International Journal of Emerging Technology and Advanced Engineering
Website: www.ijetae.com (ISSN 2250-2459, Volume 2, Issue 6, June 2012)
A Review of Various Methodologies Used for Shaft Failure
Analysis
V. S. Khangar1, Dr. S. B. Jaju2
1
Student, M Tech CAD/CAM, GHRCE Nagpur, India
2
Professor, Dean R & D, GHRCE Nagpur, India
Abstract— The various methodologies used for the failure
analysis of shaft used in different application by various
authors are reviewed in this paper. Roll shaft failure can be
prevented primarily by introduction of better material design
optimization & by using correct manufacturing processes.
This paper presents the comparison of the different
methodology used, their application & limitation by various
authors. The objective of the present work is to study the
various methodologies used for the shaft failure analysis & to
choose the best methodology suitable for the failure analysis of
bridle roll shaft used in continuous steel industry to prevent
repetitive failure. Bridle roll failure leads to heavy loss
approximately Rs 80000 per hour due to line stoppage &
repairing cost associate with the breakdown.
Keywords—Shaft failure, methodology, Shaft, Bridle roll,
Non Destructive Test (NDT).
I. INTRODUCTION
A shaft is a rotating member usually of circular cross-
section (solid or hollow), which is used to transmit power
and rotational motion in machinery and mechanical
equipment in various applications. Most shafts are
subjected to fluctuating loads of combined bending and
torsion with various degrees of stress concentration. For
such shafts the problem is fundamentally fatigue loading.
Failures of such components and structures have engaged
scientists and engineers extensively in an attempt to find
their main causes and thereby offer methods to prevent
such failures.
Bridles function as tension amplifiers or line-speed
pacers in metal strip process lines. The typical speed
regulated bridle consists of several rolls in multiplication of
two, each of which is driven by an individual power source.
Bridle roll compose of body, face, neck and bearing
supported shaft. A shaft is a rotating component which is
circular in section. In this case the bridle roll assembly
consists of two rolls of same diameter both are individually
driven by motor of different power through gearbox
arrangement. Bridle roll compose of body, face, neck and
rive & non-drive shaft. Failure occurs at neck of drive end
shaft .Failure occurs at every six to seven months of
operation. This leads to heavy loss.
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These rolls are endure several types of loads from the
weight of the sheet and torque from the drive source,
forward & back tension of strip. All of these forces are
under cyclic loading conditions.
II. LITERATURE REVIEW
1. Osman Asi
This paper describes the failure analysis of rear axle
shaft used in an automobile. Shaft is subjected to bending
and torsional stress. Vehicle was 9 year old & failure leas
to accident. Failure leads to breaking of shaft into two
pieces close to wheel base. Failed shaft inspected
microscopically, chemical analysis carried out also
fractured surface examine using SEM (scanning electron
microscope). There were two fillet welded region between
axle shaft and bearing locking ring. Bearing locking ring
was fixed to axle shaft by gas welding during repair and
maintenance instead it should be pressed or shrink fitted.
Fracture has initiated from welded area towards the center.
Final fracture area was approximately 15% suggest high
cycle low stress type. Chemical composition found ok with
AISI 4140 steel.
From observation crack was initiated at stress
concentration point leading to fracturing of axle shaft.
Fracture occurred at spline portion. Improper welding of
hardened materials involves low ductility in the Heat
affected zone (HAZ), stress concentration points, and
inclusions in the structure that served as nuclei for the
fatigue cracks Pre & Post heating of shaft were not carried
out. Result indicates that axle shaft fractured in reverse
bending fatigue as a result of improper welding.
2. M. Ristivojevic, R. Mitrovic, T. Lazovic
This paper present the failure analysis of air fan shaft
used in boiler of thermal power plant. Microstructure
examination carried out to determine material chemical &
mechanical properties.
Also design solution for bearing seating analyzed.
Bearing on shaft was locked to prevent axial movement by
lock nut which tends to expand bearing inner ring, which
result in decreasing clearance between bearing element.
 International Journal of Emerging Technology and Advanced Engineering
Website: www.ijetae.com (ISSN 2250-2459, Volume 2, Issue 6, June 2012)
The breakdown resulted in damage of fan shaft sleeve
location due to permanent deformation and material
melting. Heat source is generated due to friction between
contacting parts of double pressed joint which result in
change in interference /clearance values between bush and
sleeve. In service clearance is formed. Nut tightening tends
to expand inner ring of bearing result in lowering radial
clearance & weakening interference between bush &
sleeve. This result in sleeve slipping in bushing.
Consequently bearing friction is increased, the micro
sliding joint resulting in sleeve material melting & bearing
element damaged. By selecting narrower tolerance,
assembly strict to actual dimensions of double pressed
joint, insure firm joint elements failure can be prevented
3. Sandip Bhattacharyya
In this paper failure of gas blower shaft of blast furnace
is analyzed. Earlier failure was due to fatigue at fillet
radius. Latest failure is on uniform diameter shaft.
Microstructure study shows that deformation of shaft
material near the surface .Compositional analysis shows
high percentage of sulphur not confirming to the standard.
Also hardness of shaft material measured 40Rc against
44Rc near the surface. From analysis it was found that lock
plate loosening because of improper interference fit leads
to groove formation on shaft and one of such groove leads
to fracture. The fracture was perpendicular to the shaft axis.
Examination shows rotary deformation marks and severe
heat effects. Hardness at fracture region found reduced
considerably.
In conclusion loosening of bearing lock plate due to poor
interference fit result in failure of shaft, the excess amount
of MnS inclusions and delta-ferrite are generally not
acceptable in the material since they promote fatigue crack
initiation.
4. R.W. Fuller
In this paper failure analysis of mixer unit shaft made of
AISI 303 stainless steel using conventional 14 step
approach is carried out. Failed component is drive unit
output shaft of 15 HP mixer unit.AISI304 shaft fails within
3 week of operations. During investigation it was found
that shaft having a loose fit, weld plug were installed using
same material AISI304,other factor such as weight of
mixer, material & ambient temperature were not critical. A
factographic study of shaft fracture surface to know type &
origin of failure. Spectrometer reading was taken to
determine material composition, found not deviating from
original values. Intergranular cracks were observed under.
Weld plug used to overcome loose fit result in failure. AISI
304 not suitable for welding, instead.
51
AISI 1018 cold drawn is better option for the application
area of industrial power transmission.
5. M. J. Reid
Details of 93 roll shaft breakages which have occurred at
eight selected sugar mills in Natal since 1979 to 1988 in
eight sugar mills have been collected and analyzed to
determine the most likely causes of failure. Failure results
in Rs 40000 loss for every mill per year. Survey carried out
to find out position of failure, 42% occurrence was at inner
fillet on drive side. Failure investigation shoes fatigue
failure, in which initial crack is at 90 degree to shaft axis.
The level of stress was below yield stress. the maximum
combined stress measured is 127 Mpa, where the shell is
loose on shaft. The reason for shell failure is due to poor
quality control during shrink fitting. Another factor which
results in shear force to shaft is by rigid tail bar coupling
which can be reduced by using longer tail bar.
Theoretical analyses of shaft stresses and fatigue stress
concentration factors have been carried out to determine
whether present shaft design, machining practices, material
specifications and shell assembly techniques are
satisfactory and whether they can be improved. The
feasibility of using adhesive to fix the shell to the shaft by
using epoxy resin is discussed and some recommendations
to users and manufacturers on roll shaft and shell
specification, design, assembly and operation are given.
6. Saleh A. Al-Fozan,
Study of Brine recycle pump shaft failure at Al-Jubail
plant is carried out.Failure shaft visual inspection shows
shaft shear at two location ,cracks were observed at key
area & it is a fatigue failure .Observation from operation
data sheet ,vibration records & DPT test shows crack at key
position and grooves in sleeve area. Metallographic study
shows shaft is Austenitic 316SS as per design. Visual
inspection of shaft shows some pitting marks, from EDX
analysis the chloride iron were found in pits marks.
Because of this corrosion take place in shutdown period.
Also key found loose in shaft which resulted in groove
formation & responsible for crack initiation .Another
possibilities of localized corrosion is due to narrow crack
on 316 L shaft is because of poor protection in presence of
duplex stainless steel discharge pipe.
In conclusion combined action of environmental and
stress caused crack initiation on shaft at key area and
second probably due to key loose on shaft.
7. E. Rusiński*, J. Czmochowski, P. Moczko
This paper discusses the investigation of dumping
conveyor breakdown. It consist of two half shaft joining the
track grid to carriage.
 International Journal of Emerging Technology and Advanced Engineering
Website: www.ijetae.com (ISSN 2250-2459, Volume 2, Issue 6, June 2012)
Due to slippage of one half shaft causes damage to slip-
out protection. To determine breakdown causes FEM
strength calculation of steering shaft, metallographic
examination is carried out. Distribution of Huber-Misses
stress of steering carriage for all required case of loading is
carried out. FEM strength calculation indicate the bottom
of groove stress exceed the yield point. Metallographic
examination shows fatigue failure features. Fatigue zone
are small 2-4% of total fracture area. , its evidence of great
strain on half shaft.It also shows crack initiation from
groove edge. FEM analysis shows that main cause is due to
poor protection against slipping out & the fracture on half
shaft lock is due to fatigue failure. Better solution is to have
annular protection with large radius at half shaft groove.
Another solution for this is to have single shaft with slide
out protection but it will be heavier & costly.
8. Deepan Marudachalam
This paper investigate the failure of shaft employed at
spinning machine.The shaft is require to lift load of 960 kg
through height of 230 mm. The shaft failed within 35 days
of operation. Failure take place at relief groove provided
for bearing seating. The small instantaneous zone indicates
that low stress during failure. Endurance limit of shaft is
calculated by using Goodman equation. Force analysis is
carried out for both 22T & 90 T pulleys for both vertical &
horizontal component. Shaft was subjected to bending &
shear stress. Stress analysis is carried out by least square
method. Failure strength analysis using Goodman method
found average stress value 1215 N/mm2 .By using this
modified endurance limit is calculated. For fatigue life S-N
curve plotted which occur at 100cycle. Stress analysis
using FEM compared with theoretical values. The
maximum stress value occurs at relief grooves.
It was concluded that by increasing radius of curvature,
stress concentration can be decrease effectively. RC
increase from 0.6 t0 2 & fatigue factor of safety increased
from 0.71 to 1.05. This effect of change in RC, effective
placement of support & precaution prevent similar failure.
III. ROLE OF METALLOGRAPHIC EXAMINATION
1) The Scanning Electron Microscopy (SEM)
The SEM has important role in failure analysis in all the
laboratories. The SEM is used for image as well as probe. It
uses the high energy electron focused beam to generate
signal at solid surface.
SEM equipped with Electron Source (Gun), Electron
Lenses, Sample Stage, display unit, Detector. SEM
Detectors allow information to be gathered from
conductor potential to elemental analysis of materials.
52
Various probe methods have evolved associated with the
SEM. The SEM is routinely used to generate high-
resolution images of objects shapes (SEI) and to show
chemical compositions variations. The SEM is a surface
imaging tool and cannot image effectively through oxides
compared to an optical microscope. SEM is a non
destructive as it does not result in loss of sample & can be
performed repeatedly.
N Parida [7] carried out SEM fractography of impact test
specimen showing 100% cleavage fracture, S.K. Bhaumik
[9] SEM fractography at the half moon shaped region. The
fracture surface is covered with a thick layer of oxides.
2) Energy Dispersive X-Ray Spectroscopy (EDX)
Energy Dispersive X-ray analysis (EDX) is also referred
as EDS or EDX analysis. EDX is an analytical technique
used for the elemental analysis or chemical characterization
of a specimen. The EDX system works as an integrated
feature of the SEM and cannot operate on its own. During
EDX Analysis, the object is bombarded by electron beam
inside the SEM. Those electrons collide with the
specimen's own electrons, knocking some of them off in
the process. When the electron is displaced, it gives up
some of its energy by emitting an X-ray. Every element
releases X-rays with unique amounts of energy during the
transfer process. Thus, by measuring the amounts of energy
present in the X-rays being released by a specimen during
electron beam bombardment, the atom identity can be
known. A detector used to convert X-ray energy into
voltage signals; this signal is sent to a pulse processor,
which measures the signals and passes them onto an
analyzer for data display and analysis. The detector used is
Si(Li) detector .Also new system equipped with silicon
drift detectors (SDD) with Peltier cooling systems are
gaining more popularity.
Osman Asi [7] carried out EDX analysis indicated , the
main elements of these inclusions are O, Ca, Si, Al, and
Mg, which are not contained in the original material
(except Si). Such components are often seen in improper
welded location of steels. These also act as crack initiation.
3) The Optical Microscope
The optical microscope use for phase identification. The
optical microscope, often referred to as the "light
microscope", is a type of microscope which uses visible
light and a system of lenses to magnify images of small
samples (10X, 40X. . . 2000X) magnifies the beam.
The optical microscope is most commonly used for the
analysis Specimen to be observed, the sample is to ground
first by using different grain sizes sandpaper.
 International Journal of Emerging Technology and Advanced Engineering
Website: www.ijetae.com (ISSN 2250-2459, Volume 2, Issue 6, June 2012)
Then polished like mirror image and then etched with a There are several NDT's that are available to the
solution for a certain length. Careful technique is critical in investigator and it would be a good idea to read up on each
sample preparation is required, otherwise optical ones abilities. Below table gives an outline of
microscope is useless. Optical microscopy has several Nondestructive tests available and what they are able to
transilluminating technique of operation: detect.
1. Bright field illumination, sample contrast comes from
NDT Used for
absorbance of light in the sample. Principle Material used
Method detecting
2. Transmission mode is commonly used for transparent
specimens mounted on glass slides. This mode is
commonly used for biological specimens. Measures
3. Dark field illumination, sample contrast comes from differences in
Either an X-ray
light scattered by the sample. This method is used for radiation
machine or a hidden
surface contaminant identification. Radiograp absorption. Use
radioactive source flaws
4. Cross-polarized light illumination, sample contrast hy short wavelength
(Ir-192, Co-60, or in ,Inclusions,
comes from rotation of polarized light through the sample. Testing electromagnetic
rare cases Cs-137) Porosity,
R. W. Fuller [4] carried out the microstructure analysis radiation (high
can be used as a Cracks
energy photons) to
of the failed drive train shaft by optical microscope. The penetrate various
source of photons
grain size of the austenitic matrix varied between 10 and 30 materials.
lm. The lamellar structure observed was presumably
short ultrasonic Inclusions,
chromium carbide precipitates often referred to as Cr23C6 pulse-waves with porosity,
(properly (Cr, Fe) 23C6 or (Cr, Fe, Mo) 23C6), which Uses high
Ultrasonic center frequencies thickness of
could be precipitated during welding and produce frequency sonar to
testing from 0.1-15 MHz & material,
intergranular cracking. find surface and
occasionally up to cracks,
subsurface defects.
4) Heat-affected zone (HAZ) 50 MHz are position of
launched defects
The portion of a metal work-piece that has been so Fluorescent
altered by heat is termed the ―heat-affected zone‖ or HAZ. Uses cleanser, penetrants ( two or
All thermal cutting & welding processes create an HAZ in Dye
penetrant & more dyes) that Surface
Penetrate
the metal. The changes induced by heat can include: developer to fluoresce when cracks and
(DPT)
1. Altering the microstructure of particular steels, penetrate open excited by porosity
defects. ultraviolet (UV-A)
leading to an increase in the hardness of the cut edge
radiation
relative to the un-cut metal.
2. Altering the microstructure of particular steels,
The piece can be
leading to a decrease in the strength.
magnetized by
3. The formation of nitrides on the cut edge, which can Uses a magnetic direct or indirect
affect the weld ability of the cut face. Magnetic field and iron magnetization. Subsurface
4. Darkening or discoloration of the surface of the metal Particle powder to locate Alternating current cracks and
next to the cut face (―heat-tint‖). surface and near (AC),Direct current defects
Osman Asi [1] discussed typical macro-fracture surface defects. (DC), Half wave
appearance fracture surface of the failed axle shaft exhibits DC (HWDC,
heat-affected regions (HAZ) leads to crack initiation. pulsating DC)

IV. NONDESTRUCTIVE TESTS (NDT)

Nondestructive tests (NDT) are the best effective way to Based on magnetic
induction. Measures Electromagnetic cracks,
examine parts without causing permanent damage. Results Eddy
conductivity, induction to detect porosity,
obtained from examination of the failed components using Current
magnetic flaws in conductive and
various metallographic test shows fatigue failure, such permeability, materials. inclusions
failure can be prevented earlier by detecting the defects in physical dimensions
components. NDT used to examine parts in the service and
remove them from service before failure occurs.
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 International Journal of Emerging Technology and Advanced Engineering
Website: www.ijetae.com (ISSN 2250-2459, Volume 2, Issue 6, June 2012)
V. CONCLUSION
The various failure of shaft discussed above does not
follow the all conventional 14-step failure analysis
approach for failure analysis, also the shaft used in various
applications are not designed according to the requirement
or operated beyond design. Some of the failure of shaft is
basically due to negligence in repairing & maintenance,
special care is to be taken for stress relieving in welding
repairing works. The above methodologies are failed to
satisfy the demand of customer. To overcome the above
disadvantages following methodologies are to be followed
for failure analysis of shaft used in various applications.
The Bridle roll shaft failure analysis is to be done by
following methodologies
1. Metallographic examination of the failed
component.
2. Bridles roll shaft design by considering maximum
bending & torsional theory for variable loading.
3. Avoiding stress raiser by major step down,
machining marks & by providing proper fillet,
good surface finish.
4. Finite element Analysis of shaft using ANSYS12
software.
5. By carrying out non destructive test of the shaft
periodically to avoid sudden failure due to fatigue.
54
REFERENCES
[1] Osman Asi ‖ Fatigue failure of a rear axle shaft of an automobile‖-
Engineering Failure Analysis 13 (2006) 1293–1302
[2] M. Ristivojevic, R. Mitrovic, T. Lazovic ―Investigation of causes of
fan shaft failure‖-Engineering Failure Analysis 17 (2010) 1188–
1194
[3] Sandip Bhattacharyya ―Failure analysis of gas blower shaft of a blast
furnace‖- Engineering Failure Analysis 15 (2008) 349–355
[4] R.W. Fuller a,*, J.Q. Ehrgott Jr. b, W.F. Heard b, S.D. Robert b,
R.D. Stinson b,
[5] K. Solanki , M.F. Horstemeyer ―Failure analysis of AISI 304
stainless steel shaft‖ - Engineering Failure Analysis 15 (2008) 835–
846
[6] M. J. REID ―Analysis Of The Causes Of Recent Roll Shaft Failures
In Natal Sugar Mills‖- Proceedings of the South African Sugar
Technologists' Association - June 1988
[7] Saleh A. Al-Fozan, Anees U. Malik and Mohammad Al-Hajri
―Failure Analysis Of Sheared Shaft Of A Brine Recycle Pump‖-
Troubleshooting Technical Report No. TSR 3804/05005 in August
2005
[8] E. Rusiński*, J. Czmochowski, P. Moczko ― Failure reasons
investigations of dumping conveyor breakdown‖- Volume 23 Issue 1
July 2007Journal of Achievements in Materials and Manufacturing
Engineering
[9] Deepan Marudachalam M.G, K.Kanthavel, R.Krishnaraj ―
Optimization of shaft design under fatigue loading using Goodman
method‖- International Journal of Scientific & Engineering Research
Volume 2, Issue 8, August-2011 2 ISSN 2229-5518
[10] Jim Colvin ― ESD Failure analysis Methodology‖-Microelectronics
Reliability 38(1998) 1705-1714