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Top i c XI : Mechanical Des i g n a n d Analysis

i . The simple fom-bar linlrnge shown is configured i n lo 5. A 94 N force is applied t o a 50 nnn lo ng spring made
the open position. Link L is 0.57 111 lo11g, l i 11k 2 is 0.21 m of 2 mm sleel wire (shear mod11l11s of 80 G Pa ) . The
lo ng , link 3 is OA5 111 lo ng, and link tJ is 0.36 m long . spring has 7 active coils and a mean diameter of
Ta ki ng link I ns t.he reference l ink, the angle that li11k 2 1 2 mm. Tho spri ng ends arf' rlosed. Whal is wost nearly
wakes with the reference link , 02 , is 62°. the spring constant?
(A) 2.5 N/ uu11

(Il) 13 N/mm
(C) 27 N/mm
(D) 36 N/mm

6. A n 18 toolh stra ight spur gear transmits a torque of

1 300 N· mn 1 . The pitch circle diamet er is 2.3 c111, and the
link 1 x pressnre angle is 37°. What is most nearly t.he tangential
0.57 m force 011 the gear'!
\\1hat is 111ost. nea rly the value of angle 04? (A) 43 N
(A) 49° (B) 57 N
(B) 85° (C) 85 N
(C) 990 (D) 1 10 N
(D) 1 1 0°
7. A hole has a minimum size of J 0.988 1 11111 a nd a
2. Whichof the following symptoms or conditions is tol era nce of 0.011 mm . What is most nearly the nominal
NOT 011e of the main causes of pressure vessel fail ure? size of the hole?
(A) embrittlement ( A ) 10.959 nun

(B) chaLLcring (Il) 10.967 mm

( C) corrosion (C) 10.988 llllll

(D) erosion (D) 10.999 111.111

3. A joint with a j oint coefficient of 0. ltJ e xper i­ 8. A sha� has an u pper deviation of 0.011 mm and a
lower ci evi a t. i on of 0.019 n nn . \;\lhat is most nearly the
bol ted
ences a 26 k N tension . The bolt is initially preloaded to
7.5 kN. What is mosL nearly the ma,ximum bolt load '! tolerance of the shaft?

(A) 1 1 kN ( A) -0.008 mm
(B) 24 kN (B) 0.008 mm
(C) 32 kN (C) 0.01 mm
(D) 43 kN (0) 0.02 null

4. A bol t has a 11 1ajor-diameter area of 123 nm12 ;:rnd a 9. A particular roller bea ring has a life of 3000 h when
load of 9.5 kN and rotating
at 500 rpm. What is most. nearly t he predicted life i f the
tensile stress mca of 88 2
nun . The t.hreaded lengt h is carrying ru1 equivalent rad ial
14 mm. The modulus of elasticity is no
beru·ing is loaded to 12 kN at. the same rotal.ional speed?
GPa. Wl1at is
most nearly the stiffneR5 of the threaded lengt.h of the bolt'?
(A) 980 kN/nun (A) 1000 h

(B) 1 100 kN/mm (B) l 200 h

(C) 1400 kN/rnm (C) 1300 h
(D) 1 700 kN/mm (D) 1400 h

P P I • YI W W . tl P l 2 p a s s . c o m
DE XI-2 F E M t; c M A N I c A I. R i:; v I E w M A N u A L

1 O. Two gears are in mesh. Gear 1 has 20 t eet.h am! a SOLUTIONS

raclim; of 11.6 cn1. Gear 2 has 30 teet.h and a radius of
7 .2 cm. What is most nearly the cliamet.ral pitch these of 1 . Calculate 1(1 •

t.wo gears?
{( j 0.57 111
(A) l lO m - 1 = =
a 0.21 m
(B) 140 111 = 2.714
(C) 180 rn - 1 Calculate 1(2 .

](2 = !!_ = 0.57 m

(D) 2 1 0 m - 1
c 0.36 Ill
= 1.583

Calculate K1-

a2 - b2 + + d2
1(J = ----'---'---
(0.21 m) - (0.45 m) 2 + (0.36 w ) 2 + (0.57 m)
2a c
2 2
(2)(0.21 m)(0.36 m)
= 1 . 958
Calculate the value of A.
A = cosB2 - K1 - K2 cosf]i + 1(3
= cos 62° - 2.714 - 1.583 cos 62° + 1 .958
= - 1 .030
Calculate the value of B.
B = - 2 sin B2 = - 2 sin 62°
= - 1 .766
Calculate t.he value of C.
C = K1 - ( 1<2 + I )cosB2 + K3
= 2.714 - (1.583 + l )cos62° + 1.958
= 3A60
For the open position, the value of angle 84 is

84 = 2 arctan -
B - JB2 - 1JAC
- ( - 1 .766)
( - 1 .766)2
- (4) ( - 1 .030)(3.460)
= 2 arctan
(2) ( - 1 .030)

= 98.77° (99° )

Tile answer is (C).

P P I • w w w . p p i 2 p a s s . c o m
D I A G N 0 s T I c E x A M : M E c H /\ N I c /\ L D E s I G N A N D A N /\ L v s I s DE :Kl-3

size (Dmin = D). TLercfore. the nominal sizf' of the hole is

2. Embritt lemen t , corrosion, and crosio11 aU comprondse 7. The nominal of the hole is the same as the minim11m
material i11tcgrity. Chat.tering is the rapid opening and
closing of a presSLLl'e relief valve due to some installat.iun 10.988 mm.
or operat iona l valve dPfect. The resnll:m l. vi brat ion ca11
The answer is (CJ.
result. iu fail me of Lile valve and/or associated piping, hut
valve chattering isn't a cause for prcs.5tu·e vessel failmc.

8 . The tolerance of t.he shaft is

lc5u - c5d
Tile answer Is (BJ.

D. J
3. The 1J1axi111un1 bolt load is I0.011 mm - 0 . 0 1 9 m m !

= 0.008 llllll

= (0. 1 4) ( 2 G kN) + 7.5 k N The answer is (BJ.

= 1 1 . 14 kN (11 kN)
9. Since the bearin g is unchanged, its basic load rating,
Tiie answer Is (AJ. C' (typical ly obtained a bearing
from catalog), is

unchanged. The bearing life equat.ion is
4. The st. iffncss of the bolt is
l/u p l/n
I LI = 2 lJ:l

A.il1 + A11.i
( ��:)
kb = A,1A1E The life, L, usually has units of revol ut ions but at. any ,

( )
given speed, the dmation is proportional to t.he number
( 1 23 111n12)(88 mm2)(230 CPa) lOG of revolutions. So, can be written in terms of time, /.

/.2 = ti (Pi)"
10/3 for roller bearings.

= ------- ---�


( 1 23 1111112 )(14 mm) + (88 mm2)(0 m m)

( )
mm 2 p2
x 1000

h) �
11 l
l' r: 1 N IU/3
= 1 L146 kN/mrn (HOO kN/mm) = (3000
1 2 kN
The answer Is (CJ. = 1377 h (1400 h)

5. The spring constant. is The answer is (DJ.

£t1 G

( t;J
1 0. The diamet.ral pitch is the number of teeth per unit
8 D3 N length.

( mm) 2
(2 mm)� (80 GPa) 109 Ni + N2
--------- . ,.- di + d2 p p -

, + 2 - -
(8)( 1 2 llllll )
(7) 1000 - 2

( )
Ni + N2

= 13.23 N/mm (13 N/mm) 2(r1 + r2)

Tl1e answer Is (BJ. cm
(20 + 30) 100
6. Calculate the tangential force. (2) (,1.6 cm + 7.2 cm)

( )
, 2T = ( 2 ) ( 1300 N · m m ) = 2 1 1 .9 Ill-I (210 m- 1 )
W =
1 1
d ( 2. 3 cm) 1 0 11 11 The answer is (DJ.

1 1 3.0 N

The rad i al force ii:;
W,. = 11' / tan </> ( 1 1 3.0 N)tan 37°
= 85.18 N (85 N)
The answer Is (C).

P P I • w w w . p p l 2 p a s s . c o m
I . lnt;rorhirt.ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112-1 d cl i n rnetcr ( major) or uuthrea<led slia11J<
2. Dolts . . . . . . . . . . . . . . . . . . . . . 42- . . . . . . . . . . . . . . l e effective
3. J1iveL and Bolt Connedions . . . . . <12-2
. . . . . . . . . iudex or initial ( prelo ad)
4. Bolt Preload . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42-3 111 material, mean, or member
5. Bolt. Torque to Obtain Preload . . .. . 42-6 . . . . . . 111ax 111axi111u111
6. Eccentrically Loaded I3olted Collnect.ions . 42-7 . min minimtm1
7. Fillet. Welds . . . . . . . . .
. . .. . ..
. . . . . . . 42-8 . . . . . . p proof
8. Eccentrically Loaded Welded r rnngn
Connections . . . . . . . . . . . . . . . . . . . . . . . . . . s sepmatiou
s<'p SPpnrntion
Nome11clatu1·e t tensile. tl1readed shank. or torsional
A area Ill
1' torque
A conslnnt 11 vertical
b constant
b width Ill

C joint coefficient 1 . INTRODUCTION

ii diameter Ill A 111achi11e is a c01nbination of sLationary and moveable
J distance m parts that nse or generate energy to per for m some kind
i>ccen t rici t,y m of useful work. The energy produced or consumed can be
mechanical, electrical, t h er mal , or chernieal.

E modu lus of elast.idt.y Pa

Machines are compr ised of parts. A pmt is a stan<laloue
force N
.1 polar moment of inertia 111
component of a machine that typically has no usefulness
on its own and that cannot. be further disasseml>led. Parts
/.: stiffness N/m

may be assembled into units or ele111enls, which are capa­

/( stn•ss co11cent.ratio11 factor

I lengt.h m
length m ble of independent operation. There are severnl kinds of

llJ lllOlrlCIH N·m standard elements, iucludi.J1g mechanisms such as linkages,

11 gems and gear trains, and belts and chain drives, and
struct.mal components sucL as welds, rivets, and bolts.
nu mber of bolts
llb bolt load fact.o r
factor of snfct.y ngainst separatiou /\'1achi11e c/P.sign is the first step in the creation of a
pressure Pa machine and involves the pract.ical application of many
load N disciplines, including kinematics, statics, dynamics,
,. radius m mechanics of materials, and so on. The design stage is
s s trenglh Pa where t.he look and fnnctionality of a machine are
thickness Ill
planned. Common design considerations include mate­
/, l hron l size lU
rial select.ion and availability; size and weight; produc­
T torque N-m tion and maintenance costs; adherence t.o accepted
y weld size 111 design standards; and life and service needs.
fJ deflection
st.ress Pa
There arc three leading specifications for bolt t.h rca d

shear stress Pa

( ANSI ) , the International Organization for Standardiza­


families: the American Nat.ional Standards Institute

tion ( ISO ) metric, and Deutsches Iust.itut Normung


( DIN ) met.ric. 2 ANSI ( essentially identical to SAE Inter-

11 nllowablc or alternating

11aLional ( SAE ) ASTM International ( ASTl\•l ) , and

b boll (fastener)
Stress and strain are c:ovem:l in Chaµ. 2!J. Some of the rnalC'rial in lhL'<
topic in the NCEES FE llefErrnce Hm11.lbook (NCEES H11111/buok) (and,
subsequently, in this chapt er) is baSl'C! al111ost. enlirdy on the conven­ 0ther fastener families intludc the Ttnlia11 Orgnnization for S t andar­
tions (nonienclalurc, tem1inology, variables, and equations) in lhr hook dization (UNI), Swiss Associatiun of l\lndii11cry i\lannfact,mers
Shig/fy's Merhnnical E11gi11eeri11g Des(fJll (Shiglcy's), Ilid w rrl G. R11dy- (VSi\l), Japanese Industrial Standards (JIS), and United Kingdom's
11n:< nml J. l<rith Ni�hc·tl, \•rui01t� editions, i\lcGraw-Jlill, New York, NY. Brit ish Stnnclnrds (OS) series.

P P I • w w w . p p l 2 p a s s . c o m
42-2 F E M E C H fl N I C A L R E V I E \V M A N U I\ L

ISO-inch standard) is widely nsPcl in Lhe U11ited StatPs. Figure 42. 1 Tension Lap Join/
DIN fasteners are widely; available and broadly
accepted.3 ISO metric fast.e1 ers arc used in large voluni'c
by U.S. car manufacturers. The Emopea 11
for Standardization (CEN) sla11dards promulgaled by y
t.he Europea11 Union (EU) have essentially adopted the
ISO standards.
An Ameriran National ( U1 1ifiecl) thread is spccificu by
t.hc sequence of parnmeters S(xL)-N-F-A-(H-E), where •

S is t.he t.hread outside diameter (11orni11al size), L is the

opt.io11al shank length, N is the number of threads per - - - ------
inch, r is the thread pitch family, A is the dass (allow­

ance), and H and E arc the optional hand a11d engage­ A
ment lcngt.h designations. The letter R can be added lo
the thread pitch family to indicate that. the t hread roots

a 3/s x l-16UNC-2A bolt. has a 'J/s in diameter, a l in

arc radiused (for het.ter fatigue resistance). For exarnple,
length, and 16 Unified Coarse threads per i11ch rolled
wil.h a class 2A accmacy.'1 A UNHC bolt; would be Variation
identical except for radiused roots.
T =
The grade of a bolt inuicates the fastener material and is TC

marked on the bolt. cap.«> In this regard, the marking ti

depends on whet.her an SAE grade or ASTi'vl desig1rnt.ion
is used. The minimum proof load (i.e., the maximw11 Description
stress t.he bolt. can support without. acquiring a perma­ One of t.he failure modes is shearing of the com1ectors. In
nent set) increases wit.Ii the grade. (The lerm }Jl'Oof the case of single shew·, each connector supports its
st.renglh is less common.) Jf a bolt is manufactnrPd in
the United States, its caµ must also show t.he logo or proporlionate share of the load. The single shear st.rPss
mark of t.he manufacturer. i 1 1 a bolt or rivet., Eq. 42.1, is calculatP<l from t.he bolt or
rivet's cross-sectional area, A , and the shear load, F.
A metric t.hread is specified by an i\l or M.J and a ln double shear, each connector has two shear planes,
diameter and a pitch in millimeters, in t.hat order. For and the stress per connector is halved.7 (Sec Fig. 42.2.)
example, M IO x 1.5 is a thread having a nominal major
diameter of 10 mm and a pitch of 1.5 mm. The MJ series Figure 42.2 Single and Double Shear
hiwe rounded root fillets and larger minor diameters.

2 2
Figure 112.1 illust.rates a lc11siou lap joint connection
using rivet or bolt connectors.6 U nless the plate material
is very thick, the effects of eccentricity are disregarded.
A connect.ion of t.his type can fail in shear, tension, or
bearing. A common design procedme is to determine the
check the bearing and tensile stresses.
number of connectors based on shear stress and then lo

Equation 42. 1 : Failure by Pure (Single) Shear

T = F/A 42. 1

(a) single shear (b) double shear

'1To add to the confusion, many DIN standards arc identical to ISO
standards. with only slight rliffcrenrcs in the tolerance ranges. llow­ 7"Do111Jlr· st.ear" is not the sarnt' ns "double ri\·et" or "double hntt."
e\•cr, the standards are not intcrchnngcablc in C\'ef)' cnse. Do11blc s/ienr means that thc1c arc two shear planes in one rivet.
1Threads nrc generally rolled, not cut, into a holt. Do11ble 1·iuct means that there arc l\rn ri\·ets along the force path.
r'The l!J/lP. of a structural bolt shonlcl not be confused with the .IJrnde of

Do11ule b 11 tt refers lo the use or two backing plates {i.e., "scnbs") 11s!'<I
a st1 nctnrnl rh•el. 011 cit her side to mnke n tc·11!'io11 connection bet ween two plnte�.
Gllivets arc 11 0 longer used in b11ilcling constructiun, but they are slill Si1 1 1ilmly, sin,qle bull rc fe 1s to the use of a single backing pinto to lllakc
extensively used in rnnnufncl 111 ing. a tension connect ion het 11·cc 11 two plates.

P P I • w w w . p p l 2 p a s s . c o m
F A S T E N E R S 42-3

The plate can also fail by shear lcar-ouL, as illust.rated in 4. BOLT PRELOAD9
Fig. 42.3. The Lhidrness of the piece experiencing tear­
out. is /. It is not. necessary for both assc111ulcd pieces to Consider tlic ungasketcd co1111ection shown in Fig. 42.G.
fail simultaneously in shear lear-out.. The shear stress on The load varies from P11.;11 to P111ax· If t-.he bolt is i11itially
sides of t.he plug is snug but without initial tensiou, the force iu the bolt.
also will vary [rom P111;11 to Prnax· Tf the bolt is tightened
so that. there is an initial [Jl'e/oncl force, F;, greater thau
r= F = F- -- P111ax in addjtiou to t.he applied load, the bolt will be
2A 21.L placed in tension and the parts held together will be in
romprel'sion. 10 \Vhen a load is applied, t.he bolt tension
will increase cve11 more, but. Lhe compression in the parts
Figure 42.3 Silear Tear-Out will decrease.

Figure 42.6 Bolled Tension Joint l'li/h Varying Load

i---- 1

Equation 42.2: Failure by Rupture or by

Crushing of a Rivet o r Member8

a = fi'/A 42.2 a

The stress in a bolt that would cause it. t.o rnpture is
found from Eq. 42.2. (See Pig. 42.4.) F is the shear load,
and A is the net cross-sectional area of the fastener's
t.hi1111est rnember (for rupture) or is the projected area of
a connector (for crushing).

The amount. of compression in the parts, known as the

Figure 42.4 Failure by Rupture
clamping f01·ce or clamp load, will vary as the applied
load varies. The clamped members will carry some of the
applied load, since this varying load has to "uncompress"
the clamped part. as well as lengthen the bolt. The net
re:mlt is the reduction of the vmiation of the force in the
bolt. The initial tension produces a larger mean stress,
but the overall result is the reduction of the alternating
stress. Preloading is an effective method of reducing the
Equation 42.2 can also be used to calculate the stress alternating stress in bolted tension connections.
that would cause a failure due t o member or fastener
crnshing, where A is the projected area of the member or 0-ring (metal and elastomeric) seals permit metal-to­
fastener. (See Fig. 42.5.) metal contact and affect t.he effective spring constant of
the parts very little. However, the seal force tends to
separate bolted parts and must. be added to the applied
Figure 42.5 Failure by Crushmg of Rivet or Member force. The seal force can be obtained from the seal deflec­
t.ion and seal stiffness or from manufacturer's literature.

[u t.he analysis of co1111cclor foilure modes, the NCEES Hmulbook
previously used the varialJlc F t o represent the externally applied load.
tn the following sections covering connector prcloading 1rnd eccentri­
cally loaded connections, the variable P is used to represent externally
applied loads. The variable F si used to represent. internal prcload force
8 or forces aswciated with the connectors.
Altbough t h e NCEES Hnntlbook mentions "t ivets" i n its description,
the applicat.ion is not cxdusivc to rivets. This equation can be used 1 0Uthe init.ial preload force is less than P"'"-" the bolt may still carry R
with bolts and pins. portion of the applied load.

P P I • w w w . p p i 2 p a s s . c o m
42-4 F E M E C M A N I C II L R E V I E W M A N U I\ L

For stat.ic loading, recommended amounts of prcloa<ling tlu·eads 11s11ally are ignored, so the art'a is based 011 the
oflen <'Ire specified as a perceutage of the proof load (or major (nominal) diameter.
proof strenylli), 81,, in �vi Pa. For bolls, l he proof load is
slightly less than t.he yield strength. Trad it ional\y, prc­
load lrns been specified co11servat.ively as 75% of proof
for reusable connectors, and 90% of proof for one-use
connectors. 1 2 Connectors with some d11ct.ility r11n safely
A siwple (linear, elastic;) st.iffness, k (also referred to
be used beyond the .vield point, an<l 100% is now in

as the st.iff11ess conslc111/, spri11r1 co11sto11t, spring rote,
widespread use. 1 3 \\1hen understood, advantages of prc-
and rigidity), can he ralcnlnted rrorn basic; engineering
loading to I 00% of proof load often out. weigh the principles for a single co111pone11t (<".g., bolt. or
disadvantages. 1•1
damped plate).
If the applied lo11cl varies, the forces in t.hc boll. and parts
will also vary. In that case, the preload m11st he deter­ = f_ = _f_ = A E
mined from an analysis of the Goo<lmau line. r5 FL L
Tightening of a tension bolt. will induce a torsional st ress AE
in t.hc boll. 11: ; Where t he bolt is to be locked in place, t.he
torsional st ress ran be removed without greatly affecting The cross-sectionnl area in tension for a bolt is well­
l he preload by slightly backing off the bolt. If t.he bolt. is
dcfincd. However, the cross-sect.ional area of a
subject to cyclic loading, t.he boll will probably slip hark clamped plate t hat. cont.ribulcs to stiffuess is difficult.
by ilsulf, and it is reasonable to neglect the effects of lo define and usually must be assumed. The simplest
torsion in t.he bolt altogether. (This is the reason t.hat. Ftss11mpt.ion is t.hat. t.hc effective area in compression is
well-designed connect.ions allow for a loss of 5- LO% of an a11nular cylinder with inside diameter equal Lo I.Le
t.he init.ial preload dttring routiue use.) bolt. diameter and an outside diameter equal to 2.5

ocls (e.g., t.bc double-corw co111pression area) are in

tinws the bolt cliametPt'. Other non-cylindrical 111ctli­
St.ress concenlrnlicms at. the bcgi11ui11g of the threaded
section are significant in cyclic loadi11g. 1 u To avoid a widespread use. In or<ler to calculalc the co111prcssio11
reduction in fat.iguc life, the alternating stress used in area, a specific compression area theory must be
the Goodman line should be multiplied by an appro­ selected.
priate stress co11ce11t.ral.io11 factor, ](. For fasteners
with rolled threads, an average factor of 2.2 for SAE If a bolt. consists of threaded and 11nthreaded sections
grades 0-2 (mct.ric grades 3.6-5.8) is appropriate. For with different lengths and areas, the bolt will behave as
SAE grades 4-8 (metric grades 6.6-10.9), an average two springs in series. The total bolt stiffness can be
fact.or of 3.0 is appropriate. Stress concentration fac­ calculated from the stiffness of each sect.ion.
tors for the fillet under t.he bolt head arc different , but
lower than lhesc values. Stress concentration factors --- + l
for cut thrPads are much higher. k1111r�1l.-I h\111tl11eJdl'< I
The stress in a bolt depends on its load-carryi11g area.
Similarly, for lwo or more clamped plates (plus g11skets
This area is typically obtained from a table of boll
and washers), the combined stiffness of the 111e111bcrs in
properties. In, except for loading near the bolt's
failure load, working stresses are low, and the effects of compression is

is rC'forrcd to as a "r ule of thumb" spedfirnt ion , ht>cn11se a

1 1 This
111nthe111atirnl am1lytiis is not performed to determine the bC'St prelond.
So111c U.S. 1n i li t a1y bpcdficat ions call for 80% of proof lond in tension Equation 42.3 Through Eq. 42.9: Threaded
fastc11e1s n11<1 only 30% for shear fasteners. The objecl of keeping thr
slrC'SSC's lwluw yicldi11g is to be able to reuse the bol ts.
1 aE\'C'n 11 11<lr·r 11omwl l'lribtic loading of a bolt, local plastic defo1 mntio11
occms i11 t he bolt-hrnd fillet and thread roots. Since the stre:-s-st 1f1in +
c1u ,.c is nearly Of1l 11t the yirld point, a smaU amow1t of elo11g11tion into
F,, = CP F, IF,,, < 01 42.3
the plast ic r<".;ion <!()('$ not increase the stress or tension in the bolt. F ,,, = (1 - C) P - F , [F'" < OI 42.4
1�The cli�nclrn11tng1-s nre: (a) Field mai11ten ai1ce probably won't be
c = k1,/(k,, + k,,.)

possible, as 11w1111fllly running up bolts to 100% proof will result in
mnny broken bolts. (b) Bolts should not be reused, as some will hnve k,, A ,1 A 1E
yielded . (c) The highrst-strength bolts do not exhibit much plnslic 42.6
AJl1 + A , !,,
clongiil ion nml ordi narily should not be run up to 100% proof lond.
· A11 nrg11111r11t for the conservative 75% of proof lond preloncl limit is k,,, = dEAPh( d/ I) 42.7
lhnt lhe 1 esitlual torsio11al stress will increase the bolt st ress to !JO% or
higher n11ywa,1·, and the additional 10% needed to b ring t h e preload up a,. = CP/2A1 42.B
lo 100% probably won't improve economic pe1 fon11n11cc 11111ch. a,,, = a., + F;/ A 1 42.9
ll lSt ress co mx'nt ;ations are frequent l,1· neglected for slatic landing.

P P I • w w w . 1> p i 2 p a s s . c o m
l' A S T E PJ E R S 42-5

Values lhP bolt. The a/t.en10/.i11g stress is rnlrnlated from one-­

half of t.he force excursion.
Table 112. t Repiesenta/ive Constants for Jami MernhP.r Malet ials
1nfllPrial A Ii PllllLX - P,,,;,,
a,, =

s t eel 0.78715 U.62873
nl11mi1111rn U.79G70 0 . 63 81 6 The range s/.ress is defined as t.wice the alternal.iug
copper 0.7!J568 0.63553 st.ress i e stress excursion
au<l represen t tl1c cut.r between
gray cnsl iron 0.77871 t).()161()
Clrna_x and arnin·

The force tarried by t.he bolt , Fb, and cmriecl by the
mcwlJcrs, F1111 i11 a l. h readed connect.ion an' rnlculated The mean stress is a fnnct.ion of the bolt preload mid the
from E<]. 42.3 am! Eq. 42.4, respect.ively. 1 7 F; is tile bolt

average applied load.

s ,
Equatio11 42.5 calculates th oi n l coefficient, C, 18 from · + Prnax - Prni11
the of the bolt s ti ffne s J.:0, Eq . 42.6, to the su m of <l111 = ---- "-
---' --

the stiffnesses i n tLe bolt and in l.he members, k,,11 At

Eq. 42.7. Equal.ion 42.7 n be used to calculate the

st.iffoess of two or more members connected by a bo l t
or rivet a s long a s all members are of t h e same material,
A bol ted joint with a joint coefficient. of 0 . 2 experiences
an external tension from () kN to 5 kN. The
and the length used is the sum of the mc1nbcr thick­
Common values of A a nd b are given in
20 bolt i s initially preloaded t.o 10 k N . What. is most nearly
Table 42 . 1 .
the maxim11m tensile force in t.he bolt?
\:Vhen 1:tn externally applied load varies over a range of (A) 5 . 0 kN
P111i11 and P,nrL·o t he altenrnling stress, a,,, and mean

( C)
stress, a,,,, are found from Eq. 42.8 and Eq. 42.!J. These (B) 11 k N
arc shown on Pig. 42.6 for a si nuso i dal l oading. In 1 2 kN
Eq. 42.8, C is the fraction of the load, P, carried by
(D) 15 kN

1 7The NCEES llandbook qualifies Eq. 42.3 and Eq. 42.4 with the lahC'I 42.3, the maximum boll. load i s

i gi ,•en a negative sign, so l he NCfJfJS

From Eq.

Fb.111ax = GP + F, = (0.2)(5 k N )
"Fm < 0." The meaujng of this label is uncertain. In sl 1 ucturnl n11<1ly­
sis, a compressive force or stress s +
10 k N
//andbook probably intends "Fn, < O" to indicate lhal lire force iu l hc
clamped memben; is a compressive force. However, a nrgative value of = 11 kN
Fm is inconsistent with and caunot be der ived fro111 Eq. 42.4, since
both F; and P are tensile (positive) forces . Al a 111i11i1n111n, the label
seems to be incompatible with Eq. 42.4. Tile answer is (8).
18(1) The NCEES Hn11dbook uscs the tcnn "joint coefficient" to
de:;cribe the relative sliffm� of the connector (i.e., bolt.). While this
term is consistent with the ll'mr inology used in Shig/ey's, the joint Equation 42.10 and Eq. 42.1 1 : Threaded
coefficient is ac tually the rcfoli11c slif/ of lhe connector (i.e., the Fastener Design Factors
frn1;t ion of the load I hal is carried hy the connec tor) . What the
NCEES Handbook characlcrizcs ns a "joint" property is ac l11ally a
property of the connec tor in the conncdor-111c1nbcr assembly. (2) This nb = (S1.A t - F;)/ CP 42. 10
parameter i.s so111eti111es referred lo as lire 1·e/alive rigidity, 1·elotive
rigidity rntio, loud s/ia1'i119 rntiu, food fnctur, and preloud efficirncy n,, = F,/[P(l - C)] 42. 1 1
factor by at.her authorities. J\llhough the sym bol C is w;erl in Shigley's
and occasionally elsewhere, ¢ and .P arc also co1111 1 1on symbols. Description

10Thc NCEES H1111dbook usC'S 11 as a m11sta11l in Eq. 42.7 while also
tilling A in Eq. 42.6 to designate "nre>a." These two quantities are not There arc t\"vo requirements for the assembly to be­
the same, and the A in Eq. 42.7 is not lllt are>a. factorily designed: ( 1 ) The s tress in t.he bolt. must be less
20(1) As already mentioned, it is difficult lo de>finc the compm<;sion
area of clamped parts, and, therefore, il is diftlcnlt to define the than some max i mum stress, a nd (2) the a sembly must
stiffness of those parts. Equation 42.7 circu11wcnts t liC'SC difficulties not separate. Two ratios, nb and 11", one for each require­
by presenting a conven ient correlation. The correlation is (presum­ ment, can be defined wit.h the requirement. that each must
ably) based on obsen•ation and curYe fitting, but it rn1111ot be derived be greater tlim1 or equal to 1.0 for satisfactory operation .
from engineering fundamentals. (2) The NCEES Ha111/book presents
the correlation constants in Table 42.l without bad;gro1 111d theory,
qualificat ion, limitation, or source authority. Thew values are for lhc n0 > 1; 118 > 1 [satisfactory operation]
rnn,·enience of the FE exam and are not for design use.

P P I • w w w . p p i 2 p a s s . c o m
42-6 FE M E C H A N I C A L R E V I E VI M A I'� U I\ L

l n order to evaluate t.lw fi rst requirerncnt., the lll<L'-.i mum Example

allowable stress has to be determined. ror this partic­ A pressure vessel Oa11ge has a11 inside diameter of 2fi cm .
t.o get. au equation in terms of stress, a 11 of Lite force
ular case, the bolt's proof st.rength, S1,, is used. In order The flange is connected to t.he vessel using 8 bolls that.
have a bolt prcload of 11! kN. The joint coefficient. is 0.4,
terms in Eq. 42.3 arc divided by the tensile stre.o;;s :'lrPa of anrl the joint. separat.io11 safely factor is 4. What is most
t.he bolt., i-11. 11ea rl.v the maximum design vessel pressure?
(A) 0 . 7 3 �l'l Pa
CP + F;
ab = -
Fb .
1 = AI < 51, ( B) 0.95 :MPa
I: I
(C ) 1 . 3 \i . fPa
Although iL makes scuse to define R factor of safely (D) 2.3 MPa
against overstress as Sr./a&, an alternate decision is to
define Lhe factor of safety based 011 the force margin. I f
the mtnumum allowable force i n the bolt i s Sl'J-11, and if

margin of SpAt - F; is available for additional loading.

the bolt is installed wit.h a prestress of F';, only t.he force R earrange Eq. 42 . 1 1 lo calculate l.he load on eacl1 Lolt.
n., = Fif[P( l - C)]
81 , A , - F;. Then, si n ce the actual load c11rriect by t.he
In other words, t.he ma..-ximurn exlernal lensilc load is

(<1) ( 1 - 0.4)
14 kN
boll. is CP, the ratio of force margin to acLual load is
given by Eq. 42. 1 0 . The Jm·cc margin ratio is� 1
= 5.83 kN/boJt,
The design vessel pressme is
F - Pn
- 11

(s.s3 �) (s bolts) ( 100 �)2

The clamped members will not separate ( i .e., will
remain together) as long as tltey are in compression. <1
The compression force is a d irect. result of the bolt

rr ( 25 crn ) 2
preload, and if a separating force equal to the preload
is applied to the members, separation will occur. A t
separation, the bolt canies the entire applierl load, 4
and assembly stiffness equals Lhe bolt stiffness. The
joint separal.io11 ratio is defined as the ratio of the = 0.95 MPa
external load that would cause separati011, Pscpi to
the actual load. 22 This is the b asis of Eq. 4 2 . 1 J . The
The answer is (B).
joint scparntion ratio is
· · · · · · · · · ·············· , . ... . . . . . . .. . ... . ,
··············-······-··-··· . . . . . . . . . . . . . ...... . . . . . . . . . . . . .. .. .... . .. .

During 11ssembly, the preloacl tension is not monitored
P(l - C) directly. R ather, the torque required to tighten the bolt
is nsed to determine when the µroper preloacl has been
reached. tlfot.110ds of obtaining the required preloacl
include the standard torque wrench, the nw-of-thc-nut
2 1 This book refC'rs lo 11b in Eq. 42. L O m; the "force margin ratio." The
method (e.g., turning the bolt some specific angle past
NCEES Handbook refers lo llb as lhe "bolt. load factor." That name is snugging torque), dircct-tc11sio11 indicating (DTI)
consistent. with Shiglcy's but is inappropriate. ln bolted joints, lhe washers, and computerized automatic assem bly.
term "bolt loarl facto1'' gcnc·rally rcfcrn lo the relati\'e stiffness ratio,
which tbe NCEES Tfo111/book mils the "joint coefficient," C (which is The standard 1mwual torque wrench does not provide
also u Shigley's c:o1l\'c11lio11). The way that llb is calculated has been precise, reliable preloacls, since the fractiou of the torque
definerl specifically by source document, not by engineering fu11da­ going into bolt. tension is variable. 2a Torque-, angle-,
mentals. Hm1•e1•cr, c1·cn t.hc source do�ument, Shi,qley's, dearly ir1di­
and time-monitoring cquipruent, usually part of an
cates tbal lhc 113111c has been concocted by the aut hors hy saying
"llere we have callc<l u a load factor. . . ." Unless the name is clarifir'll automated assembly operation, is essential to obtaining
as ". . . thP load factor as defined by Shigley's. . . ," the tem1 "loacl factor" precise prcloads on a consistent basis. It automatically
cannot be rccoguizc<l as referring to Eq. 42.10. Outside of S/iiyley's, l he applies the snugging torque and specified rotation, then
"load factor" 111eans :;omething else.
checks the results with torque and rotation sensors. The
22(1) This book refers to 11, in Eq. 42.11 as the "joint separation ratio,"

follows Shiglcy's. ln this case, however, the NCEES Ha11dbook uses the
not. n facto r of safety. (2) Tlie derivation of 11.. pre.<;cnted here ogai1 1
computer warns of out-of-spec conditions.

is lost in lhrend friction, and only the remaining 10% gO!'S into tension­
term "factor of safety" instead of Shigley 's "load factor," prohnbly lo nEven witb good lubrication, about 50% of the torque goes into
avoid the ambiguity of having two quantities with the same name, overcoming friction bet.ween the ltrarl nml collar/nange, anotlwr 40%
"load factor." (2) There is no significance lo the use of square brackets
in Eq. 42.11. ing the connector.

P P I • w w w . p p i 2 p a s s . c o m
F A S T E N E R S 42-7

Equation 4 2. 1 2: Tightening Torque for a 6. ECCENTRICALlV LOADED IBOL TIED

Steel Bolt in a Steel Member CONNECTIONS
An eccen trically loaded co1111eclion is illustral.ed in
T = 0.2P,rl 42. 12 Fig. 42.7. The bracket'::; natmal tendency is to rotate
abouL t.he ccnl.roid of t.he conncclor group. The shear
Variation stress in the connectors includes both the direct verl.ical
shear aud the torsional shear stress. The sum of these
shear stresses is limited by t.he shear sLrengl.h of the
crif.ica/ corrneclor, which in tnrn determines the capac­
ity of the conncctio111 as limiLcd by boll shear stnmgth.20
Description The critical fastener is the fastener that is located the
The Maney formula is a simple (and, approximate) farthest from the fastener group's centroid. When fas­
relationship between the initial bolt tension, F;, and teners are arranged symmet.rically, all fasteners may
the installation torque, T. Equation 42. J 2 applies only simultaneon::;ly be critical.
to steel bolts in steel members.2.J
The !\•Laney formula shown in the variation equation Figure 42. 7 Eccentrically Loaded Connection
11:,;es the tol'qtte coefficient, 1(7' (also known as the b olt
torque factor, lorq11e-friclio11 coefficient, and the nut.
the coefficient. of friction, J The torque coefficient for
factor), to account for the difference iu materials and _
--i- _
e _

lubricated bolts generally varies from 0.15 to 0.20, and a

value of 0.2 is commonly used.2r' ·with antiseize lubrica­ centroid of
tion, it can drop as low a::; 0.12. (The torque coefficient is group
not the same as the coefficient of friction .) 0 0

The initial bolt tension on a 16 mm steel bolt is 45 kN.
'\'hat is most nearly the approximate torque required to
t.ighten the bolt?
(A) 85 kN·mm The n10111cnt (or torque) on the conucctor b'Toup due to
a force, P, acting with an eccentricity, e, is
(B) 1 1 0 kN·mm
(C) 140 kN·mm Al = Pe
(D) 180 k1'1J llllll

Analogous to a = Mc/ I for beam bending and r = Tr/ J

Solution for shaft twisting, the torsional shear stress in a fastener

r = Afr/ J. Performing an elastic analysis of a connector

due to a moment 011 a bracket. from an eccentric load is
The approximate required torque is
group often comes down to determini11g the polar
T = 0.2F;d = (0.2)(45 kN) ( 1 6 mm) moment of inertia, of the fastener group.
= 144 kN·mm (140 kN·mm) The polar moment of inertia, J, is calculated from the
parallel axi::; theorem. Since bolt::; and rivet.s have little
resistance to twisting in their holes, their individual polar
The answer is (C). moments of i J1ertia are onlittecl.27 Only the r 2 A terms in
the parallel a.xis theorem arc used. r; is the distance from
the fastener group centroid to the centroid (i.e., center) of
2�(1) As specified in the NCEES Ha11clbook, Eq. 42.12 is an approxi­ the ith fastener, which has an area of Ai.
mation limited to steel bolts and mcmlx'rs. fu addition to those limi­
tations, use of the 0.2 cocfficicut is further restricted lo plain-finishc<l,
uncoated, unlubricated (i.e., "dry") bolts. Different valurs would be
used for zinc- or cadmium-plated bolls, and in installations using
Teflonrn wrnp or molybdenum disulfide grease, for example. (2) Equa­
tion ,J2.12 is in common use, but it is not. derived frolll e11gillt'C'ring
principles. It si recognized by engineers to be a crude approximation at
be>�. There are more rigorous methods of relati11g the tightening 2'7his type of a11alysis is known as an elastic analysis of the co11nec­
torque to the initial preload. tion. Although it i.s traditional, it tends to greatly understate the
2·5\Vit h a coefficient. of friction of 0.15, the torque coe£ficient. is approx­ capacit.y of the collllection.
imately 0.20 for most bolt. sizes, regardless of whether the threads arc 27Iu spot-welded and welded stud connections, the torsional resistance
coarse or fine. of each connector can be considered.

P P I • w w w . p p i 2 p a s s . c o m
42-8 F E M E C H A N I C A L R E V I E W M A N U A L

The torsional shear stress is <lirect.ed perpPndicularly to Description

Fastener groups iu shear are illustrated in Fig. 42.8. w
a liuc betwecu each fastener au<l the conucctor group
centroid. The direction of the shear stress is the same as
The fastener group's ccul.roicl, i11 coordinate foru1 (x, y),
is lornted Hsing Eq. tl2.13 and Eq. 42. l tl. n is the total
the rotatiou of t.he connect.ion.
Once I.he torsional shear stress has been determined i11 uumbcr of fasteucrs, aHd i is the index number of a given
the critical fastener, it is added in a vector snm to the fastener. For an it.It fastener, A ; ls [.he cross-sectional
direct. vertical shear stress. The clirectiou of the vertical iuea, and .7'; and .1/; are the ;i'- and y-coordinates, respec­
shear stress is Lhe same as that of the applied force. t.ivcly, of the of the fast.euer.

jJ Figure 42.8 f-astener Groups in Shear

Tu = -

Typical connections gain great strength from the fric­

tional slip resistauce Let.ween the two surfaces. I3y
preloading the connection bolts, the normal force
between the plates is greatly increased. The connection
strength from friction will rival or exceed I.he sl.rcngl.h
from bolt shear in connections that are designed to
take advantage of preload.

Equation 42.1 3 Through Eq. 42. 1 6: Fastener

Groups 28

L A ,:r,
If The total shear force on a fastener is t.he vector sLun of

moment.. T he direct. shear force, F1 , acts in the direction

the direct shear an<l the torsional shear caused by the
' "" 1 _

iL= I A;
"P = -
of the direct :;hear, P, and is calculated from Eq. t12.15. If
_ _ 42. 13

all of Lhe connectors have the same area, A , the area term

the connectors. In that case, only the ratio r; / .l: r ? is

will drop ont when distributing tile total resisting force to

-y = -i=lL-,,-A,!J;- needed, and the shear force, F2 , due to the moment, 1\1, is

42. 14 fotmd from Eq. 42.16. l f a line is drawn from the fastener
L: A; group centroid to the center of a given fastener, the
, .., , torsional shear force will act perpendicular to that Linc.

I F !il =-
p 42. 15
The common fillet. weld is shown in Fig. 42.9. Such welds
42 . 1 6

load, F, is assumed to be carried in shear by t.he effective

are used to connect one plate to another. The applied

weld The effective throat. size, t , is related to t.he


2�(1) Subscripts "l" nncl "2" nrc nscd in t he NCEES Hrmdbook tu weld size, y, by
represent the two componP11ts of cccc11 liic connector group
force-"direct shear" and "torsional shenr," rcspccth·cly. The sub­
scripts do not. refer lo connectors l nnd 2. (2) As used by thr NCEES
Handbook, the absolute \•nluc bats i n Eq. 42.15 a11d Eq. 42.16 arc
confusing nnd mnt l1c1nnt icnlly incorrect for the following reasons:
(n) As shown in Fig. 42.8, whcthC'r the direct aml torsio11nl shears

llarulbook shows
ndd or subtract depends 011 the fastcnC'r. So, u11lC'ss thes(• t.wo equations 29(1) Figure 42.8 shows the applied force, P, applied with au eccen­
arc li111itcd to use at the criticnl fastener where both vnluC>s add, the tricit.y with respect. to the fastener KfOUp centroid. 1n its equivalent.
signs MC important. Aud, even then, the rt'Sulting forces may be figme, the NCEES the applied force, P, acting
directed in tlic ncgat h·c direct.ion. (b) !\lathc111atically, because of the through the centroid of the fastener group, which would be unable to

k nlso
nbsolutc valucs, the left-hand sides of thl'SC equations arc always generate the moment-related forces shown. (2) The fasteners in
positive, wliile the signs of the right-hand sides are derived from the Fig. •12.8 are numbered l through ,l. Rather tlw11 using more descrip­
signs of P and M and may be negative. Therefore, depending 011 the tive letters or sy111hols, the NCEES Handboo uses n11mcricnl
fastener, the eqnat.ious could represent "positive = Degat.ive." If the subscripts I nnd 2 to <lesignnte the type o( rcnction generated (i.e.,
intent is to have only positi,·e values of F1 and F2, the absolute vnlue I = dirC'Ct shcnr, and 2 = torsional shear). This can l end to consitlcr­
of the right-hand sides should be taken. To eliminate any nmbiguit)', nblc confusion when trying to determine the 111cnning of such a111big­
the absolute value of both sides shoulcl he taken. uous variables as F12 and F21 •

P P I • w w w . p p l 2 p a s s . c o m
F A S T E N E R S 42-9

Figure 42.9 Fillet Lap Weld and Symbol 8. IECCENTRICALLY LOADED WIELDED

The traditional elast.ic analysis of au ecce11t.rically
loaded welded com1cct.ioH is virtually the smne as for a
boltPd connection, with the additio11al complication of
haviug to determi1w t.he polar moment of inertia of the
welcls This call be douc eit.her by taking t.he \VPlds as
.. m
lines by assuming each weld has au aruit.rary thick­

ness, I. After finding the cent.mid of t.he weld group, the

rectangular moments of inertia of the iuclividnal welds
arc takeu about. that centroid using the parallel mus
t. heorem. Tl1ese red.angular moments of inertia are
added to determine the polar rnomeut of i11ertia.
The torsional sl!f'ar stress, calculated fro111 1\frj J (where
r is the distance from t.he centroid of t.lie weld group lo
the most. dist.ant weld point), is added ve<.:torially to the
direct s]JQar to determine the maximum shear st.rcss at any increased sl.rcsscs due to eccc11tricity, the the rrit.ical weld point.
shear st.ress in a fillet. lap weld depends on the effective
th mat. thickness, l,, and is

1" = -
\Veld (filler) should have a strength equal to or
greater thau t.he base rnatcrial. Properties of filler
metals are readily available from their manufacturers
nnd, for staudnrd rated welding rods, from engineering

eccentric n
building design does not use an elastic a alysis to design
brackets, eit her bolled or welded. The design methodology
is higl tly prucedurnlized and codified.

P P I • w w w . p p i 2 p a s s . c o m

1. Springs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-2 f, length 111
2. Spring �vlat.erials . . . . . . . . . . . . . . . . . . . . . . . . 43-2 length of line of act.ion 111
3. Allowable Spring St.rcsses: Static Loading . . 43-2 Ill module UlJU
4. Helical Compression Springs: Static m,. velocity ratio

Loading . . . . . . . . .. ..........
. . . . . . . . . . 43-2 11 rotat ional speed rev /min
5. Helical Colllpression Springs: Design . . . . . . 113-6 number
6. Helical Torsion Springs . . . . . . . . . . . . . . . . . . 43-G p cin:ttlar pitch mm
7. Flat and Leaf Springs . . . . . . . . . . . . . . . . . . . . 43-7 p spring pitch Ill
8. Spm Gear Terminology . . . . ... .. . . . . . . . . . 43-7 P diametral pitch 1 / 1 11
D. Gear Train Terminology .. . ... . . . . . . . . . . . 43-9 P force or load N
10. Gear Sets and Gear Drives . . . . . . . . . . . . . . . 113-D P power k\V
11. Mesh Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . 43-10 r ratl ius Ill
12. Force Analysis of Spur Gears . . . . . . . . . . . . . 43-10 RVR relative velocity ratio
13. Design of Gear Trains . . . . . . . . . . . . . . . . . . . 43- 1 1 S strength Pa
14. Epicyclic Gear Sets . . . . . . . . . . . . . . . . . . . . . . •13-11 T torque N-m
15. Analysis of Simple Epicyclic Gear Sets . . . . <13- 1 2 v velocity m/s
16. Ball, Roller, and Needle Benrings . . . . . . . . . •13-13 I' rolling element bearing factor
17. Bearing Capacity . . . . . . . . . . . . . . . . . . . . . . . . 43-14 VR velocity ratio
18. Rolling Element Bearing Life . .. . . . . . . . . . . t13-11J w width 111111
19. Power Screws and Screw Jacks . . . . . . . . . . . 43- 1 5 II' force Pa
20. Four-Bar Linkages . . . . . ... . . . . . . . . . . . . . . . 43-16 II' Wah l correct.ion factor
x deOection m
X radial load t.hrnst factor
Y axial load thrust. factor
a life adjustment factor
A allowance Symbols
c basic bearing load rating N a angular acceleration rad/s
c center-to-center tlistauce Ill 1/ efficiency
c spring index 0 augle deg

Gu basic bearing static load rating N 0 deOection rad

Cr basic bearing rating N p coefficient of friction
cl diameter mm // Poisson's ratio
D diameter 1 1 1 111 (J nllowable stress Pa
e eccent.ricity 111111 r shear st.ress Pa
e rolling element bearing factor cl> angle rad
E 111od11l11s of elasticity Pa (c) angular velocity rad/s
F force N (c) rotational speed rad/s
Fr 111oment. N·m
G' shear modulus Pa
II power k\V Subscripts
J:. spring constant N·m/rad 0 free
/( correction factor a active or axial
I lead Ill Ii base
L design life rev c circular, clash, or collar
e end

Somc of the material in this topic in the NCEES FE Rc/cret1ce

1 eq equivalent.
Hm1dbook (NCEES lla11dbook) (and, subsequently, in this chapter) is I first or frict.ional
bllsed nlmost ent irely on the co11vc11tions (nomenclature, terminology, inner
,·arinblrs, nnd equations) in the book Shigley s J\lechanical Engineer­ '
L last or lower
i119 Design (Shigley's) , Richard G. Budynas nm! J. I<eith Nisbett,
various editions, i\IcGrnw-llill, New York, l\'Y. 111 mean

P P I • w w w . p p l 2 p a s s . c o m
43-2 F E M E C H A N I C I\ L R E V I E \'/ M A N U A L

outer l\faterials suitable for fa ti gue

servicf' include music wire


/' radial or rntcd (ASTi'

vI A228), carbou aud alloy valve spriug wire
I? raise (ASTM A230), chrome-vnnacliurn ( A STM A232), beryl­
s solid, spring, static, or strcngf Lirn 1 1 copper (ASTM B197), phosphor bronze (ASTM

I!, tensile, or total B 1 59), and, lo n lesser degree, type-302 staiukss steel
(ASTM A 3 1 3 ) . Shotpee11i11g (sl.resspeP.ning) is one of [.he
'1' torque
bl'st methods for iucreasi11g a spring's fatigue life.
ll ult irnale
v velocity
w working
!I yield
Helical compression and extension springs experience
torsional shear stresses. The yield st.reugth in shear is

mon ways of ch<;iosing the ma,xi nrn m

1 . SPRINGS 2 the theoretical maximum st.ress. There arc l.hrcc com­
a llowable shear
.... ····-

A11 ideal sp1·i11g is assumed to

be perfectly elastic wit.hiu stress for sLalic scrvicc.'1
its working range. The dencctiou is as:mmed to be l inear
:1 1. Selecting the allowable stress based on some per­
awl to follow Hooke 's law (see Eq. t! 0. 1 3) .
centage of the ultimate Lensilc strength is the most.
A spring stores energy when i t is compressed or cxtc11<lcd. common method. For ferrous materiah; except for
By t.he work-cne1:qy pri11ciple, the energy storage is equal ausLenit.ic sLai11less, the percent.age is approximately
to the work required to displace Lhc spri11g. 1J5% to 65%. For nonfermus and austenitic stainless,
the percent.age is approxi 1 1 1 at.cly 35% to 55%. The
lower limit should be used for unconstrained designs
2. SPRING MATERIALS · - · · · · - - · · · · · · · · " ···-·········. . . . . . . . ............... . . . . ........................ . ( i . e . , the spring d i a 1netcr can be as large as ueecssary
A wide variety of materials arn used for sprwgs, iuclucUng to keep the stresses low). The higher l i m i t is used
high-carbon steel, stain less steel and vnrious alloys, when space is limited a11d higher stresses arc

silicon-bronze) .
n iclrnl-hnsed alloys (e.g., iJ1co11cl), a11d copper-based alloys unavoidable. 5
(e.g., phosphor-bronze and "Super-alloys"
2. t h e allowable stress based on the yield
are used for high-tcrnpernttll'e and highly corrosive envi­
strength iu shear i s probably the most theoretically
rmunents. Spring rate, fatigue st.rength, tcmpcrattll'c rigorous method. The yield slrengt.h in shear can be
range, corrosion resistance, magnetic properties, and rost
calculated from the tensile yield strength using either
1ue all c.:onside.rations.
Lhe maximum shear sLrcss or the distort.ion energy
Springs man11factmed from prchardenc<l materials are theory. If called for, a factor of safety of approxi­
generally strrss-rnUeved i n a low-temper at ure process by mately 1 . 5 is appropriate for ferrous springs.
heating to between 200°0 and 430°C after forming.
3. Some specificat.ions limit the torsional shear stress to
Springs with intricate shapes mnst be ma n u fac tmed frolll a percentage of the tensile yield strength.
am1ealed ma le.ria ls and be subsequently strengthened i n
high-temperature processes. They are first quenched t.o Some springs (e.g., Oat leaf springs and helical torsion
full hardness and then tempered. Age-hardenable materi­ springs) experience a be11di11g stress. Such springs arc
als (e.g., beryllium copper) can be strengthened simply l i1nited by t.he tensile yield strength of the spring
by heating forming. material.

Most. springs arc col<l-wound. Springs with wire cliallle­

ters much in excess of 12 nun or 16 n u n arc wound while 4. HELICAL COMPRESSION SPRINGS:
reel hot. A lthough the design methods are essen tially the STATIC LOADING
same for hot-wound and cold-wound springs, the allow­
able stresses are reduced approximately 20%, and Lhe Spring Design
modulus is reduced slightly (approximately 9% for the
shear modulus and approximately 5% for t.he elastic The end treatment shown in Fig. 43. 1 a ffects a spring's
modulus). There arc other unique issues and special solid length and The exact effects arc not always
uceds associated with l.he manufacturiug of hot-wound obvious. Table 43. l conta i ns relat.ionships that are
springs, as well. accepted for design use.

Thc NCEb'S Jlamlbook does not ,
say so but, tho equal ions and values
for b']Jring design are spccifiC'ally li111ilctl lo spriugs manufactured from These methods apply to h elical compression and extension springs.
round wire. Reconunended percentnges are di feren t for other types of springs.
3,\ spring can be perfectly el ast ic even though it does 110! follow For highly precise springs wit h minimum hysteresis, creep, aud drift,

sll'lliy/il li11e Cl'l'or.

Hooke's law. The deviation frrnn propurtiuuality, if any, occw-s at. very the percentages quoted in this seclion should be rcciuccd.
The tensile yield st rength can he estimated for ferrou.� spring materi­
high loads. The difference in thcorcl-icnl and actual spring forces is
known as t he al� as 711% of lite ultimate tensile strength.

P P I • w w w . p p i 2 p a s s . c o m
M J\ C H I N E D E S I G U 43-3

Figure 13. 1 End Treatment of Helical Compression Springs Numbe.- of Active Coils

The 11umhPr of ncl.iue coils (i.e., "turns") in n helical
spring is less titan or PCJltal to the Lolnl number of coils,
depe11diug on t.he metlto<l of finishing �he cuds. When a
hclkal compression spring has plnin ends (i.e., neither
squared nor ground), all of the coils contribute to spri11g
force. lu t.hal. case, the total 11umber of coils, N1, is equal
to t.he number of active coils, N. However, most desig11s
call for squaring and/or grim.ling the ends iu order t o

coi Is, N'" is given in Ta hie 43 . 1 for va rio11s end l.reat­

obtain better seat.iug for the spring. The number o f cud

me11 ts. Normally, there should he at least two active

coils. At tlte spring end, if the pitch is reduced such that
plain ends p la i n-a nd ­ squared squared-and­ the space between the wire Lip and the next coil is
ground ends ends ground ends eliminated, the cud is refPrred to as dosed. If there is
no reduction in pitch at the eud coils, t.he end is referred
to as open. Closiug the ends is the most. common end
Table 43. 1 Effect of End Treatment on Helical Compression
Sp1i11gs t.reat.ment for commercial/industrial springs.
ty!)(' of spring ends The total spriug wire length is t!Jc length of wire in the
plain 1111<1 squared squared coils. Tbe actiue wire le11 .<1lh is calculated from the num­
term pl a in gro1111cl or clo�•·d and r;round ber of active coils, N.
end coils, (I I 2 2
N, L" = rrDN
total coilli, N N+ I N+2 N+2 Example
N, A spring has G active coils, and the ends arc squared and
free length, 11N + il p(N 1- 1 ) pN + 3d pN + 2d ground. \\That is the number of coils't
Lu (A) 4
solid length, d(N, + 1) dN1 d(N1 + I ) dN1
(B) 6
pitch, p (l....1 - d)/N L.,,/(N + 1.) (L., - 3 d)/N ( f'll - 2d)/N (C) 7
(D) 8
The solid deflection is calculated from the free and soljd
hcighls.7 Solution

From Table 43. 1 , for squared and ground spriug ends,

the total number of coils is
The sprin_q pi/cit (coil pitch), p, is the mcau coil sepa­
rntio11. The solid /iei_qltl (compressed height.) is given iu N1 = N + Ne = N + 2 = 6 + 2
Table 43.1. The clash a/lowa11ce, Ac, is the percentage
difference in solid aud working deflections. It should be
approximately 203. The answer is (DJ.

The lie/ix direction for siugle springs cau be either right Equ ation 43. 1 : Spring Index
hand or left haud. If the spriug works over a threaded
member, the winding direction should be opposite of the C = D/ d 43. 1
thread direction. 'Vit.h two nested springs (i.e., one
spring inside the other), the winding directions must
he opposite to prevent intermeshing. Also for nested Description

2/J of the total load. The solid and free heights of both
springs, t.he outer spring should support approximately The spring index, C, is the of the mean coil diam­
eter, D, to the wire diameter, d.8 (Sec Fig. 43.2.) The
springs should be approximately the same. mean coil diameter can be calculated from the avernge
7The NCEES J/a11dbook uses "length" to dC'Scribe the free, Lu, nn<I 8This sect i on is only for liclicnl compression :;prings manufactured
solid, £,., hrights of the 8pring, ns found from Table 43.l. Other sources from round wire. Springs can also he manufactured fro111 wire with n
re[er to thrsc dimensions a.5 the free and solid height, h1 and Ii.. , square or rcctangnlar cross section. The design equations nre different
respectively. in that ca:;e.

P P I • w w w . p p l 2 p a s s . c o m
43-4 F E M E C M A N I C A L A E V I E VI M A N U A L

Figure 43.2 Helical Compression Spring Equation 43.2: Spring Constant

d1 G
k= . 43.2
8D1 N


F Fi - F2
- [Hooke's law]
:i: x , - :i:

of the inner diameter, Di, and outer diameter, D,,, as

shown. Description
The spl'ing consl<ml, k, is also known as the stiffness,
spl'i11g rate, scale, and k-valuc. The spriug constant. is
given by the /oacl-dcf/ection equation, also called the
It is difficult to wind springs with small (i.e., less tha11 1l) spl'ing rate equal.ion, Eq. 43.2. G is the sheal' modulus.
spring indexes, and the operating st.resses will be high. DeOecLion and force are related by t.he spring constant,
The wire cannot be easily bent to the desired small as shown in Hooke's law.
radius. On lhe other hand, springs with large indexes
The shear modulus (also known as the modulus of rigid­
(i.e., greater t.han 12) are flimsy and tend to buckle.
it.y), G, used in Eq. 43.2, can be calculated from the
.Most springs have indexes between 8 and 10, although
modulus of elasticity, E, aud Poisson's ratio, v.
5 is a typical value for clutch springs.

Example G= E
\\1hat is most 11early the spring index of the spring 2(1 + v)

A 100 N force is applied to a 50 mm long helical com­


pression spring made of 2 111111 slecl wire (shear modulus

of 80 GPa). The spring has 6 active coils and a mean
diameter of 10 mm. The spring are closed. What is
most nearly t.he spring constant?

(A) 3.0 ld�/m

(B) 21 kN/111
(A) 5
(C) 27 kN/m
(B) 6
(D) 35 kN/m
(C) 7
(D) 1 0 Solution
The spring constanL is

diameter, D, is the outer diameter minus t.he inner wire k = cl� G

Use Eq. •13 . 1 to find the spring index. The mean coil
( �)

Do - Di
(8)(10 mm) 3(6) ( 1000 n;�11)
C = D/ d =
(2 111111)4(80 GPa) 106


= 26.67 kN/m
= 1 2 mm 2 mm
2 mm (27 kN/m)

The answer Is (A). The answer is (C).

P P I • w w w . p p l 2 p a s s . c o m
M A C H I N E D E S I G N 43-5

Equation 43.3 and Eq. 43.4: Torsional Shear Description

Stress The maximum allowable torsio1ial stress of a spring PxpP­
riencing static loading can b e approximated as Eq. 43.5

T = J(, --
and Eq. 43.6 using the ultimate tensile strength, 5',,1.
8FD (These equal ions apply t.o static applications only.) From
ttd'.1 ?\ I Pa, is calcu­
I(, = (2C + J )/(2G')
Eq. 43.7, the minimum tensile strength, in
43. 4 lated from t he wire di ai ncter, d, in mi llimeters, ancl two
constants, m and A, determined from Table 4 3 .2 . 10

Description Examp le
The shear st.rrss, T, is calculated from Lhe force applied What is most uearly the shear yield strengt.11 for L 111m

correction fac t or , JC. I(. is fou nd

Lo the spring am! the wire diameter, d, mean spring d iameter AST�vl A227 harcl-clrawu wire?

( A ) 330 M Pa
diameter, D, and from
t.hc spring index, C' (see Eq. 43.1 ) , and Eq. 43.4.
The 11 1ax.inmtnshear stress occurs a t the inner face of ( 13) 680 r"1Pa
t.he wire coil where the torsional and direct shear
st.resses are additive. The factor !(5 is known as t. hc (C) 730 M Pa
lra11suerse shear fact.or. TL is not. a tnte stress concent.ra­ (D) 750 ?vIPa
tion factor, but rather, represents the theoretical ratio of
the rna-..U mum and average st.resses.

From Table 43.2, for hard-drawn wire, m = 0.20 1 , and

Equation 43.5 Through Eq. 43. 7: Maximum A = l 5 1 0 . The ultimate tensile strength is calculated
Allowable Torsional Stress from Eq. 43.7.

[ cold -clrawn <"<1 rbou stt'f'l ] Sut = A/d'" =

1 5 10
0 20 1 = 1 5 l O [vl Pa

[ ]
(1 n11n) ·
SS\' = T = 0.455'111 (t\227, A228. m1J A22!l)

liardenf'<I 11 nd tPrnpned
5'.y = T = Q.5QS11 1 carhon mod low-nlloy strels 43.6
(A23:.! and A401) w( I) The NCEES Handbook presents Eq. -!3.5 and Eq. 43.6 as fact..
The rclation�hips between yield and ult.imate strengths presented in
the NCEES Ha11dboo/; arc not derived from basic principles and should
Sui = A/d"' 43.7

Iw interpret ed HS co nven il'nt approximations identified with the opera­

tor ":::." The yield strength in shl'ar predicted by the maximum shear
Values sln'S.� and \'On ;\lises theories are 0.5S.,, and 0.577S,.., respectively, so
Eq. 43.5 and E11. 43.6 ltave siguificant. degrees of conservatism built in.
All hough Eq. 43.5 :mcl Eq. 4:J.ti <HC cll'arly identified "" equal.ions for
Table 43.2 Parameters for Calculating U//1mate Tensile Strength
allowable stresses, the values C'alculated nre not yield strengths. The
material ASTM m ;I not al ion S,y T sho11l<l be interpreted as "the maximum allowable

strc-&.� dctcrininrd fron1 Jocrn-s' analysis is used as a replacement for

music wire A228 0.163 20GO the yield strength." (2) Whereas T wns previously used to reprei;ent the
oil-tempered wire A22!J 0.193 1610 maximum shear stress in the spring, in Eq. 43.5 und Eq. 43.6, r s i
hard-draw11 wire A227 0.201 1510 defined by the NCEF:S Ha11dbook as the 1na"Ximum allowable shear
chronm vana<lium A232 0.155 17!l0 stress. Gc·nrrally, the allowable st.rcss would be differentiated from

has been incorporntccl in to the value (e.g., T., = Sy,/FS ) . Equation 43.5
the actual strel's hy a subscript (e.g., "a," "al," or "all"). (3) The term
chrome silico11 A110l 0.091 1 960 "allowuble," us used in desigu, i1nplicilly tneans that a factor of safety

and E<j. 43.6 i111ply that il is permissible (allowable) to operate the

spring with stresses as high as the yield strengtl1 . Good design practice
�Equation '13 .4 is not t he Wohl con·edio11 f11cto1·, whkh the NCEES is to li111it st resses to the allowable stre&>cs. (4) In Eq. 43.7, d si the
Ha 1 1 dboo/; dOl'S not. 111cntion. Although F.q. '13 . 4 can be derived from wire diamr.tcr, bttl A is not the wire cross-sectional area. (5) The yield
basic principles, it does uot. account for spring wire c11rvatnre. A11y strength in shl'ar is normally designated Sy,, whereas the NCEES
thl>0retical stress c11lculatc<l fro111 Eq. 43.3 nncl Eq. 4:J.4 will be 5-20% Hrmdbook desig nat es it as S,Y' consistent with Shigley's. Thjs is incon­
lower thau the actual stres,;. For static loading, the effccL of curvature sistent. with t.hc order of the subscripts (first for the material behavior,
can be disregarded if it is assu111cd that. locnl yielding will relieve the second for the type of strt'ss) used by the NCEES Jlandbook in Su, and
effects of overstre;s at. the i1111er face of the spring. However, it. is S,,,., for example. (6) Equation 43.6 is a convenient correlation used to
standard engineeriug practice to use the \Vahl correction factor iu describe the variation in strength with size. The values shown are
the design of helical compression springs to account. for both the reported in Shigley's, but. other researchers have deril•ecl different
nonuniform stress djstribution and the spring wire curvat urc. The values for the same form of t.he correlation equation. In any case, each
absence of the Wahl correction factor implies that Eq. 43.4 is only of the correlations is useful only within a range of dinmcte1s. The rnnge
for use with static loading and that local yielding will be used to keep of w;eful diameters is different for each material ci ted, and without the
the st ress al the yield point. Since the NCEES llandboo/; presents ranges, the parameters cannot. reliably he used. Since the pnra111etcrs
spring wire data only for static loading, that s i the implicit limitation are provided without altrilrntion, rcliabilit.y , or other qualifications,
of Eq. 4:J.4. they should not be used for drsign.

P P I • w w w . p p i 2 p a s s . c o m
43-6 F E M E C H A N I C A L R E V I E W M A N U A L

Fro1 1 1 Eq. 43.5, for AST!\ [ ·

A227 st.PP!, t.he shear yield Description
strength is
The relatiom;hip between the delle<.:t.iou, e, au<l IUOIUClll.,
Fr, for a helical torsion spring is shown in Eq. 43.8. The
5\,. = OA5S11t deflect.ion is in units of radians. This is essentially
Hooke's law for torsion springs.
= (0.45)( 1 5 LO MPa)
= 679.5 MPa (680 M Pa)

Equation 43.9: Torsional Spring Constant

T/1e answer is (B).

43. 9
Couvcut.ional spring design is an iterative procedure. Description
One or more parameters are varied until the rcquirc­ The spring constant., k, for a helical torsion spring is
meuts arc sat.isfi cd . OfLcn one or more parameters are calculaLed from Eq. 43.9. Since the wire is stressed in
unknown and must be assumed to complete the clesigu. bending (not shear), Eq. •13.9 uses the modulus of elas­
An important decision is whether tile allowable stress is ticity, E ( 11ol. the shear rnodulus, G). The spring con­
comparaulc to the maximum working stres.5 or t.he stress stant. has units of N·m/rad.
when the spring is compressed solid. Siuce most llelical
compression springs will be compressed solid sometime
in their lives, it seems logical to use t,he solid height
stress. In the absence of guidance, either interpretation Equation 43. 1 0 and Eq. 43. 1 1 : Torsional
would apply. Spring Bending Stress

rr = I<,f32Fr/(rrrl3)] 43 . 1 0
·· · ·· ·· · · ··· · ··· · · ···· ·· ··· · ······ ·· · ·· · · ························

Helicnl torsion springs manufactured from round wire I<; = (4C2 - C - l )/f4 C(C - l )] 43. 1 1
arc essentially round cant.ilever beams. 1 1 Loading pro­
duces a bending stress. Most torsion springs operate Variation
over au arbor. A clearance of about 10% between the
arbor and spring is generally adequate to prevent bind­ 4C2 + C - 1
ing. The bendiug stress is largest at the inner radius of K,, 1JC( C + l)
the spring. (S ee Fig. 43.3.)
The bending stress at t.he inner face of a helical torsion
Figure 43.3 Helical Torsion Spring

spring is calculated using Eq. 43.10 from the applied

force, F, the radius, r, from the center of the coil to
the force, the spring index, C (see Eq. 43. 1) , and the
correct.ion factor, J(, for bending at the inner face,
Eq. 43. l l . 1 2 The correction factor is also known as the
Wahl stress correction fact01-. The \Vahl stress correc­
tion factor for bending at. the outer face, T<0, is given in
the variation equation.

12( I) When a c111 ved beam bends, its neutral axis shifts toward the
center of cm\•atnre, in a higher compressive stress at the
Equation 43.8: Angular Deflection in11rr face. (Depending on the configuration and loadin�, such as a
U-boll heing pried open, the stresses at the inner and outer faces may
be reversed.) The maxinH1m tensile stress occms at the outer face. Jn
Fr = kB 43.8 Eq. 4:3.IO, the location of the stress and its sign (compression or
tc11sile) is not idcHtifie<I by subscript (i.e., ai) in the NCEES llr111dbook.
However, tho variable [(i i1nplics that it is associatPd with the inner
face of the spri11g, a11d in fact, that is what Eq. 43.10 calcnlates.
1 1 There are two basic types of torsion springs: the flat. coil spring (also (2) There is no significance to the use of square brackets in the
known as a powff spring or clock spring) and the helical torsion spring. denominator of Eq. 43. l l. (3) EquatioH 43. l I is the ll'olil correclion
Fial coil spt ings nrc designed differently and not covered in this factor that accounts for curvature i11 helical torsion springs. It is
8CC"tioll. specifically limited to round wires.

P P I • w w w . p p i 2 p a s s . c o m
M A C H I N I! D E S I G N 43-7

Equation 43.1 2 and Eq. 43. 1 3: Allowable Figure 43.4 Spur Gear Terminology

[ ]
top land

[ l
n1l.-l-d1awu cach1111 ,1 1·<'1

,, =
43 12
(J\227. ,\228. aiod A22!l)
workin g circle addendum
.'i� 0.8781 1,
l111 rdf'11Pcl aml LPU1p1·1t•d ncrhun n11d
- depth circle
low-11ilrl\' :<H1·<'1 ( A2:l2 mod ,\ IO I )

43. 13 dedendum


The allowable bending stress for a torsional spring wire

is calcnlatcd frorn Eq. 43. 1 2 and Eq. 113 . 1 :3. 13 The ult i-
1 1 1ate tensile st.rPngth can be detenninecl using Eq. 11�J.7.


Fial springs arc co11st.ructed as simply supported or
.. ..... . .. · · - ·--·· .......................... ······· ..

cantilever bea ms . They cau be flat, curved, or nested

(as in a leaf spring ) . The t raditional beam deflect. ion
tables can be used with simple flat springs when t.he
deflections are small. 1 ' 1
Since beam bcndi11g stress is proportioual to I.he thick­ The velocity of a pitch poi11l. is t.he pitch circle uclocit.y
ness of t.he beam, stress CHn be kept low by using several (pitch ueloci/.y). The pitch velocity can be calc11lated
low-thiclmcss spriugs insleacl of a single thick spring. di rc>ctly from the pitch diameler.

[consistrnt units]
Leaf springs ( leaf SP-l), as commonly used in cars, consist
of several flat springs, each atop another. The capacity v, = rcdllrpm
of a leaf set. is t.he sum of the capacities of all sp rings
The springs slide longitudinally over one another. The The 11dtle11tlw11 is the radial distance fro111 the pitch

eq11al to the reciprocal of t.he diamet.ral pitch ( i.e., l/ P).

effe<.:t of this sliding and the resultant friction is difficult circle lo t.he t.op of the toot.h. For full-dept.h gears, it is
Lo evaluate.
The base circle is the circle that is t angent. to the line of
In vehicles, vibrations and impacts produce lenf spring
action. The cleamnce is t.he separation betwcc11 t.he
deflect.ions so that potential energy is as strain energy. dedenclum circle of gear 1 and t he addend11m circle of
Increasing the e11ergy storage capahility of a leaf spring
gear 2 wh en both gears me in mesh.
ensures a more compliant suspension system.
The clearn11ce c ircle is the circle that is tangent. to the
addendum of the 111eshing gear. The decfomlz1111 is t.he
8. SPUR GEAR TERMINOLOGY radial distance from the pitch circle to the rooL circle .
Por full-depth gears, it is equal to eit.her 1.25/ P or
.. ···· ······· .............. . . . . . . . . ...... ........ ....................... .. .... ..............................

S'pur gears have the si m plest type of teeth. The teeth

faces of a spm gear arc parallel to the axis of rotation. 1.35/ P, depending on the clearance wa11tcd. The tooth
Figure 43.4 illust.rales a typical spur gem and some of face is the tooth area between t.he pitch circle and the
the terminology used to describe gear and tooth addendum circle. The face wid th is the axial width of the
geometry. tooth. The flank is the tooth area bet.ween the pitch
circle and the cledendum. The fond is the flat surface
The 71itclt circle is an i maginary circle on which the gear at l he top or each tooth.
lever mm is based. The pitch µoint is an imaginary poi11t
of tangency between t.he pitch circles of two meshing ll'hole depth is the distance from the addend11111 circle to
gears. the dcdendum circle. It. is eq11al to the working dep t h
plus the clearance. The workiny depth is the distance
i:cEqnnt ion ·13.12 and Eq. .J3. 13 ;u·e c l t·rh·l'd from Eq. -13.5 am] Eq. 43.6 that a tooth from a meshing gear extends i11to the space
between t.wo t eeth.
Most gears in use are involute gears ( i.e., have involute­
(by clivirling t he coefficients by U.577). Therefore, man�· of thL' c on1 ·

111e11t s (sro Ftn. 10) nppl�· to both sets of ec111nt ions. Basically , tllC'

c11t teeth ) . An involute of a circle is the curve traced by

NCEES llondbook confu�>s yield sl rcngth with allowable �trc'11gth.
Although Eq. 43.12 and Eq. 43.13 are clcnrly identified as ec1 ua tions
for .. llownblc st resses, the \'alues calculated arC" not yield strength�. the cud of a taut st.ring that is unwound from the
circumference. The base circle is defined as the circle
The nota t ion Sy= rr �houlcl be interpret ed as "t lie 11i:Lximum allowable
st re,:;,; dctr1111incd from Joerres' analy�is is uSC"d fL
from which t.he involute is generated.
5 n replacement fur

The lin e of action (also kno\\'n as the pre�stll'e line and


the yield st l'l'll�th."

1-1Tlic rn111111011 l><'nm ec1 11nt ions assu111c th a t the rlcllect ion is s11rnll .

(i.e., le.,,; than ii f<.'11' perce nt of the length) and I hat the load remains
perpendicular to llll' hrnm al all times. yenern/.ing line) is a line passiug lhrough the pitch point.

P P I • w w w . p p i 2 p a s s . c o m
43·8 F E M E C 14 A N I C A L R E V I E W M A N U A L

that is tangent. to bot. I t base cirdes. It is the distance Description

bet wcc11 the intersections of t.he prcssmc liue aud the
Three m ea nings for the Lenn "pilch" arc used for spur
adclt>ndun1 circles. Li Fig . 43.5, l ine A-A is tangent lo
gears. The diu111ctrul pitch, P, is used with cusl.mnary
t l tc base c irdPS nnrl is I.he line of a<.:tion. A ngl e ¢, dt>ter­
U.S. units and is t.he nu111bcr of teeth per inch of pitch
mined by the poin ts of tangency, is t.he pre:;sure angle
circle diameter. It. is an index of lool.h size. The diarne­

lral pitch is !.he sauw for all mesh i ng tPet.h.
(a.Joo known as l he c1119lc of obliquif.y). This involute is
caUcd a "¢0 involute." In t.he Ullilcd St ates , 20°, 22 1/1°,
and 25° pressw-e angles are in common use. The onct.
used 14 1/2° JXPssure angle has essentially become obsolete

P= [cii11mcl.n1l pilrh]
as it produces huger gears. d p m

The circular pitch, fie, is the distance bctwce11 cor­

Figure 43.5 Mes/ling Gear Terminology responding tooth poiuls aloug the pitch circle. It. is equal
to the t oot h thickness plus l.he curved separation dis­
tance betwceu teeth. The circular pitch is l.he same for
al l meshing teeth. (See Eq. 43. 14.)
The base pitch ( also known ns l.hc normal pitch),
Eq. 43. 15, is I.he dista11cc from a point on one gear to
t. hc corresponding point measured along t.he base circle.
Tt. is also the distance from a point to the same cor­
responding point. on the meshing gear tooth.

The module, 111, of a gear is the of t.he pitch
diameter, d, to the number of t eet h, N, as shown in
addendum circle
pitch circle
base circle Eq. 43.16. Therefore the module is l.he reciprocal of
dedendum circle
the diametral pitch. The module (with units of mm per
tooth) is the conrn1011 SI index of tooth size.

d = - = mN [pitrh di11111eler]
The pressure angle is proportional lo the center-to-center Not every cliamet.ral pitch is available. To be economi­
distance of the gears, but a small deviation (i.e., error ) in cal, designs should make use of l.hc standard dimnetral
center-to-center d ista nce will cha nge the pressme angle pitches. Conunon "coarse" series diametral pitches
slightly. However, chm1ges i n center-to-center spaci11g i11clude 1, 1 1/� , 1 1/2 , 1 3/.1 , 2, 21/.1, 2 1/2, 3, 4, 6, 8, 10, 1 2 ,
and backlash don't. change the velocity ratio or the gen­ and 1 6 L eeth/ i n . Conunon "fine" series diamet.ral pitches
eral pPrformance of gear sets with involute gears. This is include 20, 24, 32, 40, 48, 80, 96, 120, 150, and
Lhe main reason t hat i nvolute geari ng i s w idely used. 200 teeth/in.
Figure 43.5 also illustrates the length of the l i ne of
contact bet ween teeth on meshing gears. Line B- Il is Example
tl1c section of the line of action between the points where A gear has 15 teeth and a pi tc h diameter of 5 cn 1. �What
it crosses the two addenda circles. This is sometimes is most nearly t.hc circular pitch of the gear?
caUed the length of the line of action. The l ength of the
li n e of action is designated Lah· (A) 1.1 mm
(B) 3.3 mm
(C) 11 mm
Equation 43. 1 4 Through Eq. 43.16: Spur Gear (D) 52 mm

JI. = red/ N [circular pitch] 43. 14

pi, = p,.. cos</> [b11se pitch] 43. 1 5
From Eq. 43. 14, the circular pitch is
111 = d/N [module] 43. 1 6
n(5 cm) 10
Variations cm

p,.. = p = n m
Pc = nd/N =

= 10.47 mm
[circular pitch] ( 1 1 m111)

ni = [module]
n p The answer is (C).

P P I • w w w . p p i 2 p a s s . c o m
M A C H I N E D E S I G tJ 43-9


.. .. . . . . . . . ......... ····· . . . .. .. . . . . . . . . . . . . ........... Figure 43.8 Reverted Gear Set and Compouncl Gears
An e:dental geal' is any gear whose teeth "point" away

frorn the axis of rotation, compared to an i11/emal
year, whose teeth point. in toward the axis or rotation.

I I 1111
Figure 43.G shows both an external and an internal


1111 1 1 1 1 1 1 1111
Fig11re 43.6 External and Internal Gears


drives the larger, in which case the srnaller gear is

referred to as the driving pinion. The larger gear i11 t.he
set. is referred Lo as the driven gear. TLe center dislance
is the distance between the centers of the pinion and
gear The force betw en two meshing teeth wiU be the same.
Since the same power idf'ally will be transmitted by each
gear, the product of torque and rotational speed arc the
Vpinion = Vgetir
A si111ple gear se/. ( gear /min ) consists of two gears with
fixed centers i11 mesh. The gears turn in opposite direc­
tions if bot.h are external gears. If one of the gears is an
inlf'rnal gear, the gears Lum in the same direct.ion. Each
pair of gears constit11tf's a slage. For mult.iple gears in
mesh, each pair of gears in sucression constitute a stage, At times, 011c pair of teeth will carry all of t.he force and
so that one gear can be part of two stages. An idler year, will transmit all of the power. At other times, two (or
also known as an i11lel'media/e gear, is a gear t.hat more) pairs may be in contact. The average number of
rotates freely on its bearings and changes the transmis­ tooth pairs in contact is the con/.ac/. ratio, CR. The
sion path without changing the gear ratio. (See contact ratio is usually between 1.2:1 and l.G:l . ( 1 .2:1
Fig. 43.7.) means that one pair of teeth is in contact at; all times,
and a second pair is in contact 20% of the time.) For
Figure 43. 7 Idler Gear
good design, the contact ratio should be approximately
1.5: I .
A gear set. is prime when the number of teeth on each
meshing gear have no common factor except 1 . This is a
desirable condition, as all teeth tend to wear evenly.

gear Equation 43.1 7 Through Eq. 43. 1 9: Velocity


111,. = (iJoon /Wi11

- Ni,,/ N.,111 [lwo-gcar train)
A compo1111d gear consists of two gears mounted on a 43. 17
single (usually short) shaft. Reverted gear sels are those 111,. = 43. 18
whose input and output shafts are in-line, usually using pro<lurt or lllllllber of
111,. [co1upo1111d lrnin]
one more compound gears. (See Fig. 43.8.) A reverted
teet.h on driver gears
gear set always lrns an eve11 11umber of stages. Only the = ±
protlnct of n11111her of
gears in mesh need to have the same diametral pitches. teeth on driven gears
43. 19

to as a mesh or a gear set) , one gear drives the other.

a simple set of two external gears in contact (referred
The basic uelocily 1·atio, for a gear is given by
Ofte11, the smaller gear (which has greater l ve ge ) e ra Eq. 43.17 when the input. and output. speeds, and lv; 11

P P I • w w w . p p i 2 p a s s . c o m
43- 1 0 F E M t: C II A N I C A L n E V I E \'/ M /\ t4 U /\ L

Wuu t i respect ively, an� known. 1 " The velocity n1Lio is also In rea lit y , eac:h gPnr se t will dissipate somr of t.hc iuput.
k1town the speed ratio, mP.s/i ratio, year rnlio, lrnns-
as powpr. This is accounted for by l he cfficirncy of the ge a 1 ·
111issio11 mtio, and 11w uc 111 c n l. ratio. Its l'eciprocal is ll'ain (i.e., t he meslt efficiency), 1711,..,,1,.
known as l he lrnil1 ua / 11 P. .

ln F:q. -!3.17, the symbol w is used for convenieucc. but "'"'�" =

- -
. -
veloci ty values with units of rev/mi11 a11c.I rev/s ran be P 1 nrnt
used without conver t ing to rad/s.
Jn I he case of a pinion driving a gell.r,
The inverne of t.hc velocity ratfo is also a ratio of torques.
Since t. hc tangent.ial force aL t he pitch circle is l.11c sam e
in a set of engaged gears, L he faster-turning gear will
t ransmit a smaller lorquc because it hns a s111allcr pitC"h
circlP radius (i.e., " momen t. arm").

w2 T1
111,. = - = -
ltlt T2
- - - · ·-·- · ·--····· .....
.. . ..... · - · . . . ....... ... ......
. .. . . . . . . . . . . ..

1t1 r = -
Equation 43.20 Through Eq. 43.22: Forces on
Straight Spur Gears
Equation 43. 1 8 gives the velocity rntio for a t wo-gea r
train. In a t.wo-gear /min, output and in pu L gears
rotate in opposite directions, which is represented by the '2 T ·J 7'
II', = - = ....::::...._ 43.20
negat.ivc sign in Eq. 43. l8. N is t.he mnnber of tee th on d 111N
the input gear, N;11, and out pu t gear, N0111 , respectively.
The vel oc i l.y ratio for a compou nd gear train
211 211
II', = = 43.21
is given by dw 111 1Vw
Eq. 43.19. A compound year train has aL least one shaft
that ca rr i es l. wo or more gears, which rot.ate at t.he same II', = 11' 1 lan 4> 43.22
speed .

convent.ions (e.g., "+" for c lockwise , and "- " for co u n­

In gear ratio equal. ions, signs can rep rese n t direction Variation

lerclockwise) as well as to indicate a change in direct.ion.

Equal. ion 43. 1 7 does not have any signs, and t.he equa­ (
pk\\' 1000 k\V w)
1 1 I 1.N =

applies lo t wo-gear sets), so the velocity ratio can be

[SI only]
tio11 is not lim i ted to a two gears in mesh (although it

citlter positive or 1 1cgative depend i ng Oil the directions Description

t he gears arc turning.
The resu l t an t. (total, net, etc . ) force, W, acting on a gear
In Eq. 43.19, the "±" sign is used to indicate t. ha l the last can be divided into three orthogonal components: tan­
gear may turn in t. hc same or opposite direction from the gent ial, 11'1; radial, Tl',; and axial, ll'u. These arc illus­
up of an odd or even nnmher of gears.
input. gear, depending on whether the gear train is made trated in Fig. 43.!J. For a spur gear with straight.-cnt
teeth, the a_...;_ia l force componen t is zero. The resu l t an t
force can he calculated from the con1ponents and t.he
gear pressure angle, ¢.

w = \ w11 + w2r �=�

Ideally, the input. power is passed through each gear to
the next. i ll li ue . I =
cos <f> sin </J

The tangential force component, 11'1 (also known as t he

t.1 w1s111illcd force aud pe1·ipltcra/ force), is Lhe only com­
ponent t h a t causes rot a t i on and t.ra11smits power . ff t.he

can be found from geometry. r i s the pitch circle radius.

Langential force is known, the tran smi tted torque, '1',

1 ( 1 ) The variable 111,. usc:d by the NCEES H1111clbouk Cur the \·elocit.1·
The pitch circle diameter, d, can be found from t. h e
module as defined in Eq. 43.16. A ny convenient set of
units can be used. This is the basis of Eq. 43.20.
ratio is unrelated to the 111odule of the geais, 111 . (2) The v11riahles used
by ANSI/AGi\IA ( GC<lr Nomenclature, Df'fit1itio11 of Tc n11s witIt Sy111-
bo/s (ANSl/AGi\IA 1012-C05) and F1md11111wtal Rating Factors n11t/
11' , r = 11'1d = 1 1 mN
Culculotion Mtlltods for bwolrde Sp11r and Hrlical Gear Teeth (ANSI/ 1'
ACi\IA 2001-004)) for p;enr sp<>cd rnlio are me, nlwnys a pnsiti\'C' T =

n 11mh<'I" l!,l'Catcr than 1.0, and 1norc 1-cc<'ntl.1·. u.

2 2

P P I • w w w . p p i 2 p a s s . c o m
M A C H I N E D E S I G N 43- 1 1

Figure 13.9 Gear Force Components Variation

� w, c= 1'1 + 1"2 =
p p
- -1


The ce11ler-lo-ce11ter distnnce, C, is the average or t.IIP
pitch diameters, d. C cau also be calculated as the s1n11
of the two pitch circle radii, r1 and r1, as showu i11 the
variat.ion equation. Equation 113.23 cau be written for all
pairs of meshing gears and solved for unknown qua11ti­
ties. I<nowleclge of vario11s gea. r ratios between I.he
meshing gears can be used lo si111plify t.he simultaneous
Since power, P, of a force, F, moving al. velocity, v, is equations.
P = F\r, t.hc torque can also be found from t he trans­
u1itlcd power. This is t he basis of Eq. 43.2 1 . rn

Epicyclic genr sets (also known as plrmelary gear sci:;)


W,,.;d IV1wtnN
P = IV1v1 = 1,1/ 1 (..,.• , . _

are chann.:terizedby one or more gean; that do not have

2 2
fixed axes of rot at.ion. They have two inputs (one of
which may be fo.:ed or stationary) and one output.
The radial force docs 110L t ransmit. powPr. It is the force
Co1npa recl with gear sets where all gears have fixed
that t ries t o separate the gears. It can be found from L!IP
centers, epicyclic gear sets can have much higher gear
tangential force using Eq. 43.22.
ratios, arc more compact, have lower tooth loadi ngs and
pitch-line velm:ities, offer in-line input and out.put

should have
1 3. DESIGN OF GEAR TRAINS shafts, 1 1 1 ay be easier to l11bric:ate, and me generally less
PX pensive.
Finding the number of Leeth tha t. each gear
in order to achieve a particular I.rain ratio is time con­ The simplest. type of epicyclic gear set is shown in
suming, as a trial-and-error solution may be needed. A Fig. 43.10. It consists of a sun gear, ring gear (also
particularly desired gear may not Pxactly be k110w11 as an cmmilus gear), and one or more planet
achievable, since each gear must contai11 an integral gears (also rPferred to as plw1ets, planet. pinions, and
uumber of teeth. Other coustrai..nts may be placed on spide1' gcan;). The rotating bent yoke that connects the

ar111, mid spicier.

the design, including t.he minimum and maximu111 num­ planets to their sha� is knowu as the plane/. carrier,
bers of t eet.h and the max.imum number of stages.

A l l gears in mesh must have the same di amet.ra l pitch.

Therefore, for any two gears in mesh, the relationship Figure 43. 10 Simple Epicyclic Gear Set
between the diamet.ral pitch, module, pitch circle diam­
eters, and n umber of tcct.h is

d, d2

Equation 43.23: Center-to-Center Distance

43.23 The pla11cts rotate about their own axes and revolve
around the sun gear. Duri11g rotation, a poinL on a
16( I ) The NCEHS Handbook USC'S mt iable JI to represent trn11.s111ittrd planet gear traces out epicyclic curves, hence the name.
pOll'<'r in gear sets. This v�riablc is l'Ollsistent with Shiglcy's and is not There arc generally one to fom planets. The number of
u11k11ow11 in SI clocumentation, hut it is not normal anrl customary in planets does not affect t he output speed, but. the max­
U.S. c11gi11ce1ing practice. It is 11ot thr sytnbol adopted for tiammtittcd
imum power transm ission is essentially proportional l.o
po\\'l•r by ANSl/AGi\IA in ANSl/AC:i\IA 2001-001 and ANSl/AC:i\IA
l 0 1 2-C:05. ('..! ) Ontside of the subject of gear sets, the NCEES l/andbook t.hc number of planets. The number of planets is limited
uses oth�r vmiHlil�s to designate tron.sntittcd powC'r. by spf\ce so that. the pla11cts do not. "overlap." Either the

P P I • w w w . p p i 2 p a s s • c o n1
43-12 F E ME c I I A tn c J\ I. nE v I E w M A N u J\ L

ring gear or the crirrier ca 11 be fixed. If onf' is fixed, then t.he ring gPar is an internal gear. So, a conve1 1ie11t rule is
t.he other umst rotate. l 1 1aL RVR is always negative wit.b internal ring gears.

t,hf' arrangernenL is k11ow11 as a s/nr !]P.<O' set. \Vheu the =

Whe11 the carrier is fixed and the ring gear is the 01 1 tp11l.,
RVR ± Nsun(fir,l)

sun gear is fixf'd rind Lhe input is the ring genr, Lhc Nring (lrua)
syslern is caUe<l a solar gear set.
Fifth and finally, a second equal.ion for t he RVR is
written in t erms of the rotational speeds or l he first
15. ANALYSIS OF SIMPLE EPICYCLIC GEAR gear, last gear, and arm. Any w1lrnowu vah1Ps can be

Eq. 4:t21J. Iii

SETS detPrmined fro1J1 t his equation. This is the basis of

WJiug (11L' l) - t<.lann

Equation 43.24: Velocity Ratio
R H=
t<.lsu11 (fii<l) - (varm
WL - w.,1111
± 111, 13.24

The sequence described may vary clependi11g 011 whether

a problem i:; analysis or design and depending on what
Description infonnnLion is missing.
Using intuition is usually a futile effort. with epicyclic
gear sets. There are two formal met.hods (and many Example
combinations thereof) used to analyze epicyclic gear The epicyclic gear set shown has au overall speed reduc­
sets: the algebraic method and t.he methodical tabular tion of 3: l. The planet carrier is t.he output. gear. The

1000 rpm. The planet has 20 teeth and a diarnetral pitch

method. Even with these methods, special rnles and input. gear is the sun gear, which turns clockwise aL
conventions are needed. The algebraic met.hod replaces
visualization and imaginary rotation wit.Ii a formula, so of L O .
it is arguably the easier or the two methods.
With the algebraic method, analysis first starts by
assuming any convenient sign convention for direction,
typically " +" for clockwise and "-" for counterclockwise.
Second, the known gear set velocity ratio (in this section
refened to as "Vil") is used to calculate any uuJmown
rotational speeds of the gears connected to the input or
VR= What is t.hc ratio of the nnmber of teeth on the ring gear

( A ) '/J
Win to the numher of teeth 01 1 t.he sun gear?

Third, the "first" and "last" gears are selected. Dy defini­

tion, bot.h the first gear and last gear must mesh with (n) 1/2
the orbiting planets (the gears that exhibit planetary
(C) 1
motion), so the only candidates are the sun gem and
ring gear. Skipping all of the j ust.ification, it is easiest to ( D) 2
j ust always assign the sun geru· to the "first gear" posi­
t.ion, leaving tl1e ring gear to be the "last gear." Solution

Pourth, the ratio of numbers of teeth, N, on the last gear Choose clockwise as the positive direction. The sun gear
and first gear is calculated. This value is also the 1·e/atiue is the input gear. The output element is the arm. The
velocity ratio (RV R)-the of velocities of the ring
and sun gears when the arm is held sLationary. 1 7 The

sign of the RVH depends Oil the directions of the first
and last gears. If the first (sun) and last, (ring) gears 10
NCEES Ha11tlbook Eq. 113.24
is misleading, because is not the gear
turn in opposite directions when the arm is held station­ set \•elocity ratio defined in Eq. 43.17. The quantit�· represented by 111"

ary, R V R i:; negative. This will always be the case when (11\111 in this book) is quite di fferc 1 1t. from the ratio of gear set output
an<l input velocities (Vfl in this book), as the example illustrates i n
Eq. 43.2•1. (a) Since the ;m11 11ngular velocity i s subtrnct<.'<1 frorn both
the last aml fir:;t gear angular velocities, m" in Eq. 43.24
is dl'arly the
ratio of last and fii"st ge;ir <lngi.1lar velocities relath·r (with respect) to
17The NCEES lfa11dbook usrs the term "is grounded." This is syno11y- the m m when the ann is held stntionfil)'· (b) m" ill Eq. 43.24 always
111ous with "is held stnt io11nry" <rnd "is fo.:ed." There is no rlrctrital bas the snme absolute value, regardless of whet her lhc gc•<1 r sci s i speed
connotation to "is grounded." red11ri 1 1g or spc('(I augmenting.

P P I • w w w . p p l 2 p a s s . c o m
M /\ C H I N E D E S I G N 43� 1 3

= 1/3 ,
reducing gear :;et lias a velocity ratio of VR so the Figure 43. 1 1 Rolling Element Bearings
speed of the outpnl arm is

W1u111 = (VIl)tv5un = {1) ( 1000 �

r v
= 333.3 rcv/n1i11

The ring gear is part of the honsing and is stationary, so

its speed is zero.

WgeM (htsl) - Wai111

R VR =
Wsuo (first) - (vann

rev _ 333_3 rev
ill.i n min
rev 333.3 rev radial cylindrical spherical
1000 -
min min

·with an internal ring gear, the relative velocity ratio is

negative. The ratio of the numbers of teeth, N, on t.he
ring gear and suu gear is

Nriug -1-1
= -- = - = 2
The answer is (D).
tapered needle· roller

loading, tapered roller bearings are used, ofLen in

-�-�-�---��L,.-�-�-.f:l�.L.-L,.IE,_�,. ..���---�l::.�.c.>.� �---�-�-�-�-·-��-�- opposite-facing pairs to support axial loading from

sclf-alig11i11g bearing ( Wingquisl bearing or SI<F bea r­

Ball, roller, and needle bearings (i.e., a nti-friction bea r­ both directions.
·ings) m1<l their variat.ions use rolling-elerncnt. bearings
such <l.S balls or cylinders constrained within bearing
-ing, named after the fonnder and his company that. man­
races t o reduce friction. The races, in turn, support
ufactmed them first) is useful when there is deflection
and resist the applied loadings. One race is usually fo.::e d,
and angular misal ignment of the shaft relative to the
while the other race moves with the rotating element 3
hou:,;ing. (See Fig. L1 .12.) Such misalignment is expected
(e.g., a shaft). The balls or rollers themselves rotate as
with long or flexible shafts. Such a bearing typically lias
the races rotate relative to each other. Ball bearings can
two caged rows of balls that. nm within a concave spher­
support radial and thrust loads, but they are limited in
ical raceway in the outer ring. Self-a.ligning bearings have
capacity by the compressive contact pressure betwcc11
particularly low axial capacities.
them and the races. Therefore, they are used where
load:,; are relatively low. Capacity is a function of the
Figure 43. 12 Self-Aligning Bearing
number of balls in play. The balls may be loose or their
positions may be constrained with a cage (sepamtor or
retainer), in which case the term caged bea ring or Con­
md bearing may be used. Caged bearings generally have
lower capacit.ies since the number of balls is reduced.
Examples of rolliug clement bearings are shown in
Fig. 4 . 1 1 .

Since the locus o f cont.act points represents a line (as

opposed to a ball bearing which has a small contact
point), rolla bearings use rotating cylinders and have
greater radial load carrying ability but. require greater
alignment between the races. Roller bearings cannot.
normally support thrust. loads. Needle bearings use
small diameter cylinders (needles or pins) and can fit
in less space. Siuce there is no space between t.he rollers,
no cage is required. Although they require less space,
needle bearings have greater friction and must run
Thrnst bearings are used with the large:,;t axial loads, such
slower than ball and standard roller bearings.
as propeller :,;hafts aud those having substantial vertical
B a l l and roller thrust. bearings are used wit.h primarily weights. Thrust bearings may be simple flat faying pads,
axial loading. '�'here there is both radial and axial be hydrodynam.ic, or contain ball or roller bearings.

P P I • w w w . p p i 2 p a s s . c o m
43- 14 F E ME C M A N I C A l R E V I E W M A N U A l

\IFu ,
Benrings nre specified by both their static and dynamic
1 7. BEARING CAPACITY ·-· ·-··· · ·-
as defined by the following equation, the values of X and
are given in l ltc values section.

c [low
load capacities. Bearings are selected (i.e., as from a <

capacity (i.e., I.he cataloged capacity), C, is greater than

axinl loading]

ma11ufact.urcr's catalog) so that the equivalent. bearing -

For high axial loading as defined by the following equa­

the applied or de8ign load (i.e., the cat aloged capacity),
P. Slalic capacity can be used if rot.ational speed is slow, tion, = 0.56, and is calcnlat.ed from Eq. 43.27.
i11tennitte11t, and/or subject lo shocks. Dyuamie capac­
ity is used i f the rotational speed is smooth and rcla­ > e [high axial loadi11gj
t.ively constnnL. r

The basic s/a/.ic load rnling, C0, is determined hy t.hc Example

m a n u factmer nncl is shown in its catalog. S i m i larly, A single-row ball bci.u-ing i8 to carry a radial load of
for a rotating bearing, the basir. rn/.ing, C,, is dclcr­ 4A Ju\! and a thrust load of 6.7 kN. The radial and
mined by the manufacturer. thrust load factors are 0.63 and l .25, respectively. If
the inner ring rotates, what is 1 1 1ost nearly the equiva­
lent radial load?
Equation 43.25 Through Eq. 43.27: (A ) 4.4 kN

X VF(F+)u.Y2F,:1<i.
Equivalent Radial Load
(B) 9.7 kN

P,,1 = r 43.25 (C) 1 1 kN

( D) 1 2 kN

\I = l
' = 0.5 1 3 _,.
( 43.26

��) - n. Solution
( 217

X\IF,. + YF0
Y = O.S•W !Fn l \I F, > 43.27 i f the inner ring rolatcs. From Eq. 113.25,

(0.63) ( 1 ) ( 4 .tl kN) + ( 1 .25)(6.7 Ju\!)

Values P,...1 =

parameter F.,/ \!Fr > e = 1 l . l 4 7 kN ( 1 1 kN)

x 0.56 I
y sef' Eq. •13.27 0 The answer is (C).
inner ring rotates l
outer ri11g rotates 1.2 1 .2 1 8. ROLLING ELEMENT BEARING LIFE

Lubrication of bearings is provided for the common
Description reasons: (a) reduce friction by separating the surfaces
in contact, (b) dissipate heat, (c) prevent corrosion, and
When a bearing is subjected to both a radial loading,
(cl) remove dirt and contamination. Bearing life is
and an axial (thrust) load, F,,, an equivalent radial load,
affected by proper lubricatiou. Bearing life (bearing
Pe<J• must be calculated i n order to select bearings or to fatigue l'ifc) is a measure of how long a bearing can be
calculate bearing life. rn (The term equivalent implies
expected to last under staudard operating conditions.
that. radial and axial loads have been combined into a
Bearing life depends primarily on the loading, although
::;ingle radial parameter.) For a single-row ball bearing,

\/, X,
care, cleaning, and lubrication are significant external
the equivalent radial load can be calculated as shown i n
i11fluence8 on life. The bearing is assumed 8erviceable as
Eq. 43.25.
long as 90% of the rolling elements are functional, and
and }' arc factors that are best. supplied by the the parameter t.hat predicts when 10%
of the rolling
manufacturer, but can be determined from accepted elements have2 failed is designated £ 1 0 and referred to
met.hods. X is the rndial load thrnsl faclor, and }1 is as "L-ten." 0
t.he axial load thrust faclor. C0 i8 the basic static load

rating from the manufacturer's catalog. \I = 1 when the
outer ring (raceway) is ::>tationary and the inner ring Equation 43.28: Minimum Required Basic
rotate.-;; \I= 1 .2 when the inner ring is 8tationary and
Load Rating
the outer ring rotate::>. nnd depend on the relative

C = PL''"
ratio of the axial and radial forces. For low axial loading
1 9Tlm NCEES J/a111lb11ok llS<'S F to represent. the tLx.ial and rndial
components of the co111hincd (equivalent, resultant, total, etc.) lond
thal is clesignnlt'd hy ll diffcrc11t \'ltriable, P. 20t11 other countries, the rlesignntio11 Bin 111ny be u�cd in place of Lw.

P P I • w w w . p p i 2 p a s s . c o m
M A C U I H E D E S I G N 43- 1 5

Values Figure 43. 13 Po1·1er Scre1'I Tllreads

hPnring type

ball 3
ThP e
1nini11111111 r quirnd bnsic C, is t he load
load mlin,q,
under which 90% of the bearings will smvive one million
revol utions. P is t,110 design radial load, L is L.he dPsign

life in 111 illions of revolntious, and is a const ant equal
a square thread
to 3 for a single row of ball bearings and I 0/3 for
st. r igh t roller bearings, as shown iu t.hc vah1Ps sectiou. 24> p

Whflt ii; most. nearly the mjnimuw required bfli>ic load
rating for a single row of ball bearings wit.It au equiva­
l en t. radial load of 22 kN and a design life of
311() 000 rcvol11t.ions?
( A ) 15 kN
(13) JG kN
Acme thread

(C) 22 kN
Equation 43.29 and Eq. 43.30: Required
(D) 33 kN Torque

Solution Fd11 ( + 1r/trl,,, ) F/trd,

_ '
Tl1c co11slant. a i>i11glc row of hall
T11 + -- 43.29

- --
is 3 for a bearings. The rrrlm - 11/
2 2

(1 000 000 rev

minimum required basic load rating is

rev i /a
i = Prim (rr11rl11, - ) + Fp,.d, '

PL1 / o = (22 kN) 340000

, 2
T 43.30
rrt/,,, + 1il 2

( Fd,,, ) ( tan

15.355 kN ( 15 kN)
= ]
n B + ft )
2 11 Lan B
[no collar friclion


(F d111) ( /I -
T/1e answer is (A).

1..�.�.. .P..9�_1::.�--���.::�.S...!\.�-�--��-�-�w. �!\9..��----
_ tan B
2 1 + p lan 0
'/ ' ,, _
[no collar friction

powel' screw changes a11gular posit.ion into li11car

posit ion ( i.e.,

fl s
changes rotary mot.ion into traversing Description
motion). The can be horizontal ( as
in vices and lathes ) or
linear positioning The torque required t.o Lurn a square i;crcw in mot.ion
vcrLical, as in jacks. Cross sec­ fl " i n t an axial force (i.e., "misc" the load)
is given in
tions of square and Acme threads, both commonly used
Eq. <13.29. 2

in power screws, are i;hown in Fig. 43.13.2 For square
</J, is zero. t.o
turn the screw in mot.io11 in the

e , d1 1 ,
threads, the thread angle, The torque required
direction o f the appliedaxial force (i.e., "lower" the load)
Square power screws arc designated by the rncan diame­ is given by Eq. 43.30. If the torque is zero or negative ( as
t r pitcu, and
p, 0. The
lead angle, is the pitch, p, it would he if the lead was large or friction was low) ,
distance between corresponding poi nts 0 1 1 a thread. The then the screw is not. self-locking and tltc load will lower
lead,I, is the distance the screw advances each revolutiou. by itself causing the screw to spin ( i.e., will "overhaul").
Often, double- and tripk-thrcaded screws arc used. The
lead, /, is one, two, or three times the for i>ingle-,
The screw will be self-locking when tau 0 _:::;; /t.
double-, and triple-threaded screws, respect.ively.

A lubricated power screw is used to lower a 1000 N load.
rr d1 1 tan 0 The screw has a major diameter of 40 mm, a 111can
diameter of 37.5 1111111 and a lead of 7 . The coeffi­

21Thc IU0 modified thread is t�nl ially equivalent to lht' square cient of friction is 0.15.
thread, bul it is more economiwl to 111an11facl11re than the square
I hread . 22The relatio11�lrip is tlifiNenl for Acme and ot hrr threads.

P P I • w w w . p p i 2 p a s s . c o m
43-16 F E M E C H A N I C A L 11 E V I l: \'/ M A N U I\ L

Tlie act.11al work is calt:11laled fron1 tlie act.11::il t orque

1000 N required. Analogous Lo II'= Fl, the work of a torque

applied for one revolution is
Wuctuol = TO = 2rr '1'
The ratio of the ideal to actual work h�rms is the basis of
Eq. 43.31.
The torque calrnlat.ed in Eq. 43.29 and Eq. 113.30 is
required Lo overcome t.hread frict.ion and Lo raise the
load (i.e., a.'.'ially cornpress the screw). Typically, only
103 to 15% of the torque goes into axial compression of
the screw. The remainder is used to overcome friction.
The n1echanical efficiency of the screw is the of
torque without friction t� t.he torque with fricl.ion. The
torque without friction can be calculated from the two collar frict.ion, what. is wost. nearly the torque previous equations (dependiug on the travel direction)
required to lower tlie load? using 11 = 0.
(A) 1 .7 N·m
(B) 2�j N·m
(C) 160 N·m
In t.he absence of an ant.ifrict.ion ring, an additional
(D) 2200 N·m Lorquc will be required to overcome friction in the collar.
Since t.he collar is generally flat, the normal force is the
Solution jack load, F, for t.he purpose of calculating the frict.ional
force. (Sec Fig. 113.14.)
Use Eq. 4�1.30 . Since collar friction cnn be 11eglecte<l, the

Fd12 1 (rrttd11 - lI)

secon<l term can be omitted.

rrd11 + µ
( )
TL = Figure 43. 14 Screl'I Wilh Collar

( 1 000 N)(37.5 mm)

( rrrr(0.15)(37.5
(2) ( iooo

mm) - 7

) mm

( 1 .7 N·m )
(37.5 mrn) (0.15)(7 nui1)

= 1 .683 N·111

Tlw answer Is (A).

Equation 43.31 : Power Screw Efficiency

11 = Fl/2nT 43.31
F/2 F/2

�9..�...f.'..9..l.J.���A.� . .�.•.�.� ��.t;�

The mechanical efficiency of the screw can be calculated . .... . . ......... .. ... ...... .. . ...... . ......... . .

as the ratio of t.hc ideal work required to raise the jack The four-bar linkage is a simple mechanism comprising
against the load to the actual work performed. The ideal four links (bars) t.hat are linked by joints. The linkage is
work is calculated as force x distance. The distance the able to rotate within Lhc plane of the mechanism. Four­
screw moves for each revolution is the lead, /. The ideal bar linkages arc conm1011 components in machine design,
work is and many diverse 111ccltm1isms can be analyzed as four­
bar linkages. A simple fom-bar linkage is shown in
Fig. ,13.15.

P P I • w w w . p p l 2 p a s s . c o m
M A C ll l N E D E S I G N 43- 17

The four-bar linkage in fi'ig. 43. 1 5 has a reference link, Figure 43. 15 Four-Bar Linkages
link l ; a crank li11k (also known as an input link), li11k 2;
a coupler link, link 3; and a11 output. link, link 4. The
reference liuk is t.y pically fixed (grmmdcd) aml is 11sm1 lly
taken to coincide wit.It the :N1xis. The links arcjoi11ed by
four pivots: two moving pivots, A and B, and l wo fixed
pivots, 02 and 04•23

TLe angles of links 2, 3, a11cl 4 with respect. Lo the refer­

The length of l i n ks 2, 3, aml '1 are a, b, an d c, rC'Spect.ively,

ence link (i.e., a_ r e fh_, B;i, and 0.i, respect ively. 2�

..... ..... �
while link 1 is length d. link 1

04 x

I ions (circuits), depending on the config ura tion of links 3

The fom-har linkage ca11 be configmed into two 71osi­
link 3 ,...
,... .....
and 4 . The open posilio11 and crossed posilio11 arc illus­
\ link 4 crossed
trated in Fig. 113. 1 5.

/( I = !!_Ii
Equation 43.32 Through Eq. 43.44: Position
Analysis 25• 26


( ) K;; = -----
a2 - Ii�
c1 - rP -
= 2 arctan - B v'
± B - <I A C

( )

( - B - VB1 - 4AC)
2 Variations
- E + VE - 4DF
041,2 = 2 arcta n
O:i11 = 2 Hrctau - 43.33

A = cos f)z - I< t - t<2 cos fl2 + K1

20 [open positiu11]
B = -2 si11B2

C = [( 1 - ( !<2 + I }cos 02 + K:1 ( - B + VB2A2 - 4JI C)


D = ros fJ2 - 1( 1 + IC1 cosl'2 + /(�,

04 1 .1 = 2 arcl an [closed position]

(-E - VE2 - tJDF)

E = - 2 sin 02
F = Ki + ( I< 1 - l )cos02 + K;,
= 2 a rel au [open posit.ion]
0� 1 •2
f< 1 = !!.


/(i = -

c E2 - 4D
[closed position]

2a r
2 + c2 + rF 2D
= -------
a2 - b
f("J 43.42

Position analysis is used to specify the position ( or ien ta ­


//a111/book IL�l'S t he tc•n11 "pivot" to descr i be what is tion) of links with respect Lo each other. Typically, the
lengths of the links are known. If angle 02 is known,
typically referred t o as a "joint," "pi11," or "hinge." The tt'<'h11ic-al 1 1 a1 11c
fur a pin joint is revo/ute. angle O� can be calculate<l from Eq. 4 3.32 . Equa­
24Alt hough the NCEES J/andbook llSl.'S numbers to designate the li11k�, tion 43.32 can be rewrit ten for either open or crossed
the NCEES Handbook also uses n 1 11 1 1hcrs i11 a second level of s11hsc1 ipts
position configurations as shown by the variation
S<·cl ("2") positions. So, OJ, refers lo
to dc�ig11ate the open ("l") mul cros.
the u11glc of the crossed position of li11k 3. The seco11cl 1111111crical
subscript is unrelated lo a li11k 11111 11bcr .
2"Thc fundamental engineering principles and theorems used to ;11 1a­
If angle 02 is known, t. he angle 03 can be calculatc<l from
ly:w four-bar linkages are obscured by these equations. The fr1ur-har Eq. 43.33. Equation 113.33 can be rewritten for either
li11kugc equat ions presente<l i11 the NCEES Handbook cn n he 1 1scd lo open or crossed position configurations as shown by the
clclcrmine position, velocity, n11cl accderntion, but the pl1 1g-a11d-chug
variation equations.
calculations do not re<111irc or demonstrate engineering knowledge.
Other than being aware of their existence and locnlio11, there are no
f'11gineering fundamental� to lcM11 from these equations. Example

the open posit.ion. The values of 02 , I<1 , /(2 , and /(1 arc
The four-bar linkage system shown is configured into
Thc NC££S llandbook nSf'S "A," "B," "C," and "D" to drsig11atc two
different concepts: the four joi11ts and four interrncdiale rnkulut ions i n
Eq. 43.32 through Eq. 4J.39. There s i n o co1111cctio11 between the
common drsignat ions. 65°, 0.58, 0.68, and 1.2, respectively.

P P I • w w w . p p i 2 p a s s . c o m
43- 1 8 F E M E C 1-1 A N I C A L R E V I E I/I M fl N U A L

siu(02 Oa)
c si11(0 1 - O: )
W1 =
111;;1 - 43.4G

,.,1, = - aw-1 si11 01 43.47

v u.1. = - b.i.!:i si1 1 0a 43.48
vn = - cw 1 sin 01 43.49

,. B,t ,1 = /w;1 cos O:i = ou::l cm; ()'I. 43.50
v,,,, = rw1 cns 0 1
\Vital is most. nearly the vnl11e of angle 0.1?

(A) �J3° Description

(B) !J8° Velocity analysis calculates the irngular velocit.y when t. hc

angular velocity of one li11k is known. The ta11ge11tial
(C) 1 1 0° velocity (also known as the periphernl velocity) of a wheel
( D ) l 30° of rndius r rotating about a fixcu point is v1 = n,;, and
similarly, Lhe LangPntial velocity of the end of a link of
length I rotating about a fn.:ed point. is v1 = lw. If 0 is
defined as an cingle from the horizontal :1,:-a.xis, I he :i;.

Prom Eq. 43.34, component of velocit.y is v = v 1 si.n 0 = lw sin B, and the
y-componcnt is v11 = v 1 cos B = /..u cos B.
A = cos fJ2 -

[(2 cos fh + [(:i

The angulcir velodty of links 3 and •1, w3 and w4, ran be

= 0.755
J( I

= cos 65° - 0.58 - 0.68 cos 65° + 1.2 calculntecl from Eq. 43.45 and Eq. 43.46, respectively,
using I.he angular velocity of link 2, w2. Clockwise and
counterclockwise rotational angular velocit.ies and accel­
From Eq. 43.35, erations are distinguished by opposite signs. The most
common assumption is that clockwise rotation is posi­
B = -2 sin02 = -2 sinG5° tive, but this is an arbitrary decision. Once I.he angular
velocities of all links are known, the velocity in a direc­
= - 1 .81 t.ion parallel to an is calculated as shown in
From Eq. 43.3£), Eq. 43.47 t.IU"ough Eq. 43.52. Although the pivot points
of links 2 and 4 are fixed (i.e., st<it.ionary), Lhe location
- (K2 + l)cosfh + ](3
C= of t.he pivot. poi11t for link 3 changes as t.he linkage
moves. So, the linear velocity of link 3 can be specified

= 0.58 (0.68 + 1)cos65° + 1.2 with respect to either its (moving) pivot point or wilh
= 1.07 respect to the stationary �c-y plane. The velocity of a
point. with respect lo another point is designated by a

(-B - JB2 - 4 A C)
From Eq. 43.32, for the open position, double subscript. For exa i nple, "BA i s the velocity of
point B with respect Lo point A .
8.1 = 2 arctan
What are most uca rly t.he angular velocities of li11k 3, w3,
(- 1 .8 1 )
(-(- 1 81) - ; 2 l and li11k 4, (J.i , of the four-bar 111echa11ism shown?
- 2 a1ctan
· "
. \ - (4 ) (0.755)(1 .07)

A ,

�v�\02 =
= !J2.G5° (93°)
�"' __ _._

w = 3 rad/s ;r'-
\ ::;,' " J.

Tf1e answer is (A). •

Equation 43.45 Through Eq. 43.52: Velocity

(A) w3 0.78 rad/s, and lv� = -0.79 rad/s
(B) W;1 = 0.78 rad/s, and w4 -0.3!) rad/s

43.45 (C) w3 = 1 .4 rad /s, and (v.1 = -0.79 racl/s

(D) (cJ:1 = 1 .4 rad/s, and w.1 = -0.39 rad/s

P P I • w w w . p p i 2 p a s s . c o m
M A C II I N E D E S I G N 43- 19

Solution Description
fJ.1 = 1 80° - o = 180° - 00° = 120°. Calrulat c Ll1c angu­ A cce/cration analysis determinPs l.hc a11gular accelera­
lar velocity of link 3 from Eq. 43A5. tion Of links WIH'll the accelcratiOll of OllC liuk, typically
mv2 si11(0.1 - 01)
the crank link, is !mown. The t a ngential arrPlerat.ion of
n wheel of radius , rotating about a fixed point is a 1 =
W3 = -
b sin(O:i - 0 1 )
of a link of length I rotating about a point is a 1 = /a . If 0
m , and similarly, the tangential acceleration of the end

(3 cm) (-3 �) si11( 120° - ,15°)

romponenl. of acceleration is a,.= a 1 sin (} = lo. sin 0, and
is defined as an angle fro111 the horizontal :i'-axis, the :1;­
(G Clll)si11(30° - 120°)
t he y-component. is a u = a1cos 0 = la cos 0. The angular
= 1 .4,Hl rad/s ( I A rad/s) acceleration of links 3 and 4, C\'3 and a.i, arc calc11lated
from Eq. 43.53 and Eq. 43.54, respectively, when Lite
Using Eq. 43.4G, the angular velociLy of link 4 is
angular ac:celerat.ion of link 2, n:1, is k11ow11.
m<.12 sin(01 - 03 )
c sin(B.1 - 03)
ti)� =

(3 cm) (-3 �) sin(45° - 30°)

(5.9 crn)sin(l20° - 30°)
= -0.39<18 rad/s (-0.39 rnd/s)
Tile answer is (D).

Equation 43.53 Through Eq. 43.60:

Acceleration Analysis

CD - AF 43.53
o :i =
A E - BD
CE - BF 43.54
f\ i =
A E - BD
;\ = csin II� 43.55
n = bsiu 8:1
1w2 sin (h + r1w2 C'OS 02 + lw:j cos 8:1 -
C= rll.J 1 r·os (}�
2 2

D = c cos B� 43.58

? . 0 ' ? . (:) 2 . (}
E = bcos B:i
F = f/0. 2 cos (J2 - aw2 Slll 2 �
j Sill 3 + cw, Siil


P P I • w w w . p p i 2 p a s s . c o m
.. . . .. . .
... . .. . ..
. . . .. .. . . . .... .. .. ·····-· .... .. .. . . . . . .... .. . .
...... . . . . . . ., , . . . ........... . .. ···--

l . lnt,roduct.ion Lo Fl ui d Power . . . . . . . . . . . . . . 44-2 !� pneurna( ic inerlall(:e lbf-sec2/ N·s2/kg·m2

2. Fluid Power Symbols . . . . . . . . . . . . . . . . . . . . 44-2 lh1n-fl 2

3. Hydraulic Flui<ls . .. ... . .. . . . . . . . . . . . . . . . '14-2 /( coustaul various various
ll. Designations of Hydraulic Oils . . . . . . . . . . . . 4 1- 2
1 lmgt h ft Ill

5. Cout.rol Valves . . . . . . . . . . . . . . . . . . . . . . . . . . 4,,_3 Ill 111ass Ihm kg

6. Tubing, Hose, and Pipe for Fl ui<l Power . . . 44- 3 1i1 mas
s flow rate lbm/st!c kg/s

8. Burst Pressure . . . . . . . . . . . . . . . . . . . . . . . . . .
7. Pressure Rating of Pipe and Tubing . . . . . . 44-4 II polytropic exponent
44-4 11 rotational speed rpm rpm
9 . Fluid Power Pumps . . . . . . . . . . . . . . . . . . . . . 44-4 p pressure lbr/fL 2 Pa

1 0. Elecl.ric Motors .. .. .. .. .. . . . . . . . . . . . . . . . . 44-5 pf power factor

1 2. Accu111ulators . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 1 . Strainers and Filters . . . . . . . . . . . . . . . . . . . . . 4'1-5 p power hp (ft-lbf/sec)
44-5 Q flow rate (ljquids) gal/min 1113/min
13. Linear Actuators and Cylinders . . . . . . . . . . . 44-6 Q flow rate (gases) fL3/sec m:i/s
1'1. P11cu1J1at.ic Syste11Ls .. . . 44-6 R electrical resistance n n
15. Modeling Hydraulic and Pneumal.ic
. . . . . . . . . . . . . . . . . .

Rt hydrn11lic resistance lbf-sec/ft5 N ·s/m5

Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-6 liy resistance lbf-sec/ll 1111-rt 2 N ·s/kg·m2
16. Fluid H.esistancc . . . . . . . . . . . . . . . . . . . . . . . . . 44- 7 8 maximum allowable }bf/ft:.! Pa
17. Fluid Flow Through an Orifice . . . . . . . . . . . 44,7 teusile st.ress
LS. Fluid Co111plia11cc . . . . . . . . . . . . . . . . . . . . . . . 44-7 s strengt. h lbf/ft2 Pa
1 9 . Fluid Inertance . . . . . . . . . . . . . . . . . . . . . . . . . . 44-8 11omi11al thickness ft Ill

20. Fluid Jmpc<lancc . . . .. . . . . . . . . . . . . . . . . . . . 44-8 l timr sec s

t1 design thkkne�s ft Ill

Nomenclature2 T torque ft-lbf N·m

a speed of sound ft/sec m/s u energy ft-Ib f J

A arca:i fL2 1112 v vrlocit.y ft/sec m/s

v v
\I capacity or volume 1113
B bulk modulus lbf/ft2 Pa ft 3
\I effective (nus) line
c capacit ance F F

v v
c corrosion allowauce in mm voltage
\I voltage
discharge coefficient
c, hydraulic compliance ft5/!bf m5/N volumetric flow rate fta /sec m:J/s

Cg pneumatic compliance lhm-ft.2/lbf kg·1112/N WHF waler hammer factor

d inside diameter ft 111 x distance fL Ill

diameter ft. Ill x react anee Ihf-sec/fl'� N-s/ni"'

D outside diameter ft m IJ temperature derating

g gravitational 11ccelerat.ion, ft. /sec2 m/s2 fador

32.2 (9.81) z impedance lbf-sec/ft5 N·s/m5

g,. gravitational constant., lb111-ft/lbf-sec2 11.fl.


head loss due t o friction
"1 ft Ill
compressibility ft �/lbf l/Pa
imagiuary operator,
I] efficieucy
effect.ive (nns) liue current A A Pa·s
/l absolute viscosity lbf-sec/ ft2
I incrtancc (inductance) lhf/ft.4 N/rn4
p density lbm/ft3 kg/m3
f1 hydraulic iuertance lbf-sec2/ft5 N·s2/ni'�
(kg/nf )

1 Allhough the topics uf "Hydraulic components" and "Pneumatic Subscripts

c·o1111)()11c11ts" arc included in the NCEES �lechanical CilT exam spec­ f hydranlic (liquid)
ilkations, there is no content associated with these subjects in the pneumatic (gas)
NCEES FE Rcfcmicc llandbook (NCEES Handbook).
max maximum
1Sy111buls and uuits consistent with the fluid power industry are used
o charactrristic
in this chapter.
aTht! sy111bol S is used in some references to designate surface ru·el\. ul ult.imate tensile

P P I • w w w . p p l 2 p a s s . c o m
44-2 F E M E C 11 A N I C A L R E V I E W M I\ N U A L

1 . INTRODUCTION TO FLUID POWER to reduce friction and prevent wPar), viscosity, visrosity
inclex,u pour point, fo1sh point, rust resistance, oxidation
Fluid power (hydraulic pn111eror 11n111er liydra1ilic) r:q1dp- resistance, and foaming resistance. Hclat.ivc lo petro­
111c11l is hydra11lica tl,\' opernti1 1g equip11 1e11t t.ltal gcacr­ leum oils, fire resistance is usually achieved to the detri­
alcs hydraulic pressure al. one point in order to perform rneut of the other properties.
11sefnl t;;islrn at Rnother. The eqnipment typically con­
sists of a power source (i.e., an electric 11tolor or iutcrual \\Tater-oil emulsions are the lowest-cost fire-resistant
combustion engine), pump, actuator cylinders or rotRry fluids. They get 1erally perform as well as, or better t.han,
fluid motors, control valves high-pressure tubing or most petroleum flnids.
hose, Duid reservoir, and hydraulic fluid. (Sec Fig. 44 . l . )
During operation, the powPr somce pressmizes t.llf' Due to their simi!Rrity to standard ant.ifreeze solutions,
hydraulic fluid, and the control valves direct the fluid water-glycol mixtures arc a good choice for low-
Lo I.he cylinders or hydraulic motors. 1.emperat.ure use. Periodic checking is required to moni­
tor alkalinity alld water evaporatiot1. The water content
should not. be a lloweJ to drop below approximately 353
Figure 44.1 Typical Fluid Po\'/er Circuit
t.o 503.

double-acting, single-rod cylinder Synthetic hydraulic Onids are the most costly of tl. ie fire­
resistanl. Ouids. They liave higl1 lubricity. Special for­
mulations may he needed for low-temperature use, and
electro-hydraulic four-way, their viscosity indexes arc gc1 1 erally lower tha11 those of
three-position, solenoid-actuated
petroleum oils. A significant. factor is that they are not.
servo valve, neither control actuated
chumically consistent with tlic seal materials in use for
nonreturn valve petroleun� oils.7 Therefore, synthetics cannot he 11sed in
all existing systems.
adjustable pressure reducing valve The temperature of the hydraulic fluid entering tltc
pump is typically l 00°F lo l 20°F (38°C to 49°C). The
temperature is commonly limited by most specifications
shut-off valve
Lo 1 20°F (49°C) for water-based fluids and 130°F
tubing (54°C) for all other fluids.


adjustable pump
and electric motor In hydraulic applications, the type of fluid required is
strainer based on niany factors, such as type of pump, t.ype of
center system (e.g., open/closed), accunrnlator and
open reservoir cylinder rcquirnmuu ts, and use of oil coolers. Hydraulic
fluids are identified by both Society of Automotive
Engineers (SAE) and/or International Organization
2. FLUID POWER SYMBOLS for Standardization (ISO) designat.ions.8 Both designa­
i\fost symbols for flnid power eqniprnent me simplified tions indicate the oil's useful operating range and sim­
representations of their physical counterparts. Symbols plify the select.ion and identification of an oil with a
have been st;;indardized by the ANSI and ISO.-t given viscosity index. The higher the viscosity nmnber,
t.he more viscous is the fluid. The SAE designation is
known as the grade or weight.0 A recommendation of
..... . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . SAE lOW, 20, or 20\'\1 is typical in hydraulic applica­
Petroleum-based oils and fire-resistant fluids are the two tions. An SAE 20 oil (grade 20 or 20 weight) has a
general categories of hydraulic fluids. Petroleum oils are viscosity index of approximately 100. Higher viscosity
enhanced with additives intended to inhibit or prevent indexes, such as 1 20 or 160, are used in applications such
rust, foam, wear, and oxidation. The largest drawback as manna! transmissions, gear driven t.rarn;fer cases, aud
lo pet.rolculll oils, however, is flammability. Fire­ front./rear drive axles, but nol as hydraulic Ouid.
resistant fluids are categorized as water and oil emul­
sions,::; water-glycol mixtures, or straight. synthetic fluids r : l'i.�rooily i11dr.r. is thP r!'lnt i\'c;' role of chmrgc i n viscosity with tem­
(e.g., silicone or phosphate esters, ester blencls, and pcral m<'. The viscosit i<'s of nnids with high viscosity indexes change
chlorinated hydrocarbon-based fluids).

7Sornc �f the senl rnlllcrioL� thnt ore snit nl il e for use with synthetics
lrss with \'ntintimLq i n tP111perntme limn thosP of fluids wi l li low
In addition lo cost, the properties most relevant. in
viscosity i1 1dcxrs.
selecting hydraulic fluids are lubricity (i.e., the ability i11d11dc butyl rnhlwr, cthyleuc-prnpylcnc rnhhPr, si l i con e, Tefio11n1,
and nylon.
�Refer to ANSI Y32. I O an<l ISO 1 2 1!J. �Irr the Urritcd Stat rs, oils ari' nlsu ck'sigrratNI by their nlilillll'y perfor-
5An er11ulsio11 of water in oil (ns opposed lo oil in
ilwcrl emulsion.
wnl�·r) is known ns n11 111t111cc 11ur 11hers (e.g., ll !LL-PfiP-87257).
�'The drsignnt ion "\\r' in SA F, grade;; slnncls for "winter," not weight .

P P I • w \'I w . p p i 2 p a s s • c o m
Ii V D R A U L I C A N D P N I! U M A T I C M E C H A N I S M S 44-3

The fSO 11iscosily grndP (VG) clesignation is similar in A illl'ee-way c;o11/.n1l ualvc (si11ylc-acli11,q value) is com­
purpose aud i s recoguizcd i11ternat.iom11ly. Desig11at.iorn; monly 11sed to control a single-acting circuiL. A four-way
32, 46, a11d 68 are common spccilica lio11s for hydraulic valve ( du11ble-acti11g valve) is t.ypically used t o control a
applications with vane. piston, and gear-type pumps. Ai; double-acting circuit. There arc several ways t hat. a
show11 i 1 1 Taulc 4 4 . 1 , a11 ISO 32 oil is equivalent to m t co11t.rol valve in i t s position can be dcsigucd t o
SAE I OW oil. An I S O GS oil i s equivalent t o an function. A n upc11-ce11lcr valve ( landem-cenler urdne) is
SAE 20\V oil. t.ypi<'ally used with a fixecl- clisplacc1ne11t. puwp. Iu the
neutral posit.ion, it allows hydra11lic fluid to free- flow
hark lo the la11k. Shifti11g t.hc spool position directs

Table t14. 1 Typical Properties of ISO Hyc/raulic Oils hydraulic tluid to the selected port. Au 011e11-ce11lcf'­

... x
abwlutc (J�'Ilaruic) l'i.scosity
power-beyund value (hiyh-pf'essure ca n·yover 11al11e) is

similar t o an open-cen ter valve except. that i11 the neu­
rey1 1 w�
t.rat position, hydra11lic fluid flows t o t.he downstream
(<·St) (lhf·>e<'/i111) de11:-.ity

circuit instead of t.o Lhc A c/osecl-ce11ler 11alve is
typically used with a variable-displacement pump.
�r o..:;ity
vi. e.:1uimknt
g"ule SAG grade 40,c 100°C l04°F 212'F (kr;/111") (lb111/f1 "J Hydraulic fluid is blocked at the valve until the spool

:52 IU\\'
is moved out of the neutral position.
;j2 5.-1 ·I ll.6 8fi7 5�.G
�ti 20 4U Ci.8 5.7 0.8 SGL ;,3,7 I n the neutral posit.ion, a mo/.or-sponl valve (jf'cc-f/uw
(ili 10\V liS 8.7 �.fJ I.I SG5 51.1
valve) allows hydraulic fluid to flow back to the tank.
The operator is able t o rnn a hydraulic mot.or under load
100 30 LOO llA 12.G IA 86!1 54.:3
and, when the valve is shifted back to neutral, the motor
IBO .10 1 50 15 rn l.S 872 5 1..J is allowed to coast. t o a stop. A cyliwle1·-spool ualvc
220 50 220 Hl.4 27.7 2.4 87i'i 5-U.i should uc used in applications where a load is Lo be

raised and held aloft with a hydraulic cylinder. W i t h a

( i\lulliply lln11/ft'l by 16.018 lo ohtnin

(i\lulliply <'Sl lo ohlni11
hy J.0764 x 10-�
cyli nder-spool valve i n i t s neutral position, fluid is
kg/111· .) blocked from flowing Lo the t.anlc This effectively locks
For t'01tvP11il'llC<', viscosity in re\' . l!S has hC'C'll incr(';l.�t'd h.1· 10''. the load in place.
i\l11lt ipl,1· I abk· vnlues hy 11i-".


· · · - · · · - - - · · · - · - · ·------·-·--····--· ·-···--····· · · · --· · ·----·-·--· ------·-···· -·- ·-·-··-·····--·--- Caruon, alloy, and stail lless steel fluid power tubings are
Conl.rol valves are used to direct the flow of hydraulic available, part.icnlarly in the smaller sizes (e.g., up t o
flnid. Pressllf'e reduction ·valves are used to reduce tbe approximalely 2 i n ( 5 0 m m ) i n diameter). LO Fluid power
pressure to components Lhal. cannoL tolerate or do noL tubing is available in two different pressure ratings: 0 psi
need the full system pressure. Pressure relief valves are to 1 000 psi (0 MPa t o 6.89 ?vrPa) and 1000 psi to
used to prot.ect l.he system from da ngerously high 2500 psi (6.89 ?v!Pa to 1 7 . 2 M P a ) .
Types S (seamless) a n d F ( furnace buU.-welded) vari­
eties of A53 and A106 gnide B black steel pipe can be
Although seated poppet (globe, gate, and plunger) 11
used when larger diameter pipes arc required. The
valves can be used, the spool-type valve is most c01nmo11 dimensions arc the same as for normal steel pipe of t.he
for channel select.ion and directional control.
same schedule.

Control valves are described according to t.heir number There are u u merous types of llexihle hose. i\fost. are rein­
of ports, their normal configuration, and their munbcr of forced wit.h steel wire, steel braid, or other high strength
posit.ions. The "way" of a control valve is equal t o the fiuer. Fluid compatibility, bend radius, and opcratiug
11umber of ports. Thus, a three-way valve will have one pressure arc sclectiou criteria. The internal diameter of
port for pre:o;surized fluid and two possible discharge flexible hose i s t.he hose's nominal size. Wheu pressurized
ports. A four-way valve will have two ports for pressur­ to l l 10l'C thcu1 250 psi ( 1 .7 MPa), the working pressure or
ized fluid and two discharge ports. I r a valve prevents hose is taken as 25% of t.hc burst pressure.
through-flow when de-energized (i.e., when off), it is
designated as "normally closed" or "NC." If the valve JUCopper pipe may react with some hydraulic fluids and is rnrdy used.
1 1The "grade" of a steel is usuall_I' its tensile slrenglh in ksi. For
permits through-tlow when de-energized, it is designated
<'Xample, the tensile strength of A51G grade 60 st<'d is 60 ksi. T111.·
as "normally open" or "NO."

tions for the carbon steel tL5Cd in pip!.'s nrnl l. 1 tl )('s. Tl1e gra<lu of thu
111alerials, gTades, specifications, cla<;.'><'s , an<l t.yp!.'s of SIC<'! pipe's irncl
tubes are easily coufuse<l. A285, A515. nnd A516 ar(' c01 n111 011 drsig1111-
In some valves, the fluid can he infinitely split between
two discharge ports. In others, there arc two distinct materinl may relate lo its tensile strength, dudilit,v, or other property.

specifications A53 nnd /\ 106. ThP type (e.g. . F or S) relatl.'s to how

Additional specificntion.� 111ny apply lo thr 111r11111facl1irc•r of lhc pipl'.
posit.ions. Thus, a four-way, two-position valve (desig­
A285 pipe, for example. is often specified according to the additional
nated as a "<1/2 valve") could switch the discharges
co111 plctcly. sc:uns rirc fonue<l.

P P I • w w w . p p i 2 p a s s . c o m

A llowable working Jl l'essure (pressure rnling)


for pipe i11

fluid power systems is calculated in tlw same manner as

that for pressure pipin� i n other types of power piping

- -
systems. 2 The max.imum working pressure is

Since power fluicl systems are subject. lo rapid valve

2y(l' C)
2S(t! C) closures the pressures calculated from tlie given equa­
Pmax = D
t.ions must. be reduced for t.he effect of water han 1mcr.
The amount. of reduct.ion for water hanmier is calculated
In the given equation, S is the maxinrnm allowable stress.

38 C)
fro111 t.he waler hammer fac/01', WHF the of pres­
The maxinnun allowable stress depcuds 011 the 1uctal 11
sme (in psi) to flow rate (in gpm). 1 The clerating iu
composition and, but since most, fluid power working stress clue to water hammer is
systems nm at approximately 100°F (: ° , the lll<LX­
imum stress corresponding to that temperatme should be
used. Dy convention, the max.imum allowable stress is

desig n fo c to r) of 3
calculated as the ult.imale tensile strcngt.h divided by a
factor of safety �referred t.o ris a or, The working pressmc after water hauuuer may be
occasionally, 4.1 Values of 12,500 psi am! 17,000 psi further reduced for connections and fittings. The
(86.1 lvIPa and 1 1 7 MPa) are commonly used for initial a111ou11t of the reduction is approximately 25%.
studies for A285 carbon steel pipes aud tubes, and these
values conespond to approx.imate factors of snfety over

/.' is the design wall lhickness and is burst pressure is calculated

the ultimate st.re11gt.11 of 4 and 3, respectively. 8. BURST PRESSURE
In the given equation, The from the following equa­
calculated as 87.5% of the 11orninal waU thickness listed in t.ion, which is derived from the thin-walled cylinder
the pipe tables. C is an aJ Jowance for bending, production theory. sill is the ultimate tensile st.rengt.h.

>, corrosion, threading, and variatimrn in mech­
anical slrengt.h. A value of C = 0.05 in ( 1 .27 nun) is
appropriate for tlu-eaded steel tnbes up to 3/s in
2S11t t
(!J.525 uun) diameter. For larger threaded stc.'Cl tubes, C
is equal to the depth of the thread in inches ( mi llimeters).
C= 0.05 in
(1.27 nun) for uuthrca<lcd steel tubes up to
0.5 in (12.7 mm). C = 0.065 in (l.G51 mm) for nntlu-eaded 9. FLUID POWER PUMPS

and austenitic steels, y is 0.4 for operation at temperatures

steel tubcs 1 1/4 in (31.75 mm) a11d larger. For both fcrritic
�vlost fluid power pumps are positive displacement.

y = 0.5.
pumps. Rotary and reciprocating designs are both used.
common to fluid power systems, up to 900°F (480°C). For
All of the standard formulns for pump performance
operation at !J50°F (510°0), For 1000°F (540°C
1 (horsepower, torque, etc.) apply. For example, the
aud above) , y = 0.7. �
horsepower needed to drive the pump is given by tlte
The given equation is a code-based approach to calcu­ following equation. l)purnp is commonly taken HS 0.85.
lating the working pressure. Three other theoretical

Jlpsi Qgpm
met.hods are also used, primarily with steel hydraulic
tubing co11nected with flared fittings, to calculate the
1 Ph p _
working pressure. 5 Di mensi011s used in the Barlow, l 71 4 1/p11111p
Boardman, and Lame formulas are nominal, tabulated

( )
values. The Barlow fommla is the standard thin-wall
The torque OH the pump shaft is
cylinder formula.

2St. in:i

Ppsi 211:
p=v displacement i n
'1'in-lbf =


The Boardman fomwln is

p= D
0. 8 1,

12J\SJ\ B3 l .J.J 1 �111rl11ding an allow1wrc for wntc•r hn111111C'f sho11lcl he hascd on I ht'
13Thc nbhrcviations SHYS and S/ll'TS stand for "standard 111ini111u111 t.ypc of fluid systc111, nutjnst 011 the material 11.scd for the pipe or tube.
yicl<l strength" und "standard 111ini111u111 tensile strength," fl'SpC\:t ivcly. So111c somccs suggest tht1t the allowance r11r wilt('r hnm111cr should be
�Valurs of C and y arc spl'<"ific<l by Part 2 of AS/IIE's Code for Powc1· included only with rnsl-iro11 pipl's. While it is l rue that 111ost. rnsl irons
Piping (J\S/llE 831.1). C'xpcricncc brit.tlc (not duct.ilc) failure, 01njtting the prc:;surc increase
5Tubing must nn1for 111 tu SAE J524, J525, an<l J356. with ductile pipes denil.'S that water hammer actually otcurs.

P P I • w w w . p p i 2 p a s s . c o m
H V 0 n I\ U L I C A N 0 P N E U M A T I C M E C II A N I S M S 44-5

The !low raLe in pumps is related to t.he di:-;plm:emeut Table 44.2 Electric Motor Variables'
per revolution by furr 1 1 ulB

11 ,P'"
( clisplacenwut i11
) fin<l


74 G P1 ip
7• 1GP""
Q = ----'---------� 1'17(pf) ,/3 \117(pf)
!;I'"' 2 :n
la1111'-" Pkw lOOOPk11· lOOOPk11•
To prevent cavitation, the flow velocity in suctiou lines
l'(pf) J3 l'(pf)
is generally limited by specification to rt/sec to 5 rt./sec lOOOPw,1 lOOOPk\'A
(0.3 111/s to 1 . 5 m/s). The now velocity in discharge lines \I

17 J3 v
is limited to 10 ft/sec t.o 1 5 ft/sec (3 m/s lo 4.5 m/s).
The actual fluid velocity can easily b e calculated from l l'(pf) /3T \/(pf)

pkVA /31 l'

1000 1000
Vft/>fC<' =
A in·" 1 000 1000
P1ip J \I 11(pf) J3 r 11 11(pf)
Wlicn starting a hydraulic pump, the fluid viscosity
7,16 7,16

( i\!11lti pl,1· hp hy 0.7457 to uhtain kW.)

should be 4000 SSU (870 cS) or less. During steady
operation at higher tempP.raures, viscosity should be
above 70 SSU ( 1 3 cS).
>/ is the 1110tur cftkicncy.

P1m171 life is a term that. rders lo bearing life i n hours.

Most bearings have a roted life at some specific speed and outside scale. Power systems in daily use should be
and pressure. The rated (bearing) life cnn be modified protected by a 1 pm filter. Dackup aud occasional-use
for other speeds and pressures with

( )( )
systems may be nble to use a 25 11rn fil ter.

1e = (ratec1 1·1 1e
:l A filter installed in the suction line will protect all
rated speed rated pressure
lir components !Jut wilJ coutributc to suction pressure loss.
nctual speed actual pressure
For that reason, it is common practice to _ i nstall the
filter after the pump, protcctiug all components except
Bearing life predictions for pump applications arc I.he
t.he pump. The pump is protected by a coarse screen in
same as for other applications.
t.he suction Ii ue.

The utaximurn permissible prcssme drop across a new

and clean suction strainer or filter inst.ailed below t.he
The power needed to drive a l1ydraulic pump is given by fluid level ( i . e . , submerged) is commonly limited by
specification to 0.25 psi ( 1 . 7 kPa) for fire-resist.ant. fluids
a11d 0.50 psi (3.4 kPa) for all others.

.............................................................................. ........................... ............. ........

Since motors are rated by their developed power, the

given equation also specifies the minimum motor size. Accumulators store potential energy in the form of pres­
Most. fixed ( i . e . , not. mobile) fluid power pumps arc smized hydraulic fluid. They arc commonly used w i t h
driven \Jy single- or three-phase induct.ion motors. intermittent duty cycles or t o provide emergency
Table 44.2 can he used to solve for typical electrical power. l!l However, they can also be used to compensate
parameters describing the performance of an induction for leakage, act as shock absorbers, and dampen
18 pulsations.

The tlu·ee basic types of accmnulators are weight loaded,

1 1 . STRAINERS AND FILTERS mechanical spring loaded, a11d gas loaded (i.e., hydro­
pneumatic). Hydropneumat.ic accumulal.ors, where pis­
Although fluid power systems are theoretically closed, tons, diaphragms, or bladders separate the hydraulic
they are never free from dirt, grit, and metal particles. 20 2 1
Ouid from the gas, are (by far) the most conm1011. •
Although cokl-fonned tubes are essentially free of inter­ Most accumulators are high-pressure tanks and, a5 such,
nal scale, hot-rolled tubes will always have some inside should conform to ASl\•ill 's Code for Unfired P1·essw·e
17VduciliC's could be faster-up to 25 ft/sec (7.5 rn/s)-but are limited
to the lower vahws in order to pre1•enl excessive friction and noise.
18"[,iuc voltage" nnd "line-to-line voltnge" are synonymous terms. 1 9Usc o( accurn11lnto1s is beco111ing less co11111101l.
There is also a "plrnsc voltngc-" in three-phase systems. Wye-connected 20Reactive gnses, such as hydrogen nnd oxygen, should ncvl'1· be used
sources arc commonly in use, so phase and line voltage are related b.\' as accumulator gases.
Vi iHP = J3 \/ph.1..<e • 1
2 Spring nncl wright-loadP
< I ac-c11m11lators nrr rnuch rnrer.

P P I • w w w . p p i 2 p a s s . c o m
44-6 F E M E C H /\. N I C A L R E V I E W M A N U A L

IS rf'fened lo 1-lS th e effUI'/ awfoble. Tito product or

pressme, /I, and volun1elric lluw rate, it, is tl11icl power,

The volume of hydraulic fluid released by or captured in
all accumnlator is erprnl to the ch:rnge in volume of t l 1c .

vo l t a ge x c urre11 t in electrical ::;y:;tems. The powe1'. P,

compressed gas. Co111pressio11 and expansion of the gns n1ucl..i like force x velocity in mechanical syslcn1s and
in n n arc11m11lnl.or is governed by standard t.ltcrmody­
uawic pru1ciples. However, calrulat.ion of volumetric available a l n point in a system where t.ltc pressure is p is

P = pAv = p Tl
changes is complicated uy the speed of the process, sincP
the gm; may heat or cool during the volume cliangc.

Linear llc/.ulltol's (e.g., liydro11lic rnms and hydnrnlic

.. . .. . ... .. . .....
. .. .. . . . .. . ... . ... . .. . . . . . ... . .. . . .. . . .. . . . . . .. . . . . ····· . . . . . . ··-··· ··· ···· ·· ········ • ·-·
Tn addition to using t.he given equation and continuity
of was::; and continuity of energy equntions, perrormance
cylinclers) are t,hc 111ost co111mon type of fluid power of n u id an<l pncun1atic power sy::;tems can he analyzed
actuator::;. 22 using lrnnped-parameter models. 111 a lwnped-pammeler
model, a system is divided into small segnwnts ( i .e.,
lumps) that. contain one or 1nore compouents. Although
the aud velm:ity can vary with time within l he
system, they arc considered iu:;tantaneo11sly fixed wit.hin
Pnewna/.ic system:; arc fluid power sy::;tems that transfer
the lump. The direction of now is assu111cd to be oue­
energy using compressed gas (usually, air) as Lite work­
dimcnsional. The coucept::; of fluid and pneumatic resis­
ing lluid. 2.J Pneumatic ::;ystems require air rompressors
tance, capacitnnce, and inductance arc easily derived for
( instead of fluid pumps) and solenoid valves, but they
l lic lump. \Vliet.her all three concepts are used l o model
arc otherwise a11alogo11::; to fluid power systems. Pneu­
matic systems require fi//.er-rey11lulo1 ·-l11bl'ie11/.or (FRL)
a part.iculnr system <lepc1 1ds on t. he ,iudg111m1t of the
components to assme a clean, lubrirated supply of n i r at
mnstant pressure. Compressors and FRL co111po11ents Tn t.ra<litio11aJ fluid flow analy::;is of tmbulent llow, t he
arc rarely shown on pneumatic schematics. Pneumatic relationship between pressure clrop aud volumetric flow
systems can be const.rnctcd to exhaust the gas (a::; to the i::; nonlinear. Specifirally, h1 ,' v2. A rel a t ion sh ip si111ilar

atmosphere) directly without needing to have lluid lo Q = /( $µ is usually expected. However, for simpli­
return systems. Unlike hydraulic Ouid applications that city in fluid power analyses, the relationships arc ofte11
operate between 1000 psig and 10,000 psig (G.9 tvlPa assumed to be linear over small variat. ions in pressure.
and G9 M Pa), 1nosL industrial pneumatic applications This assumption is valid in lami11ar flow (as iu flow
operate with ga::; pressmes between 80 psig and 1000 psig
(550 kPa and 690 kPa). Due to the gas compressibility,
t. hrough capillary tubes), but i t is a convenient. simplifi­
cation otherwise.
pneumatic systems operate more slowly t.han liquid­
basecl systems using liquid . Since hydraulic tluid is essentially incompressible, Ouid
power �yst.c m component and sy�tem models are hnsed
l<inet.ic energy (incrtancc, imluctauce) terms are negli­ on the volumetric flow rate, Q. 2" Gases in pneumatic

models arc based on mass !low rate, iii = p if. As shown

gible becaw;e gas masses are small. Gravimet.ric (i.e., systems arc compressible, so component and system
mass) flow, not volumetric flow, is conserved, since the
working fluid is compressible. Gas llow can be laminar, in Table 11'1.3, the characteristic equal.ions arc similar for
but it. is almost. always turbulcnt. 2'1 l\Iovement of gas hydraulic and pnculllatic system::; except. for the use of
within the system may be subsonic or supersonic. basic variable.


............f.».t.11 �. �.l'J.l.�'!.1.�..�Y..�!l:.l'JI.�................................... . Table 44.3 Characteristic Equations of Fluid and Pneumatic Power
In hydraulic and pneumatic systems, work and power
arc functions of pressme primarily, and ns s11 ch , pressure
component hy<lranlic nuid power p11eu11.1atic lluid power
resistance, R

nstriclly speaking, a hydrnulic llJolor is a rntl\1y act 11ator or "linear

, capacitance
230xygcn-frcc nitrogen (OFN), a rompre!'se<l gns supplied in holl11·d (compliance),
funn, may be used for convenience or where nammnbilit.y is au isSUl'. C'
lnert gas�s, primarily argon, may be llR<'rl in aC'rospnce applil'ations
where minimal chemiral react.i,•il.v is needed . inductance
2 Jf the gas is incompressible a�rl the now is lami1wr. the Hage11-
1 (i11erla11ce)1 I
l'oisc11ille formula can hr used.

· rrD 1
I' = -- f; p
t;p l 281i/, 2!'Lowercase 'I is nlso rncrnmterc:'d the variable for volu111ctric now
= =
I nlY rate in n11irl pOll'Pl' appJirnliOllS.

PPI • w w w . p p i 2 p a s s . c o m
H Y D R A U L I C /\ t,1 0 P N E U M /\ T I C M E C H A N I S M S 44-7

. . .. . . -· ··-· · ··
. . .. . .
·-········-···············- . ···---.. . .. .
. .. .
Dissipatio11 of energy in l lw form of heat occurs lo some Fluid complicmce (fluid capacilance} of a pipe, tauk,
extent in all nuid syste111s. Fluid resislcwce ( hydraulic uct.ualor, or at.her sys l em is tllf' ratio of dwuge in slored
resislonce) represculs lhc cnergy-rlissipation aspect of a volume (for hydraulic systerns) or n1nss (lo p11Pumatir
system, corresponding to friction and clcdric11l resis­ system!:i) to clrnuge i11 pressure. The units of hydraulic.:
tance in mechanical and elcclrical systems?G Analogow; compliance, C1, :ire ft5/lbf (1115/N). For a hydraulic
to electrical systc111s ( \I 1 - V2 = IR), t.he driving force component. t.he fluid cornpliance is defined by

� �!!.!.
iu hydraulic systems is a pressmc difference, and flow,
Q, is resisted by hydraulic resistance, R1 . The units of
hydraulic resistance ore lbf-sec/ft5 ( N·s/11/1). cf = = =
Q ill
i/JI dI cl[l rip

The volumetric 11ow t.hro11gh a component is

Power dissipat,ion in a hydraulic.: rl'sisla11ce is

Pluid compliam:e is cmnposed of two parts, the mec/1-

w1icul compliance rrom volume chaugc of the conlainer,
and the compressibility co111plicmce due lo fluid's densit.y
In pneunrntic systems, pressmc difference is rorrelated changc.29 Some compliance derives from the OcxibiJity of
with mass Oow ra te. Pressure drops across co111po11cnts t.he container wall, but eveu when a pipe or tank is
in subsonic pnenmatic systems arc usually small and perfectly rii:,rid, Lhc fluid ilselr lms compliauce by virtue
fluct.nate with t illlc about a steady-state value. For tur­ of its compressibility. This compressibility compliance

following equation, where R9 is Lhe pneumn/,ic resistance

lmle11L flow, the pressme drop cau be predicted by the depends 011 the fluid's b11lk mod1dus, B, and is given by

= fl = [JII L
to gm; flow. The unils of pneumatic resis tance arc l b f-se<:/ \I AL
C,/.comprc,.,iuility =
lbm-ft.2 (N·s/kg·111'1).

A typkal hulk modulus for hydraulic llui<l is 250,000 psi

{ 1 . 7 GPa). The reciprocal of bulk mod11l11s is the com­
Power dissipation, P, in a hydraulic resistance is pressibilil.y, (3. Compressibility effects arc small and are
generally disregarded in liydranlic systems.

f3 = J_
The compliance of an open tank or r0servoir with ver­
1 7. FLUID FLOW THROUGH AN ORIFICE tical walls and cross-sectional area, A, whose liquid
contents are allowed to change in depth is
J\ valve or other flow restrictiou iu a hydraulic system
can be modelled as an orifice.27 Plow through orifices is
highly turbulent., and the mass flow rate depends 011 an
experimentally detern1incd discharge coefficient, C.i, to
account for geometric and frictional effects. The product The energy stored ill a hydraulic capacitance by virtue
of the discharge coefficient and the orifice area, Ci1A, is of lluid pressurization is
known as the effec/.iue cross-sectional area. The com­
mon formula for discharge of an incompressible fluid
through an orifice is28
For a pneumatic compo11cnt wit.Ii a fixed volume, V,
holding a gas with density, p, the pne11111atic compli­
<Wce, C9, is defined i n terms of the mass, not volume.
The compressibility of gases introduces substantial com­
pliance iuto a syslem, which adds to the inechanical
compliance from variable-volume components such as
·20 air bags, Lellows, spring-loaded accumulators, and rub­
Althuugh the tC'n11 "n 11 i d resistance'' is used, both thcco111po11r11t and
the fluid contribute to rl·�istancr.
ber hoses. The compliance is a function of the gas prop­
lt will uc 11c<:C'&mry to determine the discharge coefficic11 t u11d/or e1'ties and process, as well as the component. geometry.
effective area, C.,A, of the vah·c rxperimentaJJy.
This iti the rn111111011 To,.,.icelli equation derived fro111 l'llrrgy
2� E\'en incompressible nu ids 111ay C'xhibit substantial complia11c" if
relationships. t hey Cll\'itate or contain gati bubbles.

P P I • w w w . p p l 2 p n s s . c o m
44-8 F E M E C N fl t..I I C fl L R E V I E W M A N U A L

.. ' ..... . .. . , .. ..... . ...

( k g · 1112/N ) .
The units or pneu111atie cornpliance, G',,, llrn1-ft2/!bf
F'luitl inatrwce ( also lrnow11 as fl11id i11ducln11ce) I,
.. ' . , _______ ,_ .,,.. . . .

accounts for t.hc pre:;sure nPedecl lo acce le ra t e a l11mp

C!I =- -1- = G y.111t'<·lumil:a1
d111 '
+ C 9,cu1111111.,"ihili1y of gas (lluid).:m Pluid i1 1ertance may be relevan t in some
tp syslerns, particularly those involvu1g tra11sienl effects
and high frequency behavior, as wit.h sudden 011 and
For a fixcd-voluu1e syst em , t.he p11eu111atic compli1rnce is off valve operat.ion. However, in t.he simplest 1 nodels of
hydraulic systems, inPrln ncc is neglected because l he
\I c/p
high pressures negate the inertial effects. ln pneumatic
, dill
C y,co111p1<-s [fixed-volume systrrnJ systcn1s, fluid inertia is neglected due to the low density
dp and low 1 1 iass of the fluid. The units of hydraulic iner-
' .
tance, If> are lbf-sec2 / lt.:; ( N·s2;m " ) ; the urn ls of pncu-
The mass !low rate t hrough a colllpu11cnt with fixed m<llic i11el'lancc, Iq, are lhf-sec2/lbrn-ft2 (N·s2/kg·n/).
volume is

1- -
I _ Pi P2
The density change depends m1 t.he nature of the pro­
cess. The compliance of n sysle1n where a perfect gas in a Pi - P2
Pi - P2 - ---
llxed-volurne syslen1 experiences a polyt.ropic process is I - --- [pnrnmat.icJ

a - d1i1 - d(l it
given by the equa t.ion below. For a eonst ant pressure di.
process where n = 0, p11cu rnat.ic compliance is infinite.
f"or a constant volume process where 11 = oo, pneumatic
compliance is zero.

' m m l' \I Fluid impedance, Z, is a complex quantit.y having both a
C q,COllllll "'ihilil\'
• \f =
· · np np 11 R 1' magnitude aud a phase angle derived from the fluid
k \I Vfl resistance and fluid reaclance, X_ In fluid power sys­
tems, the impedance acts in a complicated manner t o
n a2 np
convert changes in pressure to changes i n flow rate. The
magnitude portion of t.he impedance affects the quantity
Energy, U9, stored in a pneumatic capacitance by virtue of flui<l flow, while the phase angle affects the Liming of
of pressurization is the fluid flow. For example, t.he volume of fluid flowing
011t of an orifice depends on the orifice's rcsistauce, while
changes in the flow rat.e depend on the phase angle and
do not. instantaneously rorrespond to changes in
Figme 44 .2 illustrates a simple elast.ic bellows of constant.
cross-sectional area, A, t.hal expands in the longitudinal,
Z := ZL<p := R + iX
:i:, direct.ion. The rneclamical compliance is 11ou)jnear an<l

varies with the displacement, :r. The pneumatic compli­

Reactance is derived mathematically from the co111pli­
ance is
ance and inertance of the system. Reactance depen<ls on
the frequency of energy input. In the absence of specific

dp = R T = R T
\I A�:
Cg.11a•:i1>1nimi = d111 information about. [.he nature (period icity , waveform,
etc.) of t.he applied pressure variations, the fluid reac­
taucc cannot be evaluated. For fluid power systems t.hat
are dominated by fluid resistance (in comparison to fluid
Figure 44.2 Pneumatic Bellows compliance and inerta11cc), the magnitude of impedance
is simply the fluid resis tance, R1 or Ry · Therefore, in all
hut (.he most rigorous, complex, and esoteric analyses,
the term "resistance" can be substituted for "impedance"
in descriptions of fluid power.3 1
sectional 30L is thr c0111111011 symbol for inrl11cta11ce. Tu fluid and pneumatic
area, A systems, the sy1nhul [ is bm;ecl on the synonym, incrlall('C.
valve, orifice 31 lt will
be clear whru "impedance" L5 not synOll)'lllOlls with "resis­
or restriction tance." Rigorous, co111plex, and esoteric nnn]yS('S arc those that involve
bellows concepts such as transfer functions, differential equations, Laplace
t rnusfonns, transient ana lysis, nnrl frequency response curves.

P P I • w w w . p p i 2 p a s s . c o m
H Y D R A U L I C A N D P N E U M A T I C M E C H A N I S M S 44-9

( pipe or dud) is referred to as the dwracleris/.ic imped­

The impedance of an infinitely long transrnission path

ance (or, s u rge impedance, hydra-itlic imped(mr:e), Z0.

The magnitude of t.he characteristic impedance of a
hydraulic systetl1 is

Prime movers ( pumps and compressors) have their own

impedance of a prime mover should be t.hc same as the

impedances. ror maximum power t.ram;fer, the output

input. impedance of the system it. is connected to.

P P I • w w w . p p i 2 p a s s . c o m
s D

1. 111troduct.ion . . . . . . . . . . . . . . . . . . . . . . . . . . . . ·15-1 design, fabricatio11, i11spectio11, a11d repair of boilers

2. r.farking Requirements . . . . . . . . . . . . . . . . . . . 45- l and pressurn vessels and interprets t.l.tcse rules wheu
3. Design Elerne11ts . . . . . . . . . . . . . . . . . . . . . . . . 45-2 qucst.io11s arise. The rnles const.it11te the A SME Boiler
4. Service Application . . . . . . . . . . . . . . . . . . . . . 45-2 rrnd Pressure Vessel Code (BPVC and "Code").
5. MatPrials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45-2 This chapter covers only prcssme vessels with cmved
6. Heads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45-:3 shells that are nnder internal pressure and are designed
7. Shakedown and Ratcheting . . . . . . . . . . . . . . 45-3 in accorcla11cc with Sec. VIII, "Pressure Ve:;sels," Div. 1.
8. !vlm;jmum Allowable Working Pressure . . . . tlG<� BPVC Sec. VIII, Div. l covers pressme vessels operaLing
9. Design Pressure and Temperature . . . . . 45-4 between 15 psig a11d �moo psig ( 103 kPa and 20.7 i'dPa).
10. Corrosion Allowance . . . . . . . . . . . . . . . . . . . . . 115-'1 BPVC Sec. VITT covers nonnuclear applications.
11. Weld Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45-4
12. Joint Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . 45-4
13. Weld Examinat.ion . . . . . . . . . . . . . . . . , . . . . . 45-4 2. MARC<ING REQUIREMENTS
14. Nozzle Necks . . . . . . . . . . . . . . . . . . . . . . . . . . . . <15-5 ... ....... .......... , .. ... ., . . . . . . . · · ··· · · ·· ·· · · · · · · · ·· · ·· · · ·· · · · ·· · · · · · ·· ····· · · ·· · · · · · ·· · · · · · ·· · · ·· · · · · ····· · · · ·· ·· · · · · ··· ·· ·

15. Flat Unslayed Heads . . . . . . . . . . . . . . . . . . . . 4.5-5 Pressure vessels must be permanently marked with
16. Flanged Joints . . . . . . . . . . . . . . . . . . . . . . . . . . 45-5 information abo11L their co11st.rucLion and Lype of ser­
17. Pressure Testing . . . . . . . . . . . . . . . . . . . . . . . . 45-6 vice. This i11format.io11 may he stamped on the vessel in a
18. Pressnre Relief DevicPs . . . . . . . . . . . . . . . . . . . 45-7 conspicno11s location (e.g., nenr an opening or manway)
or rnay be 011 a permanently attached nameplatf' as
shown in Fig. 45. l .
d dia111eter in mm
D inside diameter in mm
Figure 45.1 Typical Nameplate
E efficie11cy
/1 depth of head in mm
h (; gasket moment arm ill llllll
[, crown radius in nun ALPHA TANK CO.
p pre&;ure2·3 lbf/ i112 Pa
. SER.JAL NO: 1433
, radius in mm
R inside radius in 1n111 l'vllN. TEMP. -20°F AT250 PSI
thickness Ill 11llll \V-L RT I
BUILT: 20 1 3

a one-sided taper angle deg <leg
( hnlf of apPx angle)
A nameplate describing a pressure vessel is attached
h head
directly to the shell.4 The nameplate of a pressure vessel
k knuc.kle
designed and constructed in accordance with the BPVC
will contain Lhe ofl1cial "U" stamp a11d all of the follow­
ing: manufacturer's name (listed after the words "certi­
1 . INTRODUCTION fied by"), vessel serial munbcr, year built., max..imum
The American Society of Mechanical Engineers (ASME) allowable working pressure and corresponding tempera­
established its Boiler aud Pressure Vessel Committee in ture, and minimum design metal temperature and cor­
1911 . The Committee establishes rules governing the responding pressure.5 For pressure vessels that. arc
iutended for service below -20°F (-29°C), the mini­
1 lt hough the topic of "Pressme ves;els" is included in the NCEES mum allowable temperature is also listed.
�lecha.nicaJ CUT exam specifications, there is no content associated with
this �11bject in the NCEES FE Reference lla11dbook (NCEES llandbook). 1Duplicate nameplates on supports or at other locations 1m1St be

P. A
2The variable for pressure in t he ASME lloiler a11d Pressure \lcsscl marked "Duplicate."
Code s i uppercase lowercase p is tISed i.n this chapter for consis­ "It has been common in some metric count ries to specify pressme in
lenc1· wi t h the rest of this book. either bars or kilograms per squarn cm {kg/cm2). ,\lnltiply lbf/in2 by
0.00895 to obtain bars. ll lnlt iply lhf/in2 by 0.07031 t o ohtnin kg/c1 n1.
�All presstues expressed in this chapter are gage pressmes.

P P I • w w w . p p i 2 p a s s . c o m
45-2 F I! fll E C II A N I C A L R E V I E \'/ M A N U A L

The 1 1 1el.ltod coustruction and type of service 11mst

;:ilso be listed. One or more of the following abbrevia� Pressure vessels call be onst cte<l from various mate­
tious will be used: \V, arc or gat-> welded; RES, resistance c ru

ri;oils in ludi ng c<lrhon steel, low-alloy steel, high alloy

welded; B, brazed; L, let.ha! service; UB, u n fi red st.earn c -

boiler; DF, dirert f i ri ng; RT-1 , f l ly radiographed; u

steel, 1JOnferrous metal, ca::;t iron, and iutegi:;oilly clad­

RT-2, some joints pa tia l ly rawog pbed ; RT-3, t->pot

r ra
platc. The BPVC spe ifi c which 11iatcrials aud at wh at
cs .

racliographed; llT-4, radiographed but o t.her categories ternperntnres tlwse mnterials can be used. To ensure
not applicable; HT, postweld heat treated; PHT, or
co patibi l ity in welding, rnaterial eat. egoriet-> are l si g­
m < e

parts of vessel heal t.rcatcd . nal.ecl by P-numbers, as shown i n Table 45. l .

TatJ/e 45.1 Malerial Designations

3. DESIGN ELEMENTS designation material
Figure 45.2 illusl Lhc va ri ous parts of a p essure r P-l n1rbon st.eels wit.h tensile st.re11gLhs bet.ween
vessel. The pressme vessel can be divided into shell-type 40,000 lbf/ini and 7&,000 lbf/in2 (276 i\·IPa
and platc-Lypc clements. J\ shell-type elc111c11t resists and 5 1 7 MPa)

actiou"). A plate-type element resists i n te al pressure

internal pressure through tension ( i . e . , "membrane alloy st!'cl with 11p to 3/.1 % chromium; alloy steels
rn with up to 2% total alloying iugredie11ts
1.hrough bending. S hc l l- Lype clements can be cylindrical, P-4 alloy steel wil.h duominm beLwe1m :J/.1% and 2%;
spher ic a l ellipsoidal, tori::;pherical, or toriconical.
The main body of a pressme vessel is known RS t he shell.
, <.1Uoy steels with more t.han 2% total alloying
P-5 alloy steels with up to 10% total alloying ingredients
A shell cau be seamless or seame<l. External pipes a11<l P-8 stainlrss steels
equipment. are connected to a pressure vessel at 1wz.zles. P-9 nickel alloy steels
Seamle s pipe use<l for a uo le is an example of a
s zz
P-10 other steel alloys
seamless shell.
C1ubon steels are the most conunon material chosen for
noncorrosive environments bet.ween -20°F and 800°F
(-29°C and 426°C). However, carbon st.eel weakens with
Special restrict.ions arc placc<l 11 vesseb t.hat contain
0 lo ng exposure to temperatures higher t.bau 785°F (418°C)
lethal s 1 bst an ces operate below -20°F (-29°C), are
1 , t.h ugh a process ]mown graphitization. For service
ro as

use<l for steam generation, or are subject to direct firing. above 800°F (426°C), ma t er ia ls must be selected cmcfully.

Figure 45.2 Parts of a Pressure Vessel

of head

opening �

· nozzle

I longitudinal joint �
'°"'"' h .. . overlap

torispherical head
L = crown

_/ ioint
ellipsoidal circumferential
R = radius
of shell

skirt length

Reproduced fron 1 R. Chusc and S. Eber, Pressure Vessels, sixth ed., copyright © 1984, with permission of the publisher, McGraw-IliU.

P P I • w w w . p p l 2 p a s s . c o m
P n � s s u n f! V E S S E L S 45-3

6. HEADS distrib11t.ion1 only clasl.ic µriu1ary allCl secondary stresses

re1naiu at that point, except. i11 stuall area1; associated
Heads may be spheric;il, ellipsoidal Lorispherical, con­ with locnl stress (strain) concentrations. These smaJJ
ical, or flat., as showu in Fig. 45.3. Ellipsoidal C1nd hemi­ m·cas ex.bjbit. a stable hysteresis loop, with no indication
spherical heads nre co1111110111 while torispherical heads of progressive advancement. Further loading and
appear more frequently in t.hin vessels. 11nloading1 or applicat i ons and l'el110Vl'llS of" the le1nper­
?'orispherical (i.e., f/a11yed 1111d dishe1Q heads are specified atme distribution, produce only elastic primary ;ind

kuuckle radius, r1: , and head th.iclmess, t,,. These va.riables
by their inside di;m1eter, D, crow n (cUsll) radjus, L, secondary stresses. Shakedown is not a failme mode,
although it does justify using fa t i gue curve dat a . shown in Fig. <15.3. An flanged and dished head
P a ra p hrasing, rat.cheling is a progressive , incremental,
of I.he inside crown radius. 2:1 ellipsoidal heads have a
is a torispherical head for which the knuckle raditt5 is 6% inelastic deformation or strai11 that. occurs at a point
s11bjected to cycles of thermal stress or cycles of 111ccli­
eco1101 1dca l tlt a11 deeper hemispherica.l heads.
radius t.Jmt is twice the height. (projection) aud arc more a11ical stress s11peri mposed 011 a l1lea11 stress, or both.
( Th erm a l slress rntcheting is pn r tly or wliolly cau::;ed by
\Vhen a head is no t hicker tlrnn its shell, the head docs thermal stress.) Rat.chcti11g is produced by a s11staincd
not need a flauge and rnay be bnt.t-welded to the shell. load acting over t.he full cross sedion at that point, in
In prac t. i ce , however, most nonhc1njspherical beads have combination with a strain-controlled cycl ic load or tem­
stmighl fla11gcs (i.e., straight longitudinal necks) . perature distribution t.hat is alternately applied and
removed . Ratcheti ng causes cyclic straining of the watc­
Figure 45.3 Head Shapes rial, which can result in failure by fatigue and, at the
same time, produces cyclic incremental growth of a fail­

Ratcheting is a fai lure mode as it refers lo inc remental

me m echan ism , which can ulLiinately lead to collapse.

i -- ' -' 1
growth in gross dimensions.

Figure '15.4 Shakedown and Ratclleting

h = Q4 stress

(a) hemispherical (b) 2:1 ellipsoidal

strain strain

(a) shakedown (b) ratcheting

( c ) co ic l (d) torispherical
The maxim·um allowable worki11g 71rcssure (:rvJA WP) is
specified by the manufactmer. It is Lhe maximum pres­
sure permissible at the toµ of tbe vessel in its normal
operati11g position and temperature, in corroded condi­
tion, and while under the effects of other expected load­
ings {e.g., wind and external prcssure) .6 :M A WP is
(e) circular flat calculated for different parts of the pressure vessel based
011 IlPVC equations adjusted for static head. The over­
all MA WP is the smallest of the adjusted values. The

sure in the thickness equa ti ons .

maximum allowable worki11g pressme is the design pres­
Pressure vessels often experience repeated cycles of pres­
surization/dep ressurizati o11 aud heating/cooling. A ves­
("MA WP N&C), is specified by the manufacturer. H is
sel's response can be categorized as shakedown or The term maximum allowable pressure 11ew and cold
ratcheting, as defined in BPVC Sec. V I J I , D i v . 2 ,
Part 5. 1 2 . (Sec Fig. 45°.4.) Pm·aplll'asing, shakedown is the maximum pressure for the vessel when n ew {not
caused by cyclic loads or cyclic temperature distribu­ corroded) aud at room temperature.
tions that produce plastic deformations at a point when
the loading or temperature distri bution is applied, but 0A pre�nrc vessel c1111 lmvc more than one operating tempernlnrc ancl
11pon removal of the loading or temperature hl'ncc, moro than one MA\VP.

P P I • w w w . r> p l 2 p a s s . c o m
45-4 r: E M E C II A N I C A L RE V I E VJ M A N U A l.


.. . . . . . . . . . .. . . .. . . .... ........ .. .. ....... . . .... .... ..... .... ..... .. ... . .... . . .. . . . . .... .. . . .. . . . . . . . . . . . . . . .
Figure 45.5 Types of Welds and Symbols

The BPVC requires that pres.5me vessels be dPsig1ted for

the most severe combi11ation of pressure aucl temperature
that will be m1co u1 1lercd during normal opernt.ion, regard­
less of whet.her Lhe cornbinat ion is short term or in[rcquenl. .

The mn.'<inrnm desigu temperature 111usL not. be less

than the 111ean metal temperature 1111der expected
operaLing conditions. The 111inimuo1 clc::;iyn melal lein­
pernture (JvIDrvIT) is Lite lowes t expected service tem­
perature, except where a lower value is a llowed by the
B P V C . The MDMT ma rked 011 t.he uarneplate will
wrrespoud to a n associated �vfA vVP. A s temperature
can vary with location and through the t h ick ness , the
mean temperature i s specified on the nameplate.

The opemliny pressure, p, is the pressure on the top of

the vessel at which the vessel 1 1orma lly operates. The
maximum diITerence in pressnrPs between the i usidc cu1d
outside of a c hambers of a
vessel or between auy two
combination vessel should also be eval11atecl. The dcsi,qn
pressure is the operating pressure plus a reason a ble safety
mm-gin. Frequently, t.hc design pressure is equal t o the
�vIAWP. The design pressure a11d MDMT arc used to
determine the rninirnur n aUowable thickness of the vessel.

An optional corrosion allowance compensates for any
wall thinning expectec-J over the l i fetime of the vessel.
The BPVC does not provicle guidance in determin ing
the allowance.

Designations: 1 , double-welt! h11tt. joint; 2, single-weld btit.l joint with

1 1 . WELD TYPES integral backing strip; 3, single-weld h11tt joint without backing strip;
.t, double-full fillet lap joint; 5, single-full ftllet lap joint with plug
The BPVC specified six types of weld joints. Type 1
q11ality of
welds; 6, single-full fillet lap joiut wit.ho1 1t plug welds.
weld joints are double-welded butt joint-s. The
we ld is the same inside and out.side of tJie vessel with
double-welded butt joints. Backing strips, i f used, am
removed after welding . After the weld
i ts a b i l i ty to reach the strength of the pare11t material.
efficiency, B, is
is made 011 oue
Consequeutly, the j o i u t used in many
side, the second side of the joint is cleaned and rewelded.
weld quality is ident i ca l on both sides of the joint.
calculations as a clerating factor. For welded joints
2 welds are single welded butt joints with backing
snbjectecl to tension, efficiency values depen d o n the
Type -
type of weld and inspection (typically radiography)
strips that rcrnain in place after weld ing. Type 3 welds 9
performed. The strongest joints are clo11ble-welded
are single-welded butt joints without backing strips.
butt joints (j oint type J ) .
Type 4 joi uts arc double full-fillet lap joints. Type 5
j oin ts are single full-fillet lap joints with plug welds.
Type 6 joints are single full-fillet. lap joints without plug 13. WELD EXAMINATION
welds The weld types are shown in Fig. 45.5 with their
typica l welding symbols. methods

8 Common of nondest.ruclive e:caminalion

(NDE) used on welded joints of pressure vessels are
radiography and ultrasonic examination. • Full radio­
10 1 1
1 2. JOINT EFFICIENCY graphic inspection of j oints is mandatory for ( 1 ) all
a nd welds at openings when the joint
Welded joints are common in the construction of pres­
longitudinal welds

sure vessels. These joints can be of several different,

to d i fferent degrees of rad iogra phic
9Thc efficiency of a butt. wel<l joiul in cmnprel'Sion si 100%.
types aud subjected
a nd quality of the weld will affect
101'!ost other met.hods of NDE, i11duding eddy current, acoustic emis­
inspection. The type sion, liquid pcuctrnnt, aml 11wg11ctic particle testing, are also used with
pressure Vf'S.S{lls.
7A reasonable safety margin is 10% or 25 !bf/in� ( 1 70 kP11), whichever 1 1Hadiography is somcti111t'S rcfcrrf'd to as "X-rnying." However, radio­
i greater. graphy can use either X-rays generated from high electrical voltages or
8Standard American Welding Society (A WS) symbols nrc used. gamma rays generated from a radioactive i:;olopc cnpsnle.

P P I • w w w . p p i 2 p a s s . c o m
P R E S S U R E V E S S E L S 45-5

effic:iem:y is ta ken 1-1s 1.0 or 0.9; (2) all but l wekls joi11cd 15. FLAT UNSTAYED HEADS
by clecl rogas welding with any single pass greater t hnn
1 1/t in (38 mm) and all dccLrogas welds; (3) with some Flat surfaces appear cxtcusively in pressure vessels. Cir­
exceptions, all butt welds
where the maleria 1 t.hickness cular surfaces iue most com111011, alt hough ot.her shapes
may he used. J\ f t surface used
la as
the cud closme or
exceeds 1 1/2 in (38 rnm); (rl) all hut.t wPlds in the head head of a prPssure vessel way be an integrnl a
p rt of the
and shells of nnfired slea1n
boilers wit.ii desig11 pressures vessel (when forme<l with the cylimlrical shell or welded

through a gaHket to a na11gc. 1 . 1 Decause they arc the

exceeding [j()
psig (:�<l[j
kPa); and (5), all bult welds i11 a
to it), or i t. may be re1uovable plate atlacl1ed by ' bolts
vessels conLaiuing let.ha! substances. 1 �
Spot. nulio.IJl"a]lliic iw;pcctio11 can be used to obtain an wenkest of !toad
coufig11rations, they 11 1ay be reinforced
economical spoL check of welding quality. with rods, spars, ribs, braces, Htiffeners, and so on,
known as slays, in order to prevent excessive denect.io11.
l1adiogr11phic inspect.ion is optional for but.t-wdded Flat plates and heads connected around their periph­
joints that are 1 1ot
required Lo he fully radiographed, eries but wit.bout any other rciuforcement are known as
and is noL required whe11 the vessel is designed for flal 1mslayed heads. Unreinforced nat
plates are gener­
external preS!:ime or when the joint has been dcsigucd ally two to five t.imes thicker thall the smrnunding shell.
(i.e., the joint efficiency value has been chosen) for no Figure 45.6 illustrates two of the many acceptable ways •

inspection. of attaching nat heads. •Ci

Full l
ult rasonic- inspection is required for c ect.ros ag aml l
elect rogas welds in fcrritic material. Figure 45.6 Fla/ Unslayed Heads

The RT 111arki119 system is used to indicate the extent. _

, ha 1
of radiographic exRminat.ion. "RT-1" rnea 1 1s 100% of all I I
lougitudiual and circumferential seams were radio­ I I
graphed. Italso ind icates that. 1003 of 1 1 0zzle wc!tls
over 1 .0 in (25 mm) diameter were radiographed. This
level is considered "full radiography" and results iu a
1 . 0 joiut eff1cie11cy on all welds. RT- I is mandatory for
head/shell thick nesses greater thau 1 .25 in (32 mm).
( Vessels designed to BPVC Sec. T and certain nozzles
require 1 003 RT on circumferential and longitudinal
seams.) "RT-2" means 1003 of longitudinal weld
seams were radiographed, and spot RT was done on
i u f
c rc m eren i l t a seams. This level is also considered (a) integral head (b) bolted head
"full radiography" and results i n a 1 .0 joint efficiency
for thickness calculat.ions. No radiographic testing is
done on nozzle welds
for this level. "RT-3" means, with 1 6. FLANGED JOINTS
only a few exceptions, spot radiographic iuspectiou
Flanged joints (with Oat cover plates) arc needed to
was performed on all
longitudinal and circumferential
disassemble, inspect, and clean pressure vessels. Joint.s
seams. RT-3 results in 0.85 joiut cfficieucy. No nozzle
may he bolted or boltless pressure-actuated. Bolted
co1 1 11cction welds were racliographed. "RT- 4" means
some radiographic examination took place, but the joints, where sealing gaskets are compr ssed by bolt e
amount can't be describe<l with the TlT numbering forces, arc
more common. In boltless joints (which may
system. H.T-4 results in a 0.70 joint efficiency. be of the a,'l:ially locked joinl and vressure-actuatecl joint
varieties), the iuterual pressme compresses and seals the
gasket. Because of the relative size advantages, a bolt­
1 4. NOZZLE NECKS less joint way be superior at pressures over 2000 psig
A nozzle is an opening in a pressure vessel.
The nozzle
(1'1 i\·IPa)and when the shell diameter is roughly 20 i n

(38 mm ) .
may connect the vessel to other parts of the
piping net­ (510 mm) o r when the nangc thickness 1 1/2 i u exceeds
work, or it mRy he normally closed o[. Ha11dlwles an d
larger mcm ways arc 1 1ozzles that are opened for inspec­ The three main types of bolted naugcs are the ring
t.ion, cleaning, Rnd repair. 1 3 A n ozz e typicaUy
l at a cuds flange, the tapered hub (also known welding neck) as
l d fhu1gc l
bo t e p ate. The cylindrical section between a naugc, da1 1 the lap-joint nange, shown in Fig. 45.7. The
pressure vessel and the Oangc is the nozzle neck. lap-joint flange is used for low-pressme, low-cost pres­
sure vessels. Joints may be or hubbed hubless. Advan­
12Ultrnsonic e.xnminntion may be substitukd fur radiography for the
tages of this flange type are low cost and ease of bolt
final closure seam of a pl1.'&�urc vessel if tho co11slructiu11 of the ws,;el
does not pe1 mit intcrpretnhlc rndiogniphs in m:ronlauce with the BPVC. A toroidal knurkl e with a flat head s
i nn ex 11 111plc of 1111 in tegral flat
A dauit (davit lll'm) is n swinging support construclcd ;is pa r t uf the
1� plntc hC"nd .
vessel, suppo1ting the 1111111w11y cover whC'n it is unbolted am! moved ir.IJP\I(.; Sec. VHI, Div. 3, Fig. UG-34 shows nil of the accept able
n.<idc. str111clnrd dC'Sigru;.

P P I • w w w . p p i 2 p a s s . c o m
45M6 I= E M E C H /\ N I C A L R E V I E W M /\ N U A L

hole align111e11l. The ba cking ring can he construded of

a different material from the shell aud lap ring, an
rtguro 45.7 Types of Flanges

import ant considerat.io11 when expensive alloy:-; are used.

The ring flange is suiLablc for low and modernt.e pres­
sme. IL cousisl.s of an annular plate welded to the end
of a cylindrical nozzle (shell) . Dolts arc spaced eC)ui­
distantly arou11d t ile bolL circle . The n11mber of bolts
is co111monly a mu ltiple of four. A n uuco11fi11cd gasket
is used between the auuular plale and 1.he closme
plate. Tltc gasket usually extends to the iuuer edge
of the bolt line so that the bolts cau lielp center the
gasket.. A full-face gasket may cover the entire fl ange
area aud extend beyond the bolt circle, but is typically (a) ring flange with flat face
used for pressure less than 100 psig (700 kPa). rn
For reliable and safe oµcratio11 up to a pressme of
approximately 5000 psig (35 Jvf Pa), the tapered-hub
flanye cnn be nsecl. This flaugc is (roughly) L-shaped
and is butt-welded to the shell opening.
DepcmJiug 011 Lhe design, the mating area of the flange
smfnces and /or cover plate 1Uay or may not comprPss
the gasket. J\ 11 uncon lined and prestressed gaskeL is
commonly used with flat-faced riug flanges. Such a gas­
ket ca11 ex pand inwind and outward when tighteued.
Since t.he gasket is tmconfined, there is no protection (b) welding neck flange
against gasket blowo11I. with tongue faci n g

Semico11fi11ed gaskets are conlined in single-step 111ale­

fcmale types of joints. Gaskets are completely confined
in tongue-and-groove, ring, double-step male-female
joints. Fully confined gaskets are appropriately chosen
when there arc siguificant fluctuations in pressu re and

The major concern in regard to flauge and gasket choice

is fla11ge leakage. Gaskets chosen for operation under
internal pressme are much less effccLive under vacuum.
Sheet gaskets may be "sucked in," though this is coun­
tered by specifying a spiral-wmw<l gasket. (c) lap joint with raised-face flange

1 7. PRESSURE TESTING According to the ASME Code Sec. Vill , Div. 1 , the
Pressure vessels under internal pressure arc normally hydrostati c test pressure is 130% of the l\•IA \.VP multiplied
by the ratio of the allowable stress at the test temperature
to the allowable stress at the design temperature. \.Vhen
tested hy<lrostatically with water. 1 7 However, vessels
that cannot sa fel y be filled with water, that can110L be
dried, or that cannot tolerate traces of the test liquid hydrotest.i11 g, it is recommended that the metal tempera­
ca11 be tested pneumatically with air. ture is at least 30°F ( l 7°C) above t.he MDMT, but. not
gTeatcr thau 120°F (48°C), to minimize the risk of brittle
·Most testing is not ca rried out at the operating teu1pcr­ fracture. For pneumatic tests, tlte !.L)8t pressme is 1 L O% of
ature. Since m aterial strengths decrease a t higher tem­ the :MA WP multiplied by the ratio of the allowable stress
peratures , the test, pressure is increased according to the at the tesl temperature to the aJlowable stress at the
ratio of the allowable stress at the test tcmpei·ature Lo design temperat ure. The mclal temperature during a
the allowable stress at the design temperature. pnew natic test must be at least 30°F (l 7°C) a bove the
MDMT to minimize the risk of brittle fractme.
•Grn full-fnce gaskets, the material outside of the bolt ring is not For cast-iron pressure vessels, the test pressure is 2003
effective in scnling. of the -�...r A\;\,'P unless the design working pressure is less
than 30 psig (207 kPa), i n which case, the test pressure
Evcn prcs.
sme vessels that. are normally under internal pressure n1ny

is 60 ps_ig (414 kPa) or 2503 of the design working

sometimes drnw n vacuum, as during a steamout. Other lei;,-; prC'c licl­

pxessurc, whiche ver is less. A corrosion allowance is

ablc instances of vnc1111m foiltues occur when the contents of a vc'&;d
arc bl'iug <lrnined while the vent line is closed or blocked. ur when a
filter clc1nc11t is cluggcd or 1111drr-sized. included when calcnlating all test pressures.

P P I • w w w . p p i 2 p a s s . c o m
P R E S S U ll l< V E S S E L S 45-7

Following t hP appliC'nl.ion of hydrostatic aud pncumatie Figure 45.8 Overpressure and Accumulation
pressures, all joints and connections must he visually
inspected. Leakage is 11ot allowed, except for 01wnjngs pressure
i11te11ded for weklPd f'onnPf't.ions and at lcrnporary test

closures. Additionally, for pnPnmatirnlly tested vPssels, pressure

t.JJP full length or all welds arouuc.l openings and attaC'h­ at rated

/(' PRV)
ment welds having a t.hroat. grealer llian 1/1 i11 (G 111111) capacity

___ _
must. be exa111i11cd. closes

Special rules apply to prPssme vessels whose operating set-point
pressure is by llange strength that lrnve n11dt.i­
pressure '
ple C'ham11Prn, are subject Lo external pressure, or oper­ ''
ate at. below-atmospheric pressures. opens


BPVC Sec. VIIl, Div. 1 , UC-125t lu-011gh UG-140 require
proleclion devices such as ntplure disks ( burst disks) ,
all pressure vessels lo be equipped wit.Li overprcssurr Clwlleri11y is a phenomenon whPre a pressure relief
RDs, pressure relief uu/ues (sufet.11 relief ualues), PRVs, valve repeatedly opens a11<l closes rapidly. In addition
or co111bi11ations therrof to prevent. catastrophic foilmc lo t.hc an11oyi11g uoise made by the valve, t.hc resulting
<luring abnormal condit.ious. Gcuerally, a PRV is a nor­ vibration may cause misalig11ment. and loss of pressure,
mally dosed, spring-actuated device that aulouiatically valve scat. damage, and eventual valve spri11g fatigue
opens to relieve pressure. \Nhen the overpressure­ failme. Chattering is caused by operating prPssures that,
tion abates, t.he PRV closes preventing [mt.her loss of arc too close to t.he valve's set-point pressure, a too­
contents. small line (with subsequently large friction head loss)
holding the relief valve, as well as by a too-small line
Two PH Vs can be 1Hm111ted on a three-way value fit.ting (resulting i11 an excessive backpressure) into which the
sueh that either of the PRVs cau be remove<l for main­ relief valve is vent.eel. However, the most common cause
tenance. Only one P R V should he active at any given is t.he i11sLallat.iou of a pressme relief valve I.hat is too
moment, however. The three-way valve should normally A
large. pressure relief valve should be small enough to
be back-seated to reduce the possibility of leakage release Lhe ovcrpressme in a single opening event, bri11g­
t.hro11gh the stf'm packing. ing the pressure down gradually. If the valve is too large,
The set-point. pressure, opening pressure, tolerance, each t.i111e it opens, so much of the local pressurized
overpressure, and accumulation pressure arc related contents escape that. t.he valve closes before the vessel
concepts. The marked scl-poi11l pressure (set pressure, pressure is suitably reduced.
sclt-ing pressure) is the value of increasing pressure at
which a pressure relief device is inten<led to (begin to)
open. Per UG-134(a), t.he protect.ion device set point
pres.sure must. be at or below the MAWP. The actual
ope11 i11g pressure (popping pressure, stal'i-lo-leak pres­
sure, burs/. pressure, or breaki119 pressure) may be
slightly <lifferent from I.he set-point. pressure due to
intrinsic 111anufacturing batch tolerances. Overpressure
is the prPssnre above Lhe pressme, expressed either
as an absolute value as a percentage or the set. pres­

sme. "Overpressure" is associated with the device. Ar.c11-

mulat.io11 is pressme above the maximum MA WP of the
vessel, expressed either as an absolute value or a per­
ce11tage of the !vf AWP. "Accumulation" js associated
wit.Ii the vessel. (Sec Fig.115.8.)

P P I • w w w . p p i 2 p a s s . c o m

1. �fanage111u11t Seience . . . . . . . . . . . . . . . . . . . . . cJG-1 Subscripts

2. �lamifacl urability . . . . . . . . . . . . . . . . . . . . . . . '16-2 (' ci n:u11 tfere11t.ia I

3. Vaine Engineering . . . . . . . . . . . . . . . . . . . . . . . 46-2 ti shaft
4. Rcliabilit.y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-2 bole
5. Preventative i'vlaintenanre . . . . . . . . . . . . . . . . 46-3 F f11nr lfl 111ental
6. Replacurncnt . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-3 inner
7. Parilities Layout . . . . . . . . . . . . . . . . . . . . . . . . 46-3 lower
8. Assembly Line I3ala11<.:i11g . . . . . . . . . . . . . . . . . 46-4 llHL\: rn axi m1 1rn
!J. Quality Control Charts . . . . . . . . . . . . . . . . . . 46-4 111i11 1 ni11i111um

Limits and JC i l s . . . . . . . . ; . . . . . , . ; . ; . . . . . . .
HJ. Quality Acceptam:e Sampling . . . . . . . . . 46-5 outside
. . . I)

11. r radial
12. Fits and Tolerances for Shafts and Holes . . 46-6 upper

Press/Shrink Fi t s . . . . . . . . . . . . . . . . . . . . . . . .

13. �-lci ximurn and Least Material Conditions . . '16-8 1 . MANAGEMENT SCIENCE
14. 46-8 Mmwqemen/. science, also k11ow11 as 1Jlla11titaliue business
Nomenclature analysis, 071cratio11s research, and mmwgemen/. syslems
(: number of failures (defects) modeling, is used to develop mathemat.ieal models of
G' circumference m real-world sit11ations. This chapter prcse11ts various
ti shaft. d ia 1 1 1et er Ill quantitat.ive business a11aly�is techniques nsed to model
D hole diameter m and analyze manufacturing and industrial enviro1m1c11ts.
B mod11l11s of elast.ieity Pa A ccordingly, this chapter is more concernerl wit.h solu­
F force N tions to problems than with explaining why the prolilerns
I lengl.h Ill need to be solved or with lii;ting advantages anrl disad­
i\ITBF mean time belwecn faih11·rs various vantages of solutions. Though they may seem to be

va r io11 s
!IITBFO 111e311 t.ime before failure outage various obscure, all of the techniques presented in this chapter
i\ITTF mean t.ime to failurP are commonly taught. in opcrat.ious research (OR), indus­
!IITTH mea11 time tu repair various trial e11gineering (IE), and MBA cnrric.ula. 2

ll sample size A delermi11islic model is a mathematical model t.hat is
lot size built around a set of fixed rules such LhaL any give11 input
/I press me Pa always results i11 a specific output. If an input ran produce
l i me
I' radius m a variety of ontputs determined by rnlcs of probability,
t s the 111odcl i s lrnow11 as a probabilistic or stocliaslic model.
objedi \'e ft mcl. ion
T torque N·m
A common aspect of most mauagement science techniqneR
is the goal of arriving at. an optilmun solution (regardless
Sy mbol;; of wl1cthcr the goal is actually realized in practice). The

fJ deviation
proce� of optimizing is unique to eacli type of problem.

real-world problems always requires a computer, thm1h

Ii diarnet.ral i11terfere11ce Il Calculus is not generally used in opt.irni?:ing.:i Optimizing
st.ra i 1 1
� tolP.rnncc

1 t. i me
optimization by hand is possible with simple problems.
,\ fa il me ra tP.

/l coefficient of friction 20pcrnt ions r<'Sfmd1 dcvdopcd as a field of its own dm"iug World
/l mean sen•ice (repair) rate 1 t. i 1 11e \Vnr II wlu'n opli111izing modeling techniques were used to determine
/I Poisson's ratio the brst way ror a sub1m11inc lo patrol a specific re!\"ion.
�One ohvimL� rxccption is how the Ct'Onomic order quantity is calcu­
(}" st.ress Pa
lntccl. The ccono111ie order quantity (EOQ) formul a is derived by
taking the derivative of lite Iota! t'Ost function.
i not clear whet.her the topic of "Quality" included in the NCEES
It s -!Some manage1ncnt scit'm:c lccl111iqul's, !hough inleresling, are too
Mechanical CUT exam specifications incorporates lhe NCEES FE obt 11sc, t imc co11s11111i11g, or complex for solving by hand. Subjects that
Reference lla11dbook (NCt:ES llandbook) material on slatistical q11al­ luwe been 0111illc<l front or given only a mere mention in this book

it.y control (SQC). SQC is genernlly considered to he a11 ind11strial i11d11clc 11011li11car programmjng, d_l'namic programn1ing, and integer
engineering subject. Similarly, the topic of "Reliability" s i specifically progra1111ni11g. l"urtlwnnore, most 111anagemenl science subjects have
incl11dcd in the "lnd11strial Engine<>ri11g" sect ion of t he NCEES 11mny tumplicated variations that are omitted from this chnplcr.
book. The content of these two industrinl c11gincc:ri11g topics is only Simple forecasting and the EOQ model are also trnditio11nl mnnagc­
hrirny cmwcd in this cl1npter. ment science subjects.

P P I • w w w . p p i 2 p a s s . c o m
46-2 F E M E C H A N I C /\ L Fl E V I E VJ M A N U A L

Some maHagement :;cieuce method:; at.tempt. to optimize done by eliminating unnecessary, rccluuclauL, or super­

f1111rl:ion, z. If z is a rrofit hmction, it. is optimized by

a specific mat.hemat,iC'al function known as t.he objective fluous features, by redesigning t.he product for a less
expensive rnauufacturing method, aml by iuducliug feR­
maximization; if Z i:; a cost or time fu11ctiou, it is opti­ tmes for easier Rssemhly without. sacrificing utility a11<l
mi?.ed by minimi?.ntion.'' Some manageme11t. scieHce fu11ct.iou.7 However, the coucept!:l are equally applirnhle
techniqnes can nuLximize only, so in cases requiring to one-t.ime i11vcst.mcnts, such as buildings, chemical
111ini 1nizat.iou, t.l1e 11cgntivc of the objective fuuction is procei;sing plants, and space vehides. Tn parLiC'Ular,
mRx.imi?.ed. value eugiucering has become an important element. in
all federnll.\' funded work . 11
Objective functions arc restricted from iHcreasiug with­
out. being bound by conslrainls placed on one or u10re Typiral e�xamples of large-scale value cuginceriug work
of the functioH's variables. These constraints are typi­ are using stock-!:lized hearings and motors (instead of
cally mathematical of how resources custom manufactured units), replacing rectang11lar con­
are limited or combined. Non-negativit.y const.rainls crete columns with round columns (which arc easier to
are co1111uou iu mathematical progrmmning problems. form), and suhstituting custom buil<liugs with prPfabri­
cated st.ructmes.
1f the objective function and its constraints are linear
combinations of tlte iHdepe11dent variables, the modP.I is Val11P. enginP.ering is usually a Learn cfforL. Ami, while
said t.o he a lineat model. Ot,herwise, the model is the origi11al designers may be on the team, 11sually out­
nonlinear. side consul lants are ut,il ized. The cost of value @gi11eer­
i11g is usually returned many times over t.hrough reduced
Not all rnanufach1ring management. problems 11eed lo consl.rncLiou and life-cycle costs.
be solved by complex or ob!:lcme procedmes. Some
problems (e.g., facilities layout) <lo not have a geucral
solution procedure and must be solved by exhaustive 4. RELIABI LITY
enumeration. Many problems cau be solved sin1ply by
nsing common sen::;e and logical thinking to minirni?.e A fa ult in a machine or other system is a known cause of
t.hc cost. breakdown. An e1·rm· is a11 undesired state within the
machiue that might lead to improper operal.ion. A fa'il­

or intended. A fa ult-toleranl sysl.em contains provisions

W'e occurs whcu the lllachiuc fails to operate a!:l ex:pected
. ... ..... . . . . . .. . . . . . . . . .... . . . .... . .... . . .... . ..... .. ... . ........ .. ... . . .... .

to avoid failures after faults occur .


The goal of work methods ( methods engineering) is the

reduction of fabrication and a::;sembly time, worker Jn the mosL common case, units foil penuaneutly and
effort., and manufacturing cost. This is accomplished iu are neither repaired nor replaced. Reliability of a single
a variety of ways, including initial design for mamtfac­ item (machine, tmit, piece of equipment, etc.) i!:l char­
l·ure and assembly (DF'MA) sclecLion of methods to be acterized by its mean time to failure, i1..! T TF. The Lenn
used, human factors engineering, work measurement, mean t.ime belween fol'CCd o utages, MTDFO, i!:l used
plant layout, assembly line balancing, and administra­ with redundant systems in place of �vlTTF. Coverage
tion of the manufacturing process. \:\lork methods, is Lhc probability of tlte system reconfiguring itself when
which is lllore worker- and workplace-oriented, goes a fa11lt occms. Redw1dancy is the primary tool used to
beyond traditional value engineering, which is product­ increase reliability and coverage. Sy::;tem!:l with two nnits
dcsigu orie11ted. in parallel are known as duple:r syst.ems. Systems with
tlu·ee units are kuown as triple modular redw1da11cy,
TM fl, systems. 0
The exponential dist,ribut.ion is most frequently used in
reliability calculatious. 1 0 The fa'illlre rate, ,\, is the
The value of an invcst.mc11t is defined as t.he ratio of its
return (performance or utility) to its cost (effort or expected number of failures per unit time.
investment). The basic object of value engineering
(VE, also referred lo as value analysis) is to obtai11 the
maximum per-unit value.G p
7Some peo le my thnt vnlue engineering L� the act of goiug OYl'r the
plans and laking out C\ C 1 ythi 1 g thnt is iulcrt'Sting."
' 1
Value engineering concepts often arc used to reduce t.he �U.S. Gm•ernrnent Office of i\[anagc1ncnt and Budget Circular i\-131
cost of mass-produced manufactured products. This is outlines value e11ginPeri11g for federally funcll'd C'Onstrnct iou projects.
9\Vith Ti\IR systems, only one unit is rcquin•cl fo1· succc�sful operat ion.
5Therc is an illlportant. differente between cost and p1'icc. Doth repre­ When one unit fails, the syslC'in bec:o1ncs a dupll'x sy tc1 11 u11til the
S<'nt n11 11111ount poid, but the distinction depend� on who makes the failed unit. is repaired. With logic, soft.wnro, el ec t ro n ic n11d co111putcr
payment a11d when the payment is made. To one party, the cost of systems, failure can he detC'rmined hy colllparing tl 1c output of each of
111<1ll'rials i11corporated into a manufactured item is the price paid by the three units Ju effect, the two good u11its "vote'' to dctcn11i11e whieh

that part.y for those materials. That is, there s

i no difference. llowever, unit is faultv and should be shut down.
the cost to one party to acquire or produce an item is much lower than 1
°The t h r�pnra111ctcr ll'eib11/I distribution is 111ore de;;niptive, flex­
the price at. which the item is later sold to a second party. ible, and powerfHI limn tht' negative ('Xpo11e11tial distribution. It has
GValuc analysis, the met.hodology that has become today 's valne engi­ g i ncd acccptoncc pr ima rily i11 the aerospace induti!.fJ• because of its
neering, was developed in the early l!J50s by Lawrence D. i\liles, n n nhilit.y to 111odcl the failure dititribut.iu11 more exactly. Its complexity,
analyst at General Electric. however, nrnkt'S applkation tu 11011critieal applications cumbersome.

P P I • w w w . p p i 2 p a s s . c o m
M A N U F /\ C T U R A B I L l 7 V , Q U /\ L I T V , A N D R � L I A B I L I T V 45 .. 3

hi sou1c cases, failed units arc repaired online. The s PM is only useful wheu its cost is less t.hau the cost of
avernge rep:;iir time is the mPan f.ime f.o repair, MTTR, the brenkdown. In the absence of cosL infonuatio11,
an<l is the reeiproeal of t.ltc repair rate, p. Tile 111ea11 li111e PM is usef11l when the average PM time is lPss than
tu fuilul"e, l'l'fTTF, is Lhe average Lime a unit operates Lhe average repair ti1ue.
before failing. The nwrn lime between failures, MTI3F,
o PM is morn applicable when there is little or no inven­
is t.he length of t.i111c between when the original a11d
repaired units stnrt. tory of t.he item produced by t.he brokcu uiaclti11e.

A uailabilily is t.he probability t.hat. a system will be at. auy given time. The system uptime is eal­
culatcd by multiplying the availability by the Lheorel.i­ Replacement and nmeum/ models determine I.he rnost, eco­
cally maximum 1111mber of operational hours (e.g., nomical t.ime to replace existiug equipment. Replacement
8760 hours per year). 1 l Una vailability and downtime processPs fall into two categories, depending on the life
me similarly calculated. pattern of the equipment., which either deteriorates grnd­
Repairing a machine HS soon HS it. brPaks clown is always ually (becomes obsolete or less efficient) or fails suddenly.
the preferred course of action. In some cases, however, a In the c<1se of gradual deterioration, t.he solution consists
, machine can be repaired 011ly at. regular intervals. of balm1cing the cost of new equipment, against the cost of
'l'his is particularly t.rne for 11nat.te11ded equipment that. maintenance or decreased effici011cy of the old equipment.
is inspected only at. periodic intervals, often called t.he Several models are available for cHses with specializPd
p roof lest inter11a/, PTT. A complete failure will occm if assumpl.ious, but 110 general solutiou rnethods exist.
the system's redundancy is not adequate to sustain
mull iple faults dming the PTI. In the cFtse of sudden f1dl11re (e.g., light bulbs), the
solutiou method consists of finding a replacement fre­
quency t.haL minimizes the costs of t.he required new
items, the labor for replacement, and the expected rnst
of failure. The solution is made difficult by the probabi­
The value of prcue11 lat.iuc 111ai11le11n11ce, Pl'vl, to preve11t
listic nature of the life spans.
breakdowns is undisputecl. 1 2 However, it is not. as easy
t.o decide on the frequen<.;y and timing of Pl'vI, the size of The replacement decision criterion with deterioration
maintenance facilities and number of stflff, location ancl models is the present worth of all future costs associated
centralization issues, and the quantity of spares t o be with each policy. Solution is by trial and error, calculat­
carried. Quantitative business analysis techniques can ing the present worth of each policy and i11creme11t.i11g the
he used to formulate some of these Pl\'1 poJjcies. replacement period by one tilne period for each iteration.
The general goal iu optimizing PM policies is t.o ulinimjze The Lime betweeu installation and failure is uot coustaut
the total cost of operation, laking into consideration the for members in the general equipment population. There­
costs of preventative maiuteua11ce, downtime, au<l repair. fore, in order t.o solve a su<ldcn failure model, it is neces­
Sometimes t.he costs are fo:ecl, as when specific penalties smy to l.iave the distribution of individual item lives
mm;t, be paid wheu output is not achieved. At other (mol'lalily curve). The cou<lit.ional probability of failme
times, the costs are related Lo hourly rates and the durn­ in a small time interval, say from t to t + 81, is calculated
tion of downtime. The time to failure of a machine aud from mortality curve. This probability is conditional
the times for both repair and maintenance since it is conditioned on nonfailure up to time /..
are generally not fn:ecl, and they are not a lway:; normally
distributed cit.her. However, unless simulation is used, it The couditional probability of failure may decrease with
lime (as wit.h i11fa11/. 11w1fo/ily), remain constant (as with

random causes), or increase with tilue ( as with items that.

is almost always necessary to work with the average
times (e.g., mean time to failure, M'ITF). an exponential reliability distribution and failure from

The followi11g guidcliues should be considered when deteriorate with use). If the conditional probability of
establishing Pi'vf policies, particularly for single machines. fail me decreases or remai11S constant over time, operating
\�/hen there 1ue several identical machi11es opernt.iug iu items should never be replaced prior to failure.
parallel, the problem more closely resembles a waiting­
line (queuing) problem. Breakdowns are comp1uable to
arrivals in the line, aud repair stat.ions (repair crews) arc 7. FACILITIES LAYOUT
the stations. The optimum solution takes into considera­ Facilities layoul (plcwl layout) problems are numerous
tion the costs of idle 111aiutenance crews. in variety and complexity. Laying out facilities involves
• PM is more applicable when the time-to-breakdown locating departments and/or operations with respect to
distribution bas low variability because the Lime one anot.her. In Lraditio11al process layout, machi11es
before a breHkdown can be more accurately predicted. with the same function are grouped together. In product
layout (product-oriented layout), the layout depends on
l( t.lie machine does not operate 24 hours per clu.1• or 365 days per the sequencing of product.ion operations. If the same
yenr, the number of hours will be accordingl,1· reduced. equipment is used at two di fferent times, it is duplicated
12�Iaintenance to correct disrepair is known ru; 1·emedial mai11tc11a11cc. iu a product layout.

P P I • w w w . p p i 2 p a s s . c o m
46-4 r- E M E C H A N I C /\ L R E V I E \'I M A N U A L

So111e co111pul erized nwt hocls exist for exJ 1 a 1 1 sti vel y eval­ prf'sentf'd and iucorporated inlo th<:> solutio11 vary frolll
uating a l tern at i ves. Mauual layout techniques a1:e Pven case to case.
more limited. Ofleu, paper-culling is comhinPd with
i11l uiLio11 lo come 11p with a layout. DeparL 111culs are
sizPd to cl particular scale au<l arc cut oul of paper. The
pieces uf pa pe r arc sl i< l around until a layout "works." Linc balancing d<>termines which lasks will be performed

8xcept. for the artificial case of a SllJall llUll lber or p rogressively a t 1 mdt.iple assembly stat ious. Souse tasks
equally sized, equally shaped clepart.ments or operations 1 nust. precede ot. lwrs; somf' tasks can be performed at

whose local.ions :we limitPd to a rectaug ula r grid, it is any point in the asse111bly; sorne lasks (e.g., inst.allat.iou
unlikPly t h a t . all possible layouts will be co11siderecl.
t�1 of fasteuers am! finnl t. ightf'ning) cau be split bet.ween
The "op Li 1 1 1 u1 1 1" layout. may actually be merely the bes[. Line hHl:rncing ca11 a lso delcrn1ine how many
that. could be found given the mnouut. of time available. st al.ions are needed aud which tnsks will he perforllled in
p:u-a l l eJ to i nc rease t.hro11gh p11t.
An alternate uiauual met.hod is to constrnct a graph
whose "verl.icPs" (nodes) are the departlllcnts ur opera­ Sfondrml li111cs l o perform the vm"ious statiou tasks are
t ions. The "edges" ( l i u e seg111c11ls) are drawn betwf'en used in t.he balancing process. However, except for robot
two vertices if adjacPnt associated depart.meuts arc operators �wd machine-controlled lines, task times are
desired. The edges may ue weighted lo indicate th<> lev<:>I actually random. Somet imes tasks take longer ; sometimes
of traffic betwec11 Lite departments. The goal is to rcar­ t hey take less tune. This im pl ies that almost every line
rnnge the vertices so that uo edges cross. If this can be will be unavoidably nnbala nced . If t he work is rigirlly
do1 1c 1 then the layout can be planar. If the departmeuts paced to the cycle time (as it would be if the work were
are s01newhat. flexible in terms of size a11d shape, il is at.laclwd to the conveyaucc system), some
possible to have the desired adjacencies. work pieces might be left unfin ished if t.he previous pmt
reqnired more t.itne than ns1 1 a l . This sce11ario iut.roduces
Certain simplifying assumptions are usually 111a<le wit.h what. is probably one uf the n1osl. important. req 1 t i remeu ts
both computerized aud wanual met.hods. f.'or example, for maxintizi11g the line t.hronghput : statio11 iuvcntory.
all layouts may be required to be two di111e11sio11al.
Departments lllay be assullled lo be square or rectangH­ Line t.hrougltput. will be maximized if each slat.ion has a
lar. When the locations of spec i fic pieces of cquip111ent backlog of unfinished work. Iii In I. h is Pase, the convey­
within t.he depart.mcut arc unknown, i t is nss1uned that ance system is used merely to bri11g work Lo stations
all 1novement. i11to <llld out. of the department origi11aLes rat.her than to pace the slat. ions. tr a statio11 is busy
and terminates a t the ce11troid of the <lepart.mentnl area. when a new piece of work arrives, the staLio11 operat�r
Also, only highly repetitive movements be t.wce1 1 depart­ merely places that piece i11lo his or her inveutory of
ments are considered. 011ce-i11-a-whilc travel is excluded unfinished work. Jr all tasks are fi11ished early, before a
frolll the analysis. new piece of work arrives, the operator begins on a piece
from the iuventory. The station is never idle.
Almost all facility layout procedures-manual and com­
puterized, exact., trial-and-error, and heurist.ic-attompL
to minimize the trnm;portatiou cost, sometimes referrPd 9. QUALITY CONTROL CHARTS
to as 111uueme11l. 1 •1 In simple cases, this may 1 1 1 ea1 1 mi11i­
Statistical quality cunlrol, SQC, also known as stutislica/
mizing t.he product. of trips betwec11 ls and the
process cm1/,rol, SPC, uses several tccl111i4ucs Lo ensure
d ist a nces between their centroids. In more complex cases,
the product of trips and <listm1ces lllay also be mul tipl i ed that. a minimum quality level is consistently obtaiirecl
by voltrn1cs, weights, and labor rates. from product.ion process<>s. Typical SQC tasks incl11de
routine monitoring of process out.put, sampling incom­
Nonquantitative factors also need to be considered. ing raw materials, and testing finished work.
So111eti111es, as when eq11ip1m�nt, recorrls, ur personnel
are shared, it is absolutely necessary that departments l\fonituring process out.put and charting the results Hre
be located 11ext lo each other. Jn other cases, as when often t.he most visible aspects of SQC. Snr n l l samples of
safety is compromised, it may be absolutely essential t o work are tested al regular or random iutervals, and the
results are shown gTaphically. The graphs are knowu
separate departmc11ts. In most. cases, t.lw nearness pri­
ol'il ie::; characterize t.he adjacency requiremeuts between as control cha rts or Shcwlwrt control cl1m1s because
being absolutely necessary they show, in aclclit.ion to the measured values, the r.011-
' an<l being absolutely undesir-
• • 1
1 r:
able. " The ways that nonq111mtitative factors arc
trol limits (i.e., tlw lirnils or accept a b le va l ues) . 8 (Sec
Fig. 116.1 . )
1"Tltc 11111nlwr of layout \'lliialions, including mirror i111agcs, wit 11 /1
equally sizNI sq11nn' <lepai t ments s i 11!. i\lemmrnblc im:reascs in l i 1 1r out pnt have beeu reported by sl'k<'tivcly

/o r llSC'S 1 1 1 11.'S of l l1111nb lo deri,•e an ans\\'er. Neil l tcr is a11 upl i111iz­
A lri11l-1111d-o·ror 111elltod depends on iru;ight , i11luitio11, 1111cl i11gc>1111- unbalancing the li11e atHI rnsnring that each station has a harklog of
ily lv c·o111t• 11p with n solu t ion . A heuristic method follows a proc:c·ch1rc• work.
a 1 1c l The graphs arc ofl<'ll l'01t�pir1101L•ly posted at l h t· t•nlrnnrffi ol
i11g trt"l111iq111·. dt>partments.
15Thc M11tltr r 1ieo1 llt>S-< /H iorilies (developed b�· Hid111rd i\(ut ht·r i11 tl1t' Control limib havt· 1 1ot l i i1 1g lo do with spccifico lio11 li111ils. Specifi­
I 050.>) itrC' ( I ) nhsol11l rl.1· necP��ary. (2) very important. (3) i111pu1 t n 1 1 l , cation limits deten11i11r if I hC' prod11rl i.� acceptable tu the custmnrr.
(.J) Of< (u1di11a»y i111pr 1 1 t r 1 1 1cr), (5) 11nimportant, and ( G ) undesirable. Control limits de ten ninc if the pror<'J<.� is stntislimll�· iu co11trol.

P P I • w w w . p p l 2 11 a s s . c o m
M /\ N U F A C T U R A l3 1 L I T V , Q U A L I T Y , A N D R E L I A B I L l "( V 46-5

Figure 4G. 1 Interpretation of SPC Cl1ar/s acceptance risk) versus the lot. 111utlit.y (i.f'., t.he t.rue
fract.ion or percentage defecl.i vc). 1 0 Poiuls ou tlie OC
curve arc dctcnn.iued from the binomial or, more pref­
erably, from the Poisson approximation to the bino­

(a) in control (d) trends
mial. In practice, however, accept.a11cc plans are
generally desiglll:<l by referring to tables of predeLer­
mined plans.

Figure 46.2 Acceptance Plan Operation Cl1aracleristic Curve

= 5%
95% --- ('(
(b) out of control (e) stratification Q)
- I1 -t
c: I
0. I
0 I
50% __ L ____
.? I
:0 I
(c) shifts (f) mixture "' I
.0 I
0 I
10% - 1 - - - - ,- - - - -
13 = 10%
Control charts can be prepared for the average value of AOL POC LTPD
sorne process variable (t.he :i:-ucu· cha1·t), for t.he ra11gc or lot quality
other measures of dispersion (R-chorf., s-chart, or
a-chart), and for the fraction defet:tive (p-clwd.), the
nnmher of defects per unit. ( c-charl), or any combination
thereof. Charts that require a measurement of a process
variable are known as 110.riaule charts. The 7>-chart and 1 1 . LIMITS AND FITS
c-chart arc examples of attribute cha rts, where 011. ly the
Exact precision in 1nanufacturiug is impossible to
conclition of an item needs lo he determined.
achieve. l'vlinimum and maximum values of deviat.ion
It is a basic assumption that random effects are present from the design value, known as limits, are bo11ndarif's
in every process. Variation within certain limits is inevi­ wit.l1in which a measmement must lie to operate as
table, am! if the magnit.udes of t.he limits or the varia­ intended. The lolem11ce for a dimension is the t.otal
tion are unacceptable, they must be reduced by changes permissible variation or difference between the accept.­
in manufacturing or product design. If the magnitudes able limits. The t.olcrnncc for a dimension can he speci­
are, then corrections are required only when fied i n two ways: eit.her as a general rule in the title
the results exceed t.he magnitude expected on the basis block (e.g., ±0.001 i n unless otherwise specified) or as
of random effects. specific limits that are given with each dimension (e.g.,
2.575 in ± 0.005 i11).

The fil. describes t.ltc assembly of the hole and shaft. A
clearance fit results in dimensions that assure clcanrncc
ccept.o.nce sampling is the testing of samples taken bet.ween mating parts. An i.n/.e1Jere11ce fit. (also known
from a lot (batch or process) in order to determine if as a force fit and shrink fit) results in dimensi011s that
t.he entire lot should be accepted or rejected. Acceptance do not, have clearance bet.ween mating parts. Por
sampling is appropriate when testing is destructive or example, the shaft diameter will always be larger than
when 100% LcsLing would be too expensive. To design an the hole through which the shaft must. pass. The effect
acceptance plan (also known as a Dodge-Rnmig plan), of an interference fit is an almost permanent assembly
the number in the sample and the acceptance 1111111bcr for two assembled parts. A l.rnnsilion fit. might be
(i.e., the maximum allowable 11lllnber of defects in the either a clearance or interference fit.. For example, a
:;ample) must be specified. shaft may he either larger or smaller than the hole i u
In single a cr:ept.ance plans, a sample of size n out. of a t.hc mating part.
total lot size of N is tested. If the uumber of defects is
equal to or less Lhan c, the lot is accept.eel. The plan can
be described gTaphically by an OJIP.T<tling 1 �0pernting diarnctrristic: c;11n•es urc actu<•lly a herie; of discontinuous
(OC) curne (sec Fig. 46.2), which µlots the prouauilit.y points since l o t ilc111s Hr<' f'inite am! discrete. However, they are never
of acceptance (also known as the producer's drawn i11 I hat 11u11u1t'r.

P P I • w w w . p 11 i 2 p a s s . c o m
46-6 F E M E C H A N I C fl. L R E V I E W M fl. N U A L

ThP most. common standard of limits and fits is t he 1 2. FITS AND TOLERANCES FOR SHAFTS
Internatioual Organization for Stanrlardization (ISO) AND HOLES20
Sta ndard 28G, which gives tolerance classes for a wide
nrngP of tolerance. Some preferred fits, alo11g with t hPir The nomenclat.nre m;ed to dl'scribc llt parameters
ISO !tole and shaft tolerances, arP given in Tahle '16. l . related to circular mc111bcr and circulnr holes is
illust.rnlcd in fo'ig. 46.3.2 1 The basic .size ( ba.sic dimen­
Tobie 46. 1 Some Preferrecl his
sion) is he dimension to which t.Jic minimum and ma,-x:­
irnum tolerances arc applicd. 22 The hasic :,;ize of Lile hole

wwcl to i dent i fy
lSO lioh·/
is Lite basis all calculations. 23 Uppercase letters are
for parainetcrs
shaft associated with the hole,
type of fit fit 1kscriplio11 tolerance while lowercase letters are used for the shaft. The 110111 -
dl'mlt11<'<' fits free running fit: good for large HlJ/dlJ
i 1 1 al (basic) size, D, is the
minimum am! maximum limits are applied.
din1ension to which the
lempcrnlurc v;irinlio11s, higli
figure 46.3 Limits ancl f'lts
ru1111i11g spt•cds, n11d hc-m·.v
jo11111al lands; not used when
n high level of accuracy is

.,/ii/i11g fit: 11se<l where pruts do 117/p,6
11ot 1110\'e freely, but need lo
move and tum. and lorntc
ac urately

locational fit: snug fit for local ion H 7/ h 6

of sta tio11a1J' par t s; pa rts can

be assc'lnbkd aml disn.«Sembled

loose rwrning fit: used for wide HI l/c·l I

co111111crcinl tolcrH11ce.� or
allowu11ccs on external
me1 n bers
rlosr: 1w111i11g /ii: used for rnnning 1 18/f7
on accurate machines and for
accurate location a t rnoclC'rnlc
:;p1:cds ;111tl journal pressures

l rn11sil io11 fits locational lrnnsilio11 fit: H7/k6

compromiM> bet ween C'!C"an111ce 2<1-yJic NCEES Hondboak c
1 11 11t ions "the standard," but it dat'S 1101
and i11lerfcrcnrc fits; prm•idt'S identify it. There arc l wo st an rla rcls for fi ts and tolera nC<"s i11 l11c
nn nccurale location United States, one based 011 U.S. u11ils (ANSl/ASl\IE 84.1-1967
(R2009), Prcftn-ed f,i111ils a111f Fits fo1· Cy/i11drical Pa,.ts), and one
lucatio11<1I tru11sitiu11 fit: for more 117/nil based on Sl units (ANSI/ J\S�IE 84.2-1978 (R2009), Prefer·l'cd Metr·ic
accurate location where Limits and Fits). Both have l><'en revised several limes si11cc thl'ir
grenter interface is perrnjssiblc ori!\inal releases. The sli1111lanls co1 1tni n tables thnt can be used to
find t h e 1ni11i111u111 ancl 111nximum d iameter:; of h oles and sh aft s
inkrforc11c;c fits loc11lio11 i11tf'1fere11ce fit: for pnrts 117 /pG directly, without calculations. The equations listed in the NCEES

2 1 Fig urc 46.3 cloc'� not show the basic dimensio11 of the sha ft , ti, that is
requiring rigidity and
Handbook arc found in the npp cnclices of t he standards.
alignment with prime accuracy
used i11 subscqu('nl equal ions. If required (as in Eq. 46.6), l he basic size
of locntion; part:; du nul have
22( I) The t e r1 11 "size" L5 synonymous with "di111c11sio11." (2) The NCEES
of the sh a ft is lnkrn as the basi c size of the hole (i.e., d D).
:;p<·ci<l I bore pre"Surc
rl'quircmcnls Huridbook parent hel ically indicates that "ba:;ic size" and "nominal size"
arc sy11011y111011s terms. However, there is a t·o111111on, incompatible
medium clriue fit: for onli11ary H7/sG usage uf the tcnn "nominal dimension." A nominal cli111e1 1si on is com­
sled parts or shrink fits on mo11ly stated without an attempt to be exact, 11mki11g "nominal"
light sections; tightest fit :;ynuny111ous with "approximate." For exa mple, a sh a ft with an actual
usnhle on cast iron diai11ctcr of29.7 111111 may he referred to as a "30 1 111 11 nu1ni11al diameter
:;haft." This u�age, howe,·er, is inconsistent with Eq. 46.2, which makes
farce fit: suit able- for parts H7/u6 the nominal dirncnsio11 mi absolute 111inimum. For that rcaso11, the

which C<ln be h igh ly st rrs.

terms "lm:;ic size" and "bri.�ic ditnension" are preferred.
23Therc arc two parallel fil/lolernnce calculat ion met hods presented in
or for shri11k fits where the
each stundard: hole basis nncl
.�haft basis. The NCEES Hondbook
hen\')' pressing forces
present:; only t h e hole ha_�is cn lc11lnl ions; it does 110! mrnlion the
required are impractical
nlternalive shaft basis calc11lations which nre based on the 1 101 ninnl
diameter of the shaft, d. Nor111ally, t h e hole basis is preferred dnr lo
the nse of standard reamer:; bring 11srcl lo produce holes, and :;t n ntlrird
size "go/no-go gauges" used to check holes. However, when a common
sh n fL mates with several holes, tho shuft husis s.vstPlll should be u:;ed.

P P I • w w w . p p i 2 p a s s . c o m
M A N U F A C T U R A B I L I T Y , Q U A L I T V , A N 0 R E L I A B I L I T V 46-7

The to/errmcc of the shaft <liau1eter, ti.11, is t.lie absolute E xam ple
value of the difference between the npper deviation, Ou, A hole has a nominal size of 1 1 mm and a mi-ncimum size
and Lhe lower deviation, 61• The International Tolerance of 11.016 mm. What arc most nearly the tolerance aud
(IT ) grades are g,ive11 iu Table 46.2. Upper and lower the minimum diameter of the hole, respecti vely?
deviations are found from Table tl6.3.
(A) 0.010 11m1; 5.0 mm
(B) 0.012 mm; 7.0 mm
(C) 0.014 mm; 9.0 mm
' (D) 0.0 1 6 mm; 1 1 mm
Table 46.2 International Tolerance (IT) Grades

tolerance grade, 11/J or 11.i Solution

The tolerance of the hole can hy calcnlated by sol ving

IJasit: size JTG IT7 IT!J
U-3 0.006 0.010 0.025
Eq. 46. l for the tolerance, D. 0.
3-G 0.008 0.012 0.030
Dmax = D + t1n
G- 10 O.OO!J 0.015 0.036

t1o = D111ax - D
1 0-18 0.011 0.018

18--30 0.013 0.021 0.052 = 1 1 .016 nm1 - 11 mm

30--50 0.016 0.025 0.062 = 0.016 m m

From Eq. 46.2, the minimum diameter of hole, D, 11;"' is
the same as t.he nominal diameter, D. Therefore, the
'All values in mm
minimum diameter is 11 11m1.
Somce: Preferred Metric Li111its and Fits, J\NSl/J\Sl\fE
The answer is (D).

Equation 46.1 and Eq. 46.2: Minimum and Equation 46.3 and Eq. 46.4: Shaft with
Maximum Hole Sizes Clearance Fits

= D + f.. o 46. 1 duinx = d + /JF 46.3

dmll = cl!Jk'\X - ti.a 46.4
D111;u = D 46.2
Equat ion 46.3 and Eq. 46.4 are used to calculate the
The nominal size of the hole, D, is used to calculate the maximum, dmax i and minimum, dmini nominal sizes of
maximum size, D,11,Lx> and minimum size, Dmini as shown the shaft. These equations apply to shafts with clear­
in Eq. •16.1 and Eq. 46.2. The hole's diameter tolerance, ance fits d, g, or h only. ti.d is the tolerance for the
110, is the difference between the maximum and 1nini­ shaft. The fundam ental deviation, 8Fi is the upper
mum limits of the hole. de vi ation, 8 ...
Table 46.3 Deviations for Shafts" ·

upper deviat.ion, li" lower deviat.ion, li1

basic size c tl I g h k 11 11 s 1t

0-3 --0.060 -0.020 --0.006 --0.002 0 0 0.00,1 0.006 0.01'1 0.018

3-6 --0.o?O --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 -0.095 --0.016 --0.006 0 0.001 0.012 O.Gl8 O.Q28 0.033
14-18 --0.095 -0.050 --0.016 --0.006 0 0.001 0.012 O.Dl8 0.028 0.033
18-24 -{l. 1 10 -0.065 --0.020 --0.007 0 0.002 0.015 0.022 0.035 0.041
24-30 --0.llO --0.065 --0.020 --0.007 0 0.002 0.015 0.022 0.035 0.048
30--40 --0.120 -0.080 --{J.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 0.0113 0.070

"All values in mm
iiowcr limil < basic size S upper limit
Source: Prcfc1nd Metric Limits anti Fits, ANSI/ASl\IE 13•1.2-1978 (H2009)

P P I • w w w . p p i 2 p a s s . c o m
46-8 F E M E C H A N I C A l R E V I E W M A N U A l

Equation 46.5 and Eq. 46.6: Shaft with The loosest i nterference is
Transition or Interference Fits
6max = cl11ru1 - D1 11:Lx = 25.048 111111 - 25.021 llUU

ti + bp
if,.,,,'- = rl111in + 11,t 16.5 = 0.027 mm
d.,,j 11 = 46.6
The l ightest. iHterferencP is

dmax - Duuu
b,..,,x = = 25.0CH mm - 25.000 mm
Equation <W.G and Eq. 46.5 arc useJ to calculate t.he
maximulll an<l 1uinimum nominal sizes, respecLively, of a = 0.061 mm
shaft with a transiLion or iu tcrference fit k, ]J, s, or 11. Por
iulcrfcrcucc fits, the fundamental deviation, 81.., is the Tl1e answer is (C).
upper deviaLio11, 811 , in Table '16.3.


A carbon-slecl gear hub is to be press-fitted to a caruon­ CONDITIONS
stcel shaft using a class 25H7/ u6 fit. The huh has a
The 111u:i:i11uirn mnle rial condilion (Mi\IC) is the size of

male 1 ·ial condition (UvJC) is the size o f the part when il

nominal t.hickncss of 13 mm. Using hole basis calcu la­
tions, what are most nearly the loosest and t igh tes t. the part when it consists o f the most malerial. The least
inlerfcrcuces, respectively'!
consists or t.he least material.
{A) 0.0 1 3 mm; 0.021 mm
A positive 8 represents a clearance fit, and a negative 6
(B) 0.021 u1111; (l.048 mm represents au i11tcrference fit. Using that convent.ion and
(C) 0.027 mm; 0.061 mm the defi n itions of l'vlMC aud LMC, the maximum
amount of space (i.e., clearnll<:e) Lhat can exist between
(D) 0.048 rnm; 0.061 nun the hole aJld the shaft is


( clearance)
The fiL is specified as "25H7 / u6," whicb dcscriucs a force
interference fiL with a 11outinal hole size of 25.000 mm. The minimum amount of space that can
Since the hole basis is specified, from Eq. 46.2, the exist between the hole and the shaft is
mi11inrnm hole diameter i s

Donin = D = 25.000 mm

From Table 46.2, the hole t oleran ce for an IT grade 7 is �.�.�...F.'.��.�.!\91.�.� �.1 .�.� ..�r�.�···
110 = 0.021 11un. From Eq. 46. 1 , t.he maxiumm hole
\Vhen assembling t.wo pieces, i nterference is often
diameter is

Du1nx = D..,;11 + 11n

more economical than pinning, keying, or splining. The
assembly operatiou can be performed in a hydra11lic
= 25.000 rnm + 0.021 UUll
press, either with both pieces at room or
= 25.021 mm after heating the outer piece and cooling the inner piece.
The former case is known as a press fit or inle1fere11ce
From Table 46.3, wit.h a u-class fit for the shaft., the Ji!; the lat ter as a shrink fi/..

Lhe outer cylinder ( placing

lower deviation of the shaft is 61 = 0.0,18 111m. For inter­
If two cylinders are pressed together, the pressure acting

into tension ) an<l will compress the inner cyli nder. The
ference the fundamental deviation is the lower
between them will expand it
Jeviatio11, Op = 61 = 0.048 mm. From Eq. 116.6, the
minimum shaft, diameter is

rlmin = d + 6,,, = 25.000 nun + 0.048 mm

inle1fercnce, 6, is t.he difference in dimensioni> bet.ween
the two cylinders. Diametral i 11 l e 1fere nce and radinl
i11te1ferem:e are bot.h used. 24
= 25.048 111111

From Table 46.2, t.hc shaft tolerance for an IT grac.le 6 is

6,li:uooelrnl = 28radiaJ = do.inuer - d ;,out�r

l1i1 = 0.013 mm. From Eq. 46.5, the maximum shaft,

dmax = tL111i11 + 11.i = 25.048 mm + 0.013 rnlll

diameter i s

<"llSC of a surface-hnrdenrd sloaft with a 8lundard d iameter , all of the

Thl'orctically, the interferr•m·c cu11 be gi,·en to either Ilic i1111er or
outn 1;yli11der, or it can be shared by both 1:yl indcrn. However, i11 tloc

= 25.061 mm i11terfcrence is us11ally given t u 1 loc disk. Otherwise, it may he IH'CC'SSary

t o machine the shnft and re111U\'C tiOllle of the hnr<lrnt'd s11rrace.

P P I • w w w . p p i 2 p a s s . c o m
M A N U F A C T U R A B I L l l· v , Q U A L I T Y , A N D R E L I A D l l. I T V 46-9

Equation 4G.7 has no shaft length or huh thickness

terms because these terms are assumed lo be the same
The ge1JPnd rnse is where both cylinders are hollow and

The outer cylinder is designated as hub; the inner and equal Lo the contact lengt h , /. Eq11al-length compo­
have di fferen t moduli of elasticity and Poisso11's ratios.

cylindP.r is designatPd 11s t.he shaft. 1f thP shaft is solid. nents are seldom [,Jie case, as the shah is generally
11se 1 ·1,shnft = 0. longer than the huh. 'Vith unequal-length parts, the
press ure is i 1tcreased at ead1 end (near each exterior
If the t\VO cylinders have the same length, the tLick-wall face) of the hub. A stress conce11tratiou fader generally
cyliuder equal.ions can be used. The malerials used for accouuts for this condition. The value or Lhe concentra­
t.he t.wo cylinders do not need to be the same. Since tion factor depends upon the contact pressme and the
there is 110 1011gitudi11al stress frow au iulerfcrence fit, design ol' the hub, but it.s theoretical value is seldom
and since the radial stress is negative, t.he strain is greater tha11 2.0.

lid li C li r
f: = - = - =- Example
d C
lTe - LllT 1 A solid shaft has a radius o f 5 cm at. room ten.tperature,
E but a rad ius of 4.950 cm when cooled. The cooled shart
is inserted into a hub having an i11si<le radius of
The maximum assembly force required l o overcome 4.954 cw. After the pmt:> come to room temperature,
fr ict ion during a press- fi t t i ng operation is given by the shaft radius ai1cl !tub inside radius are each 4.956 cm,
alld the outside radius of the hub is 10 cm. The radial
interference is 0.002 cm. The mo dulus of elasticity and
Poisso11's ratio of the shah and hub are 2 1 0 k I\lfm m2
and 0.3, resp ect ively. \.\'hat is most nearly the pressure
This r n sl t ip
is approximate because t.he coefficient at the i n terface of the hub and shafL?
of frict.ion is not known with certainty, and the a:ssembly
force a ffec ts the prcssmc, p, t.Ju·ough Poisson's raLio. The (A) 0.98 kN/cm2
ra11ge of 0.03-0.33 have been repor ted. In t he absence of (B) 1 . 9 kN/cm2
coefficient of friction, /l, is highly variable. Valnes in the

experimental data, it. is reasonable to use 0.12 for lightly (C) 2.5 kN/cm2
oiled co1111ect.ions and 0.15 for dry assemblies.
( D) 5.3 kN/cm2
:Most interfcrc11ce fits arc designed to keep the conlacl.

limited by strength generaUy use the d istortion energ11

pressme below a given value. Designs of interference fits

failure criterion. That is, the maximum shear st. re;;s i s


Using Eq. 46.7,

compared with the shear st.rength determi11ed frolll Lhc

failme theory.

p= � ( I'� + .2:_ ( l'f )

E0 ,.� - ,-2 rr
1'2 -1- LI 7'2 + 1-

Equation 46. 7: Interlace Pressure 0 + Ej + 1


(( )

) )
,. -

(0.5)(0.002 cm)

. ( 0.56
4.956 cm
/! =

r1 - ,.2(
/'2 + ,.·1

+ + _I_

---+ 1-
/'2 ,.2

_ -

210 10
I -1' -- LIu II'

kN nnn) 2

E" r'l/J - _,, ,

(10 cm) 2 + (11.956 cm) 2

1111112 cm
+ O .3

(( )
pressure, contact pressure, radial pl'cssurc, and inter­
The interface pressure, p ( also known as the inte1facial (10 cm) ('1.956 cm)-9

ference 7n·essure) , caused by a press/shrink fit is calC11-


4.95G cm
lated from Eq. 46. 7. 1'; is the inside radius of the inner +

ber. r i s the nominal radius, and 8 is the radial i nter­

member, and r0 is the ou t si de radius of the outer mem­ 210 10

( )

ference.25 E is t he modulus of elasticity ( Young's (4.956 cm ) 2 + (0 cm) 2

rnm2 cm

+ 0. 3
modulus), and v is Poisson's rntio.
(11.956 cm) - (0 cm)
x 2
· The NCEES Jlall!ibook <lelines r as the "nominal interference radins."
Since the "interference radius" is ambiguous, this deftnit ion shonJ<l be = UJ kN/cm2
interpreted ns the "nominal rndius nl the point of n i terference." The
11orni11al rndi11S is 11s11ally referred lo ns th<' lr1111silio11 radius or common
r11di11s. The answer is (B).

P P I w w w . p p l 2 p a s s . c o 111
46-10 F E M E C H A N I C A L R E V I E W M A N U A L

Equation 46.8: Maximum Torque Solution

= 2 2cm
The radius of the shaft, r, is


Description r = = l cm
The maximum torque thrit the press-fitted joint can
withstand or trans1nit is fouud Erorn t.lie leugth of the Use Eq. ,16.8 to calculate the maximum torque that. crin
hub engagement, I, and the coefficient of friction at the be transmitted.
interface, /I., as shown in Eq. 46.8.

�) (3 cm)
Example T = 2m·2ppl

(100 cm) 3
A 2 cm diameter solid steel shah is pressed into a 3 cm 2rr(l c.:m) 2 (0.6)(70 MPa) ( 10°
long hub. Given an interface pressure of 70 l\•lPa and a
coefficient of friction of 0.6, what is most nearly the
maximum torque that cau be trans1n.itted from the shaft 111
to the hub? = 792 N·tn (790 N·m)
(A) 550 N·m
(B) 630 N·m The answer is (CJ.
(C) 790 N·m
(D) 880 N·m

P P I • w w w . p p i 2 p a s s . c o m