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5. AXLES AND SHAFTS

5.1. GENERAL CONSIDERATIONS

Shafts refers to relatively long members of round cross section that rotates and transmit power. Shafts can be found in every piece of rotating machinery to transmit rotary motion and torque from one location to another. A shaft typically transmits torque from driving device (a motor or engine) through the machine. Usually shafts carry gears, pulleys or sprockets, which transmit the rotary motion via mating gear, belts or chains from shaft to shaft. The shaft may be an integral part of the driver (a motor shaft or a crankshaft) or, it may be freestanding shaft connected to its neighbor by a coupling. Shafts are carried in bearings in various configurations (simply supported, cantilevered, or overhung). If the shaft is stationary (non-rotating) and wheels rotates with respect to it (on bearings), it is not a transmission shaft and is known as axle. Shafts supporting and driving vehicle wheels are also called axles.1. Axles can also rotate or oscillate but in any case they do not transmit power (torque is zero if the friction torque in the bearings is neglected). Flexible shafts (Fig. 5.1) couple a drive to an actuator along a curved, circuitous, or dynamically moving path. Unidirectional shafts are used for power transmission along non-straight axes in industrial automation, heavy industry, and specialized applications such as agricultural equipment, speedometers, dentistry, woodworking, and jewelers tools. Bi-directional flexible shafts are used in remote control, valve actuation, and safety devices. Flexible shafts are created by wrapping successive layers of wires (4 to 12 tensile strength wires per layer) around a single core wire. Each successive layer is wrapped in the opposite direction of the previous layer. Usually the layers are covered with at least one protective layer which allows for lubricating of the shaft, a key factor for improved life. The number of layers and the wire diameters determine the diameter of the shaft. Wire material and diameter, as well as the layering process determine the shaft's characteristics, (i.e. stiffness, strength, maximum speed and direction of rotation). The wrapping direction of the last (outer) layer gives the preferential direction of the rotation for unidirectional flexible shafts. Operation with counter direction of rotation is possible at half of the maximum nominal torque.

Fig. 5.1. Cross section in a flexible shaft Flexible shafts are used for low and medium power (less than 10kW but usually a fraction of kW). For high power rate increasing speed is recommended in order to keep the maximum torque at low values. The minimum bent radius is limited by the diameter of the shaft and, at its turn, limits the power transmitted. Torsional stiffness is also a week point of flexible shafts that must be considered.

In automotive applications sometimes, different nomenclature is used. Thus, a live axle is one that supports part of the weight of a vehicle and drives the wheels connected to it, so that, in our acceptance it is a shaft. A dead axle is one that carries part of the weight of a vehicle but does not drive the wheels so that it can be considered simply, an axle. The wheels rotate on the ends of the dead axle. Sometimes they are called spindles (this word refers strictly to stationary shafts supporting rotating members, such as non-driving wheels of an automobile). However, in machine-tool terminology spindle defines a high speed, small diameter vertical shaft that supports cutting tools (a drill, a reamer etc have a spindle).

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Fig. 5.2. Crankhaft 5.1.1. Shaft and Axles Classifications Shafts can be classified in function of several criteria. Some of these are listed below: a) the shape of the center axis can be a straight line, a broken line (as in the case of crankshafts - Fig. 5.2) or variable(as in the case of flexible shafts Fig. 5.1). b) the shape of the cross section can be circular (full circular or hollow shafts) or non-circular (normally used for non-rotating axles). c) the type of the supporting scheme statically determined (most of the shafts have only two supports/bearings) or statically undetermined (if the shaft is supported on more than three radial bearings). d) the relationship between shaft operating speed, n, and shaft critical speed, ncr, gives rigid shafts (n < ncr) and elastic shafts (n > ncr). e) the position in space can be horizontal, vertical, inclined; this criterion is very important for large shafts where their weight is taken into consideration when calculating loading. f) the axles can be fixed (stationary or non-rotating), rotating or oscillating. 5.1.2. Shaft Loads The loading on rotating transmission shafts is principally of two types, occurring concomitantly: torsion due to transmitted torque and bending from transverse loads at different wheels carried (gears, pulleys, sprockets, etc). The character of both the torque and bending loading may be either constant (steady) or may vary in time.. A rotating shaft subject to a steady, transverse bending will experience a fully reversed stress state, because, as the shaft turns, any point on the shaft surfaces goes from tension to compression. Thus, even for steady

loading, a rotating shaft must be designed against fatigue failure.

The torque is usually constant, repeated or fluctuating. Very rarely the torque is reversed. 5.1.3. Shaft Failure Fatigue breakage in sections with high stress concentrators is a typical mode of failure. It is also usual to initiate breakage by vibrations or high elastic deformations (e.g. Turbine blade). Wear (adhesive and/or abrasive) of shaft in sliding bearings or fretting wear where associated machine parts (gears, wheels, couplings, rolling-element bearings) are press-connected on the shaft are other common modes of failure. Wear of shaft will increase sliding bearing clearance which will affect shaft dynamic behavior, so that vibrations will produce shaft failure. 5.1.4. Shaft Materials Steel is the logical choice for shaft material because of its high modulus of elasticity, required to minimize deflections. Cast or nodular iron are also used especially if gears or other attachments are integrally cast with the shaft. Nodular iron or malleable iron are preferred for crankshafts where stress concentrator effects must be limited. Cap. 5 SHAFTS 03.01.11 2

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Where the shaft also serves as the journal, running against a sleeve bearing, through or case-hardening steel should be used. Rolling-element bearing do not need hardened shafts. Most shafts are made from low- or medium carbon steel, either cold rolled, or hot rolled. Cold rolled shafts have higher mechanical properties than hot rolled. The latter must be machined on the entire surface to remove carburized outer layer. Where higher strength are needed, alloy steel may be the choice. Bronze or stainless steel are sometimes used in corrosive environments. Shaft technology depends on the material, overall dimensions, type of fabrication (number of products) and its functionality. Shaft blanks are either standard cold rolled products or obtained by forging (free or dye forging) or, for large shafts, by casting. In any case, shafts are subjected to machining (one or more stages) and some thermo-mechanical treatments. 5.2. SHAFT DESIGN

5.2.1. DIMENSIONING Axle Dimensioning Axles are modeled as straight loaded beams simply supported on bearings which are considered as localized fulcrums. Given the axial and radial forces acting on the axle and their location, one must calculate the reactions in fulcrums and then sketch the diagrams of bending moments and axial forces. It must be restated that, with very few exceptions, bending moments are preponderant and axial loading can be neglected. Consequently, the diameter of one or several critical sections can be calculated based only on bending strength, assuming full circular cross-section:

d =3

32 M b max

ab

(5.1)

where ab is the permissible bending stress for constant loading. As typically axles are centrally loaded with radial forces (similar with that sketched in Fig. 5.2) it is recommended to change the uniform cross section in order to reduce the total weight. There are two solutions to design for equal stress in any section: (i) a hollow axle with variable inner diameter (Fig. 5.3) In this case, the bending stress in a cross-section defined by the distance from the axle mid-plane is:

b x =

Mb x Wz x

F x 2 = 4 d 4 dx 32 d

(5.2)

Now by introducing the condition of equal stress in any cross section, and remarking that in the midplane (where x=L) the bending moment is maximum ( M b max =

F L ), after some algebra, we obtain the 2

theoretical parabolic variation of the axle inner diameter (see Fig. 5.3a):

d x = d 4 1

x L

(5.3)

Obviously the solution given in Eq. (5.3a) is not possible in practice where simple shapes are required by manufacturing processes. Fig. 5.3b presents a typical solution for reduced weight axles recommended for short axles with small or medium diameters.

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d x L

dx

L
(a)

(b) Fig. 5.3. Model of hollow axle

d x

dx

L
(a)

(b) Fig. 5.4. Model of stepped axle (ii) a plain axle with variable diameter (Fig. 5.4) Using the same procedure as in the previous case, the bending stress in a cross-section defined by the distance from the axle mid-plane is:

b x =

Mb x Wz x

F x = 2 3 d 32

(5.4)

Now by introducing the condition of equal stress in any cross section, and remarking that in the midplane (where x=L and dx=d) the bending moment is maximum (Mb max=FL), after some algebra, we obtain the theoretical parabolic variation of the axle diameter (see Fig. 5.4a):

dx =d 3

x L

(5.5)

Again the optimized shape obtained theoretically can not be obtained using current manufacturing processes. Figure Fig. 5.4b presents a stepped axle used in practice instead of the theoretical model. Cap. 5 SHAFTS 03.01.11 4

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Shaft Dimensioning Shaft dimensioning is more difficult than axle dimensioning because axial tensioning, bending and torsion acts simultaneously and initially the locations of the bearings are unknown so that bending stresses cannot be calculated. The simplest solution for this case, is to dimension for torsion only, an acceptable approximation for short and medium length shafts. However, in order to take into account for bending, a reduced value of allowable shear stress for torsion must be used. Thus, for a full circular shaft, the minimum shaft diameter will be

d =3

16 M t

at

(5.6)

where, for typical shaft materials, at = 1550MPa depending on the bending estimated contribution to the maximum stress. For long shafts (length/diameter ratio greater than 10, e.g. machine tools shafts) dimensioning in terms of maximum torsional deflection could be an accurate solution:

d=
4

5760 M t 2 G l a

(5.7)

where, the allowable relative torsional deflection is

= 0.1 0.25 [deg /m] . l a

If the axial distances of the shaft are known or can be accurately estimated the dimensioning can be done with both torque and bending moment and an adequate failure theory. As stated at the beginning of this chapter, even for steady loads, bending stresses vary (reversed cycle) so that a corrected formula for the equivalent bending moment must be used:
2 M eq = M b + ( M t )2

(5.8)

where is function of the type of variation of the torque. Thus, =1/3 if the torque is constant in time (the most usual case), =2/3 if the torque varies with a repeated cycle and, =1 if the rotational direction alternates periodically (reversed cycle for torque). Remark that usually banding acts in two perpendicular planes (horizontal, MbH, and, respectively vertical , MbH,) so that we have:
2 2 M b = M bH + M bV

(5.9)

The tentative diameters of the shaft can be further calculated in each important section using the equation:

d =3

32M eq

ab _ III

(5.10)

where, ab _ III is the allowable bending stress for reversed cycle. 5.2.2. SHAFT VERIFICATION Shaft verification must be made after its tentative dimensioning and design. Several steps of checks must be performed. First, as variable loading may produce fatigue cracks, dynamic strength verification is recommended. Then, if this checking is passed bending and torsional deflections in static conditions should be also checked. Finally, the vibrational behavior has to be analyzed. Dynamic strength check Dynamic strength verification must be done in all the critical cross-sections where stress concentrators are present. The classical procedure from Strength of materials course must be performed. First a schematic of the Cap. 5 SHAFTS 03.01.11 5

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shaft assumed as a straight bar, with all the loads acting on must be drawn. Then the diagram of forces and moments will be calculated and drawn. Finally one must define all the critical cross-sections where the stresses (normal and shear) will be calculated. The verification must be made in terms of safety coefficient based on one of the most used theories of fatigue failure (Sodeberg, Serenesen, Goodman, etc)
Recommended values for the coefficient of friction are:

1.3 1.5 - Very precise determination of state of stress, perfect knowledge of material features, exact following of technological procedures. 1.5 1.8 - Less accurate calculation without any experimental verification, lower accuracy of production technology. 1.8 2.5 - Lower accuracy of calculations, non-homogenous material, large diameters of shafts.

Maximum bending deflection. Maximum radial deflection is an important parameter when considering functionality of the shaft. Its maximum permitted value depends on the type of shaft, its function and structural features. The following recommendations can be applied for its size (shaft with toothed wheel): At the point of seating of the toothed wheel for spur gearing ymax = 0.01m for bevel and worm wheels ymax = 0.005m

where m is the module of toothed wheel Other recommended maximum deflection (not at points of seating of wheels) is: for general engineering ymax = 0.0003L Construction of machine tools ymax = 0.0002L

where L is the distance between bearings. If plain (sleeve) bearings are used, the shaft deflection across the bearing length should be less than the oil-film thickness in the bearing. Otherwise, self-aligning bearings should be provided. It is worth to be noted that, if minimizing deflection is the primary concern, than low carbons steel may be the preferred material, since its stiffness (defined by Young modulus) is as high as that of a more expensive steel. Maximum bending angle The bending angle of the shaft (shaft slope) at points of seating of the toothed wheel should not exceed a value between 0.05 and 0.12 (3' - 7'). The bending angle at bearing points depends on the type and inner structure of the bearing; some recommendations are given in Table 5.1. Maximum torsional distortion Depends on the structure and type of loading. Recommended max. value max= 0.25 per one meter of length of the shaft. In case of a smooth engagement, permanent torsional moment can be substantially higher. Critical speed During operation the shaft is radially loaded (in bending) and it deflects (see Fig. 5.5). Correspondingly the masses on the shaft will rotate with some eccentricities, producing some flexional vibrations. When the rotational speed of the shaft approaches its critical speed cr, the shaft will vibrate with very high amplitudes. The fundamental cr of a shaft can be rapidly calculated using Rayleigh's method (bending oscillation) which gives a relatively accurate solution for the schematization shown in Fig. 5.5:

cr =

Wi i,max Wi i2 , max i 1,..., n

i =1,..., n
=

(5.11)

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where Wi = ith weight placed on shaft, N

i = static deflection of ith weight on shaft, m

g = gravitational acceleration, 9.8 m/s2

G1

Gi

Gn

Fig. 5.5 A shaft with rotation bodies Table 5.1. Bending angle max [] 0.1 3 0.1 0.03 1.5 0.03 2 0.05 Type of bearing Single-row ball bearings Double-row self-aligning ball bearings Single-row roller bearings Other roller bearings Spherical roller bearings Single-row tapered roller bearings Thrust spherical roller bearings Sliding bearings (b/d < 1)

Note: Exact values can be found in the producer's catalogue.

Equation 5.11 gives a relatively accurate solution for the schematization shown in Fig. 5.5 neglecting weight of the shaft and the flexibility of the supports. For the calculation, it is important to include all rotating masses firmly connected to the shaft. The speed of the shaft should be either lower than 0.8ncr (subcritical operation) or higher than 1.25ncr (above critical operation). If the shaft is operated in the field of above critical speed, during start-up nor shut-down it is necessary to go over the field of critical speed quickly both with the running up (excess of power) and running out (sometimes braking is necessary) as well. In order to modify vibrational behavior of a shaft one must remember that hollow shafts have higher natural frequencies than comparably stiff solid shafts and that high modulus materials are beneficial. Shafts are also subjected to torsional vibrations due to periodic variation of torque loading like in the case of internal combustion engines (crankshafts). Finally it must be emphasized that an accurate analysis of shaft vibrations can be performed only using improved 3-D FEM modelers. 5.2.3. DESIGN RECOMMENDATIONS Both stresses and deflections need to be considered in shaft design. Often, deflection can be the critical factor, since excessive deflection will cause rapid wear of shaft bearing, or gear teeth. While stresses in a shaft can be calculated locally based on known loads and assumed cross-sections, deflections require for calculation that the entire shaft geometry be defined. So, typically a shaft is first designed using stress considerations and then, once the geometry is completed, the deflections are calculated. The design of the shaft is a complex and iterative task, during which optimum solutions for functional, technological and economical requirements. Cap. 5 SHAFTS 03.01.11 7

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Attachments A shaft is essentially composed of several cylindrical or, more rarely, tapered (conical) sections. It is most common for shafts to have a number of steps or shoulders where the diameter changes to accommodate attached elements such as bearings, couplings, wheels, seals (even the latter it is not properly attached on the shaft, it comes into contact with it). Steps are necessary to provide accurate and consistent axial location of the attached elements as well as to create proper diameter to fit standard parts such as bearings. Steps are also required to facilitate mounting of the associated parts and by manufacturing processes, to separate sections with different dimensional (tolerances) and surface conditions (roughness, coating). However, otherwise required by special axial location conditions (mandatory in the case of rolling-bearings, for example) steps should be minimal (a few tenth of millimeters). Practical recommendations for the length of cylindrical sections required by different associated parts are as follows: L=(0.71.5)d for wheels (gears, sprockets, sheaves etc); L=(0.31)d for sliding bearings; L=(0.30.5)d for rolling element bearings; The end-part of the shafts (those cylindrical sections used to connect the shaft with other parts) should be standardized. Snap-rings, retaining rings, cross-pins or setscrews are also used to locate axially elements to the shaft. Keys or splines are often used to secure attached elements to the shaft in order to transmit the required torque. Each of these elements require a change in contour (a groove, hole, etc) and will contribute some stress concentrator, so that try to use generous radii where possible or other techniques such as those shown in Fig. 5.7. Other recommendations To minimize both deflections and stresses, the shaft length should be kept as short as possible and overhangs minimized. A hollow shaft has a better specific stiffness (stiffness/mass ratio) and higher natural frequencies than a comparable stiff and strong solid shaft, but will be more expensive and larger in diameter. For example if we compare a plain shaft of diameter d (Fig. 5.12 a) with a hollow shaft (Fig. 5.12 b) having the same volume of material and we assume that the outer diameter of the hollow shaft is twice its inner diameter (do=2 di) we have (see Fig. 5.6):

(d 4

2 o

d i2 L =

d2 L

(5.12)

and consequently the outer diameter is do=1.15d. On the other hand the axial modulus for each solution -case (a) respectively case (b)- is:

Wz a =

d3
32

Wz b =

d e4 d i4
32d e

(5.13)

which , for the assumed conditions, gives: W z b =1.67W z a . Hence, by using a hollow shaft, with the same quantity of material one can obtain an important improvement of strength for both bending and torsion. On the other hand, the hollow shaft must pay for an increased radial dimension (about 15%) and, obviously, for manufacturing difficulties. However, hollow shafts are preferred not only for reduced weight but also for the possibilities to use their hole as passage for fluids or other mechanical parts (like in the case of turbine shafts).

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(a) L

(b)

di

do

Fig. 5.6. Full circular shaft vs. hollow shaft Simply supported shafts (straddle mounting) are always preferred to cantilever shafts, as the latter will have a larger deflection one for the same length, load, and cross section. However, cantilever shaft can be dictated by design constraints. Centering holes should be provided for long shafts (length-over-diameter L/d > 5) to ensure stiffness during cutting-off processes. Try to locate stress-raisers away from regions of large bending moment. Try to minimize the effect of stress-raisers with generous radii and reliefs. If axial thrust loads are present, they should be taken to ground through a single thrust bearing per load direction, otherwise, thermal expansion of the shaft could overload the bearings.

Rs < Rp < h Rp Rs
c45

Rs < c < h

h
Rs

.........

.... Fig. 5.7. Design of steps on shafts

Rp Rs

Rp Rs

Fig. 5.8. Design of reliefs (runout) on shafts

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