Basic Research—Technology
Design Improvement and Failure Reduction of Endodontic
Files through Finite Element Analysis: Application to V-Taper
File Designs
Rui He, PhD,* and Jun Ni, PhD†
Abstract
Introduction: Torsional stiffness and bending flexibility
are essential characteristics as far as the performance
and safety of the endodontic files are concerned. Inade-
quacy in addressing these requirements in file design
leads to increased risk of file failure. The stiffness and
flexibility of the endodontic file are greatly dependent
on its geometric design. The aim of this study was to
evaluate the influence of geometric features on the
mechanical performance of endodontic files through
numerical simulations. Methods: Finite element models
of V-Taper file were developed, and the mechanical
behavior of the file under bending and torsional loads
was simulated. The influence of helix angle, taper, and
flute length was evaluated through parametric studies.
Results: In the helix angle range between 5 and 40
degrees, the bending flexibility and torsional stiffness
both improve with increasing helix angle. The torsional
stiffness increases with increasing taper or decreasing
flute length, accompanied by a decrease in bending flex-
ibility. Changing the flute length alone does not result in
a change in the stress profile in the tip section. The
elastic limit of V-Taper file tip section was estimated
in the form of transverse deflection and angular defor-
mation in bending and in torsion, respectively. Conclu-
sions: The influence of helix angle, taper, and flute length
on the bending flexibility and torsional stiffness of V-Taper
files was quantitatively assessed through parametric
studies with finite element method. The elastic limit of
the V-Taper file tip section was estimated. A design meth-
odology for achieving improved mechanical performances
was proposed. (J Endod 2010;36:1552–1557)
Key Words
Bending flexibility, elastic limit, endodontic file design,
failure reduction, finite element method, helix angle,
taper, torsional stiffness
From *Research and Development, Boston Scientific Corpo-
ration, St Paul, Minnesota; and †Department of Mechanical
Engineering, University of Michigan, Ann Arbor, Michigan.
Address requests for reprints to Dr Rui He, Boston Scientific
Corporation, Research and Development, 4100 Hamline Ave N,
St Paul, MN 55112-5798. E-mail address: ruihe@umich.edu.
0099-2399/$0 - see front matter
Copyright ª 2010 American Association of Endodontists.
All rights reserved.
doi:10.1016/j.joen.2010.06.002
1552 He and Ni
I n recent decades nickel-titanium (NiTi) rotary files have gained increasing popularity
over stainless steel files in root canal preparation. Mainly due to the superelastic
behavior of its base material of nitinol, NiTi files are more flexible than stainless steel
files (1, 2) and better preserve the canal anatomy with less canal aberrations such as
zips, ledges, apical foramen transportation, or perforations (3–5). Despite these
advantages, however, fracture of NiTi files remains a concern in clinical practices
(6, 7). A recent questionnaire survey revealed that a significant population of
general dental practitioners and endodontists have encountered endodontic file
fractures (8).
An endodontic file faces 2 obvious challenges in canal instrumentation. It first
needs to be strong to facilitate effective cutting of the dentin material for canal shaping
purposes. Adequate torsional strength is necessary to maintain the cutter geometry and
edge strength of the file, preventing torsional damage. A file also needs to be flexible in
bending to follow the canal anatomy during instrumentation with good centering ability
(9), and to minimize the aberrations to the canal. In addition, adequate flexibility helps
lower the bending stresses and reduce the risk of flexural fatigue failure (10).
Both torsional stiffness and bending flexibility are essential characteristics for file
performance and safety concerns. Inadequacy in addressing these performance
requirements in file design leads to increased risk of file failure. Studies suggested
that flexural failure and torsional failure are the 2 major failure modes for rotary
NiTi files (6, 7, 11–13). Numerous studies also showed that the stiffness and
flexibility of endodontic files are greatly dependent on their geometric design,
including taper, helix angle, cross-section shape, tip size, and length, etc. (14–20).
The mechanical performance of endodontic files can be evaluated through lab
testing or numerical simulation. Numerical simulation is a low cost alternative to lab
testing. The numerical simulation method is often more convenient than lab testing
when it comes to studying ‘‘what-if’’ scenarios. Numerical modeling has been increas-
ingly used to study the mechanical behavior of the endodontic file in the past decade.
With a boundary integral method, Turpin et al (16) calculated the stresses on files in
bending and in torsion and found that the cross-section shape has a marked influence
on the stress profile. With a finite element model, Berutti et al (17) evaluated the
bending and torsional behavior of NiTi files and found that a file with concave cross
section is more flexible in bending but less stiff in torsion compared to one with a convex
cross section. Xu et al (14) studied the influence of cross-sectional profile on torsional
and flexural behavior of NiTi files and found that the peak torsional stress decreases
with increasing inner core diameter. Kim et al (21) created full-length models of 3
commercial NiTi files and calculated stress distribution and force responses in simu-
lated canal shaping and residual stresses after unloading. Necchi et al (22) simulated
the insertion and withdrawal of a commercial file against a rigid root canal and obtained
a strain map of the file. They also investigated the influence of file material and root canal
geometry on the strain profile. Their work was extended in another study (23) to
include the effect of several NiTi material variants on the strain profile. Kim et al
(24) and Kim et al (25) studied the effect of cross-section shape on the stress profile
during simulated bending, torsion, and canal shaping by using full-length numerical
model of commercial files.
It should be pointed out that numerical simulation has its own limitations. For
example, a model that contains only the gross geometry of an endodontic file might
JOE — Volume 36, Number 9, September 2010

not allow for the study of the effects of material imperfection or
manufacturing defects present in physical instruments (26).
Material and Methods
In this work numerical models were developed to study the influ-
ence of geometric features on the mechanical behavior of endodontic
files. The numerical models discussed throughout the scope of this
work were constructed using the cross-sectional profile of a V-Taper
file (Guidance Endo, Albuquerque, NM). A non-linear stress-strain
curve of nitinol presented in the literature (17) was used in this study
to approximate the mechanical behavior of the base material. This mate-
rial model describes the behavior of nitinol in 3 distinct phases,
including an initial linear elastic phase, a superelastic plateau phase,
and a final strain-hardening phase.
While studying the effect of the helix angle (angle between the
tangent of the helical cutting edge and the longitudinal axis of the
file), a set of 8 file models was created. The helix angle was fixed on
each model but increased evenly from 5 to 40 degrees across models
by increment of 5 degrees. All models have the same length of 1.8
mm and the same taper of zero degree. A short length was chosen to
lower the computational cost. All models share a common taper to avoid
possible variation in results caused by a change in taper. The diameter of
the cross section is 0.40 mm, coincident to that of an ISO size 40 tip. To
verify the generality of results from fixed-helix models, a file with varying
helix angle and zero taper was also included in this study. The helix angle
on this file increases from 9 degrees at the tip to 20 degrees at the shank
end, matching the measured helix profile of a V-Taper file.
While studying the effect of taper, 2 file models were created, with
zero taper on one model and a 0.06 taper on the other. The helix angle
on both models increases from 9 degrees at the tip end to 20 degrees at
the shank end. Both models have the same length of 1.8 mm.
While evaluating the impact of flute length, 8 models were created,
with file length increasing evenly from 6 to 20 mm across models by
increments of 2 mm. All models have a size 40 tip, a 0.02 taper, and
an identical helix profile that increases from the tip to the shank. The
helix angle at the tip is 10 degrees. The helix angle at the shank varies
with the model length, from 16 degrees on the 6-mm length model to 30
degrees on the 20-mm length model.
A cantilever beam boundary condition was applied to all file
models. The models were constrained on all translational and rotational
degrees of freedom at the shank end and were loaded at the tip end.
Results
Effect of the Helix Angle
A bending moment of 0.7 Nmm was applied to the tip end of the
file on 8 models of fixed helix angles. As the helix angle increases from 5
degrees to 40 degrees across the models, the simulated tip deflection
increases continuously from 2.52 to 3.55 mm (Fig. 1a). Similar results
were observed when a transverse load of 0.4 N was applied to the tip.
Interestingly, the tip deflection on the model with helix varying from
9–20 degrees (2.66 mm) falls in between those observed on the 5-
degree helix model (2.52 mm) and on the 20-degree helix model
(2.79 mm). This result suggested that the bending flexibility of the
file increases with increasing helix angle (or decreasing pitch).
Torsional behavior was also simulated on the same set of models.
When subjected to a 0.4 Nmm torque, the angular deformation at the
tip end decreases continuously with increasing helix angle, from 97
degrees on the 5-degree helix model to 36 degrees on the 40-degree
helix model (Fig. 1b). When the same torque was applied to the model
with helix varying from 9–20 degrees, its angular deformation (94
degrees) falls in between those observed on the 5-degree helix model
JOE — Volume 36, Number 9, September 2010 Design Improvement and Failure Reduction of Endodontic Files through Finite Element Analysis
Basic Research—Technology
and on the 20-degree helix model (61 degrees). This result indicates
that the torsional stiffness of the file increases with increasing helix
angle. This correlation between torsional stiffness and the helix angle
was also reported in the finite element studies on twist drills (27, 28).
The stress profiles on the files under bending and torsion were
also simulated. It was found that the helix angle greatly affects the
bending stress distribution. Although a minimal stress zone is always
located on the neutral plane, the location of peak stress varies with
the helix angle. To illustrate this point, Fig. 1c, d present the bending
stress profiles on the cross-sectional views of a 15-degree helix model
and a 35-degree helix model, respectively. The peak stress occurs right
on the cutting edge on the 15-degree model but shifts to the base of the
flute on the 35-degree model. Regardless of helix angle, however, the
peak stress is always located in the plane of bending. These observations
agree with the results reported in other studies (16, 17, 25). Due to the
fact that the base is closer to the neutral plane than the edge is, the peak
stress on the 35-degree helix is lower than that on the 15-degree helix.
No correlation was observed between the peak bending stress and the
helix angle.
In contrast, a correlation was observed between peak stress and
helix angle under torsional deformation. The peak stress on the model
was found to decrease continuously as the helix angle increases from 5
degrees to 25 degrees across models when loaded with a 0.4 Nmm
torque. The peak torsional stress is consistently located at the base of
the flute regardless of helix angle, an observation also reported in other
studies (16, 17, 25). Fig. 1e, f show the torsional stress distribution on
the 15-degree and 35-degree helix models, respectively. Because of the
consistency in peak stress location across models, the peak stress value
correlates inversely with the torsional stiffness of the file. It is note-
worthy that after the helix angle reaches 25 degrees, further increase
in helix angle results in only minimal change in peak torsional stress.
This is because at or above 25-degree helix angle, the stresses on the
model decrease to the nitinol superelasticity plateau, where a large
change in strain results in only minimal change in stress.
Effect of the Taper
The taper feature obviously adds more material to the file and
makes a stiffer file body, which affects both bending and torsional
behavior of the file. When subjected to a 0.7 Nmm bending moment,
the zero-taper model reported a tip deflection of 2.66 mm, compared to
a 1.04-mm tip deflection on the 0.06-taper model. Similarly, when sub-
jected to a 0.7 Nmm torque, the tip angular deformation drops from
352 degrees on the zero-taper model to 122 degrees on the 0.06-taper
model. These observations indicate that an increase in taper results in
an increase in torsional rigidity but a decrease in bending flexibility.
This result is in agreement with the reported testing results of a commer-
cial endodontic file (19).
The taper also has a great impact on the stress profile. The taper
feature makes the shank stiffer than the tip and directs the higher
stresses to the tip, a result also reported by Kim et al (24). In addition,
an increase in taper adds more material to the overall body, leading to
an increase in stiffness and decrease in stress. Under 0.7 Nmm
loading, the peak stress in bending and in torsion drops by 19% and
10% respectively as the taper increases from zero to 0.06.
Effect of the Flute Length
An increase in the flute length adds slenderness to the file body,
resulting in decreased resistance to deformation. When a 3.0 Nmm
bending moment was applied to the tip of a file with a size 40 tip and
a 0.02 taper, the tip deflection increases continuously with increasing
flute length, from 4.5 mm on the 6-mm-length model to 7.7 mm on
1553
Basic Research—Technology
Figure 1. Simulated mechanical behavior of V-Taper endodontic files in bending and torsion. (This figure is available in color online at www.aae.org/joe/.)
the 20-mm-length model. This indicates that a file of longer flute length
has better bending flexibility.
The transverse deflection of the cutting edge along the file length
was plotted in Fig. 1g for 3 models of different length. This plot shows
that the deflection peaks at the tip and drops quickly within a few milli-
meters of the tip, regardless of the file length. This quick drop of deflec-
tion is mainly due to the effect of the taper. Moving toward the fixed
shank end, the deflection approaches asymptotically to zero. Interest-
ingly, despite the marked difference in their deflection profiles, models
of different length have an identical stress profile in their common
1554 He and Ni
section as a result of the identical boundary condition on them
(Fig. 1h). Fig. 1h also shows that the stress reaches its peak at a very
short distance from the tip, where the helical cutting edge crosses the
bending plane. The stress drops rapidly to the superelasticity stress
plateau of nitinol within less than 3 mm from the tip.
The angular deformation and torsional stresses were also exam-
ined for models of different length. Similar results were obtained as
in the case of bending. Angular deformation increases with increasing
flute length, indicating that the torsional stiffness of a file decreases with
increasing flute length.
JOE — Volume 36, Number 9, September 2010

Discussion
Impact of Geometric Parameters
The taper feature introduces base material to the file body and
increases the stiffness of the file (15, 19, 20). A larger taper offers
stronger resistance to torsional breakage and helps maintain the
cutting edge strength and cutting efficacy. Apparently a large taper
makes the rotary file a bigger cutter and helps remove more dentin
material from the canal wall, but it also encounters a higher torque
during preparation (29, 30). On the other hand, the taper makes
a stiffer file, leading to higher risk of root canal straightening,
abbreviation, or transportation during instrumentation (9, 15). It
also results in higher bending stresses and lower resistance to
flexural fatigue failure (30). Therefore, a large taper file is appropriate
when strong stiffness or high cutting efficacy is needed, such as during
initial orifice enlargement (31) or while preparing the first half of the
working length using a crown-down technique (4). It can also be used
to address calcified but relatively straight canals. In contrast, a file with
small taper is suitable for severely curved or S-shaped canals where
great flexibility is needed (32, 33). The disadvantage of using a small
taper file is that it has a relatively poor capability of producing
a taper-shaped canal (33).
The stiffness of a file decreases with increasing flute length.
Although a longer file has superior bending flexibility, it provides less
resistance to twist deformation. Files of different flute length share an
identical stress profile in their common section, suggesting an equal
propensity for file damage. In a canal treatment, the selection of flute
length is obviously dependent on the canal anatomy and the instrumen-
tation protocol. The simulation results showed that severe deformation
and plastic stresses are concentrated within 3 mm of the tip regardless
of flute length, suggesting that file damage is most likely to occur in the
tip section. This observation agrees with results from other studies (6,
19, 34).
To date, studies on the helix angle and its influence on mechanical
strength of endodontic files are very limited. Low et al (35) acknowl-
edged that the spiral flute design adds complexity to the flexural
behavior and developed a curve-fitting based model to include the effect
of flute helix. Our work is probably one of the first studies that examined
the helix angle in relation to the structural strength of endodontic files in
details. Our study suggested that the helix angle influences the mechan-
ical strength of the file in a different way than other geometric param-
eters do. As discussed earlier, an increase in bending flexibility is always
accompanied by a decrease in torsional stiffness as the taper or the flute
length of a file changes, or vice versa. Other studies suggested that the
geometric feature of cross-sectional profile influences the mechanical
strength of the file in a similar way as the taper or length factor does
(16, 17). Our study showed that as the helix angle increases, the
Figure 2. Estimated elastic limit of V-Taper file tip section. (This figure is available in color online at www.aae.org/joe/.)
JOE — Volume 36, Number 9, September 2010 Design Improvement and Failure Reduction of Endodontic Files through Finite Element Analysis
Basic Research—Technology
bending stiffness decreases, but the torsional stiffness increases. In
other words, the 2 seemingly competing characteristics of bending
flexibility and torsional stiffness can be simultaneously improved with
increasing helix angle. Files with large helix angle reportedly have
longer flex fatigue life than files with small helix angle (18), which
can be largely credited to the high flexibility and low bending stresses
associated with large helix angle.
The favorable correlation between helix angle and mechanical
performances could imply new alternatives for file selection in clinical
practices. In situations where more flexibility is needed to negotiate
severely curved canals or more stiffness is needed to address highly
calcified canals, or a combination of both cases, endodontists can
switch to files of larger helix angle potentially to solve the problem. If
the endodontists have access to a variety of helix angles within the
same file family, it will make this solution even more attractive. This
is because endodontists thus are able to keep their choice on other
features of the file, such as cross-sectional shape, tip size, taper, length,
which could be driven by personal experience or clinical protocols.
Safe Use of Endodontic Files
Empowered by the superelasticity behavior of nitinol, NiTi
endodontic files can take fairly large deformation and stay in the elastic
deformation domain. However, severe loading will still deform the
material plastically and expose the file to permanent damage. The
load at which plastic deformation develops is referred to as the elastic
limit of the file. If the load on the file is kept below the elastic limit of the
file during instrumentation, the risk of file failure can be greatly reduced
(36).
With numerical simulations the elastic limit of a file can be readily
estimated. The numerical model allows for calculation of the peak stress
on a file under specific loading conditions, thus a curve of peak stress
versus load can be obtained. The load at the transition point from elastic
stresses to plastic stresses on this curve is the elastic limit of the file.
As a simple example, the stress-load curves of a size 25, 0.04 taper,
1.8-mm length V-taper tip section under pure bending and pure torsion
as a cantilever beam were established (Fig. 2). The peak stress reaches
the yield point of nitinol (530 MPa) when the file is bent under a 0.6
Nmm bending moment, or when the tip deflection reaches 0.8 mm. In
this case, the elastic limit of the file segment was depicted by either the
bending moment or the tip deflection. Similarly, as the file is loaded in
torsion, the elastic limit of the file was identified as 0.5 Nmm torque or
80-degree twist of the tip. Following this approach, the elastic limit of
a full-length endodontic file under more complex loading conditions
can be determined.
The bending load applied to a file during the instrumentation is
largely determined by the morphology of a root canal system (canal
1555
Basic Research—Technology
Figure 3. Finite element analysis–assisted endodontic file design for mechan-
ical performance. (This figure is available in color online at www.aae.org/joe/.)
angle, curvature, length, etc), which can be clinically determined, such
as through a preoperative radiographic study (37). The torsional load
during instrumentation, which is dependent on the canal anatomy and
the cutter geometry of the rotary file, can be mathematically computed
with analytical models such as the one proposed by He (38). The clin-
ical load that a file receives during instrumentation is then fully deter-
mined. If the clinical load exceeds the elastic limit of the file, the file is at
risk of being damaged. Once such risk is identified, the same process
can be followed to select a file with an elastic limit greater than the clin-
ical load. The risk of file damage in a canal treatment is then minimized.
Alternatively, the risk of file damage can be lowered by using the
torque-limiting feature on the handpiece. This feature allows the motor
to automatically stop and then reverse the rotation once the preset tor-
que is reached, thus protecting the endodontic file against excessive
torsional deformation (39). Setting the torque limit in a way such
that the torsional load in combination with the expected bending
load is below the elastic limit of the file, the risk of developing file failure
is reduced. It is worth noting, though, that the actual torque output on
certain models of torque-control motor was higher than the preset tor-
que and the reported torque at fracture for several rotary files (40),
which limits the effectiveness of using those motors for preventing file
damage.
It is also noteworthy that some studies suggested that as soon as the
NiTi material enters the superelastic plateau where the stress-induced
phase transformation from austenite to martensite begins, the material
is subjected to an accelerated rate of crack propagation in low cycle
fatigue (41, 42). To maximize the fatigue life of the endodontic file,
the elastic limit should be redefined as the load at which the phase
transformation of NiTi material starts.
Finite Element Analysis–assisted Endodontic File Design
In previous sections we evaluated the impact of geometric param-
eters on the mechanical behavior of endodontic files with finite element
models. We also estimated the elastic limit of the files under different
modes of deformation. Integrating these 2 pieces of work together,
we developed a methodology that provides a means to guide the file
design process to achieve improved mechanical performances. As illus-
trated in Fig. 3, the design process starts by specifying the radial and
longitudinal dimensions of the file. It is followed by parallel efforts to
design the taper, helix, and cross-sectional profile. Once a prototype
1556 He and Ni
design is obtained, it is evaluated against the design requirements on
torsional stiffness and bending flexibility. The design for mechanical
performances is completed if the requirements on file stiffness and flex-
ibility are met.
The core of this design process is to use finite element models to
assist evaluating a design against the performance requirements and
making design changes accordingly. Performance requirements define
the upper limit of load or deformation that is safe to a file, which is
essentially the elastic limit of the file. Whether a design survives a specific
elastic limit can be readily evaluated with finite element analysis. If detri-
mental stresses are reported from the simulation, the design iteration
starts where 1 or more geometric parameters will be optimized. The
work of design optimization could benefit from the knowledge of
mechanical behavior in its relation to the design parameters.
Conclusions
In this study, the impact of helix angle, taper, and flute length on
mechanical performances of V-Taper endodontic file designs was quan-
titatively assessed through parametric studies with numerical simula-
tions. Improvements on torsional stiffness and bending flexibility
were attained through modification of geometric parameters will be
optimized. The elastic limit of the V-Taper file tip section was also esti-
mated in both bending and torsion. A design methodology for achieving
improved mechanical performances was proposed.
Acknowledgments
The authors deny any conflicts of interest.
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