Contents

7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

2
Introduction
- A shaft is a rotating member, usually of circular cross section, used to
transmit power or motion.

- It provides the axis of rotation, or oscillation, of elements such as gears,

pulleys, flywheels, cranks, sprockets, and the like and controls the
geometry of their motion.

- An axle is a nonrotating member that carries no torque and is used to

support rotating wheels, pulleys, and the like. The automotive axle is not a
true axle; the term is a carry-over from the horse-and-buggy era, when the
wheels rotated on nonrotating members.

- A non-rotating axle can readily be designed and analyzed as a static

beam, and will not warrant the special attention given in this chapter to the
rotating shafts which are subject to fatigue loading.

3
Introduction
- In this chapter, details of the shaft itself will be examined, including the
following:

• Material selection

• Geometric layout

• Stress and strength

• Static strength
• Fatigue strength

• Deflection and rigidity

• Bending deflection
• Torsional deflection
• Slope at bearings and shaft-supported elements
• Shear deflection due to transverse loading of short shafts

• Vibration due to natural frequency

4
Introduction
-In deciding on an approach to shaft sizing, a stress analysis at a specific
point on a shaft can be made using only the shaft geometry in the vicinity
of that point. Thus the geometry of the entire shaft is not needed.

- In design it is usually possible to locate the critical areas, size these to

meet the strength requirements, and then size the rest of the shaft to meet
the requirements of the shaft-supported elements.

- The deflection and slope analyses cannot be made until the geometry of
the entire shaft has been defined. Thus deflection is a function of the
geometry everywhere, whereas the stress at a section of interest is a
function of local geometry.

- For this reason, shaft design allows a consideration of stress first. Then,
after tentative values for the shaft dimensions have been established, the
determination of the deflections and slopes can be made.

5
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

6
Shaft materials
- Deflection is not affected by strength, but rather by stiffness as
represented by the modulus of elasticity, which is essentially constant for all
steels. For that reason, rigidity cannot be controlled by material decisions,
but only by geometric decisions.

- Many shafts are made from low carbon, cold-drawn or hot-rolled steel,
such as ANSI 1020-1050 steels.

- A good practice is to start with an inexpensive, low or medium carbon

steel for the first time through the design calculations.

- If strength considerations turn out to dominate over deflection, then a

higher strength material should be tried, allowing the shaft sizes to be
reduced until excess deflection becomes an issue.

7
Shaft materials
-Shafts usually don’t need to be surface hardened unless they serve as the
actual journal of a bearing surface.

- Typical material choices for surface hardening include carburizing

grades of ANSI 1020, 4320, 4820, and 8620.

- Cold drawn steel is usually used for diameters under about 3 inches. The
nominal diameter of the bar can be left unmachined in areas that do not
require fitting of components.

- Hot rolled steel should be machined all over. For large shafts requiring
much material removal, the residual stresses may tend to cause warping.

- If concentricity is important, it may be necessary to rough machine, then

heat treat to remove residual stresses and increase the strength, then finish
machine to the final dimensions by the process called “cylindrical
grinding”.
8
Shaft materials
- For low production, turning is the usual primary shaping process. An
economic viewpoint may require removing the least material.

- High production may permit a volume-conservative shaping method (hot

or cold forming, casting), and minimum material in the shaft can become a
design goal.

- Cast iron may be specified if the production quantity is high, and the
gears are to be integrally cast with the shaft.

- Stainless steel may be appropriate for some environments.

9
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

10
Shaft layout
-The general layout of a shaft to accommodate shaft elements, e.g. gears,
bearings, and pulleys, must be specified early in the design process in order
to perform a free body force analysis and to obtain shear-moment
diagrams.

- The geometry of a shaft is generally that

of a stepped cylinder.

- The use of shaft shoulders is an excellent

means of axially locating the shaft
elements and to carry any thrust loads.

- The figure shows an example of a

stepped shaft supporting the gear of a
worm-gear speed reducer.

- Each shoulder in the shaft serves a

specific purpose as shown.
11
Shaft layout
(a) Choose a shaft configuration to
support and locate the two gears
and two bearings.
(b) Solution uses an integral pinion,
three shaft shoulders, key and
keyway, and sleeve. The housing
locates the bearings on their outer
rings and receives the thrust loads.

(c) Choose fanshaft configuration.

(d) Solution uses sleeve bearings, a
straight-through shaft, locating
collars, and setscrews for collars,
fan pulley, and fan itself. The fan
housing supports the sleeve
bearings.
12
Shaft layout
Axial Layout of Components

- In general, it is best to support load-carrying components between bearings,

such as in Fig. 7–2a, rather than cantilevered outboard of the bearings,
such as in Fig. 7–2c.

- Pulleys and sprockets often need to be mounted outboard for ease of

installation of the belt or chain. The length of the cantilever should be kept
short to minimize the deflection.

- Only two bearings should be used in most cases. For extremely long shafts
carrying several load-bearing components, it may be necessary to provide
more than two bearing supports.

- Shafts should be kept short to minimize bending moments and deflections.

Some axial space between components is desirable to allow for lubricant
flow and to provide access space for disassembly of components with a
puller.
13
Shaft layout
Axial Layout of Components

- Load bearing components should be placed near the bearings, to minimize

the bending moment at the locations that will likely have stress
concentrations, and to minimize the deflection at the load-carrying
components.

- The primary means of locating the components is to position them against a

shoulder of the shaft. A shoulder also provides a solid support to minimize
deflection and vibration of the component.

- When the magnitudes of the forces are reasonably low, shoulders can be
constructed with retaining rings in grooves, sleeves between components, or
clamp-on collars.

- Where axial loads are very small, it may be feasible to do without the
shoulders entirely, and rely on press fits, pins, or collars with setscrews to
maintain an axial location. See Fig. 7–2b and 7–2d
14
Shaft layout
Supporting Axial Loads

- In cases where axial loads are not negligible, e.g. for helical or bevel gears,
or tapered roller bearings, it is necessary to provide a means to transfer the
axial loads into the shaft, then through a bearing to the ground.

- Often, the same means of providing axial location, e.g., shoulders, retaining
rings, and pins, will be used to also transmit the axial load into the shaft.

- It is generally best to have only one bearing carry the axial load, to allow
greater tolerances on shaft length dimensions, and to prevent binding if the
shaft expands due to temperature changes. This is particularly important
for long shafts.

15
Shaft layout
Supporting Axial Loads

-The figure shows example of shaft

with only one bearing carrying the
axial load against a shoulder, while
the other bearing is simply press-fit
onto the shaft with no shoulder.

- Tapered roller bearings used in a

mowing machine spindle. This design
represents good practice for the
situation in which one or more
torque-transfer elements must be
mounted outboard.

16
Shaft layout
Supporting Axial Loads

-The figure shows example of shaft

with only one bearing carrying the
axial load against a shoulder, while
the other bearing is simply press-fit
onto the shaft with no shoulder.

- A bevel-gear drive in which

both pinion and gear are
straddle-mounted.

17
Shaft layout
Providing for Torque Transmission

- The shaft must be sized to support the torsional stress and torsional
deflection. The common torque-transfer elements, that used to provide a
means of transmitting the torque between the shaft and the gears, are:

• Keys
• Splines
• Setscrews
• Pins
• Press or shrink fits
• Tapered fits

- In addition to transmitting the torque, many of these devices are designed

to fail if the torque exceeds acceptable operating limits, protecting more
expensive components.

18
Shaft layout
Providing for Torque Transmission

- One of the most effective and economical means of transmitting moderate to

high levels of torque is through a key that fits in a groove in the shaft and
gear.

- Keyed components generally have a slip fit onto the shaft, so assembly and
disassembly is easy.

- Splines are generally much more expensive to manufacture than keys, and
are typically used to transfer high torques.

- One feature of a spline is that it can be made with a reasonably loose slip fit
to allow for large axial motion between the shaft and component while still
transmitting torque.

19
Shaft layout
Providing for Torque Transmission

-For cases of low torque transmission, various means of transmitting torque

are available. These include pins, setscrews in hubs, tapered fits, and press
fits.

- Press and shrink fits for securing hubs to shafts are used both for torque
transfer and for preserving axial location. The resulting stress-concentration
factor is usually quite small.

- Tapered fits between the shaft and the shaft-mounted device, such as a
wheel, are often used on the overhanging end of a shaft.

- At the early stages of the shaft layout, the important thing is to select an
appropriate means of transmitting torque. It is necessary to know where the
shaft discontinuities, such as keyways, holes, and splines, will be in order to
determine critical locations for analysis.

20
Shaft layout
Assembly and Disassembly
- Consideration should be given to the method of assembling the components
onto the shaft, and the shaft assembly into the frame.
- This generally requires the largest diameter in the center of the shaft, with
progressively smaller diameters towards the ends to allow components to be slid
on from the ends.

- The gearbox will need means

to physically position the shaft
into its bearings, and the
bearings into the frame.

This is typically accomplished

by providing access through Arrangement showing bearing inner rings
the housing to the bearing at press-fitted to shaft while outer rings float
one end of the shaft. in the housing of the gearbox.

21
Shaft layout
Assembly and Disassembly

Arrangement showing bearing inner rings press-fitted to shaft

and outer rings are preloaded by the housing of the gearbox.

22
Shaft layout
Assembly and Disassembly

- In this arrangement the inner ring of the bearing is locked to the shaft
between a nut and a shaft shoulder. The snap ring in the outer race is
used to positively locate the shaft assembly in the axial direction.
- Note the floating right-hand bearing and the grinding runout grooves in
the shaft.
23
Shaft layout
Assembly and Disassembly
- This arrangement is similar to
the previous one, in that the left-
hand bearing positions the entire
shaft assembly.

- In this case the inner ring is

secured to the shaft using a snap
ring.

- Note the use of a shield to

prevent dirt generated from
within the machine from entering
the bearing.

24
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

25
Shaft design for stress
Critical locations

- It is not necessary to evaluate the stresses in a shaft at every point; a few

potentially critical locations will suffice.

- Critical locations will usually be on the outer surface, at axial locations

where the bending moment is large, where the torque is present, and where
stress concentrations exist.

- A free body diagram of the shaft will allow the torque at any section to be
determined. The shear stress due to the torsion will be greatest on outer
surfaces.

- The bending moments on a shaft can be determined by shear and bending

moment diagrams. Since most shaft problems incorporate gears or pulleys
that introduce forces in two planes, the shear and bending moment diagrams
will generally be needed in two planes. Resultant moments are obtained by
summing moments as vectors at points of interest along the shaft.
26
Shaft design for stress
Critical locations

- The normal stress due to bending moments will be greatest on the outer
surfaces. In situations where a bearing is located at the end of the shaft,
stresses near the bearing are often not critical since the bending moment is
small.

- Axial stresses on shafts due to the axial components transmitted through

helical gears or tapered roller bearings will almost always be negligibly small
compared to the bending moment stress. Consequently, it is usually
acceptable to neglect the axial stresses induced by the gears and bearings when
bending is present in a shaft.

- If an axial load is applied to the shaft in some other way, it is not safe to
assume it is negligible without checking magnitudes.

27
Shaft design for stress
Shaft stresses

- Bending, torsion, and axial stresses may be present in both midrange and
alternating components.

- For analysis, it is simple enough to combine the different types of stresses

into alternating and midrange von Mises stresses.

- It is sometimes convenient to customize the equations specifically for shaft

applications.

- Axial loads are usually comparatively very small at critical locations where
bending and torsion dominate, so they will be left out of the following
equations.

28
Shaft design for stress
Shaft stresses

The fluctuating stresses due to bending and torsion are given by

M ac M mc
σa = K f σm = K f
I I
Ta c Tm c
τ a = K fs τ m = K fs
J J
where where Mm and Ma are the midrange and alternating bending
moments, Tm and Ta are the midrange and alternating torques, respectively.

For round solid shaft;

32M a 32M m
σa = K f σm = K f
πd3 πd3
16Ta 16Tm
τ a = K fs τ m = K fs
πd3 πd3 29
Shaft design for stress
Shaft stresses

The von Mises stresses from distortion energy failure theory become

2 12
⎡⎛ 32 K f M a ⎞ ⎛ 16 K fsTa ⎞ ⎤
2

σ a′ = (σ + 3τ
2
)
2 12
= ⎢⎜ ⎟ +⎜ ⎟ ⎥
⎢⎣⎝ π d ⎠ ⎝ π d ⎠ ⎥⎦
a a 3 3

2 12
⎡⎛ 32 K f M m ⎞ ⎛ 16 K fsTm ⎞
2
⎤
σ m′ = (σ + 3τ
2
)
2 12
= ⎢⎜ ⎟ +⎜ ⎟ ⎥
m m
⎢⎣⎝ π d 3
⎠ ⎝ π d 3
⎠ ⎥⎦

Note that the stress concentration factors are sometimes considered optional
for the midrange components with ductile materials, because of the capacity
of the ductile material to yield locally at the discontinuity.

30
Shaft design for stress
Shaft stresses

If modified Goodman diagram is selected to use as the failure curve, from

1 σ a′ σ m′
= +
n Se Sut
hence

1 16 ⎧ 1 ⎡4 ( K M ) + 3 ( K T ) ⎤
2 2 12 1 ⎡ 4 ( K M ) + 3 ( K T ) ⎤ ⎫⎬
2 2 12
= 3 ⎨ ⎢⎣ ⎥⎦ + ⎢⎣ ⎥⎦
n π d ⎩ Se
f a fs a f m fs m
Sut ⎭
and the diameter can be solved from the above equation as
13
⎛ 16n ⎧ 1 ⎡ 4 ( K M )2 + 3 ( K T ) ⎤
2 12 1 ⎡ 4 ( K M )2 + 3 ( K T ) ⎤ ⎫⎬ ⎞⎟
2 12
d = ⎜⎜ ⎨ ⎢⎣ ⎥⎦ + ⎢⎣ ⎥⎦ ⎟
⎝ π ⎩ Se
f a fs a
Sut
f m fs m
⎭⎠

31
Shaft design for stress
Shaft stresses

The equations for various failure diagrams can be concluded and expressed
as follows;

DE-Goodman

32
Shaft design for stress
Shaft stresses

DE-Gerber

33
Shaft design for stress
Shaft stresses

DE-ASME Elliptic

34
Shaft design for stress
Shaft stresses

DE-Soderberg

35
Shaft design for stress
Shaft stresses

- For a rotating shaft with constant bending and torsion, the bending stress
is completely reversed and the torsion is steady. Hence, Mm and Ta equal to
0, which simply drops out some of the terms.

- The Soderberg criteria

inherently guards against
yielding, as can be seen by
noting that its failure curve is
conservatively within the yield
(Langer) line.

- The ASME Elliptic also

takes yielding into account,
but is not entirely
conservative. 36
Shaft design for
stress
Shaft stresses

- The Gerber and modified

Goodman criteria do not guard
against yielding,
requiring a separate check for
yielding. A von Mises maximum
stress is calculated for this
purpose.

2 12
′ = ⎡(σ m + σ a ) + 3 (τ m + τ a ) ⎤
σ max
2
⎣ ⎦
2 12
⎡⎛ 32 K ( M + M ) ⎞ ⎛ 16 K (T + T ) ⎞
2
⎤
= ⎢⎜ + ⎥
f m a fs m a
⎟ ⎜ ⎟
⎢⎣⎝ π d 3
⎠ ⎝ π d 3
⎠ ⎥⎦
37
Shaft design for stress
Shaft stresses

- To check for yielding, this von Mises maximum stress is compared to the
yield strength, as usual.
Sy
ny =
σ max
′

- For a quick, conservative check, an estimate for σ′ max can be obtained

by simply adding σ′a and σ′m .

- (σ′a + σ′m ) will always be greater than or equal to σ′max, and will
therefore be conservative.

38
Shaft design for stress

D/d = 1.65/1.100 = 1.50,

r/d = 0.11/1.100 = 0.10, Kts = 1.42
Kt = 1.68

39
Shaft design for stress

r = 0.11 in, qshear = 0.92

r = 0.11 in, q = 0.85

40
Shaft design for stress

Note: Torque is steady (constant) while the bending moment is completely

reversed.

41
Shaft design for stress

42
Shaft design for stress
2 12
⎡⎛ 32 K f M a ⎞ ⎛ 16 K fsTa ⎞ ⎤
2

σ a′ = (σ + 3τ
2
)
2 12
= ⎢⎜ ⎟ +⎜ ⎟ ⎥
⎢⎣⎝ π d ⎠ ⎝ π d ⎠ ⎥⎦
a a 3 3

2 12
⎡⎛ 32 K f M m ⎞ ⎛ 16 K fsTm ⎞
2
⎤
σ m′ = (σ + 3τ
2
)
2 12
= ⎢⎜ ⎟ +⎜ ⎟ ⎥
⎢⎣⎝ π d ⎠ ⎝ πd ⎠
m m 3 3
⎥⎦

43
Shaft design for stress

44
Shaft design for stress
2 12
′ = ⎡(σ m + σ a ) + 3 (τ m + τ a ) ⎤
σ max
2
⎣ ⎦
2 12
⎡⎛ 32 K ( M + M ) ⎞ ⎛ 16 K (T + T ) ⎞
2
⎤
= ⎢⎜ + ⎥
f m a fs m a
⎟ ⎜ ⎟
⎢⎣⎝ πd 3
⎠ ⎝ πd 3
⎠ ⎥⎦

45
Shaft design for stress

46
Shaft design for stress
Estimating stress concentrations

- The stress analysis process for fatigue is highly dependent on stress

concentrations.

- Shoulders for bearing and gear support should match the catalog
recommendation for the specific bearing or gear. A typical bearing calls for
the ratio of D/d to be between 1.2 and 1.5. For a first approximation, the
worst case of 1.5 can be assumed.

- There is a significant variation in typical bearings in the ratio of fillet

radius versus bore diameter, with r/d typically ranging from around 0.02 to
0.06. This is an area where some attention to detail could make a
significant difference.

47
Shaft design for stress
Estimating stress concentrations

- Fortunately, bending moments are quite low near the bearings.

- In cases where the shoulder at the bearing is found to be critical, the

designer should plan to reduce the stress concentration there.

Techniques for reducing

stress concentration at a
shoulder supporting a bearing
with a sharp radius.

(a) Large radius undercut

into the shoulder.

48
Shaft design for stress
Estimating stress concentrations

Techniques for reducing stress

concentration at a shoulder
supporting a bearing with a
sharp radius.

(b) Large radius relief

groove into the back of the
shoulder.

49
Shaft design for stress
Estimating stress concentrations

Techniques for reducing stress

concentration at a shoulder
supporting a bearing with a
sharp radius.

(c) Large radius relief

groove into the small
diameter

50
Shaft design for stress
Estimating stress concentrations

- For the standard shoulder fillet, for estimating Kt values for the first
iteration, an r/d ratio should be selected so Kt values can be obtained.
- First Iteration Estimates for Stress Concentration Factors Kt are shown in
the table.
Warning: These factors are only estimates for use when actual dimensions are
not yet determined. Do not use these once actual dimensions are available.

51
Shaft design for stress
This example problem is part of a larger case study.
See Chap. 18 for the full context.
A double
reduction gearbox
design has
developed to the
point that the
general layout
and axial
dimensions of the
countershaft
carrying two spur
gears has been
proposed.

52
Shaft design for stress
- The gears and bearings are located and supported by shoulders, and held in
place by retaining rings. The gears transmit torque through keys.

- Gears have been specified as shown, allowing the tangential and radial forces
transmitted through the gears to the shaft to be determined as follows.

where the superscripts t and r represent tangential and radial directions,

respectively; and, the subscripts 23 and 54 represent the forces exerted
by gears 2 and 5 (not shown) on gears 3 and 4, respectively.

- Proceed with the next phase of the design, in which a suitable

material is selected, and appropriate diameters for each section of
the shaft are estimated, based on providing sufficient fatigue and
static stress capacity for infinite life of the shaft, with minimum
safety factors of 1.5. 53
Shaft design for stress

54
Shaft design for
stress

55
Shaft design for
stress

56
Shaft design for stress
Start with Point I, where the bending
moment is high, there is a stress
concentration at the shoulder, and the
torque is present.

At I, Ma = 3651 lbf-in
Tm = 3240 lbf-in
Mm = Ta = 0
Point I

57
Shaft design for stress

Note: use q =1.0 for conservative reason.

58
Shaft design for stress

59
Shaft design for stress

60
Shaft design for stress

61
Shaft design for stress
Also check this diameter at the end of the
keyway, just to the right of point I.

From moment diagram, estimate M at end

of keyway to be M = 3750 lbf-in.

From torque diagram, T = 3240 lbf-in

End of the keyway

62
Shaft design for stress

63
Shaft design for stress
- The keyway turns out to be more critical than the shoulder. We can either
increase the diameter, or use a higher strength material.
- Unless the deflection analysis shows a need for larger diameters, let us choose
to increase the strength.
- Try 1050 CD, with Sut = 100 kpsi.
- Recalculate factors affected by Sut , i.e. ka → Se; q → Kf →σ′a

Since the Goodman criterion is conservative, we will accept this as close enough
to the requested 1.5 64
Shaft design for stress
Also check this diameter at the groove at K.

From moment diagram, M at the groove is M

= 2398 lbf-in.

From torque diagram, T = 0.

Groove K

65
Shaft design for stress

This is low.

The data for a specific retaining ring

to obtain Kf more accurately is
needed.
With a quick on-line search of a
retaining ring specification using the
website www.globalspec.com.
Appropriate groove specifications for a retaining ring for a shaft diameter of
1.625 in are obtained as follows: width, a = 0.068 in; depth, t = 0.048 in; and
corner radius at bottom of groove, r = 0.01 in.
66
Shaft design for stress
with r/t = 0.01/0.048 = 0.208, and a/t
= 0.068/0.048 = 1.42

nf > 1.5 → OK

67
Shaft design for stress
Quickly check if point M might be
critical. Only bending is present, and M
the moment is small, but the diameter is
small and the stress concentration is high
for a sharp fillet required for a bearing.
From the moment diagram,
Ma = 959 lbf · in, Mm = Tm = Ta = 0.

Point M

68
Shaft design for stress

69
Shaft design for stress

70
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

71
Deflection considerations
- Deflection analysis at even a single point of interest requires complete geometry
information for the entire shaft.
- Deflection of the shaft, both linear and angular, should be checked at gears and
bearings.
- Allowable deflections will depend on many factors, and bearing and gear catalogs
should be used for guidance on allowable misalignment for specific bearings and gears.

- As a rough guideline, typical

ranges for maximum slopes and
transverse deflections of the shaft
centerline are given in the table.

- The allowable transverse

deflections for spur gears are
dependent on the size of the teeth,
as represented by the diametral
pitch P number of teeth/pitch
diameter.

72
Deflection considerations
- For shafts, where the deflections may be sought at a number of different points,
integration using either singularity functions or numerical integration is practical.

- In a stepped shaft, the cross sectional properties change along the shaft at each
step, increasing the complexity of integration, since both M and I vary.

- Fortunately, only the gross geometric dimensions need to be included, as the local
factors such as fillets, grooves, and keyways do not have much impact on deflection.

- Many shafts will include forces in multiple planes, requiring either a three
dimensional analysis, or the use of superposition to obtain deflections in two planes
which can then be summed as vectors.

A deflection is lengthy and tedious to carry out manually. Consequently, practically

all shaft deflection analysis will be evaluated with the assistance of software. This is
practical if the designer is already familiar with using the software and with how to
properly model the shaft.

73
Deflection considerations

- Special-purpose software solutions for 3-D shaft analysis are available,

but somewhat expensive if only used occasionally.

- Software requiring very little training is readily available for planar

beam analysis, and can be downloaded from the internet.

- Example 7–3 demonstrates how to incorporate such a program for a

shaft with forces in multiple planes.

74
Deflection considerations

- In Example 7–2 a
preliminary shaft
geometry was obtained on
the basis of design for
stress. The resulting shaft
is shown in the figure, with
proposed diameters of
D1 = D7 = 1 in
D2 = D6 = 1.4 in
D3 = D5 = 1.625 in
D4 = 2.0 in

Check that the deflections and slopes at the gears and bearings are
acceptable. If necessary, propose changes in the geometry to resolve any
problems.
75
Deflection
considerations

-A simple planar beam analysis

program will be used.

- By modeling the shaft twice, with

loads in two orthogonal planes, and
combining the results, the shaft
deflections can readily be obtained.

- For both planes, the material is

selected (steel with E = 30 Mpsi),
the shaft lengths and diameters are
entered, and the bearing locations
are specified.
76
Deflection
considerations

- Local details like grooves and

keyways are ignored, as they will have
insignificant effect on the deflections.

- Then the tangential gear forces are

entered in the horizontal xz plane
model, and the radial gear forces are
entered in the vertical xy plane model.

- The software can calculate the

bearing reaction forces, and
numerically integrate to generate plots
for shear, moment, slope, and
deflection, as shown in the figure
77
Deflection considerations
- The deflections and slopes at points of interest are obtained from the plots,
and combined with orthogonal vector addition, that is,

δ = δ xz2 + δ xy2 θ = θ xz2 + θ xy2

- Results are shown in the table.

78
Deflection considerations
- According to the guidelines in Table 7–2, all of the bearing slopes are well
below typical limits for ball bearings.

- The right bearing slope is within the typical range for cylindrical bearings.
Since the load on the right bearing is relatively high, a cylindrical bearing
might be used.

- This constraint should be

checked against the specific
bearing specifications once the
bearing is selected.

- The gear slopes and

deflections more than satisfy
the limits recommended
in the table.

79
Deflection considerations
- Once deflections at various points have been determined, if any value is
larger than the allowable deflection at that point, a new diameter can be
found from
14
nd yold
d new = d old
yall

where yall is the allowable deflection at that station and nd is the design
factor. Similarly, if any slope is larger than the allowable slope θall, a new
diameter can be found from

nd ( dy dx )old
14

d new = d old
( slope )all
where (slope)all is the allowable slope. As a result of these calculations,
determine the largest dnew/dold ratio, then multiply all diameters by this ratio.

80
Deflection considerations

- The tight constraint will be just tight, and all others will be loose.

- Don’t be too concerned about end journal sizes, as their influence is

usually negligible.

- The beauty of the method is that the deflections need to be completed

just once and constraints can be rendered loose but for one, with
diameters all identified without reworking every deflection.

81
Deflection considerations

82
Deflection considerations
- The transverse shear V at a section of a beam in flexure imposes a
shearing deflection.

- Usually such shearing deflection is less than 1 percent of the transverse

bending deflection, and it is seldom evaluated.

- However, when the shaft length-to-diameter ratio is less than 10, the
shear component of transverse deflection merits attention.

- There are many short shafts. For a stepped shaft with individual
cylinder length li and torque Ti , the angular deflection can be estimated
from

Ti li
θ = ∑ θi = ∑
Gi J i

83
Deflection considerations
-For a constant torque throughout homogeneous material, from

T li
θ= ∑
G Ji
-This should be treated only as an estimate, since experimental evidence
shows that the actual θ is larger than given by the above equations.

- If torsional stiffness is defined as ki = Ti /θi and, since θi = Ti/ki and

θ = ∑ θi =∑ (Ti ki ) , for constant torque θ = T ∑ (1 ki ) , it follows that
the torsional stiffness of the shaft k in terms of segment stiffnesses is

1 1
=∑
k ki

84
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

85
Critical speeds for shafts
- Another potential problem, however, is called critical speeds: at certain
speeds the shaft is unstable, with deflections increasing without upper
bound.
- Designers seek first critical speeds at least twice the operating speed.
- The shaft, because of its own mass, has a critical speed. When geometry
is simple, as in a shaft of uniform diameter, simply supported, it can be
expressed as

⎛π ⎞ EI ⎛ π ⎞
2 2
gEI
ω1 = ⎜ ⎟ =⎜ ⎟
⎝l ⎠ m ⎝l ⎠ Aγ
where m is the mass per unit length, A the cross-sectional area, and γ the
specific weight.

- Two different methods of calculating critical speed will be introduced,

i.e., Rayleigh’s method and Dunkerley’s equation.

86
Critical speeds for shafts
Rayleigh’s method
- For an ensemble of attachments, Rayleigh’s method for lumped masses
gives
g ∑ wi yi
ω1 =
∑ ii
w y 2

where wi is the weight of the ith

location and yi is the deflection at the
ith body location.

- It is possible to partition the shaft

into segments and placing its weight
force at the segment centroid as seen
in the figure.

87
Critical speeds for shafts
Rayleigh’s method
- We can use influence coefficients. An
influence coefficient is the transverse
deflection at location i due to a unit
load at location j on the shaft (δij).

From the tables in the appendix

Hence δ ij = =
Fj 6 EIl
( l − b j − xi2 )
yi b j xi 2 2

Form Maxwell’s reciprocity theorem, δ ij = δ ji

88
Critical speeds for shafts
Rayleigh’s method
y1 = F1δ11 + F2δ12 + F3δ13
- If there are three loadings, from the
influence coefficients above, the y2 = F1δ 21 + F2δ 22 + F3δ 23
deflections y1, y2, and y3 become:
y3 = F1δ 31 + F2δ 32 + F3δ 33

- For the shaft design Fi will be the y1 = w1δ11 + w2δ12 + w3δ13

weight of each component , e.g., the gears y2 = w1δ 21 + w2δ 22 + w3δ 23
attached on the shaft. Therefore,
y3 = w1δ 31 + w2δ 32 + w3δ 33

- Again, the first critical speed will be calculated from Rayleigh’s method or

g ∑ wi yi
ω1 =
∑ ii
w y 2

89
Critical speeds for shafts
Dunkerley’s equation.
If ω11 is the critical speed in the case that only m1 acting alone, we will have
1 w1
= m1δ11 = δ11
ω11
2
g

- The first critical speed can be estimated from Dunkerley’s equation

and expressed as
n
1 1 1 1 1
ω 2
ω 2
+
ω 2
+… +
ωnn2
∑ω
i =1
2
1 11 22 ii

90
Critical speeds for shafts

91
Critical speeds for shafts
There are two loads from the weight of
gears, from

( l − b j − xi2 )
yi b j xi 2 2
δ ij = =
Fj 6 EIl

92
Critical speeds for shafts

From Rayleigh’s method

g ∑ wi yi
ω1 =
∑ ii
w y 2

93
Critical speeds for shafts
From Dunkerley’s equation
1 w1
= m1δ11 = δ11
ω11
2
g

n
1 1
ω2 ∑ω
i =1
2
1 ii

94
Critical speeds for shafts
By considering the shaft alone, for a shaft of uniform diameter, simply
supported,

⎛π ⎞ EI ⎛ π ⎞
2 2
gEI
ω1 = ⎜ ⎟ =⎜ ⎟
⎝l ⎠ m ⎝l ⎠ Aγ

This value should be added in the critical speed approximated by

Dunkerleys’ equation

95
Critical speeds for shafts
We can simply add 1/ω2s to the right side of Dunkerley’s equation,
to include the shaft’s contribution,

96
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

97
Miscellaneous shaft
components
Setscrews

- The resistance to axial motion of the collar

or hub relative to the shaft is called holding
power.

- The values listed in the table apply to both

axial holding power, for resisting thrust, and
the tangential holding power, for resisting
torsion.

Typical factors of safety

are 1.5 to 2.0 for static
loads and 4 to 8 for
various dynamic loads.

98
Miscellaneous shaft components
Setscrews

- The figure shows the point types available with socket setscrews.

- Setscrews should have a length of about half of the shaft diameter. Note
that this practice also provides a rough rule for the radial thickness of a hub
or collar.

99
Miscellaneous
shaft components
Keys and pins
- Keys and pins are used on shafts
to secure rotating elements, such as
gears, pulleys, or other wheels.
- Keys are used to enable the
transmission of torque from the
shaft to the shaft-supported
element. Pins are used for axial (a) Square key; (b) round key; (c and d)
positioning and for the transfer of round pins; (e) taper pin; (f ) split
torque or thrust or both. tubular spring pin. The pins in parts (e)
- The figure shows a variety of keys and (f ) are shown longer than necessary,
and pins. Pins are useful when the to illustrate the chamfer on the ends, but
principal loading is shear and their lengths should be kept smaller than
when both torsion and thrust are the hub diameters to prevent injuries due
present. to projections on rotating parts.
100
Miscellaneous shaft components
Keys and pins

- Taper pins are sized according to the diameter at the large end. Some of
the most useful sizes of these are listed in the table. The diameter at the
small end is
d = D − 0.0208L
where d diameter at small end, in
D diameter at large end, in
L length, in

Dimensions at
Large End of Some
Standard Taper
Pins — Inch Series

101
Miscellaneous shaft components
Keys and pins

-Inch Dimensions for

Some Standard Square
and Rectangular-Key
Applications are shown
in the table.

- The shaft diameter

determines standard
sizes for width, height,
and key depth.

- Failure of the key can

be by direct shear, or
by bearing stress.

102
Miscellaneous shaft components
Keys and pins

- The maximum length of a key is limited by the hub length of the attached
element, and should generally not exceed about 1.5 times the shaft diameter to
avoid excessive twisting with the angular deflection of the shaft.
- Multiple keys may be used as necessary to carry greater loads, typically
oriented at 90o from one another.
- Excessive safety factors should be avoided in key design, since it is desirable
in an overload situation for the key to fail, rather than more costly
components.
- Key material is typically made from low carbon cold-rolled steel, and is
manufactured such that its dimensions never exceed the nominal dimension.
This allows standard cutter sizes to be used for the key seats.
- A setscrew is sometimes used along with a key to hold the hub axially, and to
minimize rotational backlash when the shaft rotates in both directions.

103
Miscellaneous shaft components
Keys and pins

-The gib-head key, in the

figure, is tapered so that,
when firmly driven, it acts
to prevent relative axial
motion.

- This also gives the

advantage that the hub
position can be adjusted for
the best axial location. The
head makes removal
possible without access to
the other end.

104
Miscellaneous shaft components
Keys and pins

-The Woodruff key, shown in

the figure, is of general
usefulness, since the keyslot
need not be machined into the
shoulder stress-concentration
region.

- The use of the Woodruff key

- Woodruff keys are particularly useful in
also yields better concentricity
smaller shafts where their deeper
after assembly of the wheel and
penetration helps prevent key rolling.
shaft. This is especially
important at high speeds, as,
for example, with a turbine
wheel and shaft.

105
Miscellaneous
shaft components
Keys and pins

- Dimensions for some standard

Woodruff key sizes can be found
in the table.

106
Miscellaneous
shaft components
Keys and pins

- The table gives the shaft

diameters for which the
different keyseat of Woodruff
key widths are suitable.

107
Miscellaneous shaft components
Keys and pins

-Pilkey gives values for stress concentrations in an end-milled keyseat, as a

function of the ratio r/d where r is a radius at the bottom of the groove and
d is the shaft diameter.

- For fillets cut by standard milling-machine cutters, with a ratio of r/d = 0.02,
Peterson’s charts give Kt = 2.14 for bending and Kts = 2.62 for torsion
without the key in place, or Kts = 3.0 for torsion with the key in place.

- Keeping the end of a keyseat at least a distance of d/10 from the start of the
shoulder fillet will prevent the two stress concentrations from combining
with each other.

108
Miscellaneous shaft components
Retaining rings

- A retaining ring is frequently used instead of a shaft shoulder or a sleeve to

axially position a component on a shaft or in a housing bore.

- A groove is cut in the shaft or bore to receive the spring retainer.

109
Miscellaneous shaft components
Retaining rings

- Appendix Tables A–15–16 and

A–15–17 give values for stress
concentration factors for flat-
bottomed grooves in shafts,
suitable for retaining rings.

- For the rings to seat nicely in the

bottom of the groove, the radius in
the bottom of the groove must be
reasonably sharp, typically about
1/10 of the groove width.

- This causes comparatively high

values for stress concentration
factors, around 5 for bending and
axial, and 3 for torsion.
110
Miscellaneous shaft components
Keys and pins

111
Miscellaneous shaft
components
Keys and pins

112
Miscellaneous shaft
components
Keys and pins

113
Contents
7–1 Introduction
7–2 Shaft Materials
7–3 Shaft Layout
7–4 Shaft Design for Stress
7–5 Deflection Considerations
7–6 Critical Speeds for Shafts
7–7 Miscellaneous Shaft Components
7–8 Limits and Fits

114
Limits and fits
- The designer is free to adopt any geometry of fit for shafts and holes that
will ensure the intended function.

- There are two standards for limits and fits in the United States, one based
on inch units and the other based on metric units. These differ in
nomenclature, definitions, and organization.

- The metric version is the newer of the two and is well organized, and so
here we present only the metric version but include a set of inch conversions
to enable the same system to be used with either system of units.

- In using the standard, capital letters always refer to the hole; lowercase
letters are used for the shaft.

115
Limits and fits
• Basic size is the size to
which limits or deviations
are assigned and is the
same for both members of
the fit.
• Deviation is the
algebraic difference
between a size and the
corresponding basic size.
• Upper deviation is the
algebraic difference
between the maximum
limit and the
corresponding basic size.
• Lower deviation is the
algebraic difference
between the minimum
limit and the
corresponding basic size. 116
Limits and fits
• Fundamental deviation is either the
upper or the lower deviation,
depending on which is closer to the
basic size.
• Tolerance is the difference between
the maximum and minimum size
limits of a part.
• International tolerance grade
numbers (IT) designate groups of
tolerances such that the tolerances
for a particular IT number have the
same relative level of accuracy but
vary depending on the basic size.
• Hole basis represents a system of
fits corresponding to a basic hole
size. The fundamental deviation is H.
• Shaft basis represents a system of
fits corresponding to a basic shaft
size. The fundamental deviation is h. 117
Limits and fits
-The magnitude of the tolerance zone is the variation in part size and is the
same for both the internal and the external dimensions. The tolerance zones
are specified in international tolerance grade numbers, called IT numbers.

- The smaller grade numbers specify a smaller tolerance zone. These range
from IT0 to IT16, but only grades IT6 to IT11 are needed for the preferred
fits.

- These are listed in Tables A–11 to A–13 for basic sizes up to 16 in or 400
mm. The standard uses tolerance position letters, with capital letters for
internal dimensions (holes) and lowercase letters for external dimensions
(shafts).

118
Limits and fits
-The magnitude of the tolerance zone is the variation in part size and is the
same for both the internal and the external dimensions. The tolerance zones
are specified in international tolerance grade numbers, called IT numbers.

- The smaller grade numbers specify a smaller tolerance zone. These range
from IT0 to IT16, but only grades IT6 to IT11 are needed for the preferred
fits.

- IT grades are
listed in the tables
for basic sizes up
to 16 in or 400 mm.

119
Limits and fits
- The table shows how
the letters are combined
with the tolerance grades
to establish a preferred
fit.
- The ISO symbol for the
hole for a sliding fit with
a basic size of 32 mm is
32H7. Inch units are not
a part of the standard.
- The capital letter H
establishes the
fundamental deviation
and the number 7
defines a tolerance grade
of IT7.

120
Limits and fits
- For the sliding fit, the corresponding shaft dimensions are defined by the
symbol 32g6.

- The fundamental deviations for shafts are given in Tables A–11 and A–13.

For letter codes c, d, f, g, and h,

Upper deviation = fundamental deviation
Lower deviation = upper deviation − tolerance grade

For letter codes k, n, p, s, and u, the deviations for shafts are

Lower deviation = fundamental deviation
Upper deviation = lower deviation + tolerance grade

121
Limits and fits
- Fundamental
Deviations for Shafts
— Metric Series

- (Size Ranges Are

for Over the Lower
Limit and Including
the Upper Limit. All
Values Are in
Millimeters)

122
Limits and fits
- The lower deviation H (for holes) is zero. For these, the upper deviation
equals the tolerance grade.

- As shown in the figure, we use the following notation:

D = basic size of hole

d = basic size of shaft
δu = upper deviation
δl = lower deviation
δF = fundamental deviation
∆D = tolerance grade for hole
∆d = tolerance grade for shaft

123
Limits and fits
- The above quantities are all deterministic. Thus, for the hole,

Dmax = D + ∆D Dmin = D

- For shafts with clearance fits c, d, f, g, and h,

d max = d + δ F d min = d + δ F − ∆d

-For shafts with interference fits k, n, p, s, and u,

d max = d + δ F d min = d + δ F + ∆d

124
Limits and fits

From the table, for loose running fit

From the table, for IT11 and basic size (diameter = 34 mm)

Hence, ∆D = ∆d = 0.160 mm
The hole dimension becomes Dmax = D + ∆D = 34 + 0.160 = 34.160 mm
Dmin = D = 34.000 mm

- For shafts with clearance fits c, d, f, g, and h,

d max = d + δ F d min = d + δ F + ∆d
125
Limits and fits

From the table, for the shaft tolerance c11

The fundamental deviation is δ F = −0.120

Hence, the shaft dimension becomes (using relations for clearance fit)

d max = d + δ F = 34 + ( −0.120 ) = 33.880 mm

d min = d + δ F − ∆d = 34 + ( −0.120 ) − 0.160 = 33.720 mm

126
Limits and fits
Stress and torque capacity in interference fit

- Interference fits between a shaft and its components can sometimes be

used effectively to minimize the need for shoulders and keyways.

- The stresses due to an interference fit can be obtained by treating the shaft
as a cylinder with a uniform external pressure, and the hub as a hollow
cylinder with a uniform internal pressure.

- Stress equations for these situations were developed in Sec. 3–16, and will
be converted here from radius terms into diameter terms to match the
terminology of this section.

127
Limits and fits
Stress and torque capacity
in interference fit

-The pressure p generated at the

interface of the interference fit,
from Eq. (3–56) converted into
terms of diameters, is given by where d is the nominal
δ shaft diameter, di is the
p= inside diameter (if any)
d ⎛ d o2 + d 2 ⎞ d ⎛ d 2 + di2 ⎞ of the shaft, do is the
⎜ 2 +ν o ⎟ + ⎜ 2 −ν i ⎟
Eo ⎝ d o − d 2
⎠ Ei ⎝ d − di
2
⎠ outside diameter of the
hub, E is Young’s
- If the two materials are of the same members modulus, and v is
Poisson’s ratio, with

Eδ ( o )( i )
subscripts o and i for the
⎡ d 2
− d 2
d 2
− d 2
⎤ outer member (hub) and
p= 3⎢ ⎥ inner member (shaft),
2d ⎢ d o − di
2 2
⎥⎦
⎣ respectively. 128
Limits and fits
Stress and torque capacity in interference fit

- δ is the diametral interference between the shaft and hub, that is, the
difference between the shaft outside diameter and the hub inside diameter.

δ = dshaft − d hub
- Since there will be tolerances on both diameters, the maximum and
minimum pressures can be found by applying the maximum and
minimum interferences.

δ min = d min − Dmax

δ max = d max − Dmin
- The maximum interference
should be used to determine the
maximum pressure to check for
excessive stress.
129
Limits and fits
Stress and torque capacity in interference fit
d 2 + di2
- The tangential stresses at the interface of the shaft σ t ,shaft = −p 2
and hub are
d − di2
d o2 + d 2
σ t ,hub =p 2
do − d 2
σ t ,shaft = − p
- The radial stresses at the interface are simply
σ t ,hub = − p

- The tangential and radial stresses are orthogonal, and should be

combined using a failure theory to compare with the yield strength.

- If either the shaft or hub yields during assembly, the full pressure will
not be achieved, diminishing the torque that can be transmitted.

130
Limits and fits
Stress and torque capacity in interference fit
- A stress element on the surface of a rotating shaft will experience a
completely reversed bending stress in the longitudinal direction, as well as
the steady compressive stresses in the tangential and radial directions.

- This is a three-dimensional stress element. Shear stress due to torsion in

shaft may also be present.

- Since the stresses due to the press fit are compressive, the fatigue situation
is usually actually improved. It may be acceptable to simplify the shaft
analysis by ignoring the steady compressive stresses due to the press fit.

- There is a stress concentration effect in the shaft bending stress near the
ends of the hub. The design of the hub geometry, and therefore its uniformity
and rigidity, can have a significant effect on the specific value of the stress
concentration factor, making it difficult to report generalized values. For
first estimates, values are typically not greater than 2.
131
Limits and fits
Stress and torque capacity in interference fit

- The amount of torque that can be transmitted through an interference fit

can be estimated with a simple friction analysis at the interface.

- The friction force is the product of the coefficient of friction f and the
normal force acting at the interface.

- The normal force can be represented by the product of the pressure p and
the surface area A of interface. Therefore, the friction force Ff is

Ff = fN = f ( pA ) = fp (π dl ) = fpπ dl

where l is the length of the hub.

132
Limits and fits
Stress and torque capacity in interference fit

- This friction force is acting with a moment arm of d/2 to provide the
torque capacity of the joint, so

T = Ff d 2 = fpπ dl ( d 2 )
T = (π 2 ) fpld 2

- The minimum interference (δmin) should be used to determine the

minimum pressure to check for the maximum amount of torque that the
joint should be designed to transmit without slipping.

133