Shafts and Shafts Components

Hussein Basma
Lebanese American University

Please note that this presentation is totally based on “Shigley’s

Mechanical Engineering Design Book” as the only used
reference including all the definitions, examples and details.
 Outline

Introduction about shafts

Shaft materials.
Shaft layout
Shaft design for stress
Deflection consideration
Critical Speeds for shafts
Miscellaneous Shaft Components
Limits and fits
Introduction

 Shafts are different than axels.

 Shafts are rotating members, usually of circular cross section.

 Axels are nonrotating members analyzed as static beams.

 Shafts are used to transmit power or motion.

 They are essential part in many machine designs.

What to examine about shafts?

 Material selection.

 Geometric layout.

 Stress and strength

static strength
fatigue strength.

 Deflection and rigidity

 Vibration due to natural frequency

 Shaft Materials

 Deflection is affected by stiffness not strength.

 Stiffness is related to the modulus of elasticity, thus the

material.

 Modulus of elasticity is constant for all steels, thus material

decisions will not control rigidity.

 Rigidity will be controlled only by geometric decisions.

 Shaft Layout

 The design of the shafts does not follow a certain rule.

 It depends mainly on the application.

 Certain conventions to follow in shaft design:

-Avoid long shafts to minimize deflection
-Support the loads between bearings
-Avoid using more than two bearings.
 Shaft Layout

 Torque transmission

 In many shaft applications the aim is to transmit torque from

one gear to another gear or pulley.

 The shaft must be sized to support the torsional stress and

deflection.

 To transmit this torque certain torque-transfer elements are

used such as:
Keys
splines
setscrews
pins
Tapered fits
Shrink fits
 Shaft Design for Stress
 Critical Locations

 Locate the critical locations along the shaft.

 Critical locations are on the outer surface where bending

moment is large, torque is present and stress concentrations
exist.
 Bending moment is determined by shear and bending
moment diagrams. (1 or more planes could be needed)

 A steady bending moment will produce a completely

reversed moment on rotating shaft (σ𝑚 =0)
 Axial stresses can be neglected.
 Shaft Design for Stress

 Shaft stresses

 We will deal with bending, torsion and axial stresses as

midrange and alternating components.
 Shaft Design for Stress

 For analysis it is appropriate to combine the different stresses

into alternating and midrange von Mises stresses
(again we can neglect axial stresses):

 P.S: For ductile materials the use of the stress-concentration

factors is sometimes optional.
 Shaft Design for Stress

 Now we can take the acquired von Mises stresses and use
these values in any of the known fatigue failure criteria to
evaluate the factor of safety n or, for design purposes, the
diameter d.

 Reminder of the fatigue failure criteria:

 DE-Goodman
 DE-Gerber
 DE-ASME Elliptic
 DE-Soderberg
Shaft Design for Stress
 DE-Goodman

 Plugging in the values of the von Mises stresses will yield the
following equations, one solved for n and one for d :
 DE-Gerber
 DE-ASME Elliptic
 DE-Soderberg
 Shaft Design for Stress

 For rotating shafts with constant bending and torsion, the

bending stress is completely reversed and the torsion is
steady. ( )

 We should always consider the possibility of static failure in

the first load cycle. ( check for yielding)

 The ASME Elliptic criteria takes yield into account but it is

not entirely conservative.
 Shaft Design for Stress

 For this purpose a von Mises maximum stress is calculated:

 To check for yielding, we compare the maximum stress to

the yield strength:
 Shaft Design for Stress
 Example:
At a machined shaft shoulder the small diameter d is 28 mm, the
large diameter D is 42 mm, and the fillet radius is 2.8 mm. The
bending moment is 142.4 N.m and the steady torsion moment is
124.3 N.m. The heat-treated steel shaft has an ultimate strength of
𝑆𝑢𝑡 =735 MPa and a yield strength of 𝑆𝑦 = 574 MPa. Our
reliability goal is 0.99.

(a) Determine the fatigue factor of safety of the design using each
of the fatigue failure criteria described in this section.

(b) Determine the yielding factor of safety.

 Shaft Design for Stress

At a machined shaft shoulder the small diameter d is 28

mm, the large diameter D is 42 mm, and the fillet radius
is 2.8 mm. The bending moment is 142.4 N.m and the
steady torsion moment is 124.3 N.m. The heat-treated
steel shaft has an ultimate strength of 𝑆𝑢𝑡 =735 MPa and
a yield strength of 𝑆𝑦 = 574 MPa. Our reliability goal is
0.99
 Shaft Design for Stress
 Solution:

(a) D/d = 42/28 = 1.50, r/d 2.8/28= 0.10, 𝐾𝑡 = 1.68 (Fig. A–15–9).

𝐾𝑡𝑠 = 1.42 (Fig. A–15–8), q = 0.85 (Fig. 6–20), 𝑞𝑠ℎ𝑒𝑎𝑟 = 0.92

(Fig. 6–21).
From Eq. (6–32), 𝐾𝑓 = 1 + 0.85(1.68 − 1) = 1.58
𝐾𝑓𝑠 = 1 + 0.92(1.42 − 1) = 1.39

Eq. (6–8) : 𝑆𝑒 ’ = 0.5(735) = 367.5 MPa

Eq. (6–19): 𝑘𝑎 =4.51(735)−0.265
28 −0.107
Eq. (6–20): 𝑘𝑏 =( )
7.62

𝑘𝑐 = 𝑘𝑑 = 𝑘𝑓 =1
 Shaft Design for Stress
 Solution:

Table 6–6: 𝑘𝑒 = 0.814

𝑆𝑒 =0.787(0.870)0.814(367.5) = 205MPa

For a rotating shaft, the constant bending moment will create a

completely reversed
bending stress.

𝑀𝑎 = 142.4 N. m 𝑇𝑚 = 124.3 N.m 𝑀𝑚 = 𝑇𝑎 = 0

Applying Eq. (7–7) for the DE-Goodman criteria gives:

1 1
1 16 [4 1.58× 142.4 2 ]2 [3 1.39× 124.3 2 ]2
= 3 { + }= 0.615
𝑛 𝜋(0.028) 205× 106 735× 106

n=1.62
 Similarly, plugging the values of the mean and amplitude of
the torque and bending moment in the equations of the different
failure criteria, we get:

 P.S: Note that the safety factor calculated using Soderberg

relation is the smallest one since this criteria is the most
conservative one.
(b) To calculate the yielding safety factor, we use:

32×1.58×142.4 2 16×1.39×124.3 2 1
σ′max = [ +3 ]2 = 125.4 MPa
𝜋 0.028 3 𝜋 0.028 3

574
𝑛𝑦 = = 4.85
125.4
 Shaft Design for Stress
 Estimating Stress Concentration:

 The stress concentration zones are mainly due to bearings,

gears fillets and change in shaft geometry or radius.

 The stress concentration factor 𝐾𝑡 depends on the type of

bearing or gear.

 Figs. A-15-16 and A-15-17 give values of the concentration

factors of flat-bottomed grooves

 Table 7-1 gives the typical stress-concentration factors for the

first iteration in the design of a shaft.
 Deflection Consideration
 As we mentioned earlier, we need to know the complete shaft
geometry before we can perform deflection analysis.

 Therefore we should design the dimensions at critical locations

to handle the stresses and estimate the other dimensions.

 Once the complete geometry is known, we can perform the

deflection analysis.

 Deflection should be checked at gears and bearing supports.

 Chapter 4 deals with the methods used to calculate deflection,

including singularity functions and numerical integration.
 Deflection Consideration

 For certain shafts of complex geometries we may need three

dimensional analysis and then use superposition to calculate the
overall deflection.

 Deflection analysis is straight forward, but it incorporates long

procedures and tedious steps.

 This can be simplified by using certain three dimensional

deflection analysis software.
 Deflection Consideration

 Table 7-2 includes the maximum allowable deflection for

different types of bearings and gears.
 Deflection Consideration
 After calculating the deflection and slope in the shaft, we
compare it with the allowable values provided by the different
tables.

 Sometimes, if the calculated deflection is greater than the

allowable values, changes in dimensions must be considered
and the diameter of the shaft must be changed according to this
equation:

 Where 𝑦𝑎𝑙𝑙 is the allowable deflection and 𝑛𝑑 is the design

safety factor.
 Deflection Consideration

 The preceding equation can be applied on the slope as well:

 Where (𝑠𝑙𝑜𝑝𝑒)𝑎𝑙𝑙 is the allowable slope.

 Deflection Consideration
 Shearing deflections are usually 1% of the bending deflections
and are usually ignored.

 In cases of short shafts, where 𝑙 𝑑 <10 , shearing deflections

become important.

 The angular deflection is represented by:

 For constant torque through a homogeneous material:

 Critical Speeds of Shafts
 A common problem encountered when dealing with rotating
shafts is the problem of critical speeds.

 At certain speeds, when the frequency of rotation becomes close

to the shaft’s natural frequency, the shaft becomes unstable with
increasing deflections that may lead to failure.

 For simple geometries, as a simply supported, constant-diameter

shaft, the first critical speed can be estimated using the following
equation:

where m the mass per unit length, γ is the specific weight.

 Critical Speeds of Shafts
 For an ensemble of attachments, Rayleigh’s method for lumped
masses gives:

where 𝑤𝑖 is the weight of the ith location and 𝑦𝑖 is the

deflection at the ith body
 Critical Speeds of Shafts
 At this stage, we will define something called the influence
coefficients.

 An Influence coefficient is the transverse deflection at location i

on a shaft due to a unit load at location j on the shaft.

 For a simply supported beams with a single unit load, the

influence coefficients are given by:
Critical Speeds of Shafts
 Critical Speeds of Shafts
 Assume three loads, the influence coefficients can be expressed:

 From the influence coefficients we can calculate the deflections

𝑦1 , 𝑦2 and 𝑦3 as follows:
 Critical Speeds of Shafts
 The force 𝐹𝑖 arises from weights attached or centrifugal forces
𝑚𝑖 ω2 𝑦𝑖 . The equation can be expressed as:

 Solving for the roots of this system will yield the following
relation:
 Critical Speeds of Shafts
 If we had one mass 𝑚1 , the critical speed denoted by ω11 will
1
be expressed as 2 = 𝑚1 𝛿11
ω11

1 1
 Similarly, = 𝑚2 𝛿22 and = 𝑚3 𝛿33
ω22 2 ω33 2

 Then the equation can be expressed as:

1 1 1
 ≫ + since ω1 is way smaller than ω2 and ω3
ω1 2 ω2 2 ω3 2
 Critical Speeds of Shafts
 This will simplify to:

 The preceding equation can be extended to n-body shafts:

 This equation is known as the Dunkerley’s equation.

 Critical Speeds of Shafts
 Principle of superposition:

 This principle includes calculating an equivalent load placed on

the center of the shaft. In other words, we transform each load
into an equivalent load placed at the center denoted by the
subscript c.

 This equivalent load can be found from:

 Critical Speeds of Shafts

 The critical speed ω 1 can be calculated after summing the

equivalent load of each load on the shaft:
 Critical Speeds of Shafts
 Example:
Consider a simply supported steel shaft , with 25 mm diameter
and a 775 mm span between bearings, carrying two gears weighing
175 and 275 N.

(a) Find the influence coefficients.

(b) Find 𝑤𝑦 and 𝑤𝑦 2 and the first critical speed using

Rayleigh’s equation.

(c) From the influence coefficients, find ω11 and ω22 .

(d) Using Dunkerley’s equation, estimate the first critical speed.

(e) Use superposition to estimate the first critical speed.

 Critical Speeds of Shafts
 Solution:

πd4 π(25)4
a) I = 64 = 64 = 19175 𝑚𝑚4

6E Il = 6(207000)(19175)(775)= 18.5× 1012 N.𝑚𝑚3

 Critical Speeds of Shafts

600(175)(7752 −6002 −1752 )

δ11 = = 0.00119 𝑚𝑚 𝑁
18.5×1012

275(500)(7752 −2752 −5002 )

δ22 = = 0.00204 𝑚𝑚 𝑁
18.5×1012
275(175)(7752 −2752 −1752 )
δ12 = δ21 = = 0.00129 𝑚𝑚 𝑁
18.5×1012

b) 𝑦1 = 𝑤1 δ11 + 𝑤2 δ12 = (175)(0.00119) + (275)(0.00129)= 0.56 mm

𝑦2 = 𝑤1 δ21 + 𝑤2 δ22 = (175)(0.00129) + (275)(0.00204)= 0.79 mm

 Critical Speeds of Shafts
b) 𝑤𝑦 = 175(0.56)+275(0.79) = 315.3 N.mm
𝑤𝑦 2 = 175 (0.56)2 + 275(0.79)2 = 226.5 N.𝑚𝑚2

Using Rayleigh’s equation,

9.81(315.3)×10−3
ω= = 117 rad/s
226.5×10−6
1 𝑤1 1 𝑤1 175×0.00119×10−3
c) ω11 2
= 𝑚 𝛿
1 11 , and 𝑚 1 =
𝑔
, then:
ω11 2
= 𝛿 =
𝑔 11 9.81

ω11 = 217 rad/s

1 𝑤2 1 𝑤2 275×0.00204×10−3
= 𝑚2 𝛿22 , and 𝑚2 = , then: = 𝛿 =
ω22 2 𝑔 ω22 2 𝑔 22 9.81

ω22 = 132 rad/s

 Critical Speeds of Shafts
d) Using Dunkerley’s equation:

1 1 1
= + = 7.863× 10−5
ω1 2 2172 1322

Implies, ω1 =113 rad/s

e) Using superposition:
2
b𝑐 x𝑐 (𝑙2−b𝑐𝑐 −x𝑐𝑐 2 )
δ𝑐𝑐 =
18.5×1012
387.5 387.5 7752 −387.52 −387.52
=
18.5×1012
= 0.00244 mm/N
 Critical Speeds of Shafts

175(0.00119)
𝑤1𝑐 = = 85.3 N
0.00244
275(0.00204)
𝑤2𝑐 = = 229.9 N
0.00244

𝑔 9.81
Then, ω = = = 112.9 𝑟𝑎𝑑/𝑠
δ𝑐𝑐 𝑤𝑖𝑐 0.00244(85.3+229.9)10−3
 Critical Speeds of Shafts
Method Rayleigh Dunkerly Superposition
First Critical Speed 117 rad/sec 113 rad/sec 112.9 rad / sec

Since designers seek first critical speed at

least twice the operating speed, so the
difference has no effect on our design.

The critical speed calculated by Dunkerley and

Superposition methods are always expected to
be less than Rayleigh’s method because they
neglected the effect of the other critical speeds