Shafting and Associated Parts in

Machine Elements

Presentation based on the book: Schmid, Hamrock and

Jacobson, Fundamentals of Machine Elements, Third Edition:
SI Version, 3rd Edition. CRC Press, 07/2014.

Materials may only be used for teaching purposes at the University of Luxembourg.
What is Shaft?
Engine crank shaft.
Example of shafts in gearbox.
A shaft is a mechanical element of
machines which has a circular cross-
section and transmits power.
The shafts is loaded by bending and
torsion and very often by axial loading
as well. The shaft is supported always
by bearings.
Example of shafts in supercharger.
2
Example of Shafts of Truck Transmission

3
Example of Shaft Design
Splines

gear
gear
gear
gear

gear
gear

Grooves

Journals of shaft (bearing locations)

4
Materials for Shafts

The shafts are made usually from the following materials in a

pre-shaped shaft form by forging, cold or hot rolled

Alloy steel;

Low to medium carbon steel;

Stainless steel;

Bronze;

Others.

5
 Materials for Shafts, Steel, cont.
Example of different thermochemical treatment
processes use to increase strength/ hardness of case.
Comparison between hardenability of different steels
For steel shaft materials the most important
characteristic is hardenability and clearness
of steel alloys.
The shaft generally should have a very high
strength material on case and elastic and a
tough core. The high case strength can be
achieved by hardening for instance induction
hardening. How deep the hardening process
goes into steel material depends on
hardenability of the material.
The deep of the hardened case and a
transition phase between the case and the
core determines fatigue endurance of shafts.
6
Shaft Design Aspects
Minimize stress and deflection of the shafts;
Hollow shafts sometimes can be used to save mass and to reduce
moment of inertia of the shafts but it is an expensive design.
Minimize or eliminate stress concentration features like groove,
large steps, small radii in regions where high bending stresses are
present.
Very important is to keep low shaft deflection in regions where
gears are located and normally it should be limited to about 0.125
mm. For larger deflections, gear teeth modification must be used to
compensate large deformation of shafts.

7
Example of Analysis of Gearbox
Mainshaft, Deformations

8
Shaft Design Aspects, cont.
Bearing locations should be design in such a way that shaft slopes
in their location is adequate to type of used bearing. It must be
checked and compared with the specific design of the bearing.

First natural frequency of shafts with all fixed components should

be at least 3-times larger that the highest frequency expected in
service.

9
 Shaft Deformation Limits
Recommendations
Angular deflection due to bending Radial deflection due to bending.
Max angular deflection
Type of bearing
(degree) Gear type Radial Deflection
Single-row ball bearings 0.23
Double-row self-aligning ball Spur gearing 0.01 module
2.0
bearings
Cylindrical roller bearings 0.06 Bevel and worm gear 0.005 module
Taper roller bearings 0.03
No gear, general 0.0003 L (L distance
Spherical ball bearings 0.5 engineering between bearings)
Spherical roller bearings 1.5
For tools machine 0.0002 L
Single-row tapered roller
0.03
bearings
Thrust spherical roller
2.0
bearings
Sliding bearings (b/d < 1) 0.05

Angular deflection due to torsion

Below 0.26 degrees per m length

(0.0045 rad/m)
10
Relation Between Torque Transmitted
Power
Torque and transmitted torque can be written in following form:

1000 []
[] = = 9549.3
2

60
Where:

Torque, Nm
Transmitted Power, kW
Rotation speed of shaft, rpm
Rotation speed of shaft, rad/s

11
Static Design of Shafts
Analytical Equations
Bending moment and torsion: Safety factor
Distortion energy theory:

Maximum shear stress theory:

Bending moment, torsion and axial loading; distortion energy

theory:
Where:

Torque, Nm
Maximum shear stress theory: Bending, Nm
Axial force, Nm
Shaft diameter, Nm 12
Example of Shaft Analysis
Given:
1 1 = 3 = 600
2 2 = 2 = 400
3 = = 200
3
= = 2000
= 2 = 4000
= = 300
= 2 = 600
Find:
d=?
Material of shaft ?

13
Example of Shaft Analysis, cont.
Plane XY

y
1 A 2 RxB B 3 C
O x

RyO PA RyB

6
= 1 =
5

2 2 2 3
= = = 0 = 1 =
1 + 2 5 1 + 2 5
14
 Example of Shaft Analysis, cont.
Plane XZ
z
1 2 3
O A RxB B C x

RzO RzB
PC

6 = 3 = 2
(=1) = 1 =
5

3 2
= = 3 12
1 + 2 5 = 0 = 1 + =
1 + 2 5 15
Example of Shaft Analysis, cont.
z
1 2 RxB B 3 C
O A x

RzO RzB

= =
2

16
Example of Shaft Analysis, cont.
Material
Lets select for the shaft material medium carbon steel AISI (American Iron and Steel Institute) 1050
quenched and tempered at temperature of 540 C; Sut=875 MPa, Sy=580 MPa.

A critical cross-section of the shaft

The greatest bending moment and torque is in the cross-section x=5l (point B) and it is
equal to:
2 2 2 2
(=5) = =5 + =5 = 0 + 2 = 2

=5 =
The minimum diameter of the shaft taking into account the bending moment and
torsion and using the distortion energy theory is:
1 3 1 3
32 3 32 3
= 2 + 2 = 2 2 + 2
4 4

1 3
32 2 2
3 2
= 2 2000 200 + 2000 300 = 32.24 = 32.5
580 4
17
Example of Shaft Analysis, cont.
A check of the angular deformation due to torsion:

32 rad 4
= = 0.0045, = = 0.8E5 MPa
4 m 32
Polar moment of area Modulus of rigidity for steel

32 32 2000 300 5 3
rad
= = = 6.847 10 4.5 10 ,
4 0.8 105 32.54 m

The angular deformation is below the limit value, therefore the selected shaft diameter
of 32.5 mm is sufficient.

18
 Example of Shaft Analysis, cont.
A check of the shaft deflection xy (in Plane XY) due to bending:

3 2 7 3 3 3 + 4
_max =
27 5

14 7 3 3
xy_max = = 2.469
15

4
=
64

Second moment of area

14 7 2000 2003
xy_max = = 3.4
15 2.15 32.54
Source: beam design formulas with shear and moment diagrams, American Forest & Paper Association;
64
Design Aid 6., 2007

3 (3 + 4)
The largest deflection will be at point x 0: = = 2.65
3

19
Example of Shaft Analysis, cont.
A check of the shaft deflection xz (in Plane XZ ) due to bending for x0=2.65l:

2 2.65 5 2 2.65 2
_max =
6 5

3
xz_max = 1.59

2000 2003
xz_max = 1.59 4 = 2.21
2.15 32.5 64
The deflection will be at point x0=2.65l.

= xy_max 2 + xz_max 2 = 3.42 + 2.212 = 4.1 0.0003 5 = 0.3

The shaft is not stiff enough in bending and the diameter should be increased and
the calculations of the beam deflection repeat to meet the requirements.
20
Example of Shaft Analysis, cont.
A check of the shaft deflection xz (in Plane XZ) due to bending for x0=6l:

2 5 +
_max =
3

3
xz_max = 2

2000 2003
xz_max = 2 4 = 2.78
2.15 32.5 64

= xy_max 2 + xz_max 2 = 02 + 2.782 = 2.78 0.0003 5 = 0.3

The shaft is not stiff enough in bending and the diameter should be increased and
the calculations of the beam deflection repeat to meet the requirements.
21
Design Procedure of Shafts
Develop the torque diagram.

Evaluate the suitability of the shaft from a stress standpoint:

Find the critical cross-section where the biggest bending moment

and torque are located;

For ductile material use the DET (Von Mises stress) or the MSST
(maximum shear stress theory),

For brittle material use: use the maximum-normal-stress theory

(MNST), the internal friction theory (IFT), or the modified Mohr
theory (MMT).

Determine minimum acceptable diameters and steps of the shaft

based on stress criteria;

22
Design Procedure of Shafts
Develop a free-body diagram of the shaft.

Draw a bending moment diagram in the x-y and x-z planes.

Calculate resultant bending moment for any section of the shaft.

= 2 + 2

Mxz Mxy

23
Design Procedure of Shafts, cont.
Check deformation of the shaft based on the beam theory equations, the
deflection must be valued lower than this one assumed in the project. If the
deflection is too great increase the diameter. If the increase of diameter is not
possible, you have to revise to change bearing locations (supports).
If the bearing locations are changed the previous steps need to be repeated to
find new bending moment diagrams.

Check If torsional deflection is a design constraint, increase the diameters that

result in acceptable deflection.

Compare the critical speed of the shaft to the operating conditions.

Change the shaft diameters or the supports to avoid critical speeds if
necessary. If the supports are changed the all steps should be repeated.

Select and defined keys and splines based on calculations.

24
Fluctuating Shaft Stresses

Fluctuating normal and shear stresses acting on shaft. (a) Stresses acting on
rectangular element; (b) stresses acting on oblique plane at angle .

25
Nonzero Mean Stress
Gerber:

+ =1

Goodman:

1
+ =

Soderberg:
Influence of nonzero mean stress on fatigue life for
tensile loading. 1
+ =
Where:
- fatigue stress concentration factor;
- safety factor; Yield line:
- ultimate tensile strength, MPa;
- yield strength, MPa;
- modified endurance limit, MPa; 1
- alternating stress, MPa; + =
- mean stress, MPa.
26
Fatigue Design of Shafts
Soderberg and distortion energy theory:

Soderberg and maximum shear stress theory

27
 Critical Frequency of Shafts
Single mass system:

= = =

Where:
Simple single-mass system.
- mass, kg
For multiple mass system, first resonance
gravitational acceleration, 9.81m/s2
frequency - Rayleigh equation:
spring rate, N/m

=1 , deflection m
= 2
=1 , total deflection in location of ith weight W i, m

ith weight W i placed on shaft, N

Rayleigh equation provides any upper bound
on estimation.
28
Critical Frequency of Shafts, cont.
Dunkerley equation The Dunkerley equation
underestimates (provides a lower
bound on) the first critical speed.

1 1 1 1
2 = 2 + 2 + + 2
1 2

Where:

1 - critical speed if only mass 1 exists.

2 - critical speed if only mass 2 exists.
- critical speed if only nth mass exists.

29
Example, Critical Shaft Speed
Given:
D=60 mm; l=200 mm
Material of shaft carbon steel AISI1020;
See the figure below.

1 = = 1000 2 = 2 = 2000

A B C D

l l 2l

Find:

Determine the first critical speed by using:

The Rayleigh method;
The Dunkerley method.
30
Example of Critical Frequency Calculation
of Shaft, cont.

31
Example of Critical Frequency Calculation
of Shaft, cont.
The Rayleigh method;
Total deflection of beam at the point B:

= 1 + 2
Deflection Deflection
Total deflection at point B because at point B because
at point B of force P1 of force P2

Total deflection of beam at the point C:

= 1 + 2
Deflection Deflection
Total deflection
at point C because at point C because
at point C
of force P1 of force P2

32
Example of Critical Frequency Calculation
of Shaft, cont.
Total deflection of beam at the point B:

= 1 + 2

1 2 3 2
9 1 3 2 3 4 2 42 11 2 3
1 = = 2 = =
3 4 12 48 12

3 3 11 2 3 31 3
= + =
4 12 12

33
 Example of Critical Frequency Calculation
of Shaft, cont.
Total deflection of beam at the point C:
= 1 + 2

1 4 2 2 4 2 2 2 2 11 1 3 2 4 3 4 2 3
1 = = 2 = =
6 4 12 48 3

11 3 4 2 3 43 3
= + =
12 3 12

34
Example of Critical Frequency Calculation
of Shaft, cont.
4 604
= = = 636172.514
64 64

31 3 31 1000 2003
= = = 0.1545
12 12 2.15 636172.51
43 3 43 1000 2003
= = = 0.2146
12 12 2.15 636172.51

1 + 2 9.813 0.1545 + 2 0.2146

= = = 222.2
1 2 + 2 2 2
0.1545 + 2 0.2146 2

= 222.2 = 35.36

35
Example of Critical Frequency Calculation
of Shaft, cont.
Using the Dunkerley method 9 1 3 9 1000 2003
1 = = = 0.045
12 12 2.15 636172.51
1 1 1
2 = 2 + 2
, , 4 2 3 4 2 1000 2003
2 = = = 0.160
3 3 2.15 636172.51

9.813 9.813
, = = = 466.9 , = = = 247.6
1 0.045 2 0.160

1 1 1
2 = + =
466.92 247.62

= 218.8 = 34.8Hz

36
Example of Critical Frequency Calculation
of Shaft, Finite Element Method

Including mass of shaft Including mass of shaft

37
Example of Critical Frequency Calculation
of Shaft, Finite Element Method
Deflection of the shaft loaded by to forces P1, and P2.

Including mass of shaft

38
Example of Critical Frequency Calculation
of Shaft, Finite Element Method
First mode corresponding to first natural frequencies of the shaft.

Including mass of shaft

= 34.86

39
Example of Critical Frequency Calculation
of Shaft, Finite Element Method
The deflection of the shaft loaded by to forces P1, and P2.

Excluding mass of shaft

40
Example of Critical Frequency Calculation
of Shaft, Finite Element Method
First mode corresponding to first natural frequencies of the shaft.

Excluding mass of shaft

= 35.46

41
 Exercise 1
Given: Find:
A shaft is made of steel grade: AISI 1050 Steel, oil quenched 845 C, Determine the shaft diameters
hardness = 261 HV, Sy=516 MPa, Su=845 MPa, E=2.0E5 MPa, G=8.0E4 Determine a total shaft deflection at point C
MPa. Determine a total angular deflection at point C
Transmitted power of 15 kW at 1000 rpm Determine a maximum shaft twist angle.
A distance, l=80mm
Diameters: D1=100 mm, D2=500 mm
Ft/Fr=2.74 and Ft/Fa=2.25
Safety factor, ns=2.0
The warp angle of the belt on pulley is 180, F1=500N (F1>F2)

42
Keys Design Connections,
Examples

Key

Keyseat
Keyway

43
 Keys Design =

(a) Dimensions of shaft with keyway in shaft and hub; (b) square parallel key;
(c) flat parallel key; (d) tapered key; (e) tapered key with Gib head, l; (f) round
key; (g) profile key; (h) Woodruff key; (i) pin; (j) roll pin - elastic deformation of
pin.
44
 Key Analysis
Failure Due to Shear
As
P

T
d

Key connection under load

The shear force applied to the key is given by:

The shear stress at yielding, recalling that Ssy=Sy/2:

The torque that is safe for the key:

45
 Key Analysis, Failure Due to Compressive
or Bearing Stress
Ac h
This failure mode is most commonly encountered P
with flat keys. The bearing stress for the key as
shown:
T
d

Therefore, the torque that results in acceptable

bearing stress is

46
Dimensions of Selected Plain Parallel
Stock Keys

47
 Example of Key Calculations Ac
As
h
Given: Find:
T=300 Nm Dimensions for plain parallel key,
d=32 mm which can withstand the torque. P
w
Sy=350 MPa
ns=2 T d
Let select the key based on the shaft diameter of 32 mm.

= 10 = 8 l = 22
Failure Due to Shear Failure Due to Bearing Stress

=
= 2

2
=

=

2 2

4

2

2 300 1000 4 4 300 1000

2 4 2 = = 9.74
32 350
32 22

=
250 10
= 21.43 2
48
Dimensions of Plain And Gib-head Taper
And Woodruff Stock Keys

49
Key Stress Concentrations
r

Stress concentrations for a standard profile key, where w=h=d/4

50
 Splines Connections

Example of spline connections

Spline under loading (ideal conditions)
In reality not all teeth are in contact because of
manufacturing defaults and design tolerances.
In normal production conditions, the teeth in
contact should be reduce to 40-50% or more.

51
Standard Parallel-Splines
Standard parallel-sided splines hubs,
showing (from top down) 16, 10, 6 and 4
teeth.

Theoretical shear section of splines:

= =
2 2

52
Involute Splines

Involute splines. (a) Side view of a 10 toothed spline and hub; (b)
types of fit between spline and hub.

53
Splines Calculations
The Society of Automotive Engineers (SAE) recommends a spline width of

4
3 1 4

= =
2
2

di
SAE further notes that only around one-fourth of the shear
area is stressed because of the unavoidable presence of
manufacturing tolerances and/or bending loads. Therefore,
the torque that can be withstood by a spline based on shear
is given by

= =
2 4 2 2 4

54
Retaining Ring Examples

Examples of retaining rings. (a) An ME type snap ring, used to hold a series of
cutters in place on a paper shredder shaft; (b) a general purpose MSH ring for
locating a spur gear; (c) an internal retaining ring for securing a main piston
bearing sleeve. Source: Courtesy of Rotoclip, Inc.

55
 Retaining Ring Calculations
The holding force that can be generated by shear of the ring is given by:

_ =

while the holding force that can be withstood before bearing failure of the shaft
groove is:

_ =
Where:

- ring correction factor, see next slide.
shaft diameter
retaining ring thickness = min( , )
active groove depth
shear strength of ring material
tensile strength of shaft material
safety factor
56
Retaining Rings

57
Retaining Rings

58
Cotter Pins
Illustration of common cotter pins. Cotter
pins are often plastically deformed after
insertion into a through-hole. An exception is
the humped design, where the prong is
inserted into a hole and the hump clips onto
the round shaft. The hammerlock design is
intended for use with castle nuts.

Example of castle nut

59
Supporting Slides

60
Example of Fatigue Failure of Shaft

61
Example of Fatigue Failure of Shaft,
Key Field Failure

62
Example of Fatigue Test of Shaft in
Bending only
Frequency of 5Hz

14 mm

Groove

Testing shaft

Bearing 1 Bearing 2

63
 Example of Fatigue Test of Shaft
Bending only

The figure shows results of fatigue tests R=0,

in bending only in one plane. The difference between
the shafts is a production location and all have the same design.
A large spread of the results can be observed! Why?

64