MECH3110 Mechanical Engineering Design 2

Shaft Design

Reference Texts:
• Budynas and Nisbett: Shigley’s Mechanical Engineering Design, 9th Ed, McGraw-
Hill, 2011.
• Machinery’s Handbook 25th Ed. Industrial Press, New York, 1996.
• Australian Standard 1403-2004 Design of Rotating Steel Shafts.
• Juvinall and Marshek: Fundamentals of Machine Component Design, 3rd Ed. 2000.
• Golka, Bolliger and Vasili, Belt Conveyors - Principles for Calculation and Design,
2007.
Craig Wheeler
Associate Professor, School of Engineering
The University of Newcastle

Transmission Shafts - Introduction 2

• Shafts can be rotating or stationary.

• Shafts are usually of circular cross-section and used to
transmit power or motion.
• Shafts may be subjected to bending, torsion, tension or
compression, acting independently, or in any combination.
• Loads are typically induced by transmission components
such as, gears, pulleys, sprockets, etc.
• Topics to be covered include:
• Material selection
• Geometric layout
• Transmission elements
• Design for stress
• Deflection considerations

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 Shaft Materials 3

• Deflection is not affected by strength, but rather stiffness

as represented by the modulus of elasticity, which is
essentially constant for all steels.
• Necessary strength to resist loading stresses affects
material selection and treatments.
• Most shafts are made from low carbon, cold drawn or hot-
rolled steel.
• Significant strengthening from heat treatment and high
alloy content are often not needed.
• Initial designs should be based on low or medium carbon
steel, and if strength requirements dominate over
deflection, then select higher strength materials.

Shaft Materials 4

• Cold drawn steel is typically used for shafts under

Ø100mm. Nominal diameters can be left unmachined in
areas where components are not fitted.
• Hot rolled steel should be machined all over.
• Material selection is also somewhat dependent on the
quantity to be manufactured. For low production, turning is
typically the most economical method. While high
production runs may warrant hot or cold forming, or
casting, thus requiring minimal material removal.
• Stainless steel is used for certain operating environments.

2
 Shaft Layout 5

• The general layout of a shaft is to accommodate shaft

elements, eg; gears, bearings, pulleys, couplings, etc.
• Shafts are typically stepped.
• Shoulders are often used to axially locate shaft elements
and provide a means to carry thrust loads.
• There are no absolute rules governing shaft layout, but the
next few slides may help.

Shaft Layout – Axial Layout 6

• Generally it is best to support load carrying components

between bearings to avoid cantilevered loads.
• Pulleys and sprockets often need to be mounted outboard
of bearings for ease of installing and removing the belt or
chain. Length of cantilever should be kept to a minimum.

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

3
 Shaft Layout – Gear Types 7

Spur gears Double helical gears

Single helical gears Bevel gears

Straight spur vs single helical?

Single helical vs double helical?

Shaft Layout – Axial Layout 8

• In most cases only two bearings should be used. Where

long shafts require more, bearing alignment is critical.
• Shafts should be kept to a minimum length to minimise
bending moments and deflections. Some axial space is
necessary for lubricant flow and disassembly with pullers.
• The primary means of axially locating components is
against a shoulder.
• Where axial loads are low; retaining rings in grooves,
sleeves between components or clamp on collars can be
used.
• Where axial loads are very small, press fits, pins or collars
with set screws can be used.

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 Shaft Layout – Axial Layout 9

• Where axial loads are not trivial it is necessary to transmit

loads from the shaft through the bearing to ground.
• Generally, it is best to have only one bearing transmit the
load to allow greater tolerances on the length of the shaft.

Shaft Layout – Axial Layout 10

• The following are examples where the axial load is carried

by one bearing against a collar, while the other bearing is
a press fit onto the shaft.

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

5
 Shaft Layout – Torque Transmission 11

• Where shafts are required to transmit torque they must be

sized to support the torsional stress and deflection.
• Common torque-transfer elements include:
• Keys
• Splines
• Setscrews
• Pins
• Press or Shrink Fits
• Tapered Fits
• In addition to transmitting torque many of the above are
designed to fail if the torques exceeds acceptable levels to
protect other components or machinery.

Torque Transmission 12

Keys and Keyways

Reproduced from: Juvinall, R. and

Marshek, K. Fundamentals of
Machine Component Design, 3rd
Ed. John Wiley and Sons Inc. New
York, 2000.

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Torque Transmission - Splines 13

Splines on the CV end of an

axle shaft

Bicycle cassette and freehub

Ref: wikipedia.org

Torque Transmission – Setscrews 14

fasteners-supplier.com

b2bscrews.com

7
Torque Transmission – Tapers 15

awtarlab3.engin.umich.edu tracepartsonline.net

Torque Transmission – Pins 16

8
 Torque Transmission – Various 17

sscycle.com

Shaft Layout – Assembly and Disassembly 18

• Generally the largest diameter is located in the centre of

the shaft, with progressively smaller diameters towards the
ends to allow for components to be slid on from the ends.
• Where components are to be press fit, ensure they do not
need to be slid long distances along the shaft. Where
possible provide a taper for initial alignment.
• Provide sufficient axial clearance for pullers, press plates,
wedges, etc, for disassembly.
• Often shaft centres can be machined with threads for eye
bolts for safe and convenient lifting.

9
 Design for Static Loads 19

The bending stress, σx and torsional stress xy for a solid

round shaft of diameter, d subjected to a bending moment,
M and torque, T are given by:

32 M 16 T
x  (1)  xy  (2)
d 3 d 3

Applying Mohr’s circle analysis the maximum shear stress,

max is given by:
2
 x  16
 max      xy 
2
M2  T2 (3)
 2  d 3

Design for Static Loads 20

Given the yield strength in shear, Ssy is approximated by half

the normal yield strength, Sy (ie; Ssy = Sy / 2) from the
maximum-shear-stress theory for static failure, and using a
factor of safety, n.
Sy 16
 M2  T2 (4)
2n d 3

Therefore, 1
 32n 
3

d M2  T2  (5)
 S y 
Remember use the above only when the stresses do not
vary.

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 Design for Fluctuating Loads 21

The loads on most shafts are not constant and it is therefore

necessary to calculate the minimum shaft diameter based
upon the effects of fluctuating loads.

Several theories, codes and standards exist, including:

• Maximum-shear-stress theory using Soderburg’s
method.
• Distortion energy theory using Goodman’s approach.
• Australian Standard AS1403-2004 Design of Rotating
Steel Shafts.

Fluctuating Normal and Shear Stresses 22

Ssm ± KfsSsa

Sm ± KfSa Sm ± KfSa

Ssm ± KfsSsa

Gear 1 Gear 2
M M

T T

Support Bearing

Fluctuating normal and shear stresses acting on a shaft

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 Maximum-Shear-Stress, Soderburg’s Method 23

Soderburg’s equation for fluctuating normal stresses gives

the equivalent static normal strength, S0 as
 Kt S y 
S 0  S m    S a (6)
 Se 

Kt = Stress concentration factor

Se = Endurance limit

sa
Normal sr
sa smax
Stress
sm smin

Time

Maximum-Shear-Stress, Soderburg’s Method 24

Similarly, the equivalent static shear stress, Ss0 is given by

 K ts S y 
S s 0  S sm    S sa (7)
 Se 

Where the subscript, “s” represents shear. Substitution

then gives 2 2
0.5S y  Kt S y   K ts S y 
S sy    S m  S a    S sm  S sa  (8)
n  Se   Se 

For a solid circular shaft the minimum diameter, d is

1
 
3
2 2
16  KS   K S 
d   M m  t y M a    Tm  ts y Ta   (9)
 S sy  S   S  
 
e e

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 Maximum-Shear-Stress, Soderburg’s Method 25

Generally, it is common practice to also apply the stress

concentration factors to the mean stress and mean torsion.

Furthermore, fatigue stress concentration factors, Kf and Kfs

replace Kt and Kts due to lessened sensitivity to notches.
Therefore, for a solid circular shaft the minimum diameter, d is
1
 2 1 2
3
 2
Ta   
 32n  2  M m M a  
2  Tm
d  Kf   K fs   (10)
 S e  S 
    S y  y S e   
 
While, in terms of n
12
1 32  2  M m M a  T  
2 2
T
 3 Kf   K 2fs  m  a   (11)
n d   S y S e  S 
 y S e  

Note: For a rotating shaft with constant bending and torsion, the
bending stress is completely reversed and torsion is steady.
Therefore; Mm = 0 and Ta = 0.

Distortion-Energy Theory – Goodman 26

Based on the Distortion-Energy Theory and the Goodman

criterion, for a solid circular shaft the minimum diameter, d is
1
 16n  1
   2 1 2 

3

 4K f M a   3K fsTa  4K f M m   3K fsTm   

2 12 1
d  
2 2
 (12)
   Se S ut 
Or in terms of the safety factor, n

1 16

n d 3
1

 4K f M a   3K fsTa 
2 2 12


1
 2 2 1 2
4K f M m   3K fsTm    (13)
 Se Sut 

13
 Stress Concentration and Notch Sensitivity 27

The existence of irregularities such as holes, notches, etc,

increase the theoretical stress significantly in the immediate
vicinity. However, some materials are not fully sensitive to the
presence of notches, and hence for these, a reduced value
of Kt and Kts can be used.

Therefore, it is convenient to refer to these as fatigue stress

concentration factors, Kf and Kfs which replace Kt and Kts
respectively.
K f  1  qK t  1 (14)
K fs  1  qs K ts  1 (15)

Stress Concentration and Notch Sensitivity 28

Notch sensitivities, q for specific materials are obtained

experimentally. However, the following Figures provide
values for steels and aluminium.
q - Reversed Bending or Reversed Axial Loads

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

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 Stress Concentration and Notch Sensitivity 29

qs - Reversed Torsion

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

Stress Concentration Factors, K 30

Stress Concentration Factors are used to relate the maximum

stress at the concentration to the nominal stress. Kt is used for
normal stresses and Kts for shear stresses.

Charts reproduced from: Shigley, J: Mechanical Engineering Design,1st Ed, McGraw-Hill, 1986.

15
 Stress Concentration Factors, K 31

Reproduced from: Juvinall, R. and

Marshek, K. Fundamentals of
Machine Component Design, 3rd
Ed. John Wiley and Sons Inc. New
York, 2000.

August 8, 2016

MECH2110 - Shaft Design

Reducing Stress Concentrations 32

In the case where the shoulder at the bearing is found to be

critical, select a bearing with a generous fillet radius, or
consider the following options.

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

16
 Endurance Limit
Use Equation (8.1) of Juvinall and Marshek (2006):

Where Sn = Se giving:

Se=Se’CLCGCSCTCR

17
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 AS1403 – 2004: Design of rotating steel shafts 37

• Download/View from Library’s Online Databases

• http://www.newcastle.edu.au/service/library/database-and-
eresources/databases.html

AS1403 – 2004: Design of rotating steel shafts 38

August 8, 2016

MECH2110 - Shaft Design

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 AS1403 – 2004: Design of rotating steel shafts 39

FR = endurance limit of shaft material in reversed bending

during rotation, based on tests of polished steel specimens
of diameter between 8 mm and 10 mm, in [MPa]
= 0.45 FU, where actual value is not known
FS = safety factor (See Table 2 - note 5, AS1403-2004)
FU = tensile strength of shaft material, in [MPa]
FY = yield strength of shaft material, [MPa]
K = stress-raising factor (see Clause 8.2, AS1403-2004)
KS = size factor (see Clause 8.1 and Figure 1, AS1403-2004)
Mq = bending moment at shaft cross-section under
consideration, in [Nm]
Tq = maximum torque at shaft cross-section under
consideration, in [Nm]
Pq = maximum axial tensile force at shaft cross-section under
consideration, in [N]

AS1403 – 2004: Design of rotating steel shafts 40

8. Shaft Design Factors

8.1 Size Factor (Ks)
The value of the size factor (Ks) shall be as follows:
(a) For diameters up to 250 mm read off Fig.1.
(b) For diameters greater than 250 mm use 1.8.

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 AS1403 – 2004: Design of rotating steel shafts 41

8. Shaft Design Factors

8.2 Stress Raising Factor (K)
The value of the stress raising factor (K) shall be as follows:
(a) Where there is only one stress-raising characteristic use the value
read from Figs. 4 to 10.
(b) Where two stress-raising characteristics are separated by an axial
distance greater than 0.25D, use the greater of the two values read
from Figs. 4 to 10.
(c) Where two stress-raising characteristics are separated by an axial
distance between 0.16D and 0.25D, use the sum of the greater
value and 0.1 times the lesser value, both values being read from
Figs. 4 to 10.
(d) Where two stress-raising characteristics are coincident or separated
by an axial distance not greater than 0.16D, use the sum of the
greater value and 0.2 times the lesser value, both values being read
from Figs. 4 to 10.

AS1403 – 2004: Design of rotating steel shafts 42

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AS1403 – 2004: Design of rotating steel shafts 43

AS1403 – 2004: Design of rotating steel shafts 44

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AS1403 – 2004: Design of rotating steel shafts 45

AS1403 – 2004: Design of rotating steel shafts 46

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AS1403 – 2004: Design of rotating steel shafts 47

AS1403 – 2004: Design of rotating steel shafts 48

Appendix C – Motor Controllers and Torque-Limiting Devices

Introduction
Motors with high locked-rotor torque (starting torque) or high breakdown
torque (pull-out torque) may impose high loads on shafts. Care should
be taken as breakdown torque can be as high as 4 times the rated
torque (full-load torque) for a.c. motors, 3 times for shunt d.c. motors
and 5 times for series d.c. motors.

The effect of high locked-rotor torque or high breakdown torque can be

minimised by electrical means (motor controllers) or mechanical means
(like fluid couplings, etc).

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 Design for Deflection 49

• Both linear and angular deflection of the shaft should be

checked at the bearings and transmission elements.
• Allowable deflections will depend on many factors, but the
following table provides typical maximums.

Ref: Shigley’s Mechanical Engineering

Design, 9th Ed, McGraw-Hill, 2011.

Design for Deflection 50

• Beam deflection techniques are used to calculate shaft

deflections.
• For shafts of constant cross-section this is straightforward.
• For stepped shafts, since both M and I vary, singularity
functions can be applied, however typically numerical
integration or FEA is used.
• Many shafts require force analysis in multiple planes,
requiring 3-dimensional analysis, or use of superposition
in two planes then summing the deflection vectors.

25
 Design for Deflection – Pulley Shaft Example 51

• Closed form solutions for particular geometries and loading

conditions exist. For example, consider a conveyor pulley:

Ref: Golka, Bolliger and Vasili, Belt Conveyors -

Principles for Calculation and Design, 2007.

Design for Deflection – Pulley Shaft Example 52

• Maximum shaft deflection at mid-span:

f1max  T12
a
48EI1

4a 2  3 A2  mm
T12  T12  T22  2T1T2 cos180    N
• Angle of deflection at bearing:
32T12 a  b 2 b  a b Al
o      1  4  rad 
E  2 ad 2  a  2 d14
4
d1 
• Angle of deflection at distance “b” from bearing:
32T12 a  A  l 
2  rad 
E  d14 
Where: A, a, b, l, d1 and d2 - [mm]

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 Design for Deflection 53

• For cylindrical stepped shafts in torsion with cylinder length,

li and torque, Ti, the angular deflection, θ is estimated from:
Ti li
  i  
Gi J i
Where: G = Modulus of rigidity
4
D
J 
32
• For constant torque throughout the shaft
T li

G
 Ji
Note: These formulae should only be used as an estimate
as experiments have shown θ can be larger.

27