Shaft Design and Analysis

A shaft is the component of a mechanical device that transmits rotational motion and power. It is integral to
any mechanical system in which power is transmitted from a prime mover, such as an electric motor or an
engine, to other rotating parts of the system. There are many examples of mechanical systems incorporating
rotating elements that transmit power: gear-type speed reducers, belt or chain drives, conveyors, pumps,
fans, agitators, household appliances, lawn maintenance equipment, parts of a car, power tools, machines
around an office or workplace and many types of automation equipment.

Visualize the forces, torques, and bending moments that are created in the shaft during operation. In the
process of transmitting power at a given rotational speed, the shaft is inherently subjected to a torsional
moment, or torque. Thus, torsional shear stress is developed in the shaft. Also, a shaft usually carries power-
transmitting components, such as gears, belt sheaves, or chain sprockets, which exert forces on the shaft in
the transverse direction (perpendicular to its axis). These transverse forces cause bending moments to be
developed in the shaft, requiring analysis of the stress due to bending. In fact, most shafts must be analyzed
for combined stress.

Because of the simultaneous occurrence of torsional shear stresses and normal stresses due to bending, the
stress analysis of a shaft virtually always involves the use of a combined stress approach. The
recommended approach for shaft design and analysis is the distortion energy theory of failure. Vertical shear
stresses and direct normal stresses due to axial loads also occur at times, but they typically have such a
small effect that they can be neglected. On very short shafts or on portions of shafts where no bending or
torsion occurs, such stresses may be dominant.

Procedure for Design and analysis of a Shaft

1. Determine the rotational speed of the shaft, n (rpm).

2. Select the material from which the shaft will be made, and specify ultimate tensile strength Su, yield
strength Sy and its surface condition: ground, machined, hot-rolled and as-forged. At the moment, due to
lack of database for endurance strength, this module should be used to design and analysis only steel
shafts Use the database in selection of a material.
3. Apply a desired reliability for definition of reliability factor,CR.
4. Apply a design factor ,N.
5. Propose the general form of the geometry for the shaft, considering how each element on the shaft will
be held in position axially and how power transmission from each element to the shaft is to take place.
Design details such as fillet radii, shoulder heights, and keyseat dimensions must also be specified.
Sometimes the size and the tolerance for a shaft diameter are dictated by the element to be mounted
there. For example, ball bearing manufacturers' catalogs give recommended limits for bearing seat
diameters on shafts.
6. Specify the location of bearings to support the shaft. The reactions on bearings supporting radial loads
are assumed to act at the midpoint of the bearings. Another important concept is that normally two and
only two bearings are used to support a shaft. They should be placed on either side of the power-
transmitting elements if possible to provide stable support for the shaft and to produce reasonably well-
balanced loading of the bearings. The bearings should be placed close to the power-transmitting
elements to minimize bending moments. Also, the overall length of the shaft should be kept small to keep
deflections at reasonable levels.
7. Determine the design of the power-transmitting components or other devices that will be mounted on the
shaft, and specify the required location of each device.
8. Determine the power to be transmitted by the shaft.
9. Determine the magnitude of torque at point of the shaft where the power-transmitting element is.

63000  P
T =
n
where:
P = transmitted power
T = torque
n = rotational speed
10. Determine the forces exerted on the shaft.

Spur and helical gears, tangential force

2 T
Wt =
D
where:
D = pitch diameter of gear;

Radial force
Wt  tan n
Wr =
cos 
where:
 n = normal pressure angle for helical gears and pressure angle for spur gears
 = helix angle

11. Preparing a torque diagram.

12. Resolve the radial forces into components in perpendicular directions, vertically and horizontally.
13. Solve for the reactions on all support bearings in each plane.
14. Produce the complete shearing force and bending moment diagrams to determine the distribution of
bending moments in the shaft.
15. Analyze each critical point of the shaft to determine the minimum acceptable diameter of the shaft at that
point in order to ensure safety under the loading at that point. In general, the critical points are several
and include those where a change of diameter takes place, where higher values of torque and bending
moment occur, and where stress concentrations occur.

If a vertical shearing force V is the only significant loading present, this equation should be used to compute
the required diameter for a shaft.

2.94  K t V  N
D =
S n'
where:
Kt = stress concentration factor;
S’n = modified endurance strength, depends on ultimate tensile strength Su

S n' = S n  C S  C R
where:
Cs = size factor
CR = reliability factor
Sn = endurance strength

In most shafts, the resulting diameter will be much smaller than that required at other parts of the shaft
where significant values of torque and bending moment occur. Also, practical considerations may require
that the shaft be somewhat larger than the computed minimum to accommodate a reasonable bearing at the
place where the shearing force is equal to the radial load on the bearing.

Most shafts are subjected to bending and torsion. The power being transmitted causes the torsion, and the
transverse and radial forces on the elements cause bending. In the general case, the transverse forces do
not all act in the same plane. In such cases, the bending moment diagrams for two perpendicular planes are
prepared first. Then the resultant bending moment at each point of interest is determined.
A design equation is now developed based on the assumption that the bending stress in the shaft is
repeated and reversed as the shaft rotates, but that the torsional shear stress is nearly uniform.
1
 2 2 3
 32  N K M  3T  
D =  t  +   
   S n'  4  S y  
 
where:
M = bending moment
T = twisting moment

Tensile strength

The ultimate tensile strength of the material, Su, is determined from test results, supplier specifications, or
given data. The most accurate and reliable data available should be used. When there is doubt about the
accuracy of the data, larger-than-average design factors should be used. For this software, simply click on
the table icon and select the appropriate material and the values will be automatically entered into the
appropriate fields.

Desired reliability

This factor is used to apply a reliability factor CR.

Desired reliability Reliability factor

0.50 1.00

0.90 0.90

0.99 0.81

0.999 0.75

Endurance strength data typically reported are average values over many tests, thus implying a reliability of
0.50 (50%). Assuming that the actual failure data follow a normal distribution, the factors from this table can
be used to adjust for higher levels of reliability.

Design factor

Under typical industrial conditions, the design factor of N = 3 is recommended. If the application is very
smooth, a value as low as N = 2 may be justified. Under conditions of shock or impact, N = 4 or higher
should be used, and careful testing is advised.

Fillet radius

When a change in diameter occurs in a shaft to create a shoulder against which to locate a machine
element, a stress concentration dependent on the ratio of the two diameters and on the radius in the fillet is
produced. It is recommended that the fillet radius r be as large as possible to minimize the stress
concentration, but at times the design of the gear, bearing, or other element affects the radius that can be
used. For the purpose of design, we will classify fillets into two categories: sharp and well-rounded.

The term sharp here does not mean truly sharp, without any fillet radius at all. Such a shoulder configuration
would have a very high stress concentration factor and should be avoided. Instead, sharp describes a
shoulder with a relatively small fillet radius. One situation in which this is likely to occur is where a ball or
roller bearing is to be located. The inner race of the bearing has a factory-produced radius, but it is small.
The fillet radius on the shaft must be smaller yet in order for the bearing to be seated properly against the
shoulder. When an element with a large chamfer on its bore is located against the shoulder, or when nothing
at all seats against the shoulder, the fillet radius can be much larger (well-rounded), and the corresponding
stress concentration factor is smaller. We will use the following values for design for bending:

K t = 2.5 (sharp fillet)

K t = 1.5 (well-rounded fillet)

In this program the factor is determined under the formula (Elastic stress, bending)

2 3
2h   2h  2h 
K t = K 1 + K 2   + K 3  + K 4  
 D   D   D 

where

h = D −d

D = larger diameter of the shaft;

d = adjacent smaller diameter of the shaft;

h h
0.25   2.0 0.25   2.0 source
r r

h h h h
K1 0.927 + 1.149 − 0.086 1.225 + 0.831 − 0.010
r r r r

h h h h
K2 0.015 − 3.281 + 0.837 − 3.790 + 0.958 − 0.257
r r r r

h h h h
K3 0.847 + 1.716 − 0.506 7.374 − 4.834 + 0.862
r r r r

h h h h
K4 − 0.790 + 0.417 − 0.246 − 3.809 + 3.046 − 0.595
r r r r

Stress concentration factors

The order of input of the stress concentration factors is “Kt1/Kt2”. First input the value of Kt1. Then enter a
slash. Second input the value of Kt2. For instance: “1.0/3.0”.

Kt1 is the value of the stress concentration factor to the right of a bearing. Retaining rings are used for many
types of locating tasks in shaft applications. The rings are installed in grooves in the shaft after the element
to be retained is in place. The ring manufacturer dictates the geometry of the groove. Its usual configuration
is a shallow groove with straight side walls and bottom and a small fillet at the base of the groove. The
behavior of the shaft in the vicinity of the groove can be approximated by considering two sharp shoulders
positioned closed together. Thus, the stress concentration factor for a groove is fairly high.

When bending exists, we will use Kt1 = 3.0 for preliminary design as an estimate to account for the fillets and
the reduction in diameter at the groove to determine the nominal shaft diameter before the groove is cut.
When torsion exists along with bending, or when only torsion exists at a section of interest, the stress
concentration factor is not applied to the torsional shear stress component because it is steady. To account
for the decrease in diameter at the groove, however, increase the resulting computed diameter by
approximately 6%, a typical value for commercial retaining ring grooves. But after the final shaft diameter
and groove geometry are specified, the stress in the groove should be computed with the appropriate stress
concentration factor for the groove geometry. The use of a spacing hub (sleeve) for the bearing rests on a
shoulder results in a Kt1 =1.0.

Everything, that is said for factor Kt1 concerns and for a factor Kt2.

Align

This variable can receive one of following values: R – right side align or L – left side align. This factor is
used to indicate element position on the shaft.
For example: the value of Align “R” means that parameter “Distance” for the current element is equal to the
value of space from beginning of the shaft up to right side of element. The value of Align “L” means that
parameter “Distance” for the current element is equal the value of space from beginning of the shaft up to left
side of element.

Stress concentration factors

The order of input of the stress concentration factors is following “Kt1/Kt2/Kt3”. First input the value of Kt1.
Than enter a slash. Second, input the value of Kt2. Enter another slash. Third, input the value of Kt3. For
instance: “1.0/1.6/3.0”.

Kt1 is the value of stress concentration factor to the right of a gear. Retaining rings are used for many types
of locating tasks in shaft applications. The rings are installed in grooves in the shaft after the element to be
retained is in place. The ring manufacturer dictates the geometry of the groove. Its usual configuration is a
shallow groove with straight side walls and bottom and a small fillet at the base of the groove. Considering
two sharp-filleted shoulders positioned close together can approximate the behavior of the shaft in the
vicinity of the groove. Thus, the stress concentration factor for a groove is fairly high.

When bending exists, we will use Kt1 = 3.0 for preliminary design as an estimate to account for the fillets and
the reduction in diameter at the groove to determine the nominal shaft diameter before the groove is cut.
When torsion exists along with bending, or when only torsion exists at a section of interest, the stress
concentration factor is not applied to the torsional shear stress component because it is steady. To account
for the decrease in diameter at the groove, however, increase the resulting computed diameter by
approximately 6%, a typical value for commercial retaining ring grooves. But after the final shaft diameter
and groove geometry are specified, the stress in the groove should be computed with the appropriate stress
concentration factor for the groove geometry. The use of a spacing hub (sleeve) for the gear rests on a
shoulder results in a Kt1 = 1.0.
The value Kt2 depends on the type key used. A key seat is a longitudinal groove cut into a shaft for the
mounting of a key, permitting the transfer of torque from the shaft to a power-transmitting element, or vice
versa.

Two types of keyseats are most frequently used: profile and sled runner. The profile key seat is milled into
the shaft, using an end mill having a diameter equal to the width of the key. The resulting groove is flat-
bottomed and has a sharp, square corner at its end. A circular milling cutter having a width equal to the width
of the key produces the sled runner keyseat. As the cutter begins or ends the keyseat, it produces a smooth
radius. For this reason, the stress concentration factor for the sled runner keyseat is lower than that for the
profile keyseat. Normally used design values are

Kt2 = 2.0 (profile) and Kt2 = 1.6 (sled runner)

Each of these is to be applied to the bending stress calculation for the shaft, using the full diameter of the
shaft. The factors take into account both the reduction in cross section and the effect of the discontinuity.
Consult the references listed for more detail about stress concentration factors for keyseats. If the torsional
shear stress is fluctuating rather than steady, the stress concentration factor is also applied to that.

Everything, that is said for factor Kt1 concerns and for a factor Kt3.

Angle alpha

This parameter is necessary to indicate the contact point with a mating gear. Parameter must be more
than zero and less than 3600.
If the gear that on the shaft has several mating gears you must do following. In the list “Spur and helical
gears” fill in the first string for a considered gear and input the value of i and transmitted power “P” for first
mating gear. Than fill in the second string for a considered gear and input the value of and transmitted
power “P” for second mating gear and so on. Number of strings should be equal to number of mating gears.
Note: Values of parameters “Dist.”, “Width”, “ / ”, “Kt”of each string should be identical.

Pressure angle and helix angle

The order of input of the values of pressure angle and helix angle is following “  /  ”. First input the value of
 . Than enter slash. Second input the value of  . For instance: “20/15”.

The pressure angle is the angle between the tangent to the pitch circles and the line drawn normal
(perpendicular) to the surface of the gear tooth

The normal line is sometimes referred to as the line of action. When two gear teeth are in mesh and are
transmitting power, the force transferred from the driver to the driven gear tooth in a direction along the line
of action. Also, the actual shape of the gear tooth depends on the pressure angle.

Standard values of the pressure angle are established by gear manufacturers, and the pressure angle of two
1 1
gears in mesh must be the same. Current standard pressure angles are 14 ,20  ,25 . Actually, the 14
2 2
tooth form is considered to be obsolete. Although it is still available, it should be avoided for new design. The
20 , 25  tooth form is the most readily available at this time. The advantages and disadvantages of the
different values of pressure angle relate to the strength of the teeth, the occurrence of interference, and the
magnitude of forces exerted on the shaft.
The helix for a given angle gear can be either left-hand or right-hand. The teeth of right-hand helical gear
would appear to lean to the right when the gear is lying on a flat surface. Conversely, the teeth of left-hand
helical gear would lean to the left. In normal installation, helical gears would be mounted on parallel shafts.
To achieve this arrangement, it is required that one gear be of the right-hand design, and that the other be
left-hand with an equal helix angle. If both gears in mesh are of the same hand, the shafts will be at 90 to
each other. Such gears are called crossed helical gears.

The parallel shaft arrangement for helical gears is preferred because it results in much higher power-
transmitting capacity for a given size of gear than the crossed helical arrangement.

The helix angle (  ) is specified for each given gear design. A balance should be sought to take advantage
of the smoother engagement of the gear teeth when the helix angle is high while maintaining a reasonable
value of the axial thrust load that increases with increasing helix angle. A recommended range of values of
helix angle is from 15 to 45 .

Transmitted power

To understand the method of computing stress in the gear teeth, consider the way power is transmitted by
gear system. For discussion, we’ll use the example of a single-reduction gear pair. Power is received from
the motor by the input shaft rotating at motor speed. Thus, there is a torque in the shaft can be computed
from the following equation:

P
Torque = power/rotational speed =
n

The input shaft transmits the power from the coupling to the point where the pinion is mounted. The power is
transmitted from the shaft to pinion through the key. The teeth of the pinion drive the teeth of the gear thus
transmit the power to the gear. But again, power transmission actually involves the application of a torque
during rotational at given speed. The torque is the product of the force acting tangent to pitch circle of the
pinion times the pitch radius of the pinion. We will use the symbol Wt to indicate the tangential force. As
described, Wt is the force exerted by the pinion teeth on the gear teeth. But if the gears are rotating at
constant speed and are transmitted a uniform level of power, the system is in equilibrium. Therefore, there
must be an equal and opposite tangential force exerted by the gear teeth back on the pinion teeth. This is an
application of the principle of action and reaction.

To complete the description of the power flow, the tangential force on the gear teeth produces a torque on
the gear equal to the product of Wt times the pitch radius of the gear. Because Wt is the same on the pinion
and the gear, but the pitch radius of gear is lager than that of the pinion, the torque on the gear (the output
torque) is greater than the input torque. However, note that the power transmitted is the same or slightly less
because of mechanical inefficiencies. The power then flows from the through the key to the output shaft and
finally to the driven machine.

From this description of power flow, we can see that gears transmit power by exerting a force by the driving
teeth on the driving teeth while the reaction force acts back on the teeth of the driving gear. Wt is not the total
force on the tooth. Because of the involute form of the tooth, the total force transferred from one tooth to the
mating tooth acts normal to the involute profile. For this action we will use symbol Wn. So the tangential force
is actually the horizontal component of the total force. Note that there is a vertical component of total force
acting radially on the gear tooth Wr .

Note: consumed (received) power should have positive value (>0), and delivered power should have
negative value (<0).
Align

This variable can receive one of following values: R – right side align or L – left side align. This factor is
used to indicate element position on the shaft.
For example: the value of Align “R” means that parameter “Distance” for the current element is equal to the
value of space from beginning of the shaft up to right side of element. The value of Align “L” means that
parameter “Distance” for the current element is equal the value of space from beginning of the shaft up to left
side of element.