Chapter 9

Shaft Design
Transmission shafts transmit torque from one location to another
Spindles are short shafts
Axles are non-rotating shafts
Figure 9.1 is an example of a shaft with several features. It is a shaft for a Caterpillar tractor transmission
1
.
Figure 9.1: Example of a typical shaft design
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From Frederick E. Giesecke, Technical Drawing, Chapter 13.
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9.1 Shaft Loads
Torsion due to transmitted torque
Bending from transverse loads (gears, sprockets, pulleys/sheaves)

o * a pulley and a sheave are essentially the same thing

Steady or Fluctuating
Steady transverse-bending load fully reversing bending stress (fatigue failure)
9.2 Attachments and Stress Concentrations
Steps and shoulders are used to locate attachment (gears, sheaves, sprockets)
Keys, snap rings, cross pins (shear pins), tapered pins
Use generous radii to reduce stress concentrations
Clamp collars
Split collar
Press ts and shrink ts
Bearings may be located by the use of snap rings, but only one bearing is xed
Issues - axial location, disassembly, and element phasing (e.g., alignment of gear teeth for timing)
MACHINE DESIGN - An Integrated Approach, 2ed by Robert L. Norton, Prentice-Hall 2000
F I GURE 9- 2
Various Methods to Attach Elements to Shafts
shaft
snap ring
sprocket gear
clamp
collar
bearing
press
fit
key
sheave
taper
pin
bearing
step step
step
press
fit
step
hub hub
frame frame
axial
clearance
Figure 9.2: Example of a shaft with various attachments and details
9.3 Shaft Materials
Steel (low to medium-carbon steel)
Cast iron
Bronze or stainless steel
Case hardened steel
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9.3.1 Shaft Power
Power is the time rate of change of energy (work).
work = Force * distance or Torque * angle, so Power = Torque * angular velocity
Pwr = Torq (9.1)
9.4 Shaft Loading, Approaches to Analysis
Most general form - A uctuating torque and a uctuating moment, in combination.
If there are axial loads, they should be taken to ground as close to the load as possible.
Given knowledge of the moments and the torques (i.e., mean and alternating components) Use the Design
Steps for Fluctuating Stresses in Section 6.11 in combination with the multiaxial-stress issues addressed in
Section 6.12.
9.5 Shaft Stresses
Bending Stress

alt
= k
f
M
a
c
I
(9.2)

mean
= k
fm
M
m
c
I
(9.3)
Torsional Shear Stress

alt
= k
fs
T
a
r
J
(9.4)

mean
= k
fsm
T
m
r
J
(9.5)
9.5.1 Shaft Failure in Combined Loading
9.6 Shaft Design
9.6.1 General Considerations
1. To minimize both deections and stresses, the shaft length should be kept as short as possible and
overhangs minimized.
2. A cantilever beam will have a larger deection than a simply supported (straddle mounted) one for the
same length, load, and cross section, so straddle mounting should be used unless a cantilever shaft is
dictated by design constraints. (Figure 9-2 shows a situation in which an overhung section is required
for serviceability.)
3. A hollow shaft has a better stiness/mass ratio (specic stiness) and higher natural frequencies than
a comparably sti or strong solid shaft, but will be more expensive and larger in diameter.
4. Try to locate stress-raisers away from regions of large bending moment if possible and minimize their
eects with generous radii and relief.
5. General low carbon steel is just as good as higher strength steels (since deection is typical the design
limiting issue).
6. Deections at gears carried on the shaft should not exceed about 0.005 inches and the relative slope
between the gears axes should be less than about 0.03 degrees.
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MACHINE DESIGN - An Integrated Approach, 2ed by Robert L. Norton, Prentice-Hall 2000

a
e
a
es
S S

=
2 2
1
a
e
m
ys
S S

=
2
2
1

m
ys
S

a
es
S

ae
S

ae
S
from ref. 2
from ref. 3
from ref. 3
(a) Combined stress fatigue-test data for reversed
bending combined with static torsion (from ref. 4)
(b) Combined stress fatigue-test data for reversed
bending combined with reversed torsion (from ref. 5)
F I GURE 9- 3
Results of Fatigue Tests of Steel Specimens Subjected to Combined Bending and Torsion (From Design of Transmission Shafting,
American Society of Mechanical Engineers, New York, ANSI/ASME Standard B106.1M-1985, with permission)
Figure 9.3: Shaft failure in combined loading
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7. If plain (sleeve) bearings are to be used, the shaft deection across the bearing length should be less
than the oil-lm thickness in the bearing.
8. If non-self-aligning rolling element bearings are used, the shafts slope at the bearings should be kept
to less than about 0.04 degrees.
9. If axial thrust loads are present, they should be taken to ground through a single thrust bearing per
load direction. Do not split axial loads between thrust bearings as thermal expansion of the shaft can
overload the bearings.
10. The rst natural frequency of the shaft should be at least three times the highest forcing frequency
expected in service, and preferably much more. (A factor of ten times or more is preferred, but this is
often dicult to achieve).
Designing for Fully Reversed Bending and Steady Torsion
ASME Method (ANSI/ASME Standard for Design of Transmission Shafting B106.1M-1985.
Uses the elliptical curve of Figure 9-3.
Equations 9.5e and 9.6a,b.
9.6 can be applied only for
constant torque
fully reversed moment.
No axial load
d =
3

32SafetyFactor

(k
f
M
a
S
f
)
2
+
3
4
(
T
m
S
y
)
2
(9.6)
More general loading cases require Equation 9.8.
See Example 9..
9.6.2 Shaft Deection
Deection is often the more demanding constraint. Many shafts are well within specication for stress but
would exhibit too much deection to be appropriate.
9.6.3 Keys and Keyways
P9-03.pdf
Shaft Design for Problems 9-6, 9-9. 9-11, and 9-12
FIGURE P9- 3
P
b
bearings are self-aligning
so act as simple supports
a
l
T
d
gear
Figure 9.4: Shaft with overhung gear
Example -Homework Problem 9-2
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9.6.4 Splines
9.6.5 Interference Fits
Components can be attached to a shaft without a key or spline by using an interference t.
There are two methods used to assemble these components:
press t
shrink (and/or expansion) t
The amount of interference is important
The analysis of interference follows from the equations for pressure on thick-walled cylinders.
A rule of thumb that is used is one to two thousands of diametral interference per unit of shaft diameter,
e.g., a shaft of two inch diameter would have 0.004 inches of interference with an attached gear hub.
Machinists use a simplied approach to this 1/1000 of interference for each inch of diameter.
However, there is a formal approach
Standards have been developed for these ts.
Metric Preferred Metric Limits and Fits ANSI B4.2-1978.
US Customary Preferred Limits and Fits for Cylindrical Parts ANSI B4.1-1967
9.7 Terms related to Fits and Tolerances ANSI B4.2-1978
9.7.1 Denitions
D basic size of the hole
d basic size of the shaft

u
upper deviation

l
lower deviation

F
Fundamental deviation
D tolerance grade for the hole
d tolerance grade for the shaft
Tolerance the dierence between the maximum and minimum size limits of the dimensions of a part
Natural tolerance a tolerance equal to three standard deviations from the mean
Clearance amount of space between an internal and external member
Interference the amount of overlap between an internal and external member
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, i.e., IT 9
Smaller numbers mean tighter tolerances, IT 6 through IT 11 are used for preferred ts.
For a 32 mm hole we might use 32H7
The H establishes the fundamental deviation and the number 7 denes a tolerance grade of IT7. The
grade number species a tolerance zone.
For the mating shaft we might have 32g6
9.7.2 Table of Tolerance Grades
2
Lower and Upper Deviations
For shaft letter codes c, d, f, g, and h
2
Shigley Table E-11, page 1188.
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Table 9.1: International Tolerance Grades
Basic Sizes
All values in mm Tolerance Grades
A < d B IT6 IT7 IT8 IT9 IT10 IT11
0-3 0.006 0.010 0.014 0.025 0.040 0.060
3-6 0.008 0.012 0.018 0.030 0.048 0.075
6-10 0.009 0.015 0.022 0.036 0.058 0.090
10-18 0.011 0.018 0.027 0.043 0.070 0.110
18-30 0.013 0.021 0.033 0.052 0.084 0.130
30-50 0.016 0.025 0.039 0.062 0.100 0.160
50-80 0.019 0.030 0.046 0.074 0.120 0.190
80-120 0.022 0.035 0.054 0.087 0.140 0.220
120-180 0.025 0.040 0.063 0.100 0.160 0.250
180-250 0.029 0.046 0.072 0.115 0.185 0.290
250-315 0.032 0.052 0.081 0.130 0.210 0.320
315-400 0.036 0.057 0.089 0.140 0.230 0.360
Upper deviation = fundamental deviation
Lower deviation = upper deviation tolerance grade
For shaft letter codes k, n, p ,s, and u
Lower deviation = fundamental deviation
Upper deviation = lower deviation + tolerance grade
Hole letter code is H
Lower deviation = 0
Upper deviation = tolerance grade
9.7.3 Fundamental Deviations for Shafts Metric Series
These are related to the tolerance grades. See the table below. Capital letters always refer to the hole (or
bore) and lowercase letters are used for the shaft.
9.7.4 Fit Types
Table 9.3 provides a linguistic description for commonly used references to t types.
9.8 Flywheel Design
One of the biggest issues with regard to ywheels is balancing. Because they are, by intention, devices with
large inertias, balancing them to remove eccentric loading and thus lower the loading on bearings and other
components is very important.
Flywheels develop large stresses at their inter hub connection due to dynamic forces caused by the spinning.
These stresses can lead to failure. Careful design is required to avoid catastrophic failure.
9.9 Critical Speeds
There are three types of vibration that are encountered with shafts:
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Table 9.2: Fundamental Deviations for Shafts Metric Series
basic
dimension Clearance Transition Interference
A < d B Upper Deviation Letter Lower-Deviation Letter
c d f g h k n p s u
0-3 -0.060 -0.020 -0.006 -0.002 0 0 +0.004 +0.006 +0.014 +0.018
3-6 -0.070 -0.030 -0.010 -0.004 0 +0.001 +0.008 +0.012 +0.019 +0.023
6-10 -0.080 -0.040 -0.013 -0.005 0 +0.001 +0.010 +0.015 +0.023 +0.028
10-14 -0.095 -0.050 -0.016 -0.006 0 +0.001 +0.012 +0.018 +0.028 +0.033
14-18 -0.095 -0.050 -0.016 -0.006 0 +0.001 +0.012 +0.018 +0.028 +0.033
18-24 -0.110 -0.065 -0.020 -0.007 0 +0.002 +0.015 +0.022 +0.035 +0.041
24-30 -0.110 -0.065 -0.020 -0.007 0 +0.002 +0.015 +0.022 +0.035 +0.048
30-40 -0.120 -0.080 -0.025 -0.009 0 +0.002 +0.017 +0.026 +0.043 +0.060
40-50 -0.130 -0.080 -0.025 -0.009 0 +0.002 +0.017 +0.026 +0.043 +0.070
50-65 -0.140 -0.100 -0.030 -0.010 0 +0.002 +0.020 +0.032 +0.053 +0.087
65-80 -0.150 -0.100 -0.030 -0.010 0 +0.002 +0.020 +0.032 +0.059 +0.102
80-100 -0.170 -0.120 -0.030 -0.012 0 +0.003 +0.023 +0.037 +0.071 +0.124
100-120 -0.180 -0.120 -0.036 -0.012 0 +0.003 +0.023 +0.037 +0.079 +0.144
120-140 -0.200 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.092 +0.170
140-160 -0.210 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.100 +0.190
160-180 -0.230 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.108 +0.210
180-200 -0.240 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.122 +0.236
200-225 -0.260 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.130 +0.258
225-250 -0.280 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.140 +0.284
250-280 -0.300 -0.190 -0.056 -0.017 0 +0.004 +0.034 +0.056 +0.158 +0.315
280-315 -0.330 -0.190 -0.056 -0.017 0 +0.004 +0.034 +0.056 +0.170 +0.350
315-355 -0.360 -0.210 -0.062 -0.018 0 +0.004 +0.037 +0.062 +0.190 +0.390
355-400 -0.400 -0.210 -0.062 -0.018 0 +0.004 +0.037 +0.062 +0.208 +0.435
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Table 9.3: Fit Types and their description
Type of t Reference Description Symbol
Clearance Loose running t For wide commercial tolerances or al-
lowances on external members
H11/c11
Free running t Not for use where accuracy is essential,
but good for large temperature varia-
tions, high running speeds, or heavy
journal pressures
H9/d9
Close running t For running on accurate machines
and for accurate location at moderate
speeds and journal pressures
H8/f8
Sliding t Where parts are not intended to run
freely, but must move and turn freely
and locate accurately
H7/g6
Locational clearance t
(snug t)
Provides snug t for location of station-
ary parts, but can be freely assembled
and disassembled
H7/h6
Transition Locational transitional t For accurate location, a compromise be-
tween clearance and interference
H7/k6
Locational transitional t
(wringing t)
For more accurate location where
greater interference is permissible
H7/n6
Interference Locational transitional t
(tight t)
For parts requiring rigidity and align-
ment with prime accuracy of location
but without special bore pressure re-
quirements
H7/p6
Medium Drive Fit For ordinary steel parts or shrink ts
on light sections, the tightest t usable
with cast iron
H7/s6
Force Fit Suitable for parts which can be highly
stressed or for shrink ts where the
heavy pressing forces required are im-
practical
H7/u6
Lateral vibration
Shaft whirl
Torsional vibration
9.10 Couplings
Many applications require us to connect one shaft to another axially. This is done with the use of couplings.
Note that the possibility of getting the two shafts perfectly aligned (linearly and angularly) is essentially
zero, so couplings are typically designed to accomodate some misalignment. Couplings come in many shapes,
sizes, and degrees of misalignment. One type of coupling you might be familiar with is the universal joint,
see Figure 9.5. A recent inovation used with front wheel drive is the CV (constant velocity) joint.
Another type used widely for connections to electric motors is a exible coupling, see Figure 9.6.
9.11 Summary
While shafting can be purchased as a stock item, most applications require some customization of the
layout and dimensioning to accommodate the attachment of components and bearings. Almost all shafts are
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Figure 9.5: Typical automotive universal joint
Figure 9.6: Small exible couplings
designed for high cycle fatigue (HCF), and are made of steel, since it has an fatigue limit. One is cautioned
to applied the shaft diameter design equations presented in Norton (Equation 9.6 & Equation 9.8) properly
since specic requirements must be met to apply these equations.
Many other factors come into play during the shaft design process. These may include:
keyways and keys
splines
couplings
shaft vibrations and balancing
ywheels
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