Control Optimo de Engranes

Journal of the Franklin Institute 338 (2001) 371390
Optimal control of gear shift operations

in automatic transmissions
A. Haj-Fraj*, F. Pfeier
Lehrstuhl B fur Mechanik, TU Munchen, 85747 Garching, Germany
Abstract
An optimal control approach for gear shift operations in automatic transmissions is
proposed in this paper. Starting from a veried model of a typical power train with an
automatic transmission a performance measure for evaluating the gear shift process in terms
of passengers comfort and control expenditure is developed. The gear shift operation is stated
as a multistage decision process by making use of the dynamic programming method.
Thereby, the synchronization of the gear box is formulated as a constraint at the end of the
process. A control law is derived analytically in an explicit form by minimizing the
performance measure over each process stage. Simulation results show a signicant
improvement in terms of gear shift comfort by dierent driving load cases. Furthermore,
the shift time and the frictional losses in the shift elements can be reduced by applying
the proposed control. # 2001 The Franklin Institute. Published by Elsevier Science Ltd.
All rights reserved.
Keywords: Power train dynamics; Automatic transmission; Optimal control; Gear shift operations;
Passengers comfort
1. Introduction
The increasing requirements for more comfort, less fuel consumption and higher
power performance lead more and more to the use of electronics in combination with
optimal control applications. Therefore, passenger cars have become very
complicated mechatronic systems, where many power train components have to
be controlled simultaneously. Fig. 1 shows a part of the electronic car management
with a controller area network (CAN), which is responsible for data exchange
*Corresponding author. Tel.: +49-89-289-15201; fax:+49-89-289-15213.
E-mail address: ahf@lbm.mw.tu-muenchen.de (A. Haj-Fraj).
0016-0032/01/$20.00 # 2001 The Franklin Institute. Published by Elsevier Science Ltd. All rights reserved.
PII: S 0 0 1 6 - 0 0 3 2 ( 0 0 ) 0 0 0 9 1 - 0
between the dierent electronic devices in the car. In this work, we will concentrate
on the control of the gear shift process, which is generally carried out by controlling
oil-immersed clutches and brakes. The main criteria for evaluating the shift quality
are the duration of the gear shift process and some measures for the emerging
acceleration change.
During a gear shift operation, two clutches are operating simultaneously, one
clutch engaging and the other one disengaging. The clutch pressure is determined by
the electronic control unit (ECU) and applied by the hydraulic device of the gear
box. At the same time, the engine torque is reduced by the digital motor electronics
(DME) by retarding the ignition timing or adjusting the throttle opening. The
engagement and disengagement of the shift elements lead to a system with time-
varying structure and require the development of a suitable control approach which
is able to deal with these transitions.
In [1,2] the fundamentals of powershifting in automatic transmissions are
illustrated using a simple model. An ecient method for detailed modeling of
power trains with automatic transmissions as multibody systems with time-varying
structure is presented in [3,4].
An approach based on the sliding mode control was used in [5] for developing a
clutch-to-clutch shift controller. In [6], the Ricatti equation was applied to minimize
the jerk and the dissipative losses during the gear shift process. Though the
simulation results show a reduction of the dissipative losses, no signicant
improvement could be observed in terms of the acceleration smoothness. This is
mainly due to the used performance measure, which evaluates the dierence between
the actual and the reference state trajectories of the system resulting from a non-
optimal reference feedforward control. In [7], an adaptive control approach is
presented. The control variables for the load reduction and the clutch pressure are
thereby interpolated from characteristic maps depending on the torques and speeds
Fig. 1. Electronic control of the automatic gear box in the car.
A. Haj-Fraj, F. Pfeier / Journal of the Franklin Institute 338 (2001) 371390 372
of the engine and the turbine of the hydrodynamic torque converter. This approach
was improved by the superposition of another feedback controller for the turbine
speed. The characteristic maps mentioned above are dened by a set of sampling
points. A method to optimize these maps o-line using a model-based optimization
is presented in [8].
In this paper, we propose a new model-based control approach based on the
method of dynamic programming developed by Bellman [911]. The aim of this
approach is to determine an explicit optimal control law for the shift time which
minimizes the jerk during the gear shift process in automatic transmissions.
2. Mechanical model
The numerical implementation of a simulation program can be performed very
eciently by decomposing a technical system into subsystems, showing particular
advantages in terms of a modular structure of the mechanical model. A drive train
with automatic transmission in general consists of ve main components: engine,
torque converter, gearbox, output train and vehicle. Each component of the drive
train can be considered as a rigid multibody subsystem. The rigid bodies are
connected to each other by ideal rigid joints, clutches and force elements (Fig. 2).
2.1. Engine
For investigations on gear shift comfort the high-frequency vibrations of the
engine can be neglected. Therefore, the engine can be modelled as a rotating rigid
body. The drive train excitation caused by the engine is described by its torque
M
M
M
M
a
TH
; _ j
M
; 1
which can be interpolated from a measured two-dimensional characteristic map
(Fig. 3) as a function of the throttle opening a
TH
and the engine speed _ j
M
. The
Fig. 2. Power train model.
equation of motion of the engine can be written as
J
M
j
M
1 bM
M
M
P
: 2
The factor b represents the load-reduction applied to the engine during the gear shift
process. Outside of the process b is set to zero. The torque M
P
is explained in the
next section.
2.2. Torque converter model
The hydrodynamic torque converter consists of a pump (P) which is connected to
the input shaft, a turbine (T) which is connected to the output shaft, and an impeller
(I) which is pivoted on the housing through a one-way clutch (Fig. 4).
Since only the transmission behaviour of this component is of interest, it is
described by a force law. With the denition of the velocity ratio n and torque ratio m
(Fig. 4)
n
_ j
T
_ j
P
; mn
M
T
M
P
3
and for given input and output speed _ j
P
and _ j
T
the turbine torque can be calculated
as
M
T
mnM
P
: 4
The pump torque itself can be calculated using a torque characteristic M
PC
n
measured for a constant pump speed _ j
PC
M
P
M
PC
n
_ j
P
_ j
PC

2
: 5
2.3. Gear box model
The gear box investigated here is a ve-speed gear box. For the simulation of the
gear shift process from the rst to the second gear, we use the reduced model shown
in Fig. 5. Thereby, only gearwheels and shift elements that are in the power ow
Fig. 3. Characteristic map of the engine.
during the rst (index 1) and the second gear (index 2) are considered. J
E
and J
A
represent the moment of inertia of the driving side (input) and driven side (output),
respectively.
The transmission ratio i
1
i
1E
i
1A
of the rst gear results from the gear
transmission ratios i
1E
before and i
1A
after the corresponding shift element. The
same applies to the transmission ratio i
2
i
2E
i
2A
of the second gear.
The shift element which is active during the rst gear is a one-way clutch. The
transition to the second gear is achieved by engaging a wet clutch. Once the clutch
pressure is high enough so that the wet clutch is able to transmit the whole input
drive torque, the one-way clutch releases and its relative speed becomes positive. The
clutch pressure is increased continuously until the relative speed of the wet clutch
disappears. This indicates that the clutch sticks and the second gear is fully engaged.
The equations of motion of the gear box are
J
E
0
0 J
A
" #
j
T
j
A
!
M
T

1
i
1
E
M
1

1
i
2
E
M
2
M
W
i
1
A
M
1
i
2
A
M
2
!
: 6
Fig. 4. Hydrodynamic torque converter and its characteristics.
Fig. 5. Power train model.
The determination of the torques M
1
and M
2
depends on the operating state of the
shift elements. The relative velocity of the one-way clutch can be dened as
D _ j
1
_ j
A
i
1
A

_ j
T
i
1
E
: 7
The one-way clutch allows a relative motion in one direction and blocks it up in the
other direction. By dening this free direction as positive, the two operating states
can be described as follows:
*
D_ j
1
0 one-way clutch blocks, and
*
D_ j
1
> 0 one-way clutch unblocks.
During the rst gear, we obtain D j
1
0 for the one-way clutch. Substituting Eq. (6)
in this constraint for its relative acceleration, we get
M
1

1
J
A
=i
2
1
E
i
2
1
A
J
E
J
A
i
1
E
M
T
i
1
A
J
E
M
W

J
A
i
1
E
i
2
E
i
1
A
i
2
A
J
E

M
2

50: 8
As long as M
1
> 0, the one-way clutch remains blocked. Once M
1
reaches zero, the
one-way clutch starts rotating and it cannot transmit any torque as long as D_ j
1
> 0.
This transmission behaviour is described by the complementary transmission law
D _ j
1
50; M
1
50; D_ j
1
M
1
0: 9
The transition to the second gear is carried out by engaging the second shift element,
which is a wet clutch. Depending on its relative speed
D _ j
2
_ j
A
i
2
A

_ j
T
i
2
E
: 10
Two operating phases are distinguished
*
D_ j
2
6 0 wet clutch slips, and
*
D_ j
2
0 wet clutch sticks.
The torque transmitted by the wet clutch during the sliding phase is calculated as
M
2
signD_ j
2
m
C
A
p
z r
m
p; 11
with the clutch pressure p, the dynamic friction coecient m
C
, the piston surface A
p
,
the number of friction surfaces z and the mean friction radius r
m
.
Once the control pressure is high enough for the wet clutch to transmit the whole
driving torque, the one-way clutch releases. This transition occurs when the torque
M
1
becomes zero and the relative acceleration D j
1
becomes positive.
The second gear is engaged when the wet clutch sticks. The sticking point is
characterized by the condition D_ j
2
0. During the sticking phase, the clutch torque
represents a static friction torque and is limited by the inequality
m
C
0
A
p
zr
m
p4M
2
4m
C
0
A
p
zr
m
p; 12
where m
C
0
is the static friction coecient of the clutch.
Substituting Eq. (6) in the constraint for sticking D j
2
0, we obtain
M
2

1
J
A
=i
2
2
E
i
2
2
A
J
E
J
A
i
2
E
M
T
i
2
A
J
E
M
W

: 13
One should note that, as mentioned above, the one-way clutch releases before the
wet clutch sticks. Therefore, M
1
is set to zero while evaluating Eq. (13).
2.4. Output train model
This submodel represents a simplied description of the output train from the
cardan shaft to the wheels and chassis of the vehicle. The elasticities of the shafts and
tires are modeled as a torsional force element with the spring coecient c
W
and the
damping factor d
W
(Fig. 2). The torque of the force element can be calculated as
M
W
c
W
j
A
j
R
d
W
_ j
A
_ j
R
: 14
The load torque M
L
results from the wind force, rolling force and the inclination
force
M
L
F
wind
F
incl
F
roll
r
R
i
RD
; 15
where
F
wind

1
2
rc
w
A _ j
R
r
R
i
RD

2
; 16
F
incl
mg sin a; 17
F
roll
m
s
mg cos a; 18
with the wheel radius r
R
, the transmission ratio of the rear dierential i
RD
, the air
density r, the air resistance coecient c
w
, the vehicle front surface A, the mass of the
vehicle m, the gravitation g, the road inclination a and the rolling coecient m
s
.
The equation of motion of the output train with the vehicle mass can be given as
J
W
j
R
M
W
M
L
: 19
3. Equations of motion
3.1. Nonlinear state equations
The mechanical model for the power train can be described by the ve states
_ j
M
; _ j
T
; _ j
A
; _ j
R
, and j
A
j
R
. For the comfort evaluation the jerk is necessary.
Therefore, we add the acceleration as an additional component to the state vector
which can later be used to calculate the jerk according to (34) and (35). Then the
state vector is dened as
x
x
1
x
2
x
3
x
4
x
5
x
6
0
B
B
B
B
B
B
B
B
B
@
1
C
C
C
C
C
C
C
C
C
A
_ j
M
_ j
T
_ j
A
_ j
R
j
A
j
R
a
0
B
B
B
B
B
B
B
B
B
@
1
C
C
C
C
C
C
C
C
C
A
20
with the vehicle acceleration
a
r
R
i
RD
j
R
: 21
Substituting j
R
by (19) in (21), the dierentiation with respect to the time yields
_ a
r
R
i
RD
1
J
W
d
dt
M
W
M
L
: 22
The equations of motion of the whole mechanical model (Fig. 2) can be formulated
as
_ x
1
_ x
2
_ x
3
_ x
4
_ x
5
_ x
6
0
B
B
B
B
B
B
B
B
B
@
1
C
C
C
C
C
C
C
C
C
A
1
J
M
1 bM
M
M
P
1
J
E
M
T

1
i
1
E
M
1

1
i
2
E
M
2
1
J
A
M
W
i
1
A
M
1
i
2
A
M
2
x
6
i
RD
r
R
x
3
x
4
r
R
J
W
i
RD
c
w
x
3
x
4
d
w
_ x
3
x
6
i
RD
r
R
rc
w
A
r
2
R
i
RD
2
x
4
x
6
h i
0
B
B
B
B
B
B
B
B
B
B
B
B
B
@
1
C
C
C
C
C
C
C
C
C
C
C
C
C
A
: 23
Introducing the control vector consisting of the reduction factor for the engine
torque and the clutch pressure
u
b
p
!
24
and eliminating _ x
3
in the sixth equation by the third equation in (23), we obtain the
compact form
_ x fx; u: 25
While the torques M
M
; M
P
; M
T
; M
W
and M
L
can be calculated at each instant of
time during the simulation by Eqs. (1), (4), (5), (14) and (15), the evaluation of the
torques M
1
and M
2
depends on the operating state of the shift elements
*
one-way clutch
D j
1
0 ) M
1
50 M
1
from Eq: 8
D j
1
> 0 ) M
1
0
*
wet clutch
D_ j
2
6 0 ) M
2
signD_ j
2
m
C
A
p
zr
m
p
D_ j
2
0 ) m
C
0
A
p
zr
m
p4M
2
4m
C
0
A
p
zr
m
p M
2
from Eq: 13:
The comparison between simulations performed with the presented model and
measurements carried out during a gear shift process from the rst to the second gear
shows a very good agreement (Fig. 6). In the simulation, the control strategy used in
the car, was implemented and used as reference in the following sections. Therefore,
the mechanical model of the power train can be used to develop a model-based
optimal control for the gear shift process in automatic transmissions.
To solve the dynamic programming problem of the gear shift process analytically,
the equations of motion (25) must be available in a discrete linear form. This can be
achieved in two steps: the nonlinear system equations have to be rst linearized and
then discretized.
3.2. Linear state equations
The gear shift operation is a highly transient process coupled with a change of the
gear box conguration. This results in a nonsmooth dynamical behaviour which is
described by a set of equations with time-varying structure. Because of the large
range of change in some state variables like the engine and turbine speed during the
process, the linearization must be performed with respect to a reference trajectory
x
0
t; u
0
t rather than to a constant reference operating point x
0
; u
0
.
Therefore, we consider for a given load case a
TH
a reference control u
0
t which
yields the state trajectory x
0
t according to the equations of motion (25). This
reference control is the same one used to verify the model in Section 3.1.
Fig. 6. Comparision of simulation and measurements.
The linear equations of motion with respect to the reference state vector x
0
t and
reference control u
0
t can then be obtained using the series expansion
_ xt Ax
0
t; u
0
t xt Bx
0
t; u
0
t ut et; 26
where
Ax
0
t; u
0
t
@f
@x
0
; 27
Bx
0
t; u
0
t
@f
@u
0
; 28
et _ x
0
t Ax
0
t; u
0
t x
0
t Bx
0
t; u
0
t u
0
t: 29
3.3. Time-varying discrete state equations
Considering the gear shift process as a sequence of equal time increments T, the
linear equations of motion (26) can be transformed into a discrete form
x
k1
A
k
x
k
B
k
u
k
e
k
30
with the denitions [12,13]
A
k
E AkTT
1
2
A
2
kTT
2

1
m!
A
m
kTT
m

; 31
B
k
TE
1
2
AkTT
2

1
m1!
A
m
kTT
m1

BkT; 32
e
k
x
0k1
A
k
x
0k
B
k
u
0k
: 33
For the formulation of the performance function in Section 4.2, we need the jerk _ a of
the vehicle during the gear shift process. Therefore, the discrete equations of motion
(30) must be extended such that the vehicle jerk can be calculated. This can be
achieved by adding a new component to the discrete state space vector
x
7k1
x
6k
a
k
: 34
With x
6k
and x
7k1
the sixth components of the vector x
k
and the seventh
components of the vector x
k1
. The jerk can be calculated as an output variable
y
k
_ a
k

x
6k
x
7k
T
: 35
With the extended state space vector x
k
2 R
7
the discrete description of the system
can be written as
x
k1
A
k
x
k
B
k
u
k
e
k
; 36
y
k
c
T
x
k
37
with
c
T
0 0 0 0 0
1
T

1
T
38
the dimension of the matrices A
k
; B
k
and e
k
must be extended according to Eq. (34).
4. Optimal control
4.1. Control strategy
In this paper, we will consider the gear upshifting from the rst to the second gear.
In order to develop a control strategy we split up the gear shift process into three
phases as shown in Fig. 7. These phases can be found in every gear upshifting and
downshifting process.
*
The rst phase starts with the shifting signal which indicates the beginning of the
gear change into the next gear. After a delay due to the dead time of the electric
Fig. 7. Control strategy of the gear shifting.
and hydraulic actuators of the system, the pressure of the upcoming clutch is
raised continuously. During this phase the o-going clutch, in this case the one-
way clutch, remains blocked. Although the gear shift process has already begun,
the transmission ratio corresponds to the previous gear, in this case the rst gear.
*
The second phase begins when the torque of the one-way clutch becomes zero.
The one-way clutch releases and the gear box has no xed transmission ratio
because there is no determined kinematic relationship between the gear box input
and output speed. The beginning of this phase is accompanied by a turnaround in
the turbine speed.
*
The third phase starts when the upcoming clutch sticks. This point is called the
synchronous point and is reached when the relative speed of the wet clutch
becomes zero and the actual clutch torque is less than the maximal transmittable
torque.
A reasonable optimal control can only be applied when the gear box has two
degrees of freedom, one for the input shaft and one for the output shaft, which are
kinematically independent. This state is only given for the second phase, when the
relative speeds of both shift elements are inequal zero and the gear box has no xed
transmission ratio. The rst phase must be used as a pre-control phase to put the
gear box in a controllable state. This can be achieved by applying a feedforward
control.
ut
0
pt
!
: 39
The pressure of the upcoming clutch is raised smoothly after a time delay. Since, a
part of the driving input torque can now be transmitted by the wet clutch, the torque
of the one-way clutch decreases. When its torque disappears, the one-way clutch
releases. Now an optimal control law in the form
uxt; t
bxt; t
pxt; t
!
40
can be applied to the power train in order to achieve the gear shift in a given shift
time. The control law is optimal in terms of minimizing some performance criteria,
which will be specied in the following section. It should be noted that once the
target gear is engaged, the wet clutch cannot be controlled anymore because the
clutch torque cannot be inuenced by the clutch pressure in the sticking phase (13).
Furthermore, the load reduction must be nished at the synchronous point. This
avoids the undesirable excitation of the power train by the change of the engine
torque after the new gear is engaged.
The dynamic torque (11) of the clutch, just before the synchronous point, is
generally greater than the static torque (13) just after it. An abrupt drop in the clutch
torque at the synchronous point leads to an excitation of the output train and causes
an undesired vehicle jerk during the third phase. Since no control intervention can be
applied after the synchronization of the clutch, the control law during the second
phase must be designed such that the jerk after the gear change is suppressed. This
requires a predictive control approach.
4.2. Problem formulation
It is desired to determine the control law which drives the power train system
governed by Eq. (36) from the initial state x
0
xt
0
to the end state x
K
xt
e
,
which obeys the constraint
gxt
e
D_ j
2
_ j
A
i
2
A

_ j
T
i
2
E
0 41
w
T
x
K
42
with w
T
0
1
i
2
E
i
2
A
0 0 0 0, by minimizing the performance measure
J lyxt
e
; t
e

Z
t
e
t
0
fxt; ut; t dt: 43
The cost function fxt; u
k
; t evaluates the cost of the process in the second phase,
whereas the function yxt
e
evaluates the cost resulting from the end state xt
e
.
The weighting factor l is included to permit the adjustment of the relative
importance of the terms in J.
Making use of the dynamic programming method based on the principle of
optimally formulated by Bellman [911], the second phase of the gear shift can be
considered as a multistage decision process. This is accomplished by considering the
process during the second phase as K equal time increments, T, in the interval t
0
; t
e
.
Using the discrete form of the equations of motion (36) the performance measure is
formulated as
J lyx
K

X
K1
k0
Fx
k
; u
k
; k: 44
Denition of the cost function F: The acceleration change is the most critical issue
which aects the passengers comfort during the gear shift process [2,7,8,14].
Thereby, the smoother the acceleration the more comfortable is the gear shift. We
formulate the process cost function as
Fx
k
; u
k
; k _ a
2
k1
x
k1
u
T
k
R
k
u
k
45
x
T
k1
cc
T
x
k1
u
T
k
R
k
u
k
: 46
This cost function reects the desire to keep the jerk close to zero without excessive
expenditure of the control eort.
Denition of the end cost function y: Although this term in the performance
measure depends only on the end state, it can describe a behaviour which extends
over a time interval after the synchronous point. Therefore, we can choose a criterion
which evaluates the jerk after the end of the gear shift over a period of time. For the
formulation of this criterion, we need a prediction function which estimates the jerk
at each discrete step considered after the synchronous point as a function of the end
state x
K
. This can be accomplished by making use of the discrete linear form of the
equation of motion of the system. Since no control is applied to the power train the
equations of motion yield during the third phase
x
K1
A
k
x
K
e
K
; 47
x
K2
A
K1
x
K1
e
K1
; 48
.
.
.
x
KN
A
KN1
x
KN1
e
KN1
: 49
Because of the recursive form of Eqs. (47)(49), we can formulate each state x
Ki
as a
function of x
K
by beginning with x
K1
and substituting x
Ki
by x
Ki1
. Since the
state x
K
relates to x
K1
and u
K1
through the state equation
x
K
A
K1
x
K1
B
K1
u
K1
e
K1
50
the state x
K1
can be written as a function of x
K1
; u
K1
and K 1. Continuing in
this manner, we obtain for i50
x
K1i
x
K1
; u
K1

Y
i
l1
A
Kl
!
x
K1

Y
i
l0
A
Kl
!
B
K1
u
K1
X
i
j0
Y
i
lij
A
Kl
!
e
K1ij
e
Ki
: 51
Assuming that the interval considered for the evaluation of the jerk in the third
phase has N equal increments, T, the cost function can be written as
yx
K
yx
K1
; u
K1

X
KN
iK
x
T
i
cc
T
x
i
: 52
Note that the performance measure y permits a prediction of the jerk over the next
N 1 discrete time increments, which results from applying a given control u
K1
to a
given state x
K1
at the discrete K 1th stage.
4.3. Optimal control law
Now the method of dynamic programming can be applied to determine an optimal
control law which can lead the system given by Eq. (36) from the initial state x
0
to
the end state x
K
which satises the constraint gx
K
0 by minimizing the
performance measure
J lyx
K1
; u
K1

X
K1
k0
_ a
2
k1
x
k1
u
T
k
R
k
u
k
: 53
In the dynamic programming algorithm, the rst step in the computational
procedure is to nd the optimal control for the last stage of the process [911].
This is essentially a matter of nding a law which satises the end constraint
gx
K
0. In other words, we have to nd the control vector u
K1
, which forces the
clutch to stick at the end of the last stage.
By taking into account that the engine torque reduction must be nished at the
end of the gear shift operation, the rst control variable yields
u
K1
1 b
K1
0: 54
Since the end state x
K
is related to x
K1
and u
K1
through the state equation, we
obtain by solving the end constraint gx
K
with respect to u
K1
u
K1

b
p
!
K1
0
Ie2 i
2
E
i
2
A
e3
!
K1
0
IA2 i
2
E
i
2
A
A3
!
K1
x
K1
u
K1
x
K1
; 55
where Ai and ei are, respectively, the ith row of the matrix A and the ith element of
the vector e and the denition
I
K1
i
2
E
i
2
A
B
K1
3; 2 B
K1
2; 2
1
: 56
The cost resulting from driving the system during the last stage to the required end
of the process is then
J
K1
c
T
x
K
x
K1
; u
K1
x
K1
2
u
K1
x
K1
R
K1
u
K1
x
K1
lyx
K1
; u
K1
x
K1
: 57
It should be emphasized here that J
K1
which depends only on x
K1
and K 1, is
the only possible cost to satisfy the end constraint and reach the synchronous point
at the end of the process. Because of the quadratic form of the performance measure,
we can transform Eq. (57) as follows
J
K1
x
K1
q
K1
q
T
K1
x
K1
x
T
K1
Q
K1
x
K1
58
with q
K1
as a scalar, q
K1
2 R
7
; Q
K1
2 R
77
which all depend on A
K1
; B
K1
; e
K1
and R
K1
[15].
In the next step, we consider the K 2th stage. The cost of operation over the
last two stages is given as
J
K2
J
K1
Fx
K2
; u
K2
: 59
Observe that J
K2
is the cost of a two-stage process with the initial state x
K2
.
Based on the Bellman recursion, the optimal performance during the last two
intervals is found from
min
u
K2
J
K2
J
*
K2
min
u
K2
fc
T
e
K2
A
K2
x
K2
B
K2
u
K2
2
u
T
K2
R
K2
u
K2
e
K2
A
K2
x
K2
B
K2
u
K2
T
Q
K1
e
K2
A
K2
x
K2
B
K2
u
K2
q
K1
q
T
K1
e
K2
A
K2
x
K2
B
K2
u
K2
g 60
where again we have used the dependence of x
K1
on x
K2
; u
K2
and K 2. To
minimize J
K2
with respect to u
K2
we need to consider the control vectors for which
@J
K2
@u
K2
0 61
is satised.
Since J
K2
is quadratic in u
K2
, Eq. (61) is linear in u
K2
and therefore we obtain a
unique solution
u
K2
x
K2
I
K2
B
T
K2
Q
T
K1
Q
K1
e
K2
B
T
K2
q
K1
2B
T
K2
cc
T
e
K2
I
K2
B
T
K2
Q
T
K1
Q
K1
A
K2
2B
T
K2
cc
T
A
K2
x
K2
: 62
with
I
K2
B
T
K2
Q
K1
Q
T
K1
B
K2
2B
T
K2
cc
T
B
K2
R
K2
R
T
K2
1
: 63
It can be shown that the matrix of the second partials @
2
J
K2
=@u
2
K2
0 is positive
denite [16] so that solution (62) yields the absolute, or global, minimum J
*
K2
of
J
K2
in the form
J
*
K2
x
K2
q
K2
q
T
K2
x
K2
x
T
K2
Q
K2
x
K2
: 64
It is important to state that this solution is based on the assumption that the control
values are not bounded or at least that they do not violate the boundary constraints,
if there are any. Actually the control variables are constrained by
0 4b4b
max
;
0 4p4p
max
65
because of design constraints of the actuators. Since the control expenditure is
included in the performance measure J as a penalty function, the control values can
be forced to lie in the admissible intervals by choosing a suitable matrix R
k
.
Continuing backwards in this manner, we obtain for the rst stage the optimal
control
u
0
x
0
I
0
B
T
0
Q
T
1
Q
1
e
0
B
T
0
q
1
2B
T
0
c c
T
e
0
I
0
B
T
0
Q
T
1
Q
1
A
0
2B
T
0
c c
T
A
0
x
0
66
with I
0
dened like I
K2
by substituting K 2 by 0. The resulting whole minimal
cost for driving the system optimally from the initial state x
0
to the end constraint
gx
K
0 over K stages can then be written analogously to (64) as
J
*
0
x
0
q
0
q
T
0
x
0
x
T
0
Q
0
x
0
: 67
Let us now summarize the results provided by the applied dynamic programming
algorithm. We have obtained an optimal control law for each interval kT; k 1T
in the explicit, analytical form
u
k
rx
k
; k 68
uk rx
k
; k; 69
which drives the system from the initial state x
k
to the next state x
k1
with minimal
jerk and control expenditure. It is important to note here that the optimal control
(68) consists of both a feedforward uk and a feedback rx
k
; k portion.
Now the control law, which was developed in a backward algorithm, can be
applied forward. Beginning with any given initial state x
0
, the control vector (68)
drives the power train stage by stage to the synchronous point. In the last stage the
control u
K1
forces the wet clutch to stick at the end of the operation and drives the
system to the synchronous point whatever the initial state x
0
was.
5. Results
In the following, some results achieved by applying the developed control law to
the veried nonlinear simulation model are presented.
Fig. 8a and b show the acceleration and jerk for the load case (100% throttle
opening) resulting from considering only the function F in the performance measure
(44) by setting l to zero. As expected, the jerk is kept close to zero during the
second phase. The acceleration change becomes consequently very smooth. Since the
cost function y is not considered the jerk after the synchronization remains
unimproved. This changes as soon as the function y is considered in the performance
measure (44) by using an adequate weighting factor l (Fig. 8c and d). The applied
control drives the system to the synchronous point in the given shift time by
minimizing the jerk during the second and third phases. During the rst phase, the
applied pre-control is the same as the reference. Therefore, the acceleration remain
unchanged.
The proposed approach can be applied for any load case of the car. Fig. 9 shows
further results for the 80 and 40% throttle openings. In both cases, the jerk and
acceleration smoothness are apparently improved by keeping the desired shift
time.
Moreover, the control approach is found to be robust with respect to varying the
desired shift time. In Fig. 10, some results are presented for the full-load case where
the desired shift time was reduced by 20% with respect to the reference. The plot of
the relative speed of the wet clutch (Fig. 10c) shows that the synchronization is
achieved at the desired time. The acceleration and jerk are still smooth (Fig. 10a
and b). Furthermore, the frictional losses in the wet clutch (Fig. 10d) are reduced,
which improves the life expectancy of the friction discs.
Fig. 8. Results for 100% throttle opening: (a) and (b) without the end cost function y l 0, (c) and (d)
with the end cost function y l 6 0.
Fig. 9. Results for 80% throttle opening: (a) and (b), and 40% throttle opening: (c) and (d).
6. Conclusions
In this article, an optimal control approach for gear shift operations in vehicle
automatic transmissions has been presented. First, a mechanical model is developed
for the whole power train and veried by measurements. After the discretization of
the equations of motion and making use of the dynamic programming method, the
gear shift operation is considered as a multistage process with constraints.
Furthermore, a suitable performance measure for evaluating the gear shift comfort
during the process is formulated. The analytical solution of the dynamic
programming problem leads to an explicit discrete optimal control law for the gear
shift process. The application of the derived optimal control to the veried nonlinear
model in computer simulations shows major improvements in terms of the
passengers comfort for dierent throttle openings. Moreover, the shift time and
the frictional losses during the process are reduced.
References
[1] H.-J. Fo rster, Getriebeschaltung ohne Zugkraftunterbrechung, Automob. Ind. (1962) 6076.
[2] F.J. Winchell, W.D. Route, Ratio changing the passenger car automatic transmission, Design
Practices } Passenger Car Automatic Transmissions, Part 1 SAE AE-1 (1962) 5780.
[3] A. Haj-Fraj, F. Pfeier, Dynamics of gear shift operations in automatic transmissions, Proceedings of
the First International Conference on the Integration of Dynamics, Monitoring and Control for the
21st Century, Manchester, UK, 13 September 1999, pp. 2935.
Fig. 10. Results for 100% throttle opening with a reduction of the shift time of 20% with respect to the
reference.
[4] F. Pfeier, Ch. Glocker, Multibody Dynamics with Unilateral Contacts, Wiley, New York, 1996.
[5] D. Cho, Nonlinear control methods for automotive powertrain systems, Ph.D. Thesis, Department of
Mechanical Engineering, Massachusetts Institute of Technology, 1987.
[6] A.M. Schmid, Optimale Regelung fu r Systeme mit variabler Struktur, Dissertation ETH Zu rich No.
10932, 1994.
[7] F. Ku c u kay, F. Renoth, Intelligente Steuerung von Automatikgetrieben durch den Einsatz der
Elektronik, ATZ Automob. Z. 96 (4) (1994) 228235.
[8] A. Haj-Fraj, F. Pfeier, Optimization of gear shift operations in automatic transmissions,
Proceedings of the Sixth International Workshop on Advanced Motion Control, Nagoya, Japan,
March 30April 1 2000, pp. 469473.
[9] R.-E. Bellman, Mathematical Theory of Control Processes, Academic Press, New York, 1967.
[10] R.-E. Bellman, Some Vistas of Modern Mathematics, University of Kentucky Press, Kentucky, 1968.
[11] R.-E. Bellman, Dynamic Programming, Princeton University Press, Princeton, NJ, 1957.
[12] W.S. Levine et al., The Control Handbook, CRC Press, Boca Raton, FL, 1996.
[13] K. Ogata, Discrete-Time Control Systems, Prentice-Hall International Inc., Englewood Clis, NJ,
1987.
[14] Y. Hojo et al., Toyota Five-Speed Automatic Transmission with Application of Modern Control
Theory, SAE 920610.
[15] M. Feiler, Optimale Regelung der Schaltvorga nge in Automatikgetrieben, Diploma Thesis at the
Lehrstuhl B fu r Mechanik, TU Mu nchen, 1999.
[16] S.E. Dreyfus, Dynamic Programming and the Calculus of Variations, Academic Press, New York,
1965.

Control Optimo de Engranes

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Journal of the Franklin Institute 338 (2001) 371390

Optimal control of gear shift operations

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