Table 1 lists some of the properties of the various cord

materials used in belting. This shows some of the difficulties
in choosing the right fabrics. For example, good bonding
is one of the essential characteristics which rules out many
otherwise promising synthetic materials. The modulus, or
more correctly Young's modulus, is a measure of the stiff-
ness or extensibility of the material: the higher the modulus
the less it extends for a given load.

FLAT BELTS
Whilst the older type belts, such as those mentioned above
could transmit big loads effectively over long periods of
time (many belts are in service after 20-30 years) they did
have rather severe design limitations caused by their thick-
ness and weight. These factors led to loss of power caused
by the flexing of the belt round pulleys and by centrifugal
force, which is eventually the limiting factor to increased
speed. Figure 1 shows the power capacity of belts run at
the same speed but on different size pulleys. It can be seen
how flexing reduces the capacity of the belt on the small
pulley particularly at higher speeds. The maximum speed
of this type of belt is about 30 mjs.
103
 Whilst detailing the disadvantages of the old type of
Poly- Glass- Wire
transmission belt, one must in fairness point out one or
Rayon Nylon
ester fibre two of its advantages. It is excellent for such drives as quarter-
4.0 7.5 8.0 3.8
twist, reverse, and mule drives, whereas the smaller, more
Tenac1ty (g/den) 7.5
Strength of typical highly stressed belts cannot be subjected to the same
diameters (in) 0.037 0.031 0.030 0.021 0.014 twists and turns; and it is also noted for absorbing shock
Slow loading (lbf) 61.0 67.0 67.0 75.0 54.0
Impact loading (lbf) 71.0 71.0 78.0 95 0 69.0
loads in the drive either by resilience or slip.
Elongation at break (%) 13.0 19.0 17.0 4.0 3.0
Modulus rating 100.0 60.0 100.0 1000.0 1000.0 With the use of new synthetic materials, manufacturers
Dimensional stability
Shrinkage (%) 0.9 6.0 3.0 0.1 0.1
were able to make belts much lighter and thinner yet able
Growth (%) 2.0 8.0 3.0 0.1 0.1 to transmit the same loads, and this made possible much
Moisture (%) 11.0 3.5 0.3 0.1 0.1 higher belt speeds, smaller pulleys, shorter centre distances,
Heat resistance rating 100.0 150.0 210.0 1000.0 1 000.0
Wet strength (%) 60.0 90.0 99.0 99.0 99.0
and so on. The modern belt is constructed of a nylon or
Flatspotting rating 100.0 25.0 100.0 300.0 300.0 polyester core, with a friction surface of chrome leather or
Relative density (sp.gr) 1.52 1.14 1.38 2.52 7.8 polyurethane. The thickness can be as little as 1 mm or
below. If the drive has to be taken from both sides of the
Table 1. Properties of cord materials for drive belts.
belt, a friction surface can be supplied on both sides of the
To get a satisfactory drive, therefore, with this type of belt belt, but normally the top face is covered with a light
large pulleys with a slow moving belt are needed. The slower durable textile ply, to keep down the weight of the belt.
the belt runs, however, the greater the tension in it for any Belts can also be supplied to anti-static requirements.
given power being transmitted, and thus this limits the
capacity of the belt. Some constructions of belts can only be supplied endless
because they have a continuous cord tension member;
Another limitation on any type of belt drive, but particularly but other belts can be made endless with a vulcanised, or
with the heavy, thick transmission belting, is in the range even a 'cold-cure' joint, enabling the belt to be fitted and
of speed ratios available. From the formula Ac = 180-57.5 joined on machinery where the installation of an endless
((D-d)/C where Cis the centre distance of the drive and belt would be difficult. It should be remembered however
D and d the two pulley diameters, the arc of contact can that such a joint limits the maximum speed at which the
be calculated. From the ideal of 180° arc of contact which belt can be run, and for the really high-speed drives a truly
is obtained on a 1 to 1 ratio, where the pulley diameters are endless belt is essential to withstand the severe flexing on
the same, this gradually decreases as the difference in the diameters as small as 10 mm.
pulley sizes grows. This means a loss in power. To avoid
such loss, large arcs of contact were obtained by using long The scope of the flat belt has increased to cover a power
centre distances or jockey pulleys. range from 0.1 kW to almost 4 000 kW and speeds of up to
200 000 rev/min and 100 mjsec are now normal. In fact,
Manufacturers quote factors by which the power capacity belt speeds of 250 m/sec have been attained. Figure 2
of belts should be decreased for various arcs of contact, and shows how power with this type of belt remains constant
these vary for different types of belt. right up to 50 mjsec.

Fig. 1. Effect of pulley size on power capacity of belts run at Fig. 2. Power-speed characteristic for flat belt drive.
the same speed.
100

7 80

6
~
~ 60
a:
w
~
4 0
a: ll.

~
ll.
3 81-
<(
40

a:

20

5 10 15 20 25 30
BELT SPEED M/S
0 10 20 30 40 50
BELT SPEED M/S

104

Fig. 3. Diagram indicates proportions of a fiat-belt drive for a
rolling mill. Characteristics : motor 1600 hp 300 revfmin ; (A)
motor pulley 1.12 m (44 in) diameter, 1.27 m (50 in) face
width; (B) driven pulley 3.35 m (132 in) diam, 1.27m (50 in)
face width; shaft centres 8.2 m (27ft); belt 23.6 m (77.5 ft)
endless, 1.17 m (44 in) wide, at speed of 17.8 m fs (3 500 ft fmin) .
( Courtesy Stephens Miraclo Belts Ltd.)
Strength and flexibility combine to make modem flat belts
strong contenders for all the common belt drive applica-
tions as well as many for which belt drives are not normally
considered. The dominant feature of a drive may be its
high power or high speed; but remarkable combinations
of both have been achieved. The application illustrated
diagrammatically in Fig. 3 is for a rolling mill, and indicates
the confidence in a high power drive which has no means
of adjustment after the initial tensioning.
A great improvement in efficiency by comparison with
traditional flat belts and even V belts has proved to be a most
remarkable feature. The efficiency of these belts usually
exceeds 98% and normally shows saving of between 10%
and 15% in power consumption. The saving is greatest on
small drives; tests undertaken in various countries by manu-
facturers of widely differing machines have shown that the
majority of V belt drives achieve an efficiency of 80%
between 1 kW and 10 kW.
percentage of new paper making machines in most countries
is fitted with taper cone drives indicates how effective are
these modem belts despite the high starting torque, variable
humidity and complete lack of adjustment. It is only by
continual development of the modem flat belt that it has
kept ahead of the demands made by these and many other
adverse factors.
V-BELTS
Basically the V-belt has the following advantages when
incorporated in a drive:
(l) Possibility of very short centre distances; the wedge
action of the V-belt compensates to some extent for the
small arc of contact.
(2) Being compact, can be installed cheaply in the minimum
of space, and can therefore be guarded economically
and easily.
(3) Replacement of belts is inexpensive and, more impor-
tant, extremely quick; which reduces the 'down-time'
of machinery.
(4) No lubrication worries.
(5) Less vibration and noise.
(6) Cushions the motor and bearings against load fluctua-
tions both by elastic extensibility and slip under extreme
shock loads.
Fig. 4. Vertical hot forging machine with 10.5: 1 ratio drive
from 13-kW 900-revfmin motor by 228 mm (9 in) diam fiat
belt; shaft centre distance 1.72 m (68 in); flywheel speed 85
revfmin (courtesy Stephens Miraclo Belts Ltd).

Speed ratios between 10: l and 20:1 are not frequently

required, but have successfully been undertaken on many
different applications. Their success has proved conclu-
sively that belt slip is a thing of the past and is now overcome
by the combination of stretchlessness and high coefficient
of friction between the pulley and the driving face of the
belt. Speed ratios can be precisely designed and maintained
to an accuracy of l in 2 000 rev. An important benefit which
derives from high ratios is the use of faster motors than
would otherwise be possible; these cost less and are lighter,
more compact, more efficient, and are readily available
from stock.

High ratios are normally associated with relatively short

centres, and the resulting small arc contact between belt
and small pulley has repeatedly proved successful, for
example, on forging machines despite the inherent shock
loading. (Fig. 4.)

Most drives are provided with means of adjustment; but

interesting drives with fixed centres (mainly 50-400 kW)
are to be found on modem papermaking machines. These
are taper cone drives to provide a small speed variation
which until recent years was thought to be the sole province
of electrical control equipment. The fact that a very high

105

Matched teams of V-belts transmit machine drive at a paper
mill (in the Netherlands) (courtesy The Goodyear Tyre &
Rubber Co Ltd).
When initially introduced V-belts were produced in five
basic sizes: A, B, C, D, E sections (now made to BSI440) ;
(the top widths of these belts are 13 mm, 17 mm, 22 mm,
32 mm, 38 mm). As the power capacity of belts rose, due
to developments in tension members, and so on, the
E section was dropped and two new, smaller, sections
introduced: the FY and FZ, or Y and Z as they are now
called. These measure 6.5 mm and 10 mm, respectively,
across the top of the section. These small belts are being
more widely used in such applications as domestic appliances,
computers, typewriters, and so on. Belts as small as 4 mm
are being introduced for special applications.
The first V-belts were produced with cotton cords packed
into an envelope, but improvements in design led to these
cords being replaced by a single or double layer of cords on
the pitch line or neutral zone of the belt. Generally this
cord is now made of rayon, although polyester is also
widely used. Improvements have also been made to the
envelope of the belt, and these have led to most manufac-
turers offering their standard belts as being oil resistant and
static conducting. If required, heat resistant belts, for
temperatures over 80°C, can be ordered for applications
where these are needed.
106
Allowances have to be made when designing V-belt drives
for:
(I) Service factor. To allow for shock loads, arduous
conditions, etc.
(2) Arc of contact factor. As with flat belts, a reduction in
power must be allowed for with arcs of contact less than
180°. Generally speaking, if the arc of contact is less
than 100° the belt manufacturer should be consulted.
(3) Length correction factor . The longer the belt at a given
belt speed, the less any part of it will be flexing round
the pulleys; so that an allowance can be made for the
length of belt being used.
(4) Speed ratio 'add-on' factor. The greater the speed ratio,
the larger the slower pulley becomes and the less flexing
of the belt. This is shown in the power tables as an 'add-
on power (kW)'.
It is clear that because of flexing, the small arc of contact
and the possibility of slip, the pulley diameters should be
kept to at least the minimum recommended by the manu-
facturers. The difference in belt life the pulley size can make
is shown by the following data, for pulley sizes (mm)
followed by relevant% of life (in parentheses): 140 (280);
112 (170); 85 (100); 67 (50) ; 56 (25); 48 (10). The data are
based on an 'A' section belt, for which the recommended
pulley size is around 85 mm; ie 100% life.
Narrow belts
Introduced first in the 1940s for the automotive industry,
but now widely accepted and produced for the industrial
field is the narrow V-belt or wedge belt, as it is often termed.
Three sizes were found to cover adequately the same range
of conditions as the 'conventional' V-belt: 3V, 5V, 8V.
These were i in, i in, and 1 in top section; but are now being
replaced by ISO metric standard belts: SPZ (10 mm wide),
SPA (13 mm wide), SPB (16 mm wide), and SPC (22 mm
wide).
Fig. 5. Comparative power-speed characteristics for narrow
(upper curve) and conventional V-belts at constant pulley
diameter.
5
a:
w
?;
0
a..
REV/ MIN
The narrow V-belt was made possible by the increased
tenacity of the synthetic fibre tensioning cords which
enabled the width of the belt to be reduced but still allow
room for enough cords to meet the power requirements.
The depth of the belt was increased to provide a greater
area of contact between the pulley and the sides of the
belt. Made mainly with polyester cords, the narrow V-belt,
with its increased power rating can show a significant saving
in space over the conventional belt, particularly on multi-V
drives.
Figure 5 shows a comparison between narrow and con-
ventional belts using a constant pulley diameter. It will be
noticed that the power capacity of the narrow belt continues
to rise beyond the limit at which centrifugal force on the
conventional V-belt causes power to fall off at higher
speeds.
Open length V-belts
There are also available V-belts made open-ended, ie not
endless, which are ideal for applications where fitting a
new endless belt means stripping bearings and shaft. They
are also useful to hold against breakdowns when the correct
length of V-belt may not be available. A long length of,
say, 'A' section belting in the stores could cover all the 'A'
section belts in the factory. Sometimes this type of belt is
used on a non-adjustable drive, so that any slack that
might develop can be taken up by removing a section of the
belt.
There are two types of open-length V-belts, the first of
which, known as link belting, consists of numerous pieces
of laminated rubberised fabric which are joined together
with studs. These form the appropriate belt section and
they are available in Z, A, B, and C sections as well as
'wedge' sections. They are also available, if required, in
heat-resistant, oil-resistant, and anti-static qualities. Superi-
ority to endless V-belts is claimed with regard to shock loads,
and they are designed as a permanent replacement or
alternative to the endless belt.
The other type of open-ended belt, designed primarily as
a temporary replacement to endless belts, is the belt of
conventional V section. A series of holes are punched
through the belt so that it can be cut to the desired length
and a fastener bolted through both ends of the belt to join
it. The belt is of more solid construction than the modem
endless belt, to give good bolt-holding properties.
Hexagon section belts
Used mainly on agricultural drives, the hexagon, or double
sided belt is, in section, simply two V-belts back to back.
They are used where an additional drive is being taken off
the back of the belt, they are endless in construction, and
are available in A, B, and C sections.
'Joined' V-belts
'Joined' types consist of between two and five standard V-
belt sections bonded together across the back to form one
unit. They are used on drives where vibration and sudden
heavy shock loads may cause belt whip or turnover in
individual belts. Joined belts solve this problem. They also
ensure that there are no individual belts in the drive that
may not be correctly matched in length. Whilst the maxi-
mum number of belts bonded together is five, multiples of
these belts can be used side by side if a greater number of
belts is required on the drive.
VARIABLE SPEED BELTS
Although similar in appearance to V-belts, variable speed
belts are made to a special construction to allow for the
difference in operating conditions. There are three basic
types of belt-driven variable drives (Fig. 6) and from the
principles involved it can be seen that the belts need strong
abrasion-resistant sides which give a good grip on the
pulley faces, and excellent transverse rigidity to prevent
'dishing' or distortion under speed change tensions. There
are two main constructions, one with an envelope and
machine cut notches on the underside of the belt, and the
other with rubber edges (similar to the raw-edge V-belt
mentioned later) and moulded notches. All belts are notched
to achieve maximum flexibility round small pulleys without
loss of grip or rigidity. These notches also help to dissipate
any heat build-up in the belts.
Cross sections and lengths of variable speed belts differ
from manufacturer to manufacturer, but broadly they vary
between 19 mm and 98 mm in width and 660 mm to 3 400
mm in length. Some wider belts with slatted construction
(up to 200 mm wide) have a core consisting basically of a
modem fiat belt with special joint.
Power capacities of the belts can vary from the smallest
drive up to around 60 kW. Good examples of variable
speed belts are those which provide the final drive on the
DAF car. On the largest car the engine is rated at 55 bhp
(41 bkW) and because the belts eliminate the need for a
differential, either of them can be called on to take the full
output of the engine. Based on centrifugal force aided by a
vacuum pump which selects a lower ratio when the brakes
are applied, the belts give a fully-automatic infinitely-
variable transmission to the car.
Fig. 6. Three basic types of belt-driven variable-ratio drives.
VARIABLE VARIABLE
DUAL
VARIABLE
VARIABLE FIXED FIXED
107

TOOTHED BELTS
In all drives incorporating flat belts or V-belts there is some
creep present. There can be no guarantee of the speed at
the 'driven' end of the drive. The introduction of the
toothed belt overcame this problem and meant that, for
the first time, belts could compete with designs until then
suitable only for direct coupling, gears, or chain and
sprocket.
This relatively new concept in power transmission has been
proved and accepted by many industries for such items as
film projectors, hand drills, and miniature tape recorders,
to construction equipment, marine drives, pumps, and
even a revolving restaurant geared to tum at a precise
speed.
Toothed belts are constructed with glass fibre or steel
tension members protected from friction, oil, and moisture
by a thtn layer of neoprene (synthetic rubber) backing. The
teeth of the belt are also of neoprene, but of a harder
construction, and are accurately spaced and formed to
engage correctly with the mating grooves of each pulley.
A nylon fabric of low coefficient of friction covers the
contact surface of the belt and protects the teeth from wear.
These belts are very flexible and capable of running on
pulleys down to 16 mm diameter which enables short
centres or high speed ratios to be used if required.
Positive drive toothed belt driving a blower on a 'dragster'
sprint car (courtesy The Goodyear Tyre & Rubber Co Ltd) .
108
When six or more of the teeth of the belt are in mesh with
the pulley, the tooth shear resistance exceeds the tensile
strength of the tension members. The load capabilities vary
from fractional power drives to 450 kW and over. Belt
speeds cover a range from 0.5 m/s to 80 m/s.
The tension members of the belt virtually rest on the peri-
phery of the pulley so that in operation there is no chordal
rise and fall in the pitch line of the belt. This leads to a
quiet, vibrationless drive at all but the very highest speeds.
Unlike flat belts or V-belts, the toothed belt does not rely
on friction for the drive and this eliminates the need for
high initial tensioning thus reducing overhang and bearing
loads: tension is induced mainly by the torque being trans-
mitted, as with a chain.
Five sizes of tooth pitch cater for almost any design of
drive and power requirement. XL- extra light duty, 5 mm
pitch; in which belts from 152.4 mm to 660.4 mm in length
are available in widths from 6.35 mm to 9.525 mm. L-light
duty, 9.53 mm pitch in lengths from 314.3 mm to 1524 mm
and widths from 12.7 mm to 25.4 mm. H- heavy duty,
12.7 mm pitch from 609.6 mm to 4 318 mm in length and
19.05 mm to 76.20 mm in width. XH- extra heavy duty,
22.53 mm pitch, from 1 289 mm to 4 445 mm lengths and
50.8 mm to 101.6 mm widths. XXH - double extra heavy
duty, 26.03 mm pitch in lengths from 1 778 mm to 4 572 mm
and widths from 50.8 mm to 127 mm. Figure 7 gives some
indication of the power range of the various pitches.
Example of a very high drive ratio made possible with positive
drive toothed b elts (courtesy The Goodyear Tyre & Rubber

450
350
250
150
a:
~ 10
CL
z
t:l
v; 2
w
Cl
I I
50 100 500 1~ 5000
REV/MIN
Fig. 7. Power ranges of various tooth pitches for toothed belts.
Because of the construction of the toothed belt, it has an
inherent tendency to 'wander' to one side or other of the
pulleys. To avoid the belt running off the pulleys altogether,
one of the pulleys must be flanged (usually the smaller one,
for economic reasons). Flanges may be necessary on both
pulleys where the drive is not horizontal or where the
centre distance of the drive is more than eight times the
diameter of the smallest pulley. As a general rule, the width
of the belt should not exceed the diameter of the small
pulley.
Belts of non-standard tooth pitch and length can be supplied,
if this is essential and quantities warrant it, but the equip-
ment involved is very expensive and designers would be
well advised to plan their drives around standard belts.
POLY-V BELTS
The poly-V is basically a flat belt with the driving surface
ribbed to give a pressure traction area approximately three
times that of a flat belt. It is designed with the closest
possible fit and contact between every point of the ribbed
surface and the grooved pulley surface (as distinct from
the V-belt which mates only with the sides of the pulley).
Synthetic tension members running across the entire width
of the belt carry the loads, and the ribs are covered with a
rubberised fabric to resist damage and abrasion and give
long wearing properties. (Fig. 8.)
Because of the thinness of the belt, very small pulley dia-
meters can be used (about 19 mm) and speed ratios of 40: 1
can be achieved. The pitch diameter of the pulley is the
same as the outside diameter, and the tension members of
the belt ride on the periphery of the pulley. This means that
even after long periods of running there is no change in
this pitch diameter, and speed ratios can be calculated
initially with the knowledge that they will not alter.
Three sizes of poly-V belt are available: J section, with a
rib width of 2.38 mm and belt thickness of 3.97 mm for
drives up to 11 kW; L section, rib width 4. 76 mm, belt
thickness 9.5 mm for 3.5 kW to 40 kW drives; and M sec-
tion, rib width 9.5 mm, belt thickness 16.67 mm for drives
from 18 kW right up to 1 300 kW. Belt widths can vary from
only 2 ribs on the J section to as many as 64 or even more
on the M section. Because of the large choice of rib incre-
ments, close matching of belt width to power requirements
is possible; which means less space, weight and expense.
Many different belt lengths are available in each section
and, as with toothed belts, potential users should try and
design to standard belts to avoid high expense.
The part number by which a belt of any manufacture can
be recognised is made up as follows: the first digits are the
pitch length of belt in tenths of an inch; the letter represents
the belt section; and the last digits are the number of ribs.
An 18 in pitch length, 4-rib, 'J' section belt has, therefore,
the designation 180J4. Obviously, the pitch length in mm
can be obtained by multiplying the first number by 2.54.
TRENDS IN BELT CONSTRUCTION
Glass fibre cords, instead of rayon or polyester, are being
introduced on some special applications. The belts are
virtually stretchless and ideal for some drives where there
is little or no adjustment available. They have an excellent
flex-life and are especially suitable for use on small pulleys.
Because of their lack of elastic extensibility, however, they
are not recommended on drives where there may be high
shock loads.
Another development, the 'raw-edge' belt, is now being
widely used in the automotive industry for fan belts, and
will undoubtedly spread to the industrial market. This
belt, as its name implies, has no envelope on the sides of
the belt, and the cushioning compound, normally enclosed
by the envelope, is made of a neoprene compound reinforced
with glass fibre filaments to give better wearing properties
than the present cotton or nylon envelope. The sides of the
belt are smooth and uniform and there are no envelope
Fig. 8. Diagram with enlarged section of pressure traction area
of the poly-V* belt design. *(Reg. trademark of Raybestos-
Manhattan Inc.)
109
 Test rig in Lanchester Polytechnic, Coventry (UK) ,for study
of cornering and directional stability of tyres on a continuously
moving fiat surface; rig is driven by a poly-V belt (courtesy
Turner Bros Asbestos Co Ltd).
joints or variations in belt width to cause vibration or whip.
Because the tensioning cords in the belt can run across the
full width and because of its extra grip and flexibility, up
to double the power of a normal belt can be obtained.
Belts are also being produced in the USA in polyurethane.
They are moulded rather than built-up. With polyester
tension members they are manufactured in four different
sections, the smallest of which is only 3.175 mm top width
and which will run on pulleys of only 8 mm diameter. They
should be excellent for applications such as hand tools,
photographic equipment, business machines, computers,
and typewriters. The largest of the four sections is 11 .1 mm
top width and can transmit up to 22 kW.
The modem flat belt will also be improved. New materials
for the tension members will keep them highly competitive
in dimensions, initial cost, and ultimate life. The latest
110
Scanner of Decca Radar unit is driven by a poly-V belt at about
750 revfminfrom a 9.7 kW (13 hpj motor (at 2800 revfmin)
(courtesy Turner Bros Asbestos Co Ltd) .
driving face material will enhance the already high standard
of quietness, especially for running at high speeds.
SUMMARY
As stated at the beginning of this chapter, there is a wide
choice of belts available; but unfortunately, (or perhaps
fortunately for the belt manufacturers) it is impossible, as
a generalisation, to select any one belt as being superior
to the others. Each possible application for a belt drive
should be studied carefully, bearing in mind the advantages
and disadvantages of each type, and applying modern
design techniques - regardless of what shape or material
the belt employs to grip the pulleys.
The one thing all the different belts have in common is that,
when correctly designed, they will give many thousands of
hours trouble-free service.
 Chapter 12

Flexib le
Shaft Drive s

P J Wood
The S S White Industrial Division of Pennwalt Ltd

The original patents for flexible shaft drives date from

about the 1870s, hence they are well established for applica-
tions such as portable tools and instrument drives. However,
there are a large number of proven applications other than
the more familiar ones, and new applications are being
discovered continually in conjunction with new techniques
for varying the characteristics of flexible shafts.

Flexible shafts can be used to solve a wide variety of power

transmission problems, often as an alternative to gearing,
universal joints, flexible couplings, etc. There may be useful
savings in space and, more important, in initial and operat-
ing cost. For given applications, a flexible drive can consist
of: a flexible shaft with squared ends to accommodate end
fittings; a flexible shaft with fixed end fittings; a flexible
shaft inside a flexible casing, and so on.

FLEXIBLE SHAFTING
Flexible shafting should not be confused or compared with
wire rope or springs. The method of construction is
different, and Fig. 1 illustrates the construction of a typical
power drive flexible shaft. It will be noted that the shaft is
made practically solid by winding one layer of wire over
another, with a single wire in the centre acting as a mandrel.
For some applications, this mandrel wire is subsequently
withdrawn. Successive layers can alternate with pitch and
direction, dependent upon application. Flexible shafts can
be made from most basic materials, but are commonly
produced in carbon steel, stainless steel, Monel, Inconel,
and phosphor bronze.

Shaft end fittings

For given applications each end of the flexible shaft can be
accurately squared to locate in fittings that can be a part
of the casing assembly. In such cases the clearance between
squared shaft and fitting allows a response lag which is not
always acceptable. To overcome this, shaft end fittings are
swaged directly to the flexible shaft (Fig. 2 illustrates such
arrangements).

Ill

Fig. 1. Power drive .flexible shafting.
Flexible casing
The casing is effectively a flexible tube which acts in part
as a bearing or guide for the flexible shaft, whilst also pro-
tecting it from dirt or damage and retaining lubricant.
Flexible casings are made in a variety of materials and
methods of construction to give both very flexible and
relatively stiff casings.
Casing end fittings are fixed to the ends of the casing (Fig.
3) and can be arranged to allow the flexible shaft to be with-
drawn for maintenance. Such fittings can also incorporate
plain, ball, or needle bearings, in which the shaft end
fittings run.
The flexible shaft gives a lower torque capacity than that of
a solid steel shaft to obtain its flexibility, and generally
the more flexible it is the less torque it will transmit; hence
a compromise must be achieved in its design between high
torque capacity and the desired flexibility.
Fig. 2. Flexible shaft assembly.
?1'
~
~· FLEXIBLE SHAFTING FORMED SQUARE
Fig. 3. Flexible casing assembly.
Fig. 4. Flexible drive assembly.
112
The two basic types of flexible shaft are: (I) that used for
power drive; (2) that used for remote control. The charac-
teristic of a flexible shaft can be changed by varying the
number of wires on each layer, the physical properties
of the wire, the winding tension, and the type of construc-
tion. These variations effect the flexible shaft characteristics
in respect of torque capacity, transverse stiffness, minimum
operating radius, the torsional deflection, and finally the
cost. Flexible shafts operate generally at speeds up to 4 000
rev/min, and there are many operating successfully at
speeds above 20 000 revjmin.
For power transmission on applications where the driving
and driven elements are not in a fixed positional relation-
ship (eg portable tool drives) the very flexible type of shaft-
ing is employed; whereas on fixed or rigid installations,
very stiff shafts may be chosen, depending of course on the
radius of bend in which it is to work. However, in both
cases (and in fact in the majority of power transmission
applications) the torsional deflection of the flexible shaft
is not important.
SELECTING A SHAFf
The torque to be transmitted by the flexible shaft is the
most important factor to be considered when selecting a
power drive shaft; the value must be the maximum load it
is expected to carry, and must include starting torques and
possible overloads. These data can be obtained either by
direct measurement or by using the horsepower-spetXI-
torque formula.
It is advantageous to operate a flexible shaft at the highest
allowable speed, because the higher the speed the lower the
torque loading, hence the minimum diameter shaft may
be employed. Such a shaft is lighter in weight, can operate
at a lower bend radius, and is less costly.
Suitable gearing or variable speed ratio devices are often
introduced to produce the correct speed required, and it is
very important to arrange that the gearing is positioned so
that the flexible shaft is running at the highest allowable
speed. Figure 5 shows the correct installation of gearing.
When the torque is known the next factor for consideration
is the operating radius. The flexible shaft was developed
primarily as a way of transmitting power under conditions
which make it impossible to use a solid shaft, and most of
its applications involve curves. Every flexible shaft has a
minimum operating radius, which varies with the type of
flexible shaft and its respective diameter. A shaft should
never be bent in a curve of a smaller radius than the manu-
facturers recommended minimum. This applies not only
in operation but also for storage and shipment, because
if this simple rule is ignored the life of the flexible shaft is
considerably reduced. In fact, most flexible shaft failures
can be attributed to incorrect installation and handling.
Bend radius affects the torque capacity and life of a flexible
shaft; the torque capacity of any given shaft decreases as
the radius of bend is decreased, and so shaft life is reduced,
 INCREASING tool speed with gearing REDUCING tool speed with gearing

Motor speed
1725 r.p.m.
Gear ratio
6 to 1
Tool speed
10 350 r. p.m.
Motor speed
5 000 r. p.m. "'
Gear ratio
10 to 1

Fig. 5. Correct location of gearing with flexible drive, for increasing or decreasing speed of driven member.

hence it is important to use the largest bend radius that
conditions permit. See Fig. 6.
Direction of rotation is a very important factor for power
drive flexible shafts because the maximum torque carrying
capacity is only available when they are rotated in the
direction that tends to tighten the outer layer of wires.
When operated in the opposite direction of rotation the
power shaft torque capacity may be reduced by 50%. The
manufacturers advice should always be sought before a
power drive shaft is used in both directions of rotation.
The average length of a flexible shaft for power transmission
is less than 3.3 m. Shafts of 15m length have been success-
fully used, and as a general rule the problem more often
encountered is too little length. The shorter the shaft the
more difficult it is to satisfy bend radius requirements, and
it may not be possible to use the outer casing.
Service conditions must be taken into consideration, includ-
ing such factors as starting torque, reversing shocks, and
fluctuating load. Generally manufacturers recommenda-
tions for shafts of various torque capacities include safety
factors to cover normal overloads, but if the overload
should exceed 50% of the shaft torsional breaking load,
then a shaft of high rating must be selected.
A remote control shaft must have torsional accuracy (ie
very little backlash) and be capable of being rotated when
installed in a bend radius, easily, smoothly, and free from
jumping. Usually a much greater precision of movement
is called for in remote control shafts, together with equal
characteristics in both directions of rotation. It is therefore
a more costly shaft to produce.
Selecting a remote control shaft
Generally for remote control applications little if any lag
between the control and controlled element is allowable;
this applies to both directions of rotation since operation
in both directions is always required. The torque loading
is the initial consideration, but allowable angular deflection
often determines shaft diameter. The required accuracy of
control determines the allowable angular deflection, and
length must also be taken into consideration. Torsional
deflection figures per unit length are always quoted for
this type of shaft. It is important to use these shafts in the
largest bend radius possible, as they operate more easily
and smoothly under these conditions, and the resulting
minimum torque helps to improve the final torsional
accuracy.
Fig. 6. Formula for determining radii induced by offset.

R= >f+Y2
REMOTE CONTROL SHAFTS 4X

In every branch of industry remote control flexible shafts

are employed to provide smooth and sensitive controls
over varying lengths up to 15 m in length. They are used
for operating valve switches, indicators, counting instru-
ments, and equipment that has rotary control movements,
sometimes combining this with push-pull which is within
the capacity of a flexible shaft remote control.

The same principles of design apply to remote control and

power drive shafts except that the former are produced
with a greater number of layers of smaller diameter wires.
113
On very short length applications, a remote control shaft
may be used without a flexible casing (as a coupling between
two elements) but it should be noted that in the absence of
the outer flexible casing the same degree of torsional
accuracy cannot be expected. Any sideways movement of
the remote control flexible shaft when it is rotated under
load results in increased torsional deflection.
Power drive and remote control assemblies
A complete assembly designed for use on one particular
application may be, and often is, totally unsuitable for
another application. Also, an assembly designed specifically
for power drive use is usually unsuitable for remote control
applications. The careful choice of end fittings and the
flexible casing is of paramount importance with both types
of shaft.
On power drives at least one shaft end fitting must be smaller
than the bore of the outer flexible casing, so that the shafts
can be readily withdrawn for cleaning or re-lubrication.
One end fitting must also have a sliding engagement with
its mating part; this is to accommodate the relative change
of length between the shaft and casing when the load is
applied or when the assembly is flexed. Failure to take care-
ful note of these points in power drive design will certainly
cause rapid failure.
Remote control assemblies, because they are generally
rotated slowly, or in very short bursts of speed, can be
lubricated for life during manufacture so the shafts are
generally locked in the outer casing and cannot be dis-
mantled. The shaft end fittings are generally quite different,
as their design is usually of a type that positively locates on
the driving and driven members, being secured with set
screws or similar devices to ensure no lost motion between
the assembly and the parts to be controlled.
The choice of flexible casing is important. Portable tool
drives use a very flexible type, often covered with a tough
rubber to give protection against ruggeq conditions of
service; whereas on fixed power drive and on remote control
drives a stiffer type of casing is required. Generally the
stiffer types of flexible casing give longer shaft life on power
drives and assist in maintaining the torsional accuracy
called for on remote control shafts. On all applications,
except of course portable tools, the outer flexible casing
must be clipped or secured every 610 mm to 914 mm and
must never be allowed to sag. Flexible shafts are available
with the end of the shaft formed into an accurate square.
This type of termination when used with a broached or
pressed square hole in the mating part provides a simple,
positive, trouble-free driving connection that prevents shaft
ends working loose under fluctuating load conditions and
dispenses with the rust problem associated with shafts that
have the end fitting incorrectly soldered.
The positive advantages are that it eliminates the need for
a separate shaft end fitting and permits the use of a smaller
flexible outer casing. Both of these factors reduce the cost
and weight of the assembly. This type of termination is
114
(
------------·--
"--EB~-~-
Fig. 7. Standard motor coupling assembly.
always preferable on volume production. It is generally
employed on power drive assemblies, but may be used on
remote controls where some lost motion can be tolerated.
Standard motor coupling assemblies (see Fig. 7) are also
available and are designed for convenient easy attachment
to driving and driven spindles without the necessity for
furnishing any termination to secure the outer flexible
casing. It is a simple matter to slide the coupling over the
spindles and tighten the set screws provided.
The flexible shaft in most instances does not require con-
stant lubrication; in fact over-lubrication and the packing
of the complete assembly with grease is a mistake as it adds
to the torque loading on the shaft and causes overheating.
On power drive applications the shaft should be removed
periodically and thoroughly cleaned, the flexible casing
bore cleaned, and the shaft lightly smeared with grease as
it is fed back into the casing. The frequency of this servicing
depends upon operating conditions. Generally only on
applications of high-speed high-temperature and constant-
flexing need this be closely supervised.
Temperature. No special problems arise in the selection
of flexible shafts for operation in temperatures between
-18° to 122°C other than the selection of a suitable
lubricant. For temperatures up to 538°C, shafts of stainless
steel or Inconel are available. The outer flexible casing must
be suitable for use in the elevated temperature conditions,
and metallic flexible casings are generally considered most
serviceable and are sufficiently oil-tight for practically all
applications. Plastic coatings are often applied for improved
appearance and as additional corrosion protection.
Special requirements such as a non-magnetic flexible shaft
can be met by shafts made with phosphor bronze or certain
types of Monel, with flexible casings of phosphor bronze,
brass, or stainless steel.
As there are so many facts to be studied in selecting a
flexible drive for various applications, it cannot be stressed
too highly that it is in the designers interests to seek the co-
operation of the manufacturer at the earliest possible stage
in the design, so that the fullest advantages can be taken of
the usefulness of a flexible drive assembly.
 Chapter 13

Process Control
by
Variable Drives

P Crum Assoc/TAI
Allspeeds Limited

The characteristics of some of the many alternative types

of variable speed drive are discussed elsewhere in this book,
and the purpose of this chapter is to analyse the reasons
why such devices are important and are being increasingly
used in modern industry. It is proposed to omit discussion
of applications which are made after equipment has been
in operation for some time, on the grounds that although
some are installed for the valid reason that equipment is
diverted to purposes other than those for which it was
originally intended, many are effected because the advan-
tages offered by the provision of variable speed were not
foreseen at the outset. It is intended to indicate these
advantages, so that variable speed may be considered at
the design stage, as an essential design element.

Broadly speaking, there are four reasons for variable speed

to be considered, on purely technical grounds, quite apart
from the commercial advantages that very often follow.
These four reasons are:
(1) To achieve flexibility in developing and testing prototype
machines.
(2) To accommodate temporary departures from standard
procedures, necessitated by variations of a short-term
nature.
(3) To provide versatility, where a machine is intended to
function with a variety of materials or products.
(4) To achieve deliberate and continuous process control,
including maintenance of length, weight, and
proportioning.
Each of these functions is now examined in greater detail.

DEVELOPMENT
In the development of a new machine or process, the designer
is usually presented with a number of known facts or
established practices which he can adapt to the new require-
ments. It is however, rarely possible to be specific in all his
predictions, and the incorporation of a variable speed drive,
with scope for adjustment above and below estimated values,
can save many hours of trial and error with alternative belts
115
 point is dependent upon the speed of the conveyor and the
surrounding temperature. Without variable speed, the
conveyor has to be slow enough to allow the coating to
solidify in summer conditions, though the same rate is
inefficient in winter, when solidification occurs more
rapidly. A variable speed drive allows the cooling time to
be matched to the ambient temperature, and results in
increased throughput in all but the hottest summer weather.

The manufacture of certain bent-wire products is an indus-

Fig. 1. A modern mechanical variable speed drive, complete
with motor and reduction gear. Manual control is interchange-
able with a variety of standard servo control systems.
and pulleys or gear ratios. If it is assumed that stepless
speed control is under discussion, then much useful informa-
tion can be brought to light, such as natural vibration fre-
quencies and critical operating speeds. Relationships
between operational limits, product quality, and machine
and tool wear can also be established. The end result of
these tests may be the determination of the ideal speed
range for the machine, having made allowances for the
effects noted. Alternatively, the result could be a better
appreciation of the problems which will be encountered
in practice, and will often lead to a decision to retain the
variable speed facility.
TEMPORARY VARIATIONS
Precision is an expensive commodity, and the tighter the
limits imposed on a supplier, the more costly the product.
If, on the other hand, a process may be engineered in such
a way that a greater diversity of raw material specification
can be accepted, without affecting the end result, then one
can begin to see the economic merit of making this provision.
Such a situation for example frequently occurs in the pro-
cessing of paper and many textiles, where the moisture
content requires to be closely controlled to achieve con-
sistent quality in the finished product. Drying can be effected
by passing the material through a heated chamber, where
surplus moisture is removed. In the event of the initial
moisture content being variable, it is simpler and more
reliable to vary the speed through the heating chamber,
with immediate effect, than to make temperature adjust-
ments which are usually subject to a time lag.
try in which the condition of the raw material can be subject
to variations in quality and dimensions. These variations
may (to a small or large degree) affect the speed at which
the products can be formed, and it is advantageous to have
a variable speed drive fitted to the machine to accommodate
them. Another benefit resulting from its incorporation is
that whilst setting the machine or making adjustments, it
can be operated very slowly so that the function of each of
the processing stages may be closely studied.
The subject of undesired but inevitable variants includes
reference to the human factor. Not only is there a need at
times to adjust a machine to match the skills of various
operators, but there are times when a work-team may be
temporarily reduced by illness or other cause. If the work
is delivered by conveyor (eg packing or inspection tables)
a temporary alteration of throughput rate can suitably
compensate for the reduction in manpower and allow each
person to receive his or her usual work-load.
VERSATILITY
Despite a continuing increase in the use of special purpose
machines designed to undertake a single specific task, there
will always be vast numbers of machines which are called
upon to handle a range of products, the processing charac-
teristics of which may vary considerably. If each product

The ambient conditions which surround a process machine

often have a bearing on the process in hand, and one such
factor is temperature. Typical applications are open-air
drying or cooling, in which the difference between summer
and winter temperatures can considerably affect the pro-
cessing of the product. In the manufacture of chocolate-
coated confectionery, after the enrobing process, the
chocolate is allowed to cool and harden; when this process
is continuous, the product is normally on a conveyor. The
state of the chocolate at the end of the conveyor or delivery
116

Fig. 3. Principle of
draw-twisting
machine: nip rolls B
are driven faster than
nip rolls A, so that
yarn between them is
stretched by a
controlled amount.
is to be accorded optimum production potential, it follows
that all the necessary machine functions will need to be
adjustable, and these adjustments should be simply and
quickly executed, if setting-up times are to bear a sensible
relationship to productive times.
A good example of a machine of this type, where speed
control can make a valuable contribution to versatility, is
a power press. Manufacturers of these machines rate them
according to the maximum load which they can bring to
bear on the work, and a rationalised range of such machines
might include models rated at 1, 2, 5, 10, and 20 t. Thus,
anything between 5 t and 10 t loads would have to go on a
10-t machine, and shop conditions often dictate that presses
are used for loads well below their rating. In these circum-
stances, output usually suffers since the speed of a heavy
duty press is normally well below that of a lighter machine.
With certain precautions variable speed can be applied
with advantage, making possible higher production rates,
although one is not likely to be able to equal the production
rate of the correct machine for the job. The press manu-
facturers should, however be consulted before alterations
are made, as other parts of the press such as clutch-brake
units, bearings, and flywheels may not be able to sustain
the effect of increased rotational speeds.
Figure 2 shows a typical power press with variable speed
drive attached. In this case, because of speed limitations
imposed by clutch engagement, the variable speed drive
is fitted with a pneumatic control which increases the number
of strokes per minute, after clutch engagement has been
effected at the normal operating speed. At the end of a run,
speed is automatically restored to normal by the pneumatic
control system, before the drive is disconnected. The high
speed setting is adjustable to suit a wide variety of
applications.
In the textile industry, variable speed drives are used for
many processes, and controlled drying has already been
mentioned as an instance of its use to mitigate the effect of
an unpredictable variable. It is also deliberately incorpor-
ated in the design of many standard types of machines so
that these are suited to a wide market of users in many
branches of the industry. Spinning or, more correctly,
draw-twisting machines are a good example, in which the
fibre is drawn from bobbins by a pair of nip rollers (Fig. 3).
These are followed by a further pair, before the material
passes forward to the spinning operation, in which it is
twisted and simultaneously wound on a series of tubular
bobbins known as kops. A difference in speed between
the pairs of nip rollers causes the material to be stretched
to a controlled degree which can be adjusted by varying the
velocity of either or both pairs. To deal with the variations
needed for all alternative materials many change-wheels
would be required; the modem trend is therefore to use a
stepless speed control between the rollers so that an exact
amount of stretch can be induced.
One interesting use of variable speed has been developed
in connection with the printing of wallpaper, resulting in a
substantial economy of space, and improved facilities for
raw material feeding and product removal. The rotary
printing machine, itself driven at variable speed, is located
between two reel stands, each with an independent variable
speed drive (Fig. 4). One of these handles the unprinted
rolls of paper and the other receives the processed material.
Immediately after printing, the wallpaper has to be dried
before it can be reeled up. Formerly, this involved air dry-
ing at room temperature, which meant that a considerable
floor area was devoted to a festooning section where the
paper was formed into a number of loops which progressed
slowly forward.
The introduction of tunnel driers, in which heated air drives
off the moisture, has eliminated the need for festoon drying,
and it has become technically possible for printed wall-
paper to pass through the drier directly to the take-up reel.
Fig. 4. Use of variable speed (VS) drives in continuous printing
of wallpaper. VS drives: Vl printing machine and conveyors;
V2 controls input feed; V3 controls take-up reel. Electronic
controls: El controls input reel drive; E2 controls take-up reel
drive.
PRINTING
MACHINE
117
There is however, still a need to provide storage accumu-
lators adjacent to each reel stand, so that printing may be
uninterrupted whilst reels are changed. Normally, the reel
stands are synchronised with the printing machine, but
when a reel needs to be changed, the speed is deliberately
changed, increasing or decreasing at the infeed or output
ends respectively. This allows an accumulation of paper
to be built up, permitting reels to be inserted or removed,
and cuts or joints in the paper made as required. without
interrupting the printing process. It is accomplished by
using two electronic controllers which normally synchronise
the reels with the printer, but have the added function of
bringing about the reel stand speed changes when required.
I I
This category of variable speed application, in which the
provision is deliberately incorporated to achieve versatility,
probably accounts for two-thirds or more of the industrial
use of variable speed drives. Only two examples are given,
but there are many more in various industries where the
introduction of similar speed controls could be technically
and commercially advantageous.
l I
AUTOMATIC CONTROL
All the applications which have been discussed so far have
\ \ \
one feature in common: the adjustment of speed is carried
out at intervals, between relatively long periods of operation Fig. 6. Chart records for a constant-weight feed system: ( top)
at uniform speed. Variable drive units applied in these weight deviation from original installation; (bottom) stable
circumstances are usually provided with local manual weight obtained after incorporating a variable speed drive into
the feed system.
controls, although remote controls by simple servo systems
are sometimes used. Where, however, the process is one
in which variations occur continuously (even when the For application to speed control units, servo devices may
change is predictable) some form of uninterrupted monitor- be mechanical, electro-mechanical, pneumatic, hydraulic,
ing and speed adjustment becomes necessary. Machine- or electronic. The type which is chosen will depend on the
minders used to be employed for this monotonous duty, signal transmission system, the control mechanism of the
but manpower is costly and the possibility of human error variable drive, the degree of accuracy required and some-
is always present. Thus, over the years, automatic or semi- times (as in flameproof areas, for example) environmental
automatic process controls have been developed, relying conditions. It is important not to be misled into thinking
on instruments to detect variations and relay this informa- that because a certain type of control is highly sensitive and
tion to servo systems whose duty is to make suitable correc- accurate, it is necessarily the most suitable. Provided that
tive adjustments. .the process can be controlled within acceptable limits, a
system which permits this variance is likely to be less
Fig. 5. Motorised variable speed drive with associated electronic complicated, less error-prone and certainly less expensive ;
speed controller. added to which the less complicated the system, the easier
it is to understand and maintain.

Applications in this field are legion, and instrumentation

has kept pace with the demand, so that almost without
exception a process variable may be continuously monitored,
indicated, and recorded or its value transmitted as a control
signal. The controller is designed to sense the existence,
the dircttion and sometimes the extent of error and apply
a correction until the error is removed. In more sophisti-
cated systems, the rate of correction is proportional to the
extent of the signal difference, and in still more complex
systems, even the rate of error attenuation may be taken
into account.

Control engineering is a science in itself, closely allied to

instrumentation, and unless the requirements are of a very
118
simple nature, expert advice should be sought. It is also
recommended that whatever monitoring system is chosen,
it should be one which is known to be compatible with the
speed-change unit which is to be employed. The variable
drive manufacturers can normally advise in this matter.
Figure 5 shows a typical mechanical variable speed drive,
with attached reversible servomotor and an electronic
controller which can determine output speed or input/
output ratio against a master value. By means of inter-
changeable plug-in modules, it can also be used to achieve
synchronisation, and it operates with a maximum error of
± 1.5%. Such a controller, which compares and is activated
by voltage signals from tachometers, potentiometers or
various types of transducer, is versatile and sufficiently
sensitive for many industrial needs.
In many processes the flow of material from one process
stage to another must be made as uniform as possible, and
the manner in which this may be controlled depends on the
nature of the product. The varying intensity of transmitted
light has, for example, been used to gauge the average thick-
ness of a blanket of unwoven textile flock as it moves for-
ward on a conveyor, the speed of which is adjusted as
variations occur. Thicker materials may be gauged by
passing them between measuring rollers, and heavier
commodities can be transported over a weighing platform
so that uniform bulk density is maintained. Figure 6
represents charts produced by a graphic recorder associated
with a constant-weight feeder. It shows the considerable
improvement which was achieved; in this particular case,
the handling of tobacco leaf.
Another type of controller which has proved to be extremely
effective is one which senses the load taken by an electric
motor and adjusts the speed of a constant-power variable-
speed drive, making varying torque available to deal with
load fluctuations. This type of controller has been success-
fully applied, for example, to a stone-cutting saw, so that
as the thickness or hardness of the material varies, an
optimum traverse rate of the work under a constant-speed
saw may be effected.
Another class of machine to which this form of control
may be applied is an agitator or mixer, in which the viscosity
of the product frequently varies during the mixing process.
Working continuously without supervision, the control
ensures that the mixing process is carried out at the maxi-
mum rate possible under the prevailing conditions, that
production is maintained at an optimum level, and that
the motor is protected against overload.
It is evident that variable speed drives play a vital role
throughout modern industry. Besides catering for the
technical necessities of many machining and processing
operations, they have a most important function in main-
taining continuous control over production equipment
which previously required human supervision.
For the future, computer control will become increasingly
used with systems that include variable speed drives. There
is no doubt that rapid strides are being and will continue
to be made in this area of industrial development and
economic progress.
119
 Chapter 14

Instrument and
Control Drives

P S Glover
Reliance Gear Co Ltd

Instrument and control drives are essentially movement

measuring devices and as such the prime requirement is
one of ability to transmit position data reliably. Many
instrument units are merely miniaturised versions of their
power transmission equivalents, but with the specification
accent on accuracy and low friction and not on their power
transmission capabilities.

Control systems such as those employed in the steel manu-

facturing, machine tool, and aircraft instrument industries
carry a responsibility out of all proportion to their cost
when, for example, failure of the smallest of links in the
control chain (costing only a few pounds) could result in
the scrapping of high-cost raw material and loss of valuable
production time on machines costing millions of pounds.
On a different scale failure of an aircraft navigation aid
could result in a human disaster where costs cannot be
reckoned in material terms. It is pertinent therefore to
establish this degree of responsibility at the outset and to
reflect it into an adequate design specification covering
safety and reliability in addition to the functional require-
ments.

Many instrument and control systems depend upon rotating

electrical components which provide electrical signals or
pulses in a strict relationship with the angular movement of
a rotor shaft, thus making possible electrical monitoring
of a mechanical rotary displacement. A large family of such
devices exists, some of which are commonly known as
synchros, resolvers, magslips, servomotors, tachogenera-
tors, digitisers, encoders, potentiometers, each possessing
distinctive electrical functions and characteristics. Hence
it is obvious that the expertise of both mechanical and
electronics engineers is required in the framing of a design
specification for a control system. In fact close liaison is
absolutely vital in ensuring that the electrical specification
does not make impossible demands on the mechanical
capability and vice versa.

Direct and accurate conversion of linear movements into

electrical responses is practical, indeed at least one system 1
121
 ( r-------
1
SPRING OR I
I
,1-----------t+------i TORQUE MOTOR I
I

ti ~lI[ II Il
1 1
f--------tt--

-tt---l: I ~..-..
TRANSDUCER
I
I
I
1.· I I I
I
TRANSDUCER I
I
I
L--- A B

Fig. 1. Wire and pulley. Fig. 2. Grooved pulley and wire arrangements.

employing direct electronic sensors is utilised by certain
sections of the machine tool industry as are other systems
which are indirect and depend upon direct optical response
sensed by photoelectric cells. 2 However the tendency at
present is towards a mechanical linear to rotary movement
converter which readily lends itself to one of the many
rotary transducers available.
MECHANICAL DISPLACEMENT
CONVERTERS
There are various types of linear-to-rotary displacement
converters, including: pulley and wire; nut and screw;
friction roller; rack and pinion.
Pulley and wire
In the pulley and wire arrangement (Fig. 1) one end of the
wire is anchored to the pulley and the other is attached to
the member whose linear movement is to be monitored.
The spring or torque motor must be sufficiently powerful
to maintain tension in the cable during retardation in the
direction which unwinds the wire from the pulley and
during acceleration in the opposite direction; otherwise
the cable becomes slack during these periods and conse-
quently control is lost. One method of eliminating this
problem but creating the possibility of others is illustrated
in Fig. 2A. Here the spring or torque motor is redundant
and the drive and return is effected by means of friction
created between the pulley and cable by the initial tension
applied in the latter. Should this tension be insufficient then
pulley slip and creep occur under conditions of acceleration,
retardation, and wire vibrations set up during operation.
A possibly better arrangement (Fig. 2B) uses two wires;
one tail of each is anchored in opposite ends of a grooved
pulley and the remaining tails attached to opposite ends of
the moving member. Thus the drive is positive in both
directions.
Similar methods using steel tape Fig. 3 and 4 are practical,
but both wire and tape systems suffer from inherent draw-
backs as far as accuracy is concerned:
(i) Manufacturing tolerances on pulley diameter, wire
diameter, or tape thickness contribute to an error along
the mean circumference which accumulates in pro-
portion to the total number of pulley revolutions. In
other words, as the total distance to be measured
increases so the accuracy decreases.
(ii) Variation in dynamic tension produces a variation in
wire or tape length which increases with measuring
distance.
(iii) Rapid and local temperature changes similarly affects
the system.
(iv) Yet another error source which depends on length is
sag or catenary of the wire when used in a horizontal
plane.
(v) To reduce the possibility offurther errors, steps should
be taken to avoid accumulation of dust and dirt both
on the pulley and wire or tape.

Fig. 3. Tape and pulley system. Fig. 4. Tape and pulley system.

TRANSDUCER

SPRING OR
TORQUE - TRANSDUCER
MOTOR

- TORQUE
MOTOR
~ ~-
---TAPE GUIDE

122
 A B
Fig. 5. Screw and nut; rotation of shaft causes nut to travel along shaft. (A) Rotation of nut imparts linear motion to shaft. (H) End thrust
on shaft imparts rotary movement to nut. (C) End thrust on nut causes shaft to rotate.
Despite what at first seems a long list of difficult problems,
in practice satisfactory systems have been developed along
the lines depicted by Fig. 1 and 2B and are in constant use
in the steel industry for control of large forging presses. 3 · 4
Also position readout systems designed on the principles
illustrated in Fig. 3 and 4 are commercially available for
application on lathes and milling machines. 5 • 6 For further
reading on tape and wire transducers see reference 7.
Nut and screw
In the nut and screw mechanism which provides positive
drive, it is usual, by means of slideways, to prevent the nut
from rotating but to allow linear movement to take place,
when the screw is driving. However, other modes of opera-
tion are possible (Fig. SA, B, C) with high efficiency nut
and screw.
Conventional threads such as the square or vee type suffer
from low mechanical efficiency caused by friction between
the nut and screw. Recirculating ball screws (Fig. 6) which
introduce a system of ball bearings between the nut and
screw virtually eliminate this problem with claimed
efficiencies of over 90%. Backlash, which is always present
for a condition of non-interference between nut and screw,
is removed by the controlled preloading of two nuts against
each other (Fig. 7).
Rigidity in design allows limited forces to be transmitted
without appreciable loss in accuracy due to axial deflections.
Fig. 6. Hal/screw and nut.
c
Thus in many applications the ball screw serves both as a
power and position transmission element as, for example,
when used as a lead screw on a lathe.
Manufacturing techniques contribute to pitch error which
accumulates with length, and suppliers often quote accuracy
per unit length. Defining the conversion rate of linear to
angular motion as the revolutions turned through per unit
linear displacement, then a ball screw having a pitch of eg
5 rom has a conversion rate of 0.2 rev per rom. The diameter
of a pulley to achieve the same conversion rate would have
to be 5/n(mm) which is obviously impractical. Thus the
ball screw lends itself to much higher resolution.
Although high absolute accuracy of a system is desirable,
there are cases where the repeatability is an overriding
requirement. This can be defined as the ability consistently
to repeat the absolute error pattern. The degree of repeat-
ability is governed by the rigidity of stiffness of the system
in opposing elastic deformation or deflection of the com-
ponent parts involved caused by both inherent internal
frictional forces and (as in the case of the lathe lead screw)
by the external forces required to overcome the friction
between the lathe saddle and its slideways.
The preloaded ball screw8 is well regarded for a repeat-
ability that meets the requirements of numerically controlled
machines and similar applications where maximum rigidity
is essential.
Fig. 7. Hal/screw and pre loaded nuts.
123
 TRANSDUCER
I
SPRING
PRESSURE
A X
MEASURING
WHEEL TRANSDUCER
--......_PRESSURE
ROLLER
B TOTAL RACK LENGTH
Fig. 8. (A) Friction roller. (B) Alternative friction roller
arrangement when a suitable surface is not available.
Friction roller
The friction roller type is a non-positive drive consisting
simply of a hardened steel roller (of accurately sized
diameter) which is forced under controlled spring pressure
into intimate contact with a flat, smooth surface. The drive
relies entirely on the friction between the contacting sur-
faces, and is therefore prone to creep and slip when sub-
jected to vibrations sufficient to overcome this friction.
Once slip has occurred a local flat is worn which impairs
the accuracy.
As with the wire and pulley system, diameter tolerances
create an accumulating error over the total range and
eccentric spindle mountings provide a non-accumulating
error occuring every revolution of the roller. Precise
alignments are necessary to ensure even distribution of
pressure across the width of the roller and to avoid skewing
it relative to the direction of travel. Barrelling of the roller
is sometimes used to improve assembly tolerances in achiev-
ing alignment.
Fig. 9. Friction roller used for in-process diameter measurement.
+
_.-FRICTION ROLLER
LOADED AGAINST
BAR BEING
MACHINED
124
Fig. 10. Rack and pinion.
PITCH ERROR TRACE
OF RACK MANU ACTURED
IN ONE PIECE
INDIVIDUAL
ELEMENT
Fig. 11. Rack pitch errors.
Variations in linear distance due to temperature changes
are compensated by an equal variation in the roller cir-
cumference, assuming that they are of similar materials.
This is not necessarily a virtue since, for example, it is likely
that the workpiece in a machine tool expands and contracts
with temperature and hence inaccuracy proportional to
distance and temperature change results.
The linear-to-rotary displacement conversion rate previously
defined is comparable with the tape and pulley mechanisms.
Applications include position readout systems9 on machine
tools and in-process diameter measurement 10 on large
turning and boring machines which is made possible by
counting the number of revolutions made by the measuring
roller as it runs around the periphery of the workpiece
directly behind the cutting head (Fig. 9).
Rack and pinion
The rack and pinion (Fig. 10) has long been established as
a power transmission element, but it is only during recent
years that its advantages have been utilised in the field of
control and measurement.
The availability of sophisticated electronic control systems,
coupled with industrial requirements for higher precision
machine tools has led to a demand for a reliable sensing
transducer featuring high accuracy over very long dis-
tances; eg up to 30m. Currently the rack and pinion 11 is
the only mechanical device that adequately fulfils these
requirements, and indeed is being chosen as a successful
system by machine tool manufacturers and users in place
of purely electronic and optical-electronic transducers.
Figure 13 shows a typical rack-driven transducer gearbox
for use on a machine tool position indicator.
 buted by the meshing pinion is the total composite error
INTEGRAL PINION
(TCE) which causes a cyclic variation occuring every revolu-
FLOATING PINION SPRING
tion of the pinion. Unavoidable eccentric fixing of a separate
pinion to a shaft serves only to add to the effects of the
TCE. Secondly, to obtain a high linear-to-rotary conversion
rate, it is necessary to have a pinion with the smallest
practical pitch circle diameter, through which an adequate
bore is impossible.

One method of eliminating backlash (Fig. 12) is to wind up

a spring interposed between the floating and integral halves
----A of the pinion which is then placed in mesh with the rack.
When the rack travels in direction 'A' (Fig. 12) the position
transmission is effected by flanks 'R' and 'P' on the rack
and pinion respectively. Intimate contact between these
,/ flanks is maintained by the frictional torque load on the
/
//
pinion shaft plus the somewhat redundant torque exerted
/
I
/ by the spring loaded floating gear. In the reverse direction,
//'\,_ however, motion is imparted to the integral pinion via the
-- FLOATING floating gear and spring, but the transmission of position
PINION is borne by the same flanks 'R' and 'P'. The constant
contact between these flanks is necessarily maintained by
Fig. 12. Anti-backlash pinion, with detail of action involved. the positive difference between the spring torque and the
frictional torque load on the shaft.

Rack manufacturing methods do not prevent pitch errors
accumulating with length, but there is a big advantage in
that it is practical to manufacture racks in comparatively
short elements, which are then calibrated and joined
together so that the error in one element is compensated
for by the error in the next element, and so on over any
desired distance. Figure 11 demonstrates the possibility of
achieving an accumulative pitch error not greater than the
error present in a single element.
There are two reasons why the pinion should be manufac-
tured integral with a shaft. Firstly the major error contri-
During periods when the inertial load on the pinion shaft
is accelerated or retarded the resulting torque may over-
come the spring torque so that backlash ensues. Generally
this is not important, since on cessation of the acceleration
or retardation the spring returns the integral pinion back
into position.
Disadvantages of this method include, firstly, the increase
in error due to wear taking place on the single set of measur-
ing flanks over the portion of the rack which is mostly used.
Secondly, it can be shown that any variation in the distance
between the pinion axis and the rack pitch line results in a

Fig. 13. Typical rack and pinion transducer drive gearbox.

125

Fig. 14. Another method of eliminating backlash ( cf Fig. 12).
linear error equal to that variation multiplied by the tangent
of the pressure angle (0.364 in the case of20° pressure angle).
Hence the importance of ensuring parallelism between the
rack pitch line and the direction of travel of the pinion
axis.
An alternative method of backlash elimination is to force
a plain straight toothed pinion into mesh with the rack
under controlled spring pressure (Fig. 14). A pivot which
allows movement of the pinion axis in one plane but is
rigid in all others is essential and is usually of the form
illustrated. The minimum applied spring pressure is at
least greater than the separating force between rack and
pinion, and also has to contend with the stiffness of any
electrical cabling to the transducer. It is likely that during
acceleration of the inertial load on the pinion shaft, the
shaft tends to rise out of mesh with the rack as the separating
force overcomes that supplied by the spring. Therefore an
adjustable stop which prevents total separation is necessary.
Obviously accurate position transmission during such
periods of acceleration is temporarily lost until constant
velocity is again established.
In addition to the antibacklash features, \\'ear can theoreti-
cally take place on both rack and pinion without loss in
accuracy because position is transmitted by both pairs of
contacting tooth flanks. Furthermore linear error initiated
by the rise or fall of the rack pitch line relative to the
intended direction in which measurement takes place is
merely the excess distance involved in travelling down an
incline compared with moving along the horizontal. Thus
sensitivity to rack pitch line inclination is not nearly as
great as the previously described method.
The foregoing comment is applicable to two types of
currently available rack tooth form, of which the most
commonly recognised is the straight-toothed rack having
teeth at right angles to the direction of motion. In the case
of a meshing straight-toothed pinion accurate alignments
of the pinion to rack in planes XX and YY of Fig. 10 are
necessary to minimise edge or point contact. In practice
this may be achieved by blueing the pinion, noting the
ensuing pattern on the rack teeth and making adjustments
accordingly.
Greater tolerance on the alignments mentioned above is
afforded by using a rack that has helicoid teeth. In this,
126
individual rack elements are fixed around the periphery
and parallel to the axis of a cylinder about 330 mm diameter.
This is then thread ground by a suitably profiled grinding
wheel to produce a tooth form on each element which for
purposes of meshing pinions of straight-tooth form can be
considered equivalent to a straight-toothed rack. This
applies to cases of pitches less than about 0.8 mm module
where the lead angle of the thread thus formed is insignifi-
cant over the face width of a rack element.
A straight-toothed pinion engaging with the rack described
above produces point contact as compared with line contact
when meshed with a straight-toothed rack. It is for this
reason that racks with helicoid teeth are usually manufac-
tured in hardened alloy steel.
GEARS IN CONTROL DEVICES
In many applications where a standard rotary electronic
transducer is employed the desired relationship between
the movement to be controlled and the electronic response
is accomplished by means of gearing. Spur gears, which
possess inherent accuracy and high efficiency, are by far the
most commonly used as opposed to other types of available
gearing. (Some of these gear types are discussed in chapter
5.)
Backlash in spur gearing
It may be thought that backlash is a function of the gear
cutting operation alone, but in fact its contribution to
overall backlash is small. Consideration should be given
to all the following factors which induce backlash: (a)
Centre distance tolerance. (b) Size and tolerance of the
gears concerned. (c) Total composite error of gears. (d)
Fits between bores, shafts and bearings. (e) Eccentricities in
the bearings. (f) Radial play in the bearings. (g) Shaft
straightness.
Each of the foregoing factors tends to produce a change
in centre distance which pushes together or pulls apart the
mating gears. This 'push-pull' action produces two back-
lash values, minimum at the point of tightest mesh and
maximum at the point of loosest mesh. To avoid inter-
ference between teeth it is therefore essential to design
backlash into the gear pair at the point of tightest mesh.
Maximum backlash calculation
Maximum backlash (B) between two gears of any ratio
measured in minutes of arc is given by:
B=2tan f/Jx!:iC
R x0.00029
where f/J=pressure angle in degrees; !:iC=centre distance
variation composed of contribution made by the factors
listed above; R =pitch circle radius of the gear on which
the backlash is to be measured.
Consider Fig. 15 as a system in which calculation of
maximum backlash is required at the transducer with input
locked. It is given that: gear pitch=0.5 mm module; centre
 Total backlash at the
GEAR'A'
transducer =(1.76+ 7.05)=8.81 min.
RANSDUCER 100 TEETH
Substituting gears A and B for C and D, and vice versa, a
GEAR' c· different total backlash is obtained equal to
80 TEETH

GEAR 'B' 40
20 TEETH (7 .05 X 80) + 8.8 = 3.52 + 8.8
GEAR 'D'
40 TEETH
= 12.32 min arc.

Fig. 15. Gear train. Thus for minimum backlash the resultant design rule is
to place the gear pair having the highest dividing factor
or ratio on the slowest of the rotating shafts. In addition
distance tolerance=( +0.01/ -0.00) mm; minimum indica- it is observed that backlash is inversely proportional to the
tor reading of the gears (see chapter 5)= -0.03 mm; radius of the gear; so that the larger the gears the smaller
pressure angle=20°. the backlash.

Maximum backlash from

gears C and D measured Cyclic accuracy in gear trains
at C _2 X 0.364 X (0.01 +0.03 +0.03) Similarly to the phenomenon of backlash, cyclic error con-
- 20 X 0.00029 sists of contributions made by rotating component parts
=8.8 min arc. of the system which are eccentric. The effect of this is to
Referring this to the produce a cyclic variation of the output displacement which
transducer occurs every revolution of the slowest rotating gear.
=8.8 x ;~O (ratio)
= 1.76 min arc. Analytical methods 12 of estimating transmission error are
possible but are cumbersome and time consuming. How-
Maximum backlash from ever the curves shown in Fig. 16 and 17 may assist designers
gears A and B measured interested in gear trains of the highest accuracy. These
at A 2 X 0.364 X (0.01 +0.03 X 0.03) curves show transmission error change against ratio change
25 X 0.00029 at various centre distances for a single gear pair employing
=7.05 min arc. an antibacklash wheel.

Fig. 16. Cyclic error against 50mm 30 mm

gear ratios at various centre CENTRES CENTRES
distances. E 2 =error in minutes
of arc measured at the fastest AVGE'~
911
shaft in a speed"increasing gear I
train. I
I
811 I
I
I

fj"'"m'
I
~ 711
I
I
Cii WHEEL
<( I
w I
a:
~ '611 I
CENTRE
I DISTANCE
cw I (C) mm
w
I
ll; 511 I E2 2 NO OF TEETH
I IN WHEEL
c I
i= I
~ 411 I
a: I
<(
w
I
I
C!l 311 I
I
I
I
211 I
I
I I
111 I I
0
10 20 30 40 50 60
E2

127
 50mm 30mm 20mm
CENTRES CENTRES CENTRES
AVGE MAX AVGE MAX AVG MAX

9/1
I I
I I Nt'=' NO OF TEETH
I I IN WHEEL
I I
I I E,
I I CENTRE
I I DISTANCE
(C) mm
7/1 I I
I I
I I
(.!) I I
~ 6/1 I I
u I I
:J I
0 I
w I I
0::
I I
0 5/1 I
w I
w I I
Q..
I I
(f)
I I
' 4/1 I
0 I I \
I I
i= I I \
<t \
I I
0:: 3/1 \ \
0:: \ \
<t I \
w \ \
(.!) \ \
\ \ \
\ Fig. 17. Cyclic error against
2/1 \
\ \ ''
\
'' ' '' reduction gear ratios at various

- ' .... ....

-
\
centre distances. E 1 =error in
1/1 '' ' .... minutes of arc measured at the
slowest shaft in a speed-
0 2 3 4 5 8 12 reducing train.
E,

The error (E) represents the maximum point-to-point error Assuming a simple relationship between transmission error,
during a forward and reverse cycle of the gear train as centre distance, and ratio, empirical formulae equations
illustrated in Fig. 19. From actual measurements taken (1, 2, 3, 4) were developed which employ factors computed
from over 100 gear train assemblies a distribution curve from the distribution curve.
was obtained; shown in Fig. 20. The maximum error line From Fig. 16:
is chosen to include 90% of all assemblies measured, and
the average error line is taken at the point where most (1)
.
maximum error E 2 max =-c--
111.76 (l + N
N 21 )
assemblies had the same error.

Fig. 18. Inertia ofgears. Curve shows inertia of aluminium alloy

82.55( 1 + N
average error: E 2 av=c- 2
NI) (2)
disc 3 mm thick against disc diameter. For a thickness T mm
multiply value from graph by T/3. For steel discs multiply value
from graph by 2.9. From Fig. 17 :
1000
900
.
maximum error E Imax=--- N2)
111.76(1 +- (3)
800
C N1
700
average error Eiav =82.55
c - ( 1+ N 1N2) (4)
N
600
u
E

"' Relevant details of the measured gear trains are: (a)

u
(f)
measurements taken at slowest rotating shaft with small
0
0:: torques of about 40 gf em applied to the same shaft. (b) Gear
<t
w
(.!)
pitch 72 DP (approx 0.45 mm module). (c) Gear centre
LL distance 31. 75( + 0.01/- O.OO)mm [1.2500( + 0.0004/
0
<t 200 -O.OOOO)in]. (d) Total composite error 0.0064 mm (0.00025
i= in). (e) Tooth-to-tooth composite error 0.005 mm (0.0002
0::
w
f- in). (f) Shaft diameter 4. 7625 mm (0.1875 in). All gear faces
~
100 situated adjacent to bearings.

Accuracy calculation. Consider Fig. 15 under conditions

01b:oo==:2:;o==:3:go::=_---,l4o=------::so'=----:6Lo--7:!-:o---,Lso,--_j9.,..o_ oo
_j, the same as those listed above, except that the gear pitch is
DIAM. OF GEAR DISC IN mm
0.5 module, the centre distances are 30 mm, and gears A
and C are of the antibacklash type.
128
From Fig. 17 maximum error at gear C=E1 =5.6 min
Thickness Pitch circle Moment of inertia
Gear Material
mm diam mm from Fig. 1 8; gf cm2
Referring this to the transducer =5.6x~
100 Aluminium
= 1.12 min A 3 50 alloy 52
8 3 10 Steel 3 2.9= 8.7
X
From Fig. 17 maximum error at gear A= E 1 = 4.45 min Aluminium
c 3 40 alloy
20
Hence, maximum total error at D 3 20 Steel 4x2.9 =11.6
transducer =4.45+1.12 Inertia of transducer is given as 20 gf cm 2.
= 5.57 min arc.
Reflected inertia of transducer = 20 X ( 1 QQ X 80 ) 2 = 2 000
Substituting gears A and B for C and D, and vice versa, the to gear D 20 40
maximum total error at the transducer becomes Reflected inertia of gear A
=52 X ( 1 QQX 80 ) 2 =5 200
to gear D 20 40
(4.45 x :~)+5.6=7.83 min arc. Reflected inertia of gear 8
to gear D
= 8.7 X (80)2
40 =34.8
Reflected inertia of gear C
It can be seen therefore that the design rules for minimum =2ox(:gy =80
to gear D
backlash previously discussed also apply here.
Reflected inertia of gear D
11.6
to gear D
To find the maximum error when referred to gear D, Fig. 15,
Hence, total reflected inertia
then: at gear D
7 326.4 gf cm2

From Fig. 16 maximum error E 2 at gear B=22.25 min Now torque moment of in~rtia x angular a.cceleration
acceleration due to grav1ty (g)
80 (where torque is in gf em, inertia gf cm 2, acceleration radfs2,
Referring this to gear D =22.25 X
40 g cm/s 2).
=44.5 min Hence, for an acceleration of 1 000 radians/s 2:

1
Torque on gear D 7 326 ·~~ 1 000 = 7 468 gf em.

Substituting gears A and 8 for C and D, and vice versa:

Fig. 19. Transmission error in a gear train. Reflected inertia of transducer = 20 x ( 80 x 100 ) 2= 2 000
u
0::
to gear 8 40 20
..:
Reflected inertia of gear C
=2ox( 80 x 100 ) 2 =2000
u..
0
Vl FORWARD CYCLE
to gear 8 40 20
w
1--
Reflected inertia of gear D
::J
z
::;; to gear 8 =11.6xc~gy = 290
POINT TO
0::
Reflected inertia of gear A
0
0::
0::
POINT ERROR
to gear 8 =52 X c~gy =1 300
w
z Reflected inertia of gear 8
0 REVERSE CYCLE 8.7
Ui to gear 8
~
::;;
Vl 360" ROTATION OF SLOWEST Hence, total reflected inertia
z
at gear 8
5 598.7 gf cm 2
..: MOVING GEAR
a:
I-

Table 1. Calculation of reflected inertia at gear D, (Fig. 15)

and torque produced from a given acceleration.
Fig. 20. Distribution curve of transmission errors measured in
gear trains. From Fig. 16 maximum error E 2 at gear D = 10.1 min
AVERAGE ERROR Hence, the maximum total error at gear D=44.5+ 10.1
=54.6 min

Moment of inertia of gears

>-
(..) The curve in Fig. 18 shows the moment of inertia of an
zLU
:::> aluminium alloy disc 3 mm thick against disc diameters up
0
LU
a:
to 100 mm diameter. This is useful when calculating the
U-
torque resulting from acceleration of the reflected inertial
load. It can be shown that the reflected inertia at the slowest
moving shaft in a gear train is proportional to the square
of the speed ratio between the fastest and slowest shaft; ie
(fastest revjmin)/(slowest rev/min). Table 1 shows how to
TRANSMISSION ERROR calculate the reflected inertia at Gear D, Fig. 15, and the
torque produced from a given acceleration.
129
For minimum inertia therefore the design rule is to place
the gear pair having the lowest dividing factor or ratio on
the slowest of the rotating shafts, which is directly opposite
to the design rule for minimum backlash and cyclic error.
Also, should the gear diameters be increased to minimise
backlash and cyclic error then the inertia of gears increases
in proportion to the fourth power of the gear diameter, and
in addition the pitch line velocity increases in proportion
to the diameter. The exercise therefore is one of compromise
between accuracy of transmission versus inertia and pitch
line velocity.
REFERENCES
On the subject of mechanical drives in instrument and con-
trol systems an indication to further reading is given against
the broad subject heading: Instrument gearing12.13.14;
servo control systems15; mechanical components in instru-
ment and control systems 16·17 . Addresses in the references,
below, are in Britain, unless otherwise noted.
1. Inductosyn. Plessey Numerical Controls Ltd, Poole,
Dorset.
2. Autograt. Ferranti Limited, Dalkeith, Scotland.
3. Thorn Automation Ltd, Rugeley, Staffs.
4. Davy and United Engineering Co Ltd, Sheffield,
Yorks.
130
5. Precisotester. Wessex Electronic Limited, Bristol.
6. DE System. Thorn Bendix Ltd, Nottingham.
7. P H Sydenham. Manual and automatic large scale
dimension metrology. Thesis submitted at University
ofWarwick 1969.
8. Rotax Precision Products Ltd, Hemel Hempstead,
Herts.
9. Acculin. Ferranti Limited, Dalkeith, Scotland.
Lathpac. The Newall Engineering Co Ltd, Peter-
borough.
Travadial. Southwestern Industries Inc, California,
USA.
10. DDM. Staveley Engineering Centre, Bedford.
Diadem. Rotax Special Products Div, Bradford, Yorks.
11. Reliance Gear Co Ltd, Huddersfield, Yorks.
12. G W Michalec. Precision gearing theory and practice.
Wiley.
13. D W Dudley. Gears for small mechanisms. McGraw-
Hill.
14. Nicholas P Chronis. Gear design and application.
McGraw-Hill.
15. W R Ahrendt, C J Savant. Servo mechanism practice.
McGraw-Hill.
16. W M Berg. The theory & application of precision
mechanical components. Russell E Sacken.
17. D C Greenwood. Product engineering design manual.
McGraw-Hill.
 Chapter 15

Transmiss ion
Brakes

S J Pinder
Elliston, Evans & Jackson Ltd

There are few power transmission applications which do

not need some form of braking, whether for stopping and/
or holding a load when the motive power is cut off, for
positioning, quick stopping in emergency (safety brakes),
automatic speed control, providing a tension (eg for reeling)
or simply for bringing the equipment to rest in a reasonable
time. Just as the motor is used to accelerate the drive, so
the brake is needed to decelerate, hold, or, in a few special
cases, control it.

Typical uses for brakes are in: lifts, hoists, cranes, trans-
porters, elevators, conveyors, ropeways, steelworks plant,
rolling mills, rubber mills, paper reels, presses, mixers,
printing machinery, machine tools, trawl winches, dredgers,
propellers, slipways, capstans, sluice gates, swing and
bascule bridges, centrifugal fans, and so on. Each applica-
tion has its own particular requirements, and a very wide
range of standard brake units and braking systems, each
with its own individual characteristics, is currently available
to meet all normal requirements.

Friction brakes are most frequently used, being convenient

in application, versatile in use, and economical in first cost.
They provide a positive braking torque for decelerating and
holding the drive and, in their usual form, are fail-safe, ie
spring applied and power released. Friction brakes are
also made in other forms: eg power applied, pedal or lever
applied (sometimes combined with the fail-safe feature)
in addition to many different types designed for special
purposes such as automatic speed control in conjunction
with special motor control equipment.

Friction brakes are also used in conjunction with other

braking systems; for example, dynamic or 'plug' braking
of an electric motor. In such cases friction brakes may assist
the braking and/or provide a holding torque. Another
example of a motor used as a brake, in this instance for
controlling speed, is a cage or slipring a.c. motor connected
to the electricity supply in the normal manner which, when
driven above synchronous speed by an overhauling load,
131

Fig. I. ingle-plrase 'clapper brake.
generates and limits the speed to just over synchronous
speed. Typical applications are crane hoist drives, downhill
conveyors, etc. A friction brake is, of course, required for
holding.
When a holding torque is not required, braking provided
by the motor only may be used. Counter-current (plug)
braking of an electric motor, for instance, in which the motor
windings are connected to the supply in the reverse direction
can give a very high rate of deceleration, and the motor
can if required be prevented from reversing after it has come
to rest by fitting a special switch to the motor shaft.
Hydraulic motors also provide inherent braking, and may
be used with or without a friction brake according to
requirements.
Fig. 2. Short-stroke d.c. brake.
132
FRICTION BRAKES
The following are some of the more commonly used types
of brake; many other brakes are made for special purposes.
Size and torque ranges are given only as a general indication
of what is available, and do not necessarily apply to any one
manufacturer.
Drum brakes
Figure I. A simple fail-safe brake with single-phase a.c.
pivoted armature or 'clapper' type operating magnet
similar to a contactor, mounted on one of the brake arms.
Advantages: Low cost; quick release and application of
torque. Limitations: Limited size of actuator frequently
results in restricted shoe clearance. Suitable for light to
medium duties. The actuator coil can overheat due to the
heavy switching current which persists if the magnet
armature is stalled, but this type of brake can give good
service if well maintained.
Size range : Up to about 381 mm diameter (15 in). Torque
range: Up to about 500 lb/ft (69 kgfm) A similar brake
with d.c. operating magnet is also made.
Fig. 2. A more robust fail-safe brake with increased shoe
clearance and wear allowance, having a short stroke d.c.
magnet carried on an extension of the brake base, with
shunt or series wound coil. Can be used on a.c. supplies via
a single-phase silicon rectifier with surge suppressor con-
tained in the terminal box, or a separate rectifier and brake
relay to switch the d.c. coil circuit, which is necessary for
quick brake application. Brakes of this general type are
made in steel to the AISE (American Association of Iron
and Steel Engineers) mounting and torque specification,
for use in steelworks and for other applications requiring
a ruggedly constructed brake.
Advantages: Low height. Ease of maintenance. Quick brake
application when the d.c. coil circuit is switched. Suitable
for heavy duties. Limitations: Relatively slow release due
to the build-up time of the magnetic field, especially on the
larger sizes. For quick release the coil must be forced, or a
Fig. 3. Brake with 3-phase solenoid.
low voltage coil used in circuit with a series resistance to
reduce the time constant. In some situations there may be
a tendency for magnetic dust to accumulate on the magnet
pole faces .
S ize range : Up to about 965 mm diameter (38 in). Torque
range: Up to about 1106 kgfm (8000 lbfft). Price: Indus-
trial type, medium; AISE type, high.

Figure 3. A heavy duty fail-safe brake adaptable to receive

a.c. and d.c. solenoids in various enclosures. Adjustable air
dash pots are fitted to cushion the action of the long-stroke
solenoid plunger. A.C. solenoids are 3-phase except on the
smallest sizes which are single-phase.
Advantages: Adaptability. Reasonably quick to release and
apply. Suitable for heavy duties. Flameproof, weatherproof,
and dust-tight solenoid enclosures. Limitations: a. c. sole-
noids vulnerable to coil overheating if plunger is stalled
but will give good service if well maintained. Size range :
Up to about 762 mm diameter (30 in). Torque range; Up
to about 829 kgfm (6 000 1bfft) d .c. ; 518 kgfm (3 750 lbfft)
a.c. Price: medium.
Fig . 4.Brake fitted with a thrustor thm has a built-in spring and
variable rat io lever {torque is adjusted b y vary ing the lever
Figure 4. A fail-safe 'thrustor' brake. The 3-phase electro- ratio); the built-in spring ensures f ull loading and rapid
hydraulic thrustor comprises a centrifugal pump driven by operation .
a small electric motor which gives a thrust on a piston for
operating the brake; it cannot be damaged if the piston brakes having adjustable springs only ; thrustors with built-
is stalled. The brake application time is determined by the in springs which cannot be adjusted, used with a variable
time for the oil to return past the impeller which may be ratio lever system to allow the brake torque to be adjusted,
of the order of t second when the thrustor is fully loaded. are always fully loaded).
The brakes release quickly due to the quick acceleration of Size range: Up to about 762 mm diameter (30 in) in
the small thrustor motor which gives quick build-up of standard form ; larger sizes may be built to order. Torque
thrust. Usually made in cast iron, the brakes are also made range: Up to about 1100 kgfm (8 000 lbfft) in standard
in steel to AISE mounting and torque specification. range; higher torques in special sizes. Price: industrial
Advantages: Smooth action. Suitable for heavy duties. types, medium; AISE type, high.
Direct connection to a.c. supplies up to 550--600 v. Thrustor
cannot be damaged if stalled. Quick release of torque. Figure 5. A fail-safe brake similar to Fig. 2-4, with 'over-
Adjustable time delay in one or both directions can be fitted. riding' hydraulic control allowing the brake to be sensitively
Flameproof motors available. Limitations: Application applied by pedal or lever while the brake actuator is
time 0.5 second or more if the thrustor is not fully loaded energised. Mostly used for long travel motions of electric
due to slackening of the brake spring to reduce torque (on overhead travelling cranes, two brakes can be operated

Fig. 5. Brake with overriding hydraulic control.

Fluid Supply Tank

One or tw o brakes
can be operated
from the same pedal

Pedal operated
master cylinder

133
 Fig. 6. Brake with long-stroke telescopic cylinder and hand
release lever ( suitable for pneumatic operation) .
from one pedal if required. The hydraulic equipment is
usually of the standard automotive type using vegetable-
based fluid. Operating pressures are laid down in British
Standard Crane Specifications No. 357, 466, 2452 etc; eg
for pedals 18 kgf (40 lbf) for frequent operation, 32 kgf
(70 lbf) max. for infrequent operation. For levers: 11-16 kgf
(25-35 lbf). Mostly made in sizes up to 508 mm (20 in)
diameter.
Figure 6. Fail-safe brakes with hydraulic or pneumatic
actuators. Cylinders suitable for 141-210 kgfjcm 2 (2 000-
3 000 lbf/in 2) maximum hydraulic pressure can be fitted,
arranged to release the brake at lower pressures if required.
Air cylinders are usually made for 7 kgf/cm 2 (100 lbf/in 2)
supply. Loading springs can be fitted when required to
cancel out any existing residual oil pressures to ensure that
the brake gives full torque.
Figure 7 illustrates a brake designed for frequency-controlled
slow speed braking in conjunction with a 3-phase slipring
motor. It is basically a fail-safe brake as Fig. 4, but fitted
with special control springs. The brake is used to apply an
artificial load to the motor to reduce its speed to approxi-
mately 7.5-30% of full load speed, depending on load and
controller position, a,nd to hold it closely to this speed.
The thrustor motor is connected to the main supply to
release the brake in the usual way when running at full
speed, and is reconnected across the rotor of the main motor
via a matching transformer to reduce speed, resistance being
inserted in the main motor rotor circuit at the same time.
The thrustor motor receives a supply at variable frequency
depending on the speed of the main motor; the frequency
is low when first switched over, which results in the thrustor
motor running slower, giving less thrust, and in the brake
being gradually applied. A stable speed is reached when the
load and braking torque is balanced against motor torque.
On switching off the brake acts as a normal fail-safe brake
to stop and hold the load. Application: Mostly used on
134
Fig. 7. Brake for frequency-controlled slow-speed braking.
crane hoist motions when hoisting or lowering to provide a
slow speed for short periods, when levelling or picking
up the load. Not suitable for long periods of slow speed
running due to heating of the brake drum and motor resis-
tances. Sizes and torques generally as for the standard
thrustor brakes (Fig. 4).
Figure 8. Pedal or lever applied brakes, in which the shoes
are normally held clear of the drum, and are applied by
pressure on a remotely mounted pedal or lever, similar to
a motor car brake. Usually hydraulically operated for
convenience in installation, in the same way as the brakes
in Fig. 5, but a mechanically operated brake may have to
be used when the brake is to be applied for long periods,
since seepage of oil past the piston seals may cause loss of
torque in a hydraulic system. A compromise arrangement
is a hydraulically applied brake with screw-down attach-
ment for parking, used for crane travel motions etc. An
interlock switch to prevent the motor being started while
the brake is applied may be fitted if required by the
application.
Air brakes. A special type of drum brake uses a rubber ring
which contracts or expands when air pressure is applied,
to force friction pads onto a drum. Can be combined with
a clutch of a similar type, and can be water-cooled to dis-
sipate the heat generated during the braking operations. It
depends for its operation on a compressed air supply, the
pressure of which can be varied to vary the braking torque,
eg for reeling. Quick in action, and made for heavy torques.
Disc brakes
Disc brakes are of two main types: (a) Plate disc brakes.
(b) Caliper disc brakes. Both have low inertia compared
with drum brakes of the same diameter, but the heat dis-
sipating properties of the plate disc brake in particular are
not so good. Both are sometimes made with cooling ducts
to assist in heat dissipation.
 Fig. 8. Hydraulic brake for remote pedal operation; the same
basic type may be adapted for lever operation.
Plate disc brakes. Figure 9: a plate disc brake of the fail-safe
type with flange for mounting to a motor endshield having
NEMA or metric face-flange or to an equivalent facing on
a speed reduction gear. The plates are driven by a toothed
or similar hub so that no end thrust is put on the shaft, and
are spring applied and released by an a.c. or d.c. magnet,
or in some cases by hydraulic or pneumatic cylinders. A
simpler arrangement employs a single plate pressed on to
a disc mounted directly on to the shaft which imposes an
end thrust which must be provided for. When fitted to a
motor as described, the assembly is termed a brake motor.
A few brake motors have built-in brakes, some of which
are released by the end thrust obtained from a coned rotor
fitted to the motor.
Advantages: Low inertia. Convenient mounting to motors
or reduction gears when a bedplate is not available. Quick
to apply, subject to the coil circuit of d.c. brakes being
interrupted. Limitations: Limited heat dissipation due to
the compact design and limited heat radiating surface.
Suitable for light-medium duties. Multiple adjustments in
some cases. Torque range: Up to about 28 kgfm (200
lbfft) for 3-phase short-stroke tractive type; heavier torques
for other types.
Plate disc brakes are also made fitted with hydraulic
cylinders for remote pedal or lever application in a similar
manner to the drum brakes, Fig. 8. Fail-safe disc brakes
may also be fitted with over-riding pedal control as for the
drum brakes, Fig. 5. A different type of plate disc brake
working rather like a clutch with one half fixed comprises
a d.c. electromagnet which attracts an armature disc
mounted on the drive shaft with provision for free axial
movement, friction faces being fitted on the poles to provide
a braking path. The brake torque can be varied by varying
the applied voltage, and the brakes can be used to provide
a constant tension for reeling etc. Torques over 138 kgfm
(1 000 lbfft).
Fig. 9. Three-phase plate disc brake.
Air operated plate type disc brakes. Special brakes using a
rubber tube which is expanded by compressed air to operate
the brake are also made. One type is spring-applied and
released by air pressure; it is very quick in action, and is
available with foot mounting to AISE-NEMA mounting
standards for torques up to about 553 kgfm (4 000 lbfft)
or with flange mounting for much higher torques. Another
type is applied by the air pressure which can be varied to
change the torque. This brake is sometimes watercooled
and can be used for maintaining a constant tension for
reeling. Made for very heavy torques of the order of nearly
14000 kgfm (100000 lbfft).
Caliper disc brakes. Individual caliper units generally similar
to the calipers used for vehicle brakes are available in a
number of different types. When used singly, provision
must be made for the bending moment which may be imposed
on the shaft. Two or more units can be arranged round a
disc to avoid the bending moment, or to provide increased
torque. The best known of these units is the automotive
type. This can be either hydraulically or mechanically
operated, the mechanical type being required when it is
to be applied for long periods, eg for parking. The friction
pads are normally free, and are applied by pressure on a
pedal or lever in a similar manner to a motor car brake.
The hydraulic equipment used with these brakes is also
usually of the standard type used on vehicles, similar to the
equipment illustrated for use with drum brakes Fig. 5.
The mechanical units can also be obtained fitted with air
cylinders arranged to apply the pads to the disc when
connected to an air supply (eg 6.9 bar; 100 lbf/in 2). Another
type of individual mechanical caliper unit is spring-applied
and released by a solenoid to give fail-safe operation.
These units can usually be used on a range of disc diameters;
eg 228-906 mm (9-24 in) diameter, a typical hydraulic
unit giving approximately 131 kgfm (950 lbfft) torque on a
135
305 mm (12 in) disc with 70 kgffcm2 (1 000 lbf/in2) oil
pressure. The cost of the individual caliper units is relatively
low, but the total cost of the complete brake must be
assessed with reference also to the auxiliary equipment, eg
caliper mountings, hydraulics, air supply or linkage, etc.
Another type of caliper disc brake uses special individual
caliper units which are spring-applied and hydraulically-
released by means of a power pack (pump unit) driven by
a small electric motor which is started and stopped to
release and apply the brake. The large output from the
power pack enables heavy torques to be obtained.
Figure 10. A self-contained caliper disc brake of the fail-
safe type, with two caliper units mounted on a common
base to avoid imposing a bending moment on the shaft,
and to enable the brake to be used with standard motors
and reduction gears. Another feature of this brake is that
equalising bars are fitted to ensure equal spring pressure
on each caliper. D.C. magnets for releasing the brake are
mounted on the caliper arms. The two smaller magnets
give quicker action than one larger one, and the brake is
applied quickly provided the d.c. coil circuit is broken when
the brake is used on an a.c. supply, via a rectifier. If very
quick brake release is required, low-voltage coils connected
in series with a permanent resistance to reduce the time
constant of the magnets may be used, but for many pur-
poses the two smaller magnets give sufficiently quick
release. These brakes can also be fitted with over-riding
hydraulic control similar to the drum brakes, Fig. 5.
Fig. /0. Self-contained Min-caliper disc brake ( BP 1017 561,
£1/i ton, Evans & Jackson Ltd).
136
Advantages: Low inertia. No bending moment on shaft.
Quick application when the d.c. coil circuit is broken. Deals
with high energy peaks. Limitations: Heat dissipation over
a period less than that of a drum brake of the same diameter.
Size range: 228.6-609 mm diameter (9-24 in). Torque
range: Up to 1037 kgfm (7 500 lbfft). Price: High.
These brakes are particularly suitable for use with variable
voltage motor control of d.c. motors, the low inertia allow-
ing the high rates of acceleration possible with this type of
control to be achieved, the energy dissipation in the friction
linings being low in normal operation when stopping from
slow speed, but the brakes being capable of dealing satis-
factorily with an emergency stop from maximum speed.
Miniature friction brakes
Very small brakes for use with low power, eg instrument
transmissions, are usually of the magnetic clutch type
described earlier having low-voltage direct-current magnets.
They are often combined with magnetic clutches to permit
connecting, stopping, or reversing a load without stopping
the drive; rapid reversals of motion being possible. Atypical
brake is 25.4 mm (1 in) diameter, giving 0.005- 0.020 kgfm
(0.5- 2.0 lbfin) torque.
Large friction brakes
Large friction brakes include large post brakes, such as are
used for mine winders or hoists (Koepe winders) which
may be 6 m (20 ft) or more in diameter. They are weight-
applied and air-released with 'service' and 'emergency'
cylinders to apply the brake quickly in emergency and to
control the braking.
Hand, foot or screw-operated band brakes are mostly used
for uni-directional drives, but can also be made for reversing
duties. These brakes are self-energising and give large
torques for relatively small operating pressuresl. An interest-
ing variation of this brake is the 'relay' or double-wound
brake which employs an 'exciting' band to provide the pull
on the main band thus enabling even heavier torques to be
obtained with the same operating pressure. Typical applica-
tions are for barrel brakes on crane hoist motions, haulages,
etc.
Torque responsive brakes
Used for uphill conveyors having a fluid coupling drive,
these brakes ensure that sufficient torque to hold the load
on the incline is built up before the brake, fitted on the load
side of the coupling, is released. A standard fail-safe brake
is mounted on a special base which allows a small rotary
motion of the brake to operate a switch. When at rest the
load torque turns the brake in one direction keeping the
switch open so that the brake is applied. When the motor
starts and accelerates and the output torque from the
fluid coupling builds up and slightly exceeds the load torque,
the brake is turned in the opposite direction, closing the
switch and releasing the brake. Note that these brakes only
work if there is a reversal of torque.

REGENERATIVE BRAKING
Regenerative or reverse-power braking is a wide subject,
which has already been referred to in the introduction to
this chapter. The principal methods of electric motor control
which also provide braking are :
(1) Counter-current (plug) braking of a.c. motors.
(2) D.C. injection braking of a.c. motors.
(3) Variable voltage control of d.c. motors (Ward Leonard
or static control).
(4) Potentiometer and dynamic control of d.c. motors.
All of these methods are also used for speed control, and
are, in fact, often used primarily for this purpose, the brak-
ing facility being incidental. Nevertheless, by reducing
speed to a low value in either one or both directions before
the friction brake is applied, they greatly assist the braking
and enable a smaller friction brake to be used. The main
requirements from the friction brake are that it should
give sufficient torque for holding, and for decelerating the
load from maximum speed in emergency or in the event of
power failure, and that the friction linings should be
adequate for such an emergency stop; as well as for dealing
with the reduced energy in normal operation.
BRAKE STANDARDS
The standards mentioned here were valid at mid-1971;
reference should be made to standards authorities for details
of amendments or new standards. There is no British Stan-
dard covering brakes as such. The use of brakes is however
covered by the various Crane Specifications, eg BS327, 357,
2452, etc. There are at present no IEC or ISO recommenda-
tions on brakes. The only European standard is the German
DIN15435 which is quite detailed and lays down standard
dimensions including mounting dimensions, drum dia-
meters, shoe widths, and standard shoe dimensions. Shoes
to work on DIN diameter drums can be fitted to some
brakes of British manufacture, but the brakes do not
comply with this standard in other respects.
The DIN standard specifies brake shoes that have less
lining area than is usual in Britain or North America for
the same size of brake. The DIN shoes are narrower, and
have only 70° wrap instead of 90°. Consequently a larger
diameter of brake is needed to provide the same area of
friction lining.
Standards or regulations covering the use of brakes exist
in some European countries, eg the FEM (Federation
Europeenne de la Manutention) standards and rules.
Details of specific requirements including Approvals, for
many countries including those outside Europe, are given
in the Digests published by the British Standards Institution,
THE Section, Hemel Hempstead, Herts, England.
FRICTION BRAKE SELECTION
The type of brake to be used should first be decided since
its characteristics may affect the braking. For example, a
brake such as Fig. 1 could be used for a light duty, but for
more frequent duty a thrustor brake (Fig. 4) would be used
where very quick stopping is not required eg for a jib crane
hoist motion. For an overhead crane in a factory, however,
where more accurate positioning is required, a magnet or
solenoid brake (Fig. 2 or 3) having quicker action, would
be more suitable. A quick-acting brake is also required for
safety brakes eg on rubber mills, and a magnet or solenoid
brake, or a caliper disc brake (Fig. 10) would be selected.
The caliper disc brake could also be used with variable-
voltage d.c. motor control in order to keep the inertia low
and permit rapid acceleration. A plate disc brake (Fig. 9)
could be the choice for a flange-mounted motor, subject
to its being suitable in other respects. In fact there are
innumerable variations of requirements, most of which
can be met by the available brake equipment.
It is also important to ensure that the brake and power unit
are suitable for use in the environment in which they are
to be installed. Brakes for use in a foundry, for example, in
an atmosphere laden with abrasive dust, or in a corrosive
atmosphere, require special protection if they are to give
satisfactory service.
Torque. The brake torque can usually be related to the full
load torque on the brake shaft, eg the full-load torque of
the motor when the brake is fitted to the motor or input
gear shaft. For example, a brake torque equivalent to 150%
of full load torque is usual for crane hoist motions, and
75-100% for crane travel motions, etc. The full load torque
is given by the formula
T orque= hp x 5. 250 (constant) lbfft
revjmm of brake shaft
kWx974 k f
rev/min g m
Exceptions: When a stopping time or distance is specified,
eg for rubber mill safety brakes, or when, due to high speeds
and/or inertia, it is required to check the stopping time, the
braking torque must be calculated. For example when a
crane hoist motion is designed to permit lowering and/or
hoisting at high speed, a brake giving more than 150% of
full load torque may be required to stop the load in a
reasonable distance. In such cases full details are required
to enable the required torque to be estimated including:
total inertia of the moving parts referred to the brake shaft;
and, for crane hoist and similar applications (eg downhill
conveyors) details of load and maximum speed (or speeds
where the speed varies eg with different loading conditions).
For travelling motions (level conveyors) the inertia should
include the inertia of the travelling mass referred to the
brake shaft. Alternatively, details of mass and travelling
speed are required to enable the inertia to be determined.
Friction assists the brake, and the overall efficiency of the
motion, or the tractive effort in the case of travelling
motions, should also be known.
Drum or disc heating. The energy stored in the moving parts,
and any generated energy due to an overhauling load, is
dissipated in the braking system and in the drive friction;
137
also, in the case of a hoisted load, in lifting the load against
gravity. A proportion of the energy (large or small depend-
ing on individual circumstances) is converted into. heat in
the brake friction linings, and the brake size must therefore
be such that the safe working temperature of the linings
is not exceeded, and that the rate of wear is reasonable
to ensure that the brake does not have to be re-adjusted
too frequently. In many cases where the duty will clearly be
very light, eg when inertia and speed are low and/or the
brake is applied infrequently, a brake chosen for the required
torque may be suitable. In other cases where the duty is a
known quantity (eg standard crane drives etc) experience
enables a suitable size of brake to be selected. The brake
manufacturers lists may give guidance in this respect.

In all other cases the energy to be dissipated in the brake

linings must be calculated, and compared with the energy
capacities of the brake units, for which reference to the
brake manufacturers data should be made. The same
information referred to for torque calculations will be
required for energy calculation.
When the brake drum speed is reduced by the motor control,
or by being allowed to run down naturally before the brake
is applied, the energy dissipated in the brake linings is
small, but the brake may be applied at full speed in emer-
gency, eg in the event of power failure. The energy dissipa-
tion in such a stop must be checked with the brake 'emer-
gency' capacity to ensure that the linings are not damaged
by the high surface temperature which may be reached
during the braking period.
Having decided on a minimum brake size, the brake manu-
facturers lists should be referred to for a brake of this
minimum size and of the type already decided which will
give the required torque with, on some magnet or solenoid
brakes, the requisite coil rating (eg intermittent or continu-
ous) to suit the application.
Brake drums and discs. The friction lining manufacturers
recommend materials such as good quality close grain cast
iron, or a steel, forged or cold-rolled with Brinell hardness
number of 200 or over. Cast steel is not recommended
because of its tendency to score. Grade 14 cast iron is used
for peripheral speeds up to 25 m/s ( 5 000 ft/min); Grade 17
or higher grades of Meehanite material for higher speeds.
A pearlitic grade of spheroidal graphite iron is also used
for special applications. Above about 25 mjs (5 000 ft/min)
peripheral speed, the inertia of a brake drum results in an
undesirable increase of stored energy. When they can be
accommodated, twin brakes of smaller diameter may give
an advantage, the inertia of the two smaller drums often
being less than that of a larger one. This consideration does
not of course apply to discs whose inertia is relatively
small, although twin brakes may sometimes be used for
other reasons, eg for torque or energy capacity.
Friction linings. Two types of lining material are in general
use: (I) Cotton-based woven ('fibre') high friction linings,
maximum working temperature ll0°C. Extensively used
138
Fig. 11. Hydraulic caliper brake acting on a disc fitted to the
flywheel of a main propulsion diesel engine of a tug. Other
caliper-type disc brakes may be pneumatically operated.
(Courtesy Twiflex Couplings Ltd.)
for light to moderate duties. (2) Asbestos-based woven or
moulded linings with lower friction but higher temperature
resistance. Although not normally worked at more than
150°C, to ensure a reasonable rate of wear and to avoid
expansion difficulties with drum brakes, they withstand up
to 350°C or more without damage, and are thus able to
deal with high energy peaks; for example, an emergency
stop from a higher speed than the normal stopping speed.
Thus a brake fitted with asbestos linings requires more
output from the actuator due to its lower friction coefficient
as compared with fibre linings, which may increase the
cost, but the linings can deal with more energy at a higher
drum temperature, thus enabling the brake diameter and
drum inertia to be kept to a minimum. Asbestos linings are
used for all arduous duties 2 .
FUTURE TRENDS
Since about 1955-60, the plate disc brake and the caliper
disc brake, although not new designs, have been extensively
developed and used. They have limited application and do
not replace drum brakes which are still very widely used,
but have their own particular characteristics which have
extended the scope of friction brakes in some directions.
In the future one can perhaps expect a consolidation of the
present types, and possibly new developments or variations
of existing designs to meet the present trend towards
larger and faster equipment and installations.
REFERENCES
I. Friction materials for engineers. Ferodo Limited, Stock-
port, England.
2. P Newcombe. Design of industrial brakes and clutches.
Machine Design Engineering 1966-7.
 Chapter 16

Oil-shear
Drive Systems

G M Sommer
G M Sommer Co Inc

Hydrodynamic forces in oil-lubricated bearings produce

unwanted friction (drag) which causes some loss of effi-
ciency. However, the principle has been put to use in the
development of types of mechanical power drive in which
torque is transmitted by the shear of an oil film between
two surfaces. There are two main types of drive that use
oil-shear. (1) Based on shear of an oil film between two flat
surfaces (plates or discs); this type can be used for drive
engagement/release (ie a clutch), for braking effect, or for
a combined clutch/brake system. (2) Continuously variable
drives in which an oil film is sheared to provide friction
between rolling interfaces (eg rollers between flat or con-
toured surfaces). These types have been developed in
various forms: the general principles and characteristics
of each are discussed further in this chapter.

OIL-SHEAR CLUTCHES
In its simplest concept, an oil-shear clutch consists of a plate
or disc mounted on the output shaft from a prime mover,
and an opposing disc mounted on the driveshaft to the
driven machine. The discs are immersed in oil, which forms
a continuous film between the opposing faces. As the power
shaft starts to rotate, the oil film shears and transmits torque
which rotates the driveshaft disc at increasing speed until
synchronism is reached, and the two discs lock together.

In practice, several clutch discs are mounted in one unit,

alternating with friction discs on the lines of the rotor/
stator system of an axial-flow turbine or a multi-plate fric-
tion clutch. The assembly is contained in an enclosure to
which oil is supplied (as a static bath or by forced circulation).
The clutch is actuated by air or oil pressure; ie pneumatically
or hydraulically.

Multi-disc oil-shear clutches are made to handle power

outputs over a very wide range, from an order of 1.5 kW (2
hp), driving motors actuating a small machine, to torques
of the order of 13 000 kgfm (1150 000 lbfin) in a large
mechanical press (and even larger units are in use). Depend-
139
 In one design of oil-shear clutch, the driven discs on the
power shaft are made of steel, but the friction discs have
a special sintered bronze facing with a high content of
graphite and alloying constituents; a pattern (eg diamond-
shaped) of rules or slots is cut into the face of the friction
plates to improve the thermal and torque characteristics.
Because special materials are commonly used for the fric-
tion surfaces, it is essential that the actuating oil should not
have any adverse effect on the surface; hence 'straight' oils
are used rather than those with additives for detergency and
other effects in the lubrication of piston engines and other
equipment.

Design and efficiency

Fig. I. ection ofoil-shear clwchfbrake writ in a sealed housing.
Main component. visible are (from/eft ): fan, elwell actuatOr,
clutch plates. centre ring. brake plates. brake acwator ; at top
right are air inlets for elwell and brake operation ; he/oil' the
output shaft is one of the brake springs. nits of this type
transmit powers of the order of I .5-100 k W ( 2125 hp) .
( Courtesy G M ommer Co. Inc) .
ing on the size of the unit and the frequency of the operating
cycle, various amounts of heat are produced in the unit, and
must be adequately dissipated.
For small units sufficient cooling may be provided by heat
loss from the actuating oil to the unit casing and thence by
simple transfer (eg convection) to the surroundings. In
high ambient temperatures, and when normal cooling is
inadequate, additional cooling may be provided by, eg,
finning and forced air circulation around the outside of
the unit. In the larger units it is usual to provide a supple-
mentary oil supply which is force-circulated through
passageways within the clutch components; this oil is
separate from the actuating oil (and performs a different
function). For normal applications the clutch temperature
is limited to the order of 93°C (200°F), but special applica-
tions have been operated at double this temperature, and
there are possibilities of working to some 340°C (650°F).
The concept of the oil-shear clutch is relatively simple, but
the application involves various problems, many of which
have been solved by practical experience rather than from
theoretical design considerations. One of the major prob-
lems is to achieve constant and uniform distribution of oil
between the clutch faces; measurement of actual oil film
thicknesses has proved to be of academic interest rather than
practical value.
Disc materials have been mentioned above; disc diameters
in the range of about 100-900 mm (4-35 in) have been found
sufficient to handle torques up to 22 000 kgf m (three-
million lbfin), which indicates that high powers/torques
are dealt with by very compact units. For many applications
the oil-shear clutch forms part of the direct link between
powershaft and driven shaft, and needs no additional
bearings. The design allows for some misalignment
between shafts, depending on the installation and type of
unit.
Fig. 2. A 400-ton metalworking press (during assembly); a
combined oil-shear clutch and brake unit is mounted in the
flywheel; circulating oil tank is at right offlywheel. (Courtesy
G M Sommer Co, Inc).

Actuating oil
Depending on the application, the oil used to provide the
shearing force between the clutch discs may range from a
straight mineral oil to some of the newer synthetic lubri-
cants. There is some residual drag when the clutch is dis-
engaged, so a low-viscosity oil (such as brake fluid) is used,
especially for the lower-power units. The slower speed
units can use heavier oils; for example, in units installed in
ships the clutch may use the regular marine gearbox oil.
Straight mineral oils may be used in light industrial units,
though heavier industrial equipment may call for the use
of a light turbine oil. For very heavy duty, such as in some
military applications (eg aircraft launching systems),
synthetic oils (eg polyesters) may be needed to withstand
degradation from the relatively higher temperatures.
140
Some of the advantages inherent in the oil-shear clutch are:
low wear rate of clutch faces, since the oil eliminates most
of the rubbing friction that occurs in a dry-plate clutch;
heat is readily dissipated by the oil system; relatively small
components can carry large loading, so the unit has low
in tertia (compared with that of other types, to handle the
same torque); long working life.
Stray losses are claimed to be very much less than, for
example, in an 'equivalent' hydraulic torque converter;
hence overall very high efficiencies can be achieved. On the
other hand, applications (though covering a wide range)
are restricted in cases where residual drag becomes a critical
limiting factor (for example, paper reeling). Residual drag
varies approximately as (speed) 1 '9; oil-shear clutches have
a built-in residual drag in the range ofl-5% (typically 2-3%).
BRAKES
The reverse action to that of the clutch is used in oil-shear
braking systems; ie the torque required to stop the power
unit and driven machinery is absorbed by the viscous shear
of an oil film maintained between friction surfaces. The
design is basically the same as for the oil-shear clutch, with
driven and braking (friction) discs separated by an oil film.
Cooling and other operating requirements and advantages
are similar for the two types of unit.
Depending on the requirements of the application, various
operating modes are incorporated in oil-shear brakes.
Fail-safe types are spring set (ie the brake is normally
engaged) and released by air or oil pressure. Other modes
include: air or oil set; spring set with oil or air assist and oil
or air release. One basic brake unit can be designed to be
fitted with any of these variations in operating mode, so
that a single range of brakes can be readily applied to
several different operating requirements.
CLUTCH/BRAKE SYSTEMS
Because of the basic similarity between the design of the
oil-shear brake and clutch, the two types can be combined
in a compact clutch/brake unit. A particular field of appli-
cation for such units is that oflarge metalworking and other
Rolling Friction Drives
P C Bell BSc MCIMM
In the plate clutch and brake systems described above,
torque during starting and run-up almost to synchronism
(and conversely during braking almost to standstill) is
transmitted by shear of an oil film between two mating
planes. Rolling friction drives are mainly based on trans-
mitting torque from a driving to a driven surface via the
point or line contact of revolving balls or rollers. The prin-
ciple has been used for a long time; at least since 1899 when
presses, in which large torques are involved, and much
heat is developed in starting and stopping the heavy
machinery at high cycle rates over long periods.
The combined oil-shear clutch/brake unit can be installed
on the centreline of the press flywheel, and within the fly-
wheel itself. This provides a compact unit, and may have
the further advantage of allowing new clutch/brake units
to be fitted to existing machines without adding to the
overall dimensions or altering existing layout extensively.
APPLICATIONS
Smaller sizes of combined clutch/brake units than those
mentioned above for metalworking presses are used in
industry for other start/stop applications involving fly-
wheels. Units at the lower end of the power/torque range
are used for: transfer feeds, automation equipment, stop/
start and indexing of conveyors, and so on.
Clutches are in use for accelerating large loads, such as
those in ball, rod, and other mills, large industrial fans,
rotary kilns, etc. In the marine field, a typical clutch applica-
tion involves a power unit of 4 500 kW (6 000 hp) at 6 500
rev/min.
Clutches to 186000 kW (250000 hp) at 2200 rev/min have
been built for military applications. More conservative
design parameters are used for indefinite life in industrial
applications, but units are built with capacities to 75 000 kW
(1 00 000 hp) at 3 600 rev /min for use in electric power
plants.
As with any mechanical installation, the cost of an oil-shear
clutch and/or brake system depends not only on the size
of the unit, but on the service conditions and required
performance. For example, some military applications and
industrial fields in which a high degree of reliability is
required, call for a more sophisticated and costly unit than
one of comparable rating, but in a less critical operation.
In general, the basic external simplicity and small size of
the units means that they can be adapted to many different
applications by producing them in a wide variety of forms.
W D Hoffman filed a patent application for a drive that
incorporated rollers in contact with discs, the discs having
toroidal surfaces. By tilting the rollers, the ratio of the drive
could be altered2.
Various designs of rolling friction drives have since
evolvedl. 2•8 including, for example, the Hayes transmission
used on cars in the mid-1930s. The valuable characteristic
141

Fig. 3. Roller/toroidal-disc configuration of rolling friction
drive (from ref 2); see also Fig. 14 and 15 'Variable speed
drives' (chapter 4).
of such drives is that they provide continuously-variable
input/output ratios, within limits. They are described as
continuously-variable, steplessly-variable, and infinitely-
variable (IV) drives, though the last term can be misleading
because there are definite upper and lower ratio limits to
any unit, depending on the design.
Operation and efficiency
Investigations into the operation of rolling friction drives
showed that, despite high contact stresses and rolling speeds,
there is little wear on contact surfaces. Under optimum
conditions the power is transmitted through an oil film
that separates the two surfaces. The efficiency of the drives
depends on losses in the system, such as parasitic losses
from bearings and churning of the bulk oil.
Creep (or speed) losses are caused by a difference in relative
velocity between discs and balls/rollers in the direction of
rolling as traction forces are transmitted across the oil film;
these losses depend on torque and speed ratio, and the
load. Spin (or torque) losses from relative rotation between
contact areas on ball/roller and disc are principally affected
by the normal load between rolling unit and disc3-9.
Overall efficiency of rolling friction drives is in the range
70% to 90% (and possibly higher), depending on the speed-
ratio variation. This ratio range for industrial units is
typically about 6:1, but may be of the order of 10:1; the
142
input:output speed ratio may, of course, be less than or
greater than 1:1 (ie a reducing or increasing effect).
Industrial drives are available from very small units (eg in
the instrument and control field) to transmit power of
the order of 20 W (0.03 hp). Many applications are covered
by a larger range, to about 50 kW (65 hp), and automotive
transmissions to handle 150 bkW (200 bhp) were tested in
the early 1960s2.
REFERENCES
1. W J Davies. An analysis of the function of modem
adjustable-ratio drives; pt 1 mechanical drives. Power
Transmission Design 1966 July.
2. T G Fellows, D Dawson, F G Perry, M A Plint. Perbury
continuously variable ratio transmission. Symposium
on automatic transmissions; advances in automobile
engineering pt II; July 1963 (Cranfield, England).
Reprinted Pergamon Press 1964.
3. A W Crook. The lubrication of rollers. Series of papers
in Phil Trans Roy Soc, London Series A 1958, 1961,
1963.
4. L 0 Hewko, F G Rounds, R L Scott. Tractive capacity
and efficiency of rolling contacts; rolling contact
phenomena. Elsevier 1962.
5. I 0 MacConochie, A Cameron. The measurement of
oil film thickness in gear teeth. Trans ASME 1960 v82 29.
6. D Dowson, M D Longfield. Distribution of pressure and
temperature in a highly loaded contact. /MechE Lubri-
cation and wear convention 1963, May.
7. A J Barlow, J Lamb. Behaviour oflubricating oils under
cyclic shearing stress. Proc Roy Soc Series A 1959 v253
52.
8. P Cahn-Speyer. Mechanical infinitely variable speed
drives. The Engineers' Digest 1953 Feb; 1971 Jan-Apr.
9. (a) J A Jefferis, K L Johnson. Sliding friction between
lubricated rollers. (b) D Dowson, T L Whomes. Effect
of surface quality on traction characteristics oflubricated
cylindrical contacts. (c) M A Plint. Traction in elasto-
hydrodynamic contacts. (d) K L Johnson, R Cameron.
Shear behaviour of elastohydrodynamic oil films at high
rolling contact pressures. !MechE Symposium 1967/8
vl82 pt 1 no 14 281-330.
 Guide to Equipment Makers
UNITED KINGDOM
Allspeeds Ltd CODE
PO Box 43, Royal Works, Accrington, Lanes BB5 5PL A Automotive (vehicles and mobile plant)
Tel: Accrington 35441 B Belt drives (all types: Vee, flat, toothed, constant/
G GV IC MC V (1) (2) (3) variable speed)
C Clutches (all types)
W R Anderton & Co Ltd CH Chain drives
Castleton, Rochdale, Lanes. F Flexible shaft drives
Tel: Rochdale 31277 G Gears, constant ratio (direct. reducing, increasing
c (2) etc.)
GV Gears, variable ratio
Aurora Gearing Company (Wilmot North) Ltd H Hydraulic (hydrostatic pump-motor drives)
Edmund Road, Sheffield S2 4EF HC Hydraulic couplings (hydrokinetic)
Tel: 24385 Telex: 54409 IC Instrument and control drives
B CH G HC MC (2) (3) MC Mechanical couplings (all types: flange to universal
joint)
Bendix Westinghouse Ltd P Pneumatic drives (linear and rotary)
Hanham Road, Kingswood, Bristol R Rope/wire, drum/pulley drives (hoists, cranes etc.)
Tel: 0272-671881 RP Rack and pinion
A G P X (2) S Shafts (all types except flexible)
T Torque converters
Brockhouse Engineering Ltd V Variable speed devices other than gears (friction,
Victoria Works, Hill Top disc etc.)
West Bromwich, Staffs. X Transmission brakes (other than vehicle)
Tel: 021-556 2011 Telex: 336994 Size range: (1) miniature (2) general industrial
G GV TV (2) (3) heavy industry

CBS (Automotive & Industrial) Ltd

Arnheim Road, Newbury, Berks.
Tel: Newbury 4291 Telex: 84227
A B V (1) (2) Dunlop Rubber Company Ltd
Belting Division
Crofts (Engineers) Ltd PO Box 7, Liverpool L24 1 UY
Thornbury, Bradford 3, Yorks. Tel: 051-486 4551 Telex: 627080
Tel: Bradford 665251 A B (1) (2) (3)
CH G GV P RP X
Dowty Hydraulic Units Ltd
Davall Gear Company Ltd Arle Court
Gear Works Cheltenham, Glos.
Potters Bar, Herts. Tel: Cheltenham 21411 Telex: 43176
Tel: Potters Bar 57141 Telex: 23983 H HC IC (1) (2)
B G GV IC (1 ) (2)
English Electric-AEI Turbine Generators Ltd
David Brown Gear Industries Ltd Trafford Park
Park Gear Works Manchester M17 1 PR
Huddersfield HD4 5DD Tel: Trafford Park 2431 Telex: 66-314/5
Tel: Huddersfield 22180 Telex: 51562/3 G GV (3)
A CH H G GV MC RP (2) (3)
Eaton Yale & Towne (UK) Ltd
Dewhurst & Partner Ltd Transmission Division
Melbourne Works PO Box 11 , Worsley Road North
Hounslow, Middlesex Worsley, Manchester M28 5GJ
Tel: 01-570 7791 Telex: 262019 Tel: Farnworth 72111 Telex: 63214
X (2) A G GV H (2)

145
Elliston, Evans & Jackson Ltd
Bridgwater, Somerset CODE
Tel: Bridgwater 2056 Telex: 46155 A Automotive (vehicles and mobile plant)
X (2) (3) B Belt drives (all types: Vee, flat, toothed, constant/
variable speed)
J H Fenner & Co Ltd C Clutches (all types)
Marfleet, Hull CH Chain drives
Tel: Hull 71234 Telex: 52686 F Flexible shaft drives
G GV (2) G Gears, constant ratio (direct, reducing, increasing
etc.)
Fluidrive Engineering Company Ltd GV Gears, variable ratio
Fluidrive Works H Hydraulic (hydrostatic pump-motor drives)
Worton Road, lsleworth, Mddx. HC Hydraulic couplings (hydrokinetic)
Tel: 01-560 1121 Telex: 24107 IC Instrument and control drives
H HC (2) MC Mechanical couplings (all types: flange to universal
joint)
P Pneumatic drives (linear and rotary)
Flexible Drives (Gilmans) Ltd
R Rope/wire, drum/pulley drives (hoists, cranes etc.)
157 Millers Road, Warwick
RP Rack and pinion
F
S Shafts (all types except flexible)
T Torque converters
The Globe Pneumatic Engineering Co Ltd V Variable speed devices other than gears (friction,
Ashton Road, Harold Hill disc etc.)
Romford RM3 SUA Essex X Transmission brakes (other than vehicle)
Tel: lngrebourne 43851 Telex: 21381 Size range: (1) miniature (2) general industrial
p (2) (3) heavy industry

Goodyear Tyre & Rubber Company (Gt Britain) Ltd

PO Box 10, Silverwood
Craigavon, Co Armagh, N Ireland Hygate Gears Ltd
Tel: Lurgan 5111 Telex: 74465 Vernon Park Works
B (2) Bath, Somerset BA2 3EB
Tel: 0225-25151
CH G GV RP (2)
G I B Precision Ltd
Barton Lane
Hobourne Transmissions Ltd
Cirencester, Glos.
Strood
Tel: Cirencester 0285 2301
Rochester, Kent
G GV MC T (2)
Tel: Medway 77733 Telex: 96104
G GV HC T (2)
GKN Birfield Transmissions Ltd
PO Box 405, Erdington Kobo Transmissions Ltd
Birmingham B24 ORB 6 Ashfield Road
Telex: 338963 Cheadle, Cheshire
A G GV V T (1) (2) Tel: 061-428 7888
(see also under W Germany)
Hardy Spicer Ltd B CH V (2)
Industrial Division
Chester Road Laycock Engineering Ltd
Erdington, Birmingham 24 Archer Road, Millhouses
Tel: 021-373 2191 Telex: 33414 Sheffield 8
F (2) Tel: Sheffield 368221 Telex: 54255
F (2)

Hawker Siddeley Dynamics Ltd Martin, Black & Co (Wire Ropes) Ltd
Manor Road Speedwell Works
Hatfield, Herts. Coatbridge ML5 4RS Scotland
Tel: Hatfield 62300 Telex: 22324 Tel: Coatbridge 22566 Telex: 77376
IC MC (1) (2) R (2) (3)

Highfield Gear & Engineering Co ltd Modern Wheel Drive Ltd

Nile Street Hindmarch Gear Works
Huddersfield, Yorks HOI 3LP Slough, Bucks
Tel: Huddersfield 24466 Telex: 51648 Tel: Slough 25435 Telex: 84455
G GV MC V (2) C G GV HC (2) (3)

146
Moss Gear Company Ltd Self Changing Gears Ltd
Crown Works, Tyburn Lythalls Lane, Coventry
Birmingham 24 Tel: Coventry 89081 Telex 31644
Tel: 021-373 1661 Telex: 223464 A C G GV HC T
A B C G GV MC R S (2) (3)
Spencer Gears Ltd
The Motor Gear & Engineering Co Ltd 37 Victoria Road East
Essex Works, Chadwell Heath Leicester
Romford, Essex RM6 4ES Tel: Leicester 767446
Tel: 01-590 7788 G RP (2)
G GV MC RP (2)
Standage Power Couplings Ltd
Motherwell Bridge Engineering Ltd
Telscombe Cliffs
Special Products Division
Newhaven, Sussex
PO Box 4, Motherwell, Scotland
Tel: Peacehaven 2335
(Distributors for Sumitomo Shipbuilding & Machinery Co;
GV MC (2)
see under Japan)
Tel: Motherwell 66537 Telex: 77197
G GV MC V (2) (3) Stephens Miraclo Belts Ltd
Tudor House, Tudor Industrial Estate
Platt International Ltd Dukinfield, Cheshire SK16 4RN
Oldham Works, Featherstall Road Tel: 061-330 6521
Oldham, Lanes B (1) (2) (3)
Tel: 061-624 0461
J Thompson & Son (Gears) Ltd
C H HC X (2)
Swan Gear Works
Robert Pringle (Engineers) Ltd King Henry's Drive, New Addington
Croydon CR9 OBQ
36-42 Clerkenwell Road
Tel: Lodge Hill 3125
London EC1
G IC (1)
Tel: 01-253 6292
G IC (1) (2)
Turboflex Ltd
Power Plant Gears Ltd The Pines, Tylers Green
West Drayton, Middlesex High Wycombe, Bucks
Tel: West Drayton 2626 Telex: 21639 Tel: Penn 3734 Telex: 83491
B G GV MC S (2) (3) MC (1) (2)

PR Motors Ltd Varatio Ltd

Aldbourne Road, Coventry Ajax Avenue, Slough, Bucks
Tel: Coventry 25382 Telex: 31333 Tel: Slough 26655
A G GV H (2) G GV (1) (2)

Reliance Gear Company Ltd Vickers Ltd

St Helen's Gate, Almondbury Barrow Engineering Works
Huddersfield 1, Yorks Barrow-in-Furness, Lanes
Tel: Huddersfield 21121 Telex: 51361 Tel: Barrow-in-Furness 23366 Telex: Barrow 6957
G GV IC (1) (2) G GV H HC IC MC S V (1) (2) (3)

Renold Ltd Voith Engineering Ltd

Renold House, Wythenshawe Ambassador House, Brigstock Road
Manchester M22 5WL Thornton Heath, Surrey
Tel: 061-437 5221 Telex: 669052 Tel: 01-689 0741
B CH R (1) (2) (see also Voith Group: W Germany)
A G GV T (1) (2)
Ringway Machine Tools Ltd
Beechwood, Manchester Road
S S White Industrial Div of Pennwalt Ltd
Knutsford, Cheshire Third Avenue, Denbigh Road
Tel: Knutsford 4916 Telex: 66651 Bletchley, Bucks.
C H (2) (3)
Tel: Bletchley 3295
F (1) (2)
Sanderson Brothers & Newbould Ltd
PO Box 6, Newhall Road Frank Wigglesworth & Co Ltd
Sheffield S9 2SD Shipley, Yorks
Tel: 0742 49994 Telex: 54194 (Agent for Falk Corp, Milwaukee, USA)
G (2) (3) B C F IC MC R (1) (2)

147
FRANCE Lockheed
27 Rue Jules Verne
Aubagnac et Cie (G) St Quen
25 Avenue Pres Wilson H HC
StDenis
G GV IC R S (1) .(2) Schneider Creusot (Ste)
15 Rue Pasquier
Aubert (Anc Ets) Paris 8
68 Avenue du 20eme Corps s
Nancy
F S Sebin & Cie
79 Rue J P Timbaud
Bellows Valvair de France 75 Paris 11 e
12, Cap Ch Dupray Tel: 023-57-95
Annemasse CH
H HC P
Sedis Compagnie des Transmissions Mechaniques
Brampton Renold 102 Rue Danton
20 Rue Jacques Dulud 92 Levallois- Perret
Tel: 737-45-22
92 Neuilly-sur-Seine
A C CH G MC CH

Simetra- Flender
Climax France
11 Rue Degas,
31 Blvde de Courbevoie
Paris 16e
Neuilly
Tel: 224-66-74
p
B C G H HC MC V

CIDMA Transmissions Modernes

175 Blvde St Denis Rue Chalant
Courbevoie Ronchin
C G H HC GV MC

Cullins-Tournadre
31 Blvde Mession Marchand
92-Courbevoie
ITALY
Tel: 333-51-05 Telex: 62.192 Tourco Courb
C HC MC P V Baruffaldi Frizioni spa
S Donato Milanese M1
Engins Mechaniques Segar Via Curiel 15
74 Rue Dr A Netter T
Paris 12
C MC G Casini, Construzioni Meccaniche
Viale Certosa 177
Engrenages et Reducteurs Citroen- Messian 20151 Milano
31 Quai de Grenelle G GV
Paris 15eme
Tel: 734-05-70 Fabrica Automobile lssotta Fraschini e Motori Breda
A F G GV H MC V R Saranno, Via Milano 7
A G GV H
Ets Grangier & Cie
5 Rue Blanche Fachini lng V. spa
Paris 9 Milano M1
Tel: 874-06-92 Via le Cogni, Zugna 7
B MC R V c
Ferodo (SA Fse du) Flex ball
64 Avenue Grande Armee Corso Re Umberto 120
Paris 17 Torino
H HC IC (1)

Ingersoll Rand Snc Gerit Transmissioni

19 & 20 Rue Gen Galliere Corso di Porta Nueva 46
Boulogne 20121 Milano
p GV

148
Guatelli
CODE
41043 Formigine
A Automotive (vehicles and mobile plant)
Milano
B Belt drives (all types: Vee, flat, toothed, constant/
GV
variable speed)
Alfredo G usti
C Clutches (all types)
CH Chain drives
20156 Milano
F Flexible shaft drives
Via Cesare Ajraghi 30
G Gears, constant ratio (direct, reducing, increasing
G GV
etc.)
GV Gears, variable ratio
Piazzalunga Mario
H Hydraulic (hydrostatic pump-motor drives)
Via Gleno 7
HC Hydraulic couplings (hydrokinetic)
241 00 Bergamo
IC Instrument and control drives
B
MC Mechanical couplings (all types: flange to universal
joint)
H Trieb, Carbonini
P Pneumatic drives (linear and rotary)
20149 Milano
R Rope/wire, drum/pulley drives (hoists, cranes etc.)
Via R Lauria 1 3/3
RP Rack and pinion
HC MC (1)
S Shafts (all types except flexible)
T Torque converters
V Variable speed devices other than gears (friction,
disc etc.)
X Transmission brakes (other than vehicle)
HOLLAND Size range: (1) miniature (2) general industrial
(3) heavy industry
Bellow- Valvair
Lange Nieuwstr 123
PO Box 84 W. GERMANY
Schiedam C & W Berges (Kobo Transmissions)
p
5277 Marienheide-Rhld
Tel: (02264) 567
Bierens & Zonen NV (Aug) B CH HC
Til burg
G GV K & A Knodler Ohg (Kobo Transmissions)
7304 Ruit bei Stuttgart
Blom NV (J A) Tel: Stuttgart 21 29 88-89
Amsterdam B CH HC
G
Maschinenfabrik Hans Lenze KG
NV Gefra (Kobo Transmissions) D1-4923 Extertol 1
Einsteinstraat Tel: 05262/2061
1 'S-Gravenzande B C G V (2)
Tel: 01748-3911
B CH HC Ortlinghaus Werke GmbH
5678 Wermelskirchen
Schie, NV (Machinefabriek De) C G GV X (2)
Schiedam MC
C H HV P RP (2) Voith Group
Heidenheim
Wegen & Zonen NV (P Van Der) S Germany
Til burg (see Voith Engineering, under United Kingdom)
F S A G GV H T (2)

Zahnradwerk Kollmann GmbH

NORWAY
Vest- Norsk Agentur A/S
Bergen
C G GV H CH MC RP
Norgear A/S
Oslo & Sandefjord
A G GV H HC MC S T
Wuppertal- Barmen
Schwesterstrasse 50
Tel: 4811
B G (2)
Enquiries should also be made to:
Verein Deutscher Maschinenbau-Anstatten
Fachbereich Antriebstechnik
6 Frankfurt Main-Niederrad 1
Lyoner Strasse 18
Postfach 109

149
SWITZERLAND Kollin & Strom AB
Stora Tuna
Bachmann (Hans) H
Ausserdorfstrasse 6
Zurich Lorentzen & Wettres Maskinattar AB
G GV Stockholm 49
CH
Brechbuhl (Hans)
4705 Wangen an der Aore Rennkil AB
Bern Huitsfred
G GV B

Grell (Walter) Spiros AB Fjiiderfabriken

Baslerstrasse 17 Bromma
Rheinfelden F
G GV
Svenska Kugglijulsfabriken AB
Hegi & Cie, AG Koping
Oberburg G GV
B C G GV MC
Volvo AB
Neier & Co Goteborg 1
Hauptstr 58 A G GV S (2)
Niedergosgen
HC T

Simonet & Co AG
Solothurn
G SH
UNITED STATES OF AMERICA
Allis-Chalmers
PO Box 512
DENMARK Milwaukee, Wis
A (2)
Christensen (Jens S)
1654 Copenhagen Amarillo Gear Company
B
PO Box 1789 TR
Amarillo, Texas
Rekord Tandhjulsfabrik A/S
G GV (2) (3)
Copenhagen 01
CH G GV H
Avon Gear & Engineering Company
408- T Shawrust Avenue
Skandinavisk Tandhjulsfabrik
La Grange Ill
Copenhagen 01
G V (2)
C G GV H MC
Bendix Corporation, Motor Components Division
1931 Oaklands Avenue
Elmira NY
SWEDEN A MC (2)

Albin Motor AB Commercial Cam and Machine Company

Kristinehamn 400 North Ashland Avenue
A G GV Chicago, Ill
C G GV MC RP S
Elge- Verken
Linkoping 1 Diamond Chain Company
C MC S 402 Kentucky Avenue
Indianapolis, lnd
Eurodrive AB CH (1) (2)
Jonkoping 7
G GV (2) Dodge Manufacturing Corporation-
Reliance Electric Company
Hagelsrums Mek Verkstad AB 1952 William Street
Miililla Mishawaka, lnd
c B C F G GV P R RP S

150
Dyna Corporation
1 050 Smithfield Road CODE
Dayton, Ohio A Automotive (vehicles and mobile plant)
G GV (1) B Belt drives (all types: Vee, flat. toothed, constant/
variable speed)
Eaton, Yale & Towne C Clutches (all types)
Cleveland Power Transmission Systems CH Chain drives
3262 E 80th Street F Flexible shaft drives
Cleveland, Ohio G Gears, constant ratio (direct. reducing, increasing
B C G GV P R V (1) (2) (3) etc.)
GV Gears, variable ratio
Falk Corporation H Hydraulic (hydrostatic pump-motor drives)
Box 492, Dept 248 HC Hydraulic couplings (hydrokinetic)
Milwaukee, Wis IC Instrument and control drives
B R (2) (3) MC Mechanical couplings (all types: flange to universal
joint)
Fluid Drive Engineering Company p Pneumatic drives (linear and rotary)
313 Hibbard Avenue R Rope/wire, drum/pulley drives (hoists, cranes etc.)
Willmette, Ill RP Rack and pinion
H HC (1) (2) s Shafts (all types except flexible)
T Torque converters
Fort Worth Steel & Machinery Company v Variable speed devices other than gears (friction,
3504 Jackson Street disc etc.)
Fort Worth, Texas X Transmission brakes (other than vehicle)
B C CH G GV S (2) (3) Size range: (1) mm1ature (2) general industrial
(3) heavy industry
General Electric Company
1 River Road
Schenectady, NY
Napea Industries Inc
G GV V (2) (3)
Auto Products Group
1600 South 2nd
Goodyear Tyre and Rubber Company
Hopkins, Minn
Industrial Products Division
A
PO Box 9023, Akron, Ohio
A B R (2) (3)
Power Transmission Engineering Corporation
135 N Tenth
Hydreco, General Signal Corporation
San Jose, Calif
9015 E Michigan
H HC
Kalamazoo, Mich
H HC (2)
Precision Products and Controls Inc
6120 E 15th
Hydraulic & Electrical Manufacturing and Design
Tulsa, Oklahoma
Company Inc
IC (1)
652 Calfax
Bellevue, Kentucky
Ramsey Products Corporation
G HC V X (2)
724 W Gesco Street
Charlotte, NC
Kaiser Aerospace and Electronic Corporation
CH (2)
730 Salem
Glendale, Calif
Salsbury Corporation
G P (1)
(Div of Instrument Systems Corp)
1 01 0 E 62nd St. Los Angeles
Link-Belt Enclosed Drive Division, FMC Corporation
California 90001 USA
2045 W Hunting Park Avenue
B T (2)
Philadelphia, Pa
B C F G GV HC MC (2) (3)
G M Sommer Co Inc
9206 Gratiot Avenue
Marmon- Herrington Automotive
Detroit, Mich. 48213
501 Indianapolis Avenue
Tel: (313) 925--8138
Lebanon, lnd
C X (2) (3)
A G S (2)
Turner Uni-Drive
Metron Instruments Inc 3450 Terrace Street
1054 S Platte River Denver, Col Kansas City, Mo
IC (1) v (2)
151
Vee-Arc Corporation JAPAN
70 Milk, Westboro, Mass
Daido Kogyo Co Ltd
V T (2)
1 -197 Kumasaka-cho
Kaga, Ishikawa- Ken
Westinghouse Electric Corporation
A CH MC (1) (2)
Industrial Systems Division
PO Box 225, Buffalo, NY
Hasegawa Gear Mfg Co Ltd
GV V (2) (3)
3-24-13 Minami Rokugo
Ota-ku, Tokyo
Western Manufacturing Company
G GV MC (2)
Section Avenue at Bangor
Detroit. Mich
Hitachi Ltd
A C G GV (2)
5-1 Marunouchi 2-chome
Chiyoda-ku, Tokyo
T (2)

Hokoku Chain Manufacturing Co Ltd

CANADA 26-5 Nishi, Rokugoo
Barber Turbines and Foundries Ltd 1-chome, Ota-ku, Tokyo
Meaford, Ontario CH MC (1) (2) (3)
G GV (2) (3)
Mitsubishi Heavy Industries Ltd
Bettger Industries Ltd 5-1 Marunouchi 2-chome
Stratford, Ontario Chiyoda-ku, Tokyo
B MC R (1) (2) (3) G GV T (2) (3)

Canadian Acme Screw & Gear Ltd Niigata Converter Co Ltd

Toronto, Ontario 1 0-16 Akasaka 8-chome
A G GV (1) (2) Minato-ku, Tokyo
H HC T (2)
Dominion Engineering Works Ltd Okamura Manufacturing Co Ltd
Montreal. Quebec 7-18 Kitasaiwai 2-chome
B CH G GV H HC S (2) (3) Nishi-ku, Yokohama
T (2)
Forano Ltd
Plessisville, Quebec Ogura Clutch Co Ltd
B G GV MC (2) (3) 2-678 Aioi-cho
Kiryu-shi, Gunma-ken
Hamilton Gear and Machine Company Ltd C MC
Toronto, Ontario
G GV S (2) Osaka Chain & Machinery Manufacturing Co Ltd
15-1 Kyobashi 2-chome
Hydraulic Machinery Company Ltd Higashi-ku, Osaka
Montreal, Quebec CH MC (2)
H HC (2)
Sumitomo Shipbuilding & Machinery Co Ltd
Link- Belt Ltd 1 Kanda Nishikicho 2-chome
Scarborough, Ontario Chiyoda-ku, Tokyo
B CH G GV (2) G GV V T (2) (3)

Montreal Gear Works Ltd Takasago Chain Co Ltd

Montreal. Quebec 34-1 Shimura 1 -chome
G GV (1) (2) (3) ltabashi-ku, Tokyo
A CH MC (1) (2) (3)
Ontario Drive and Gear Ltd
Kitchener, Ontario Tsubakimoto Chain Manufacturing Co Ltd
A G GV (2) 13-2 Tsurumi 4-chome
Joto-ku, Osaka
Stephens-Adamson Manufacturing Company of Canada Ltd A CH G GV MC (1) (2) (3)
Belleville, Ontario
B C CH G GV S (2) Ueda Seisakusho KK
Kimura Shoji Building
Vickers Division Sperry Rand Canada Ltd Kanda Ogawa-cho
Rexdale, Ontario Chiyoda-ku, Tokyo
H HC (1) (2) MC (2)

152

Abrasion: (gears) a form of wear
caused by abrasive particles between
meshing gear teeth, especially when
the normal lubricant film cannot
prevent contact between tooth and
abrasive; depending on size of
particle, wear shows as a polished
or scratched surface on the gear
tooth.
Addendum: (mech) of a gearwheel,
the distance between the pitch
circle (qv) and the outside diameter
(od) of the wheel; ie the dimension
by which the od is greater than the
pitch circle; see dedendum.
AGMA: American Gear Manufac-
turers Association; issue standards,
specifications, general data.
Angular misalignment: (of shafts) see
misalignment.
Anodised gears: (mech) aluminium
alloy gears treated (anodised) to
produce a thin, hard, oxide film
coating which protects the material
from corrosive environments and
improves appearance.
Anti-rotating rope: constructed with
two or more layers of strands laid
in opposite directions so that the
torque effect from each layer is
balanced.
Axial-piston motor: operates on the
same principles as the axial-piston
pump (qv); hydraulic and pneumatic
versions are used.
Axial-piston pump: a reciprocating
piston pump in which the axes of
the cylinders are parallel or slightly
inclined to the drive shaft; com-
monly swashplate and bent-axis (or
tilted-body) types, according to
method of reciprocating the pistons;
typically used in hydrostatic trans-
mission systems in conjunction with
a motor; also pneumatic.
Belt: (mech) as used in a belt drive
may be flat, V-shaped, hexagonal,
toothed, or other vanat10ns of
form; made of various natural or
synthetic materials, often with cord
or wire reinforcement.
GLOSSARY OF TERMS
Belt drive: (mech) power is transmitted
by a continuous belt, usually via a
system of pulleys (or drums for flat
belts).
Bent-axis motor: hydraulic motor in
which pistons are reciprocated by
tilting the axis of the cylinder body
in relation to a plate or flange
rigidly fixed to the drive shaft; also
known as tilted-body motors.
Bent-axis pump: hydraulic pump
operated on the same principle as
the bent-axis motor (qv).
Bevel gears: used to connect shafts
with intersecting axes, theoretically
at any angle (though there are
usually practical machine design
limitations); most industrial bevel
gears are designed for mounting at
90°; gear teeth may be straight or
spiral.
BGMA: British Gear Manufacturers
Association.
BISRA: British Iron and Steel
Research Association.
Brake motor: typically a cage electric
motor that incorporates a fail-safe
brake (qv) and is used for cyclic
stop-start applications, eg on
machine tool drives.
Brush: (elec) component in contact
with a moving surface to provide
(ideally) a continuous electrically
conducting junction; spring-loaded
brushes (eg carbon) may be in
reaction, radial, trailing forms (qv).
Brushgear: (elec) system for maintain-
ing electrical contact between rela-
tively moving parts (eg a rotating
c o m m u t a t o r and stationary
brushes); typically spring-loaded
carbon brushes in suitable housing
with necessary leads, or metal spring
contact against a slipring.
Brushless motor: (elec) various forms
of winding are used to produce
miniature d.c. motors without a con-
ventional commutator and brush-
gear system, which can cause high
friction losses in very small motors.
BSI: British Standards Institution.
Burning: (gears) effects such as dis-
coloration, oxidation, loss of hard-
ness of gear tooth caused by over-
load, overspeed, faulty lubrication,
leading to excessive friction.
Bush roller chain: mechanical drive
chain (patented by Hans Renold
in 1880); basis of many modern BS,
European, and other standard trans-
mission chains.
Caliper disc brake: a brake with fric-
tion pads that grip a disc on either
side near the periphery to provide
a braking torque; often operated
hydraulically, but other actuators
possible.
Cardan shaft: a length of drive shaft
usually itself unsupported in bear-
ings, but joined at either end to an-
other part of the drive system; eg
the (propeller) drive shaft used with
universal joints in a vehicle trans-
mission system.
Cast chains: (mech) group of mechani-
cal drive chains made by casting or
pressing; include detachable hook
chain, pintle chain, cast malleable
chain; used largely in relatively
slow-speed applications, eg on con-
veyors, agricultural machinery.
CBI: Confederation of British
Industry.
Centrifugal clutch: (mech) a clutch
(qv) which is engaged by centrifugal
forces acting on the clutch mechan-
ism; the rotational speed at which
the unit operates depends on the
design; types include spring less and
spring-fitted; centrifugal clutches
normally engage/disengage auto-
matically.
Chain coupling: two sprockets, corres-
ponding to shaft hubs, are joined by
a duplex chain; often provided with
a lubricant-retaining cover.
Change-speed gearbox: a form of
variable speed drive (qv) from
which a number of input/output
speed ratios is available in discrete
steps; ie in fixed sets of ratios
(according to design); an automotive
153
 mechanical gearbox is typical.
Circular pitch: (mech) of a spur gear,
the circumferential distance (along
the pitch line) between correspond-
ing faces of adjacent teeth.
Circular tooth thickness: (mech) cir-
cumferential thickness of a spur
gear tooth at the pitch circle.
Closing: twisting a number of strands
(qv) around a core to build a wire
rope.
Clutch: (mech) device for engaging
and disengaging the drive action in
part of a mechanical power trans-
mission system; eg between a prime
mover and driven unit; normally
associated with rotary shaft designs.
Clutch coupling: (mech) a clutch (qv)
that connects two drive (mechanical
power transmission) shafts in line.
Clutch pulley: (mech) a clutch (qv)
which acts in a drive system consist-
ing of shafts in parallel but at some
distance apart and connected by eg
a chain, belt or gear drive; the
clutch is incorporated in one of the
drive pulleys.
Coarse pitch gears: (mech) general
term for gears coarser than 1
module (24 diametral pitch); nor-
mally used in industrial power
applications and often of commer-
cial quality (see commercial gears).
Commercial gears: (mech) quality
classification of the generally least
precise group of gears; usually made
by high-output low-cost methods;
used in consumer I industrial pro-
ducts; sizes range from small to very
large, in coarse or fine pitches.
Converter coupling: hydrokinetic
drive unit in which the reaction to
frame is mounted through a free-
wheel so that the machine acts as a
torque converter at output speeds
up to the coupling point (qv), but
rotates freely above that point; input
speed is constant up to coupling
point, then rises with output speed,
as does efficiency.
Coupling hub: (mech) component fit-
ted to end of drive shaft to form
part of a coupling system; a simple
form is a disc or flange fitted to the
shaft by eg key and keyway, tapered
brush ('keyless'); for large sizes hubs
may be fitted by a shrink method
or by hydraulic pressure.
Coupling point: for a hydrokinetic
torque converter, the point at which
the turbine speed corresponds to an
input/ output torque ratio of 1:1; ie
the drive corresponds to a fluid
coupling (qv).
Cranked link chain: mechanical drive
chain with cranked side plates; used
for low-speed heavy-load duty, eg
in earth-moving machinery; also
called offset side-bar chain.
Cross lay: (wire rope) the covering
layers in a cross-lay strand lie at
154
different angles to the under-wires
and are poorly supported (prone to
early fatigue failure); see equal lay.
Cylinder pneumatic actuator: see
piston pneumatic actuator.
Dead load: (mech) component of a
driven load related to steady-state
factors such as friction or work
done (eg lifting a steady load or
overcoming component inefficien-
cies); see live load.
Dedendum: (mech) of a gearwheel,
the distance between the pitch circle
(qv) and the root diameter; see
addendum.
Detachable hook chain: mechanical
drive chain made from pressed steel
or malleable iron; identical links are
formed on the hook and bar prin-
ciple.
Detuning coupling: a type of drive
coupling in which the torque/twist
relationship is not linear; torsional
characteristics of the drive vary with
the torque' transmitted; see flexible
coupling, resilient coupling.
Diametral, pitch: (mech) number of
teeth per unit of pitch circle
diameter of a gearwheel(= 71"/circu-
lar pitch)'; the reciprocal of diametral
pitch is the module, or pitch circle
diameter per tooth.
Diaphragm pneumatic actuator:
(mech) a linear actuator (qv) opera-
ted by air (gas) pressure on one or
both sides of a diaphragm (single
or double acting); used eg in con-
trol systems for positioning of
valves, etc.
Disc clutch: (mech) a clutch (qv) in
which the torque-transmitting fric-
tion medium consists of annular
plates or discs; range from simple
one- or two-disc units to multi-disc
types; for a given diameter, torque
capacity can be increased widely by
increasing the number of discs.
Disc coupling: a type of flexible,
torsionally rigid coupling consisting
basically of a (metal) disc between
two hubs or flanges, the unit being
bolted together.
Double engagement coupling: a flexible
coupling (qv) that incorporates two
flexible elements (cf single engage-
ment coupling).
Drag: (mech) resistance to motion
caused by eg friction, aerodynamic
effects, fluid flow; reduces efficiency
of a mechanism or produces operat-
ing effects which may be unwanted
or put to use, according to the
application.
Drag torque: (mech) torque produced
by drag (qv) effects; eg residual drag
inherent in a disc clutch when it is
disengaged.
Driven load: mechanical power trans-
mission system characteristics are
determined partly by nature of
driven load, which consists of dead
and live loads (qv); for practical
industrial use many applications can
be grouped according to severity of
drive characteristics, eg uniform,
moderate shock, heavy shock loads.
Drum brake: a brake that has shoes to
which are fitted friction linings and
which are pressed on to a drum to
provide a braking torque; the drum
may be finned to help heat dissipa-
tion.
Dual flank rolling test: (mech) widely
used test for inspection of fine pitch
gears, accepted by British and US
standards authorities; eg BS978:
1968, Admiralty Working Party on
Gearing BR6001(1), AGMA309.01,
ASA B6 11-1956.
Durability rating: (gears) see tooth
surface fatigue.
Electromagnetic clutch: (mech) (l) a
clutch (qv) in which torque between
driving and driven sides is trans-
mitted by electromagnetic forces;
(2) typically a friction clutch in
which a magnetic flux is used to
actuate the operating mechanism.
End float: (of shafts) movement along
the axis of a shaft; see misalign-
ment.
Equal lay: (wire rope) wires in equal
lay strands have the same helix or
pitch so that each wire in each layer
has the same lay length; the wire
lies in a valley created by the under-
wires or along the top of an under-
wire, and is supported throughout its
length.
ERA: Electrical Research Association
(UK).
Factor of inertia: (elec) used to define
capabilities of a machine in terms
of load inertias involved (eg of
motor and load); the ratio of the
stored energy constants (qv) of
motor rotor and load divided by
that of the motor rotor alone;
typically for a cage machine.
Fail-safe brake: a brake that is nor-
mally engaged (eg the brake shoes
or pads are pressed on to the fric-
tion drum or disc) by a spring or
spring system, and is released by an
electric, pneumatic or hydraulic
actuator; variants include springs
assisted by hydraulic, etc. pressure.
Filler rope: equal lay strand construc-
tion (for wire rope) in which the
first layer of wires receives an equal
number of very small filler wires
into the valley spaces, thus creating
twice the number of valleys for the
next layer of wires.
Fine pitch gears: (mech) term for class
of gears finer than 1 module (24
diametral pitch) and up to about
0.2 module; include most precision
and instrument gearing; some horo-
logical (watch) gears are made to
about 0.075 module (350 diametral
pitch).
Flaking: (gears) see pitting.
Flat belt: (mech) original type of drive
belt used with flat or crowned
cylindrical pulleys; current types
have greatly improved characteris-
tics, particularly from use of syn-
thetic materials.
Fleet angle: (wire rope) angle sub-
tended by a line at right angles to
the centre of a rope drum, extending
through the tread of the sheave, and
a line from the side of the drum
flange to the sheave (ie the rope runs
from the drum to the sheave, as in
a crane or hoist system).
Flexible casing: (mech drive) essen-
tially a flexible tube which acts as a
bearing or guide for a flexible shaft;
also protects from environment, and
may retain lubricant.
Flexible coupling: (mech) a flexible
element between two machines
(typically a motor and driven unit)
that absorbs or minimises torsional
fluctuations and relieves stresses (eg
in bearings) imposed by inaccurate
alignment or relative movement be-
tween members; not necessarily a
resilient coupling (qv).
Flexible shaft drive: (mech) torque is
transmitted by a shaft which can
operate in a straight line or in
simple or compound curvatures;
shaft may be built up from wires,
but differs in method of construc-
tion from a wire rope.
Floated disc clutch: (mech) a self-
adjusting type of clutch which may
be operated electromagnetically, eg
SFC (qv) or slipring designs; appli-
cations include machine tool and
general indexing machine drives.
Fluid coupling: a hydrostatic unit in
which a driven impeller transfers
energy via a fluid (oil) to a turbine
(the output side); there is always
some slip, from full slip at low input
speed (eg idling) and turbine stall to,
say, 2% slip (98% efficiency) at full
working speed; however, input/out-
put torque are equal, and there is
no torque conversion by this type
of unit.
Friction clutch: (mech) a clutch (qv)
in which the torque between drive
and driven parts is taken up and
held by friction between two or
more surfaces; eg a disc or shoe
faced with friction material acting
against a metal disc or drum.
Galle chain: mechanical drive chain
introduced about 1845, with side
plates, riveted bearing pins, and
loose inner link plates.
Galling: (gears) see plastic yielding.
Gear tooth noise: caused by torque
fluctuations associated with transfer
of load between teeth in mesh; in-
creases sharply with peripheral
speed (tooth contact frequency), and
less with increase in tooth load.
Gearbox: (mech) industrial gearboxes
are normally used to provide a
reduction in ratio between input
(driven) shaft speed and output
shaft speed; reduction may be in
single or multiple stages, using
helical, spur, bevel or worm gears,
or a combination of types; attitudes
of inputjoutput shafts can be
designed to suit applications, other
variants include eg multiple output
shafts from one input shaft.
Gear coupling: a type of flexible
coupling which is torsionally rigid
but can be used in place of a resil-
ient coupling on drives with small
torque fluctuations.
Helical gears: used to connect parallel
shafts; tooth flanks form spirals
around the shaft axes; commonly
single or double helical types.
Hexagon section belt: (mech) also cal-
led double-sided belt; appears in
section as two V-belts back-to-back;
used when an additional drive is
taken off the back of the belt (eg in
agricultural drives).
Hooke's joint: (mech) a type of uni-
versal joint or coupling (qv).
Horological gears: see miniature gears.
Hydrostatic drive: device for trans-
mission of energy by means of a
pressurised fluid; a pump converts
mechanical to hydraulic energy and
transfers fluid to a motor, which
converts the hydraulic energy to
mechanical output; (cf hydrokinetic
drives, eg couplings, torque convert-
ers, which use the kinetic energy of
the fluid).
Hypoid gears: used to connect shafts
with axes at 90°, but not lying in a
common plane (ie shaft axes do not
intersect but are offset); tooth con-
tact has large sliding component
which requires heavy duty lubricant.
Infinitely-variable drive: term for a
variable speed drive (qv) in which
the input/output speed ratio can be
altered continuously (steplessly); the
range of speed variation falls within
definite limits, though the change in
ratios within these limits may be
considered as occurring in infinitely-
small steps.
Instrument gears: see miniature gears.
Internal gears: used to connect parallel
axis shafts; one wheel (often fixed)
has teeth on an internal surface;
teeth may be spur or helical; appli-
cations include cylindrical-design
epicyclic gearboxes.
Inverted tooth chain: mechanical
drive chain (Renold 1895) once
known as 'silent chain'; still used
on some engine camshaft and indus-
trial drives.
ISO: International Organization for
Standardization; (Geneva).
IWRC: independent wire rope core;
within a wire rope, a core is itself a
separate wire rope, instead of a
conventional natural or synthetic
fibre core; used in heavy/hot duties
(eg earthmoving draglines) to reduce
crushing of rope or charring of
core.
Lang's lay: (wire rope) the direction
of lay of the wires in the strand is
the same as the direction of lay of
strand in the rope.
Lap winding: (elec) form of coil con-
nection in an armature winding that
has a number of parallel circuits
equal to the number of poles; needs
an equalising connection between
points of equal potential in the wind-
ing to avoid circulating currents that
could cause losses and heating.
Lay: (wire rope) the twisting of wire
and strand (in a strand or rope);
usual types are ordinary lay and
Lang's lay, wound left or right;
layers of wire in a strand may be
arranged in equal lay or cross lay.
Lay length: (wire rope) the distance
taken by a wire or strand to com-
plete a turn (or helix) about its
longitudinal axis.
Line shafting: long shaft, often moun-
ted overhead, formerly widely used
to transmit power from a prime
mover to machinery; eg via gears,
pulleys, belts.
Linear actuator: general term for a
device that produces straight-line
motion or thrust; operating method
may be: electromagnetic (linear
induction motor, solenoid);
hydraulic (ram); pneumatic (dia-
phragm or piston); mechanical (rack
and pinion).
Live load: (mech) component of a
driven load that is related to non-
steady-state factors; eg impulsive
loads (shock or impact loads),
inertial loads (acceleration/decelera-
tion torques); see dead load.
Load losses: (gears) losses proportional
to load transmitted in a gear system,
and mainly due to tooth friction.
Low-power gears: see miniature gears.
Mechanical clutch: (mech) term for a
clutch (qv) which is actuated by a
mechanical system, eg of toggles
and levers.
Metal resilient coupling: a type of
resilient coupling (qv) in which the
'softness' is obtained by a system of
springs between the coupling hubs;
springs may be flat laminated, con-
tinuous grid, coil types.
Mica: group of minerals noted for
basal cleavage; widely used in elec-
trical engineering as an insulating
material, eg for segments and
V-rings of commutators.
Miniature gears: general term for
small gear systems used in three
main groups; (i) low-power (typi-
cally in small industrial or domestic
appliances to about 750 W, ie the
155
 'fhp' range); (ii) preclSlon, or
instrument (instrument 1 control
drives, computers); (iii) horological
(a special group used in clocks,
chronometers, etc.).
Misalignment: (mech) of a drive shaft
system may be in various modes:
(1) angular (the axes of adjoining
shafts are at an angle, ie not paral-
lel); (2) parallel (the shaft axes are
parallel, but are displaced some
distance laterally); (3) end float (the
shaft axes may be parallel and m
line, but one or both shafts can
move along the axis).
Module: (mech) reciprocal of diamet-
ral pitch (qv) of a gearwheel.
Multi-disc clutch: (mech) see disc
clutch.
NLGI: National Lubricating Grease
Institute.
No-load losses: (gears) losses in a gear
system which are not related to the
load transmitted, are constant for a
given operating speed and tempera-
ture, and are due to factors such as
churning of lubricant, oil seal
friction.
Non-rotating rope: see anti-rotating
rope (which is the technically pre-
ferred term).
Offset side-bar chain: see cranked link
chain.
Oldham coupling: (mech) early
development to allow drive to be
transmitted between two parallel
shafts that were misaligned (ie with
their axes displaced laterally); based
on a plate between two shaft-end
hubs bolted together through a pat-
tern of slots that allowed for the
lateral displacement.
Open gears: term for gears installed
without an enclosed housing; often
relatively large low-speed units; may
be exposed to weather or other
adverse conditions, and need careful
lubrication.
Ordinary lay: (wire rope) direction of
lay of the wires in the strand IS
opposite to the direction of lay of
the strand in the rope.
Overhauling load: a load which con-
tinues to drive when the power
source (eg motor) is switched off;
effect due to gravity, windage, etc.;
eg a load lowered by a crane or
hoist.
Overload wear: (gears) term to des-
cribe a form of abrasion (qv) at low
speed and high load, when the lubri-
cant film may be broken but tem-
perature is not high enough to
cause welding at gear tooth face.
Parallel misalignment: (of shafts) see
misalignment.
PERA: Production Engineering
Research Association of Great
Britain.
Pintle chain: mechanical drive chain of
one-piece cast links connected by
156
steel bearing pins; can run on same
wheels as detachable chain; pintle
chain can have various cast attach-
ment links which are used eg for
conveying duty.
Piston pneumatic actuator: (mech)
linear actuator (qv) based on move-
ment of a piston in a cylinder by
compressed air (gas); single or
double acting; strokes in range mm
to metres; applications include rock
drills, hammers, pile-drivers, rolling
mill rams.
Pitch: (mech; gears) term used in
describing dimensional characteris-
tics of gears; eg pitch circle, pitch
cone, diametral pitch, pitch line.
Pitch circle: (mech) imaginary dimen-
sion of a toothed wheel (eg spur
gear) along which tooth pitch is
measured and to which tooth pro-
portions are related; the pitch circles
of two meshing gearwheels roll in
contact.
Pitch cone: (mech) conical surface, eg
of a bevel gearwheel, corresponding
to pitch circle (qv) of a toothed
wheel.
Pitch line: (mech) of a rack, corres-
ponds with the pitch circle (qv) of
a toothed wheel of infinite diameter
(ie a straight line).
Pitting: (gears) complex form of fail-
ure related to subsurface fatigue
cracking leadmg to breakaway of
small particles; probably caused by
stresses from gear meshing, and
accentuated by any surface irregu-
larities; in severe form known as
flaking or spalling.
Plastic yielding: (gears) flow of gear
tooth material at the surface caused
by rolling and sliding stresses be-
tween teeth, especially when lubricat-
ing film breaks down; may produce
ridges, burrs, ripples on gear sur-
faces; also known as scuffing or
galling.
Plate disc brake: a brake consisting of
a rotating disc or discs of friction
material, or of a backing (eg steel)
faced with friction material,
clamped between stationary discs
or plates to provide a braking
torque.
Plug braking: braking effect provided
by an ·electric motor when reconnec-
ted to the supply in the reverse
direction.
Plug reversing: (mech) causing a driven
system to stop and reverse by plug-
ging (elec motor); transient torques
produced may be higher than motor
starting torque or theoretical plug-
ging torque because of torsional
flexibility of the drive system.
Pneumatic clutch: (mech) typically a
friction clutch operated pneumati-
cally; eg (i) rim or disc types in
which pressure is applied to the
friction shoes by an inflatable gland,
(ii) a disc clutch actuated by axial
movement from an air cylinder.
Pneumatic motor: (mech) pneumati-
cally operated units (actuators) that
can produce continuous rotary
motion; may be reversible or non-
reversible; main types are vane and
piston motors (turbines and mesh-
mg gear motors are also used).
Pneumatic piston motors: (mech) term
usually applied to continuous-rota-
tion types (cf linear actuators);
design may be axial or radial, but
axial-piston motors (qv) are more
commonly hydraulic than pneumatic
in industrial use; see radial piston
motors.
Pneumatic power drive: (mech) general
group of mechanisms operated by
pneumatic (compressed gas)
methods; includes linear, semi-
rotary, rotary actuators.
poly-V belt: (mech) basically a fiat
belt with the driving surface ribbed
(along the belt) to give a greater
traction area than that of a conven-
tional fiat belt; (poly-V is the regis-
tered trademark of Raybestos-
Manhattan Inc).
Positioner: (mech) instrument used to
control flow of air on either side of
a pneumatic piston so as to control
the position of the piston.
Precision gears: see miniature gears;
made by machines and procedures
of high quality to close tolerances;
used widely in instrument servo-
mechanism and control fields.
Preforming: (wire rope) process during
manufacture in which wires and
strands are twisted into the exact
pos1t1on they will occupy in the
finished rope; eliminates internal
stresses; rope is inert when cut (ie
strands or wires do not fly apart);
less tendency for rope to kink.
Pulley: a wheel of which the rim is
shaped to bear or guide a belt, rope,
filament or chain; fiat-belt pulleys
may be cylindrical or slightly
crowned; pulleys for ropes, vee-
belts, etc are grooved circumferen-
tially.
Rack-and-pinion: (mech gears) a gear
wheel (pinion) meshes with a rack,
which is a straight-line toothed unit
(corresponding to an internal gear
of infinite radius of curvature); used
eg to produce linear-rotary motion.
Radial brushgear: (elec) brush (qv) is
held at right angles to the moving
contact surface (eg rotating com-
mutator).
Radial-piston motor: (mech) recipro-
cating piston machine with cylinders
arranged around a common crank-
shaft to which the pistons are con-
nected; the pneumatic (compressed
air) type is widely used in industry;
internal combustion types were for-
merly used eg as aero-engines.
Reaction brushgear: (elec) brush (qv)
is angled to that the brush face leads
or points against the direction of
motion of the moving contact sur-
face (eg rotatmg commutator).
Reserve strength: (wire rope) strength
of a rope excluding the strength of
the outer cover of wires, which are
the first to be damaged or broken.
Resilient coupling: a flexible coupling
which is also torsionally resilient or
'soft' to deal with various torque
characteristics.
Rim friction clutch: (mech) an early
design of clutch in which radiused
friction surfaces are mounted on
moveable shoes or slippers and bear
against the inner and/or outer sur-
face of a cylindrical rim (compar-
able with the conventional auto-
motive drum brake).
Ring main: general term for method
of distributing a power source
around a building, plant, instal-
lation; (elec) an electrical supply net-
work with outlet points at or near
workplaces; (pneumatic) piped
supply of compressed gas (air) with
outlet points for pneumatically-
operated tools, machines.
Roller chain: mechanical drive chain
design which is currently most
widely used for industrial chain
drives; can handle power I speed
from light instrument drives to
heavy installations involving several
MW.
Rope: see wire rope.
Rotary pneumatic actuator: see
pneumatic motor.
Rubber coupling: general term for a
type of resilient coupling (qv) that
incorporates torsional elements of
natural or synthetic rubber, elasto-
mers, and other plastics materials.
Scoring: (gears) wear of gear tooth
surface caused by local interface
welding at points of boundary
lubrication and high spots where
metal-to-metal contact and resultant
high temperature occur; usually
occurs at relatively high speeds and
loads; can cause rapid deterioration.
Scuffing: (gears) see plastic yielding.
Seale rope: equal lay strand construc-
tion (for wire rope) in which large
outer wires are laid around an equal
number of smaller wires with the
large outer wires lying in the valleys
created by the under-wires.
Self-locking: (worm gears) occurs
when back-drive (wormwheel driv-
ing the worm) efficiency is equal to
or less than zero; ie when the lead
angle of the worm is equal to or less
than the angle of friction; in prac-
tice wide variations from theoretical
self-locking conditions may occur
(ie it is not always safe to assume
that a worm gear will self-lock).
Semi-rotary pneumatic actuator:
(mech) mechanism that produces
rotary motion usually less than a
full circle; eg air-operated vane(s)
that can be moved in an arc-shaped
casing, or a linear piston unit with
rack and pinion or crank mechan-
ism; used eg in pneumatic control
systems.
SFC clutch: (mech) stationary field
coil design of electromagnetically
operated (disc) clutch; coil is ener-
gised (i) through directly-connected
terminals; (ii) via sliprings (higher
speeds are obtainable with (1), smal-
ler dimensions with (ii)).
SFM clutch: (mech) stationary field
magnetic clutch (eg disc type)
actuated by a closed magnetic cir-
cuit in which an armature exerts
axial pull on a disc pack; not self-
adjusting for wear.
Shaft-mounted drive: gearboxes (up
to large sizes) may be shaft-mounted
with advantages such as savings on
couplings, foundations, installation.
Single engagement coupling: a flexible
coupling (qv) in which two hubs are
joined by a single flexible element.
Sintered gears: (mech) relatively
strong low-cost gears made (usually
in large quantities) by the sintering
process, eg from ferrite-based mix-
tures, brasses and bronzes.
Slip recovery: (elec) typically recovery
of slip energy in slipring motors by
a separate external recovery system.
to improve efficiency; also a.c. com-
mutator motors feed slip power
back into the feed system when
running below synchronous speed.
Solid coupling: a rigid joint between
eg two lengths of shaft; limited in
application because it cannot handle
misalignment (qv).
Spalling: (gears) see pitting.
Spiral gears: used to connect shafts
with non-intersecting axes; basically
helical gears that have a common
normal pitch and sliding (theoreti-
cally point) contact; load capacity
is small.
Split-train drive: for high torque
applications low-weight small-size
units can be made in the form of
multiple-contact I split-power train
drives.
Spring centrifugal clutch: (mech) a
unit in which the centrifugal actua-
tors are retarded by springs so that
the clutch does not engage until a
relatively high rotational speed is
reached (eg over 50/'o of nominal).
Springless centrifugal clutch: (mech) a
clutch in which the centrifugal
actuators can move freely, thus pro-
ducing appreciable torque at rela-
tively low rotational speeds.
Spur gears: used to connect parallel
shafts; have tooth flanks parallel to
the shaft axes.
Stepless variable drive: a variable
speed drive (qv) through which a
range of input/output speeds is
available; the ratio changes are con-
tinuous (stepless) over the whole
range.
Stiction: (mech) term commonly used
to indicate the resistance of a system
or machine to starting; breakaway
force; (static friction).
Stored energy constant: (elec) used to
define capabilities of a machine in
terms of load inertias involved (eg
of motor and load); combined
stored energy at rated speed divided
by motor rated output (kW); see
factor of inertia.
Stranding: (wire rope) twisting a num-
ber of wires together to form a
strand.
Strength rating: (gears) see tooth
bending fatigue.
Swashplate motor: a hydraulic motor
in which the pistons are reciprocated
by an inclined plate in contact with
the piston ends; the swashplate may
rotate in the motor body, or the
piston/cylinder unit may rotate
against a fixed swashplate.
Swashplate pump: a hydraulic pump
operated as for a swashplate motor
(qv).
Synchronous braking: effect produced
in an a.c. motor, which generates
when driven over synchronous speed
and therefore tends to revert to
synchronous speed; useful to con-
trol an overhauling load (qv).
TCE: (mech) total composite error; eg
for gear measurement and testing
is a direct measure of the eccen-
tricity of the bore to the pitch line
(run out) combined with the tooth
to tooth error.
Thermal rating: (gears) maximum
power that can be transmitted con-
tinuously without the temperature
of the rated gearbox rising more
than a specified amount above the
ambient temperature.
Tilted-body motor: see bent-axis
motor.
Tilted-body pump: see bent-axis
pump.
Tooth bending fatigue: (gears) a form
of failure which limits the power
capacity of gears; this limit is also
termed strength rating.
Tooth clutch: (mech) a clutch (qv) in
which torque is transmitted by the
engagement of two opposing tooth-
type crown serrations; may be
operated electromagnetically; can
transmit high torques comparable
with or relatively better than multi-
disc types, but has the advantage of
being drag-free when disengaged.
Tooth surface fatigue: (gears) a form
of (pitting) failure which limits the
power capacity of gears; this limit
is also termed wear rating or dura-
bility rating.
157
Toothed belt: (mech) a drive belt with
teeth on one side, which engage with
a toothed pulley to give a positive
drive (ie without slip, which occurs
with standard fiat or V -belts).
Torque converter: (mech) a mechan-
ism that changes the speed/torque
characteristic of a given power out-
put; term widely adopted for hydro-
kinetic power transmission systems.
Trailing brushgear: (elec) brush (qv) is
angled so that its face trails or points
towards the direction of motion of
the moving contact surface (eg
rotating commutator).
TTCE: (mech) tooth to tooth comp-
osite error; eg for gears is a measure
of tooth to tooth thickness variation,
profile deviations, tooth alignment
errors, and adjacent pitch errors;
see TCE.
Universal coupling: a coupling or joint
that can handle more than the nor-
mal amount of angular misalign-
ment (qv), of the order 5o -35°; large
parallel misalignments can be dealt
with by using two universal coupl-
ings with an intermediate shaft.
Universal gear: (mech) a type of
universal coupling (qv) consisting of
meshing toothed wheels; can cater
158
for drive between two shatts from
in-line (0°) to 90° angular misalign-
ment.
Vane motor: (mech) based on shaft
mounted vanes fitted in a casing
and rotated by air I gas (pneumatic)
or liquid (hydraulic) pressure and
flow.
Variable pitch pulley: a pulley (qv) of
which the pitch diameter can be
varied; eg by moving laterally one
or both sides (typically cone-faced
discs) of the pulley; used in various
variable speed drive systems.
Variable speed drive: a system de-
signed to provide drive speeds (eg
of a machine) that are required to
vary to meet operating conditions;
may be mechanical, hydraulic,
electromechanical or a combination
of types; range of speed variation
obtainable depends on type and
design; input speed is usually con-
stant.
V-belt: (mech) drive belt with trun-
cated V cross-section; torque is
transmitted by sides of V which
bear on the flanges of a pulley.
Warrington rope: equal lay strand con-
struction (for wire rope) in which
there is a layer of wires, alternately
large and small, with the larger
wires lying in the valleys of the
under-wires, and the smaller wires
lying on the crowns of the under·
wires.
Wear rating: (gears) see tooth surface
fatigue.
Wiper arm: (elec) contact that per-
forms function of a brush (qv);
usually in the form of a wire or flat
strip; used eg in miniature commu-
tator motors to reduce friction losses
(compared with a carbon brush).
Wire rope: for industrial use generally
built up from steel wire in the form
of three basic components - wire,
strand, main rope core; made in two
operations, stranding and closing.
Worm bending strength: (gears) bend-
ing fatigue failure at the worm root
diameter that limits the capacity of
a worm gear system.
Worm gears: used to connect shafts
with non-intersecting axes; can be
regarded as spiral gears with one of
the pair modified to envelop the
other, giving line instead of point
contact; the enveloping gear is in
the form of a gearwheel, the worm
resembles a section of a helically-
threaded screw.