Chapter 9

Shaft Design

Transmission shafts transmit torque from one location to another

Spindles are short shafts
Axles are non-rotating shafts

Figure 9.1 is an example of a shaft with several features. It is a shaft for a Caterpillar tractor transmission
1
.

Figure 9.1: Example of a typical shaft design

1 From Frederick E. Giesecke, Technical Drawing, Chapter 13.

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9.1 Shaft Loads
• Torsion due to transmitted torque
• Bending from transverse loads (gears, sprockets, pulleys/sheaves)∗
o * a pulley and a sheave are essentially the same thing
Steady or Fluctuating
Steady transverse-bending load ♦ fully reversing bending stress (fatigue failure)

9.2 Attachments and Stress Concentrations

Steps and shoulders are used to locate attachment (gears, sheaves, sprockets)
Keys, snap rings, cross pins (shear pins), tapered pins
Use generous radii to reduce stress concentrations
Clamp collars
Split collar
Press fits and shrink fits
Bearings may be located by the use of snap rings, but only one bearing is fixed
Issues - axial location, disassembly, and element phasing (e.g., alignment of gear teeth for timing)

MACHINE DESIGN - An Integrated Approach, 2ed by Robert L. Norton, Prentice-Hall 2000

clamp snap ring

collar
key taper
hub hub pin
shaft
bearing step bearing

press
fit step
step step
press
axial fit
clearance
sheave
frame frame
sprocket gear
FIGURE 9-2
Various Methods to Attach Elements to Shafts

Figure 9.2: Example of a shaft with various attachments and details

9.3 Shaft Materials

• Steel (low to medium-carbon steel)
• Cast iron
• Bronze or stainless steel
• Case hardened steel

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9.3.1 Shaft Power
Power is the time rate of change of energy (work).
work = Force * distance or Torque * angle, so Power = Torque * angular velocity

P wr = T orq ∗ ω (9.1)

9.4 Shaft Loading, Approaches to Analysis

Most general form - A fluctuating torque and a fluctuating moment, in combination.
If there are axial loads, they should be “taken to ground” as close to the load as possible.
Given knowledge of the moments and the torques (i.e., mean and alternating components) Use the “Design
Steps for Fluctuating Stresses” in Section 6.11 in combination with the multiaxial-stress issues addressed in
Section 6.12.

9.5 Shaft Stresses

Bending Stress
Ma c
σalt = kf (9.2)
I
Mm c
σmean = kf m (9.3)
I
Torsional Shear Stress

Ta r
τalt = kf s (9.4)
J
Tm r
τmean = kf sm (9.5)
J

9.5.1 Shaft Failure in Combined Loading

9.6 Shaft Design

9.6.1 General Considerations
1. To minimize both deflections and stresses, the shaft length should be kept as short as possible and
overhangs minimized.
2. A cantilever beam will have a larger deflection than a simply supported (straddle mounted) one for the
same length, load, and cross section, so straddle mounting should be used unless a cantilever shaft is
dictated by design constraints. (Figure 9-2 shows a situation in which an overhung section is required
for serviceability.)
3. A hollow shaft has a better stiffness/mass ratio (specific stiffness) and higher natural frequencies than
a comparably stiff or strong solid shaft, but will be more expensive and larger in diameter.
4. Try to locate stress-raisers away from regions of large bending moment if possible and minimize their
effects with generous radii and relief.
5. General low carbon steel is just as good as higher strength steels (since deflection is typical the design
limiting issue).
6. Deflections at gears carried on the shaft should not exceed about 0.005 inches and the relative slope
between the gears axes should be less than about 0.03 degrees.

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MACHINE DESIGN - An Integrated Approach, 2ed by Robert L. Norton, Prentice-Hall 2000

from ref. 2

from ref. 3
from ref. 3
σa

σa
Se

Se

2 2
2
 τm 
2  σa   τa 
 σa   S  +S  =1
 S  +S  =1  e  es 
 e  ys 

τm τa
Sys Ses
(a) Combined stress fatigue-test data for reversed (b) Combined stress fatigue-test data for reversed
bending combined with static torsion (from ref. 4) bending combined with reversed torsion (from ref. 5)
FIGURE 9-3
Results of Fatigue Tests of Steel Specimens Subjected to Combined Bending and Torsion (From Design of Transmission Shafting,
American Society of Mechanical Engineers, New York, ANSI/ASME Standard B106.1M-1985, with permission)

Figure 9.3: Shaft failure in combined loading

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 7. If plain (sleeve) bearings are to be used, the shaft deflection across the bearing length should be less
than the oil-film thickness in the bearing.
8. If non-self-aligning rolling element bearings are used, the shaft’s slope at the bearings should be kept
to less than about 0.04 degrees.

9. If axial thrust loads are present, they should be taken to ground through a single thrust bearing per
load direction. Do not split axial loads between thrust bearings as thermal expansion of the shaft can
overload the bearings.
10. The first natural frequency of the shaft should be at least three times the highest forcing frequency
expected in service, and preferably much more. (A factor of ten times or more is preferred, but this is
often difficult to achieve).

Designing for Fully Reversed Bending and Steady Torsion

ASME Method (ANSI/ASME Standard for Design of Transmission Shafting B106.1M-1985.
Uses the elliptical curve of Figure 9-3.
Equations 9.5e and 9.6a,b.
9.6 can be applied only for
• constant torque
• fully reversed moment.
• No axial load v
u s
u
3 32Saf etyF actor Ma 2 3 T m 2
d=t (kf ) + ( ) (9.6)
π Sf 4 Sy

More general loading cases require Equation 9.8.

See Example 9..

9.6.2 Shaft Deflection

Deflection is often the more demanding constraint. Many shafts are well within specification for stress but
would exhibit too much deflection to be appropriate.

9.6.3 Keys and Keyways

gear
d

a
b
bearings are self-aligning
l so act as simple supports

FIGURE P9-3

P9-03.pdf Shaft Design for Problems 9-6, 9-9. 9-11, and 9-12

Figure 9.4: Shaft with overhung gear

Example -Homework Problem 9-2

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9.6.4 Splines
9.6.5 Interference Fits
Components can be attached to a shaft without a key or spline by using an interference fit.
There are two methods used to assemble these components:

• press fit
• shrink (and/or expansion) fit
The amount of interference is important
The analysis of interference follows from the equations for pressure on thick-walled cylinders.
A rule of thumb that is used is one to two thousands of diametral interference per unit of shaft diameter,
e.g., a shaft of two inch diameter would have 0.004 inches of interference with an attached gear hub.
Machinists use a simplified approach to this – 1/1000 of interference for each inch of diameter.

However, there is a formal approach

Standards have been developed for these fits.
Metric Preferred Metric Limits and Fits — ANSI B4.2-1978.
US Customary Preferred Limits and Fits for Cylindrical Parts —ANSI B4.1-1967

9.7 Terms related to Fits and Tolerances ANSI B4.2-1978

9.7.1 Definitions
D – basic size of the hole
d – basic size of the shaft
δu – upper deviation
δl – lower deviation
δF – Fundamental deviation
∆D – tolerance grade for the hole
∆d – tolerance grade for the shaft
Tolerance – the difference between the maximum and minimum size limits of the dimensions of a part
Natural tolerance – a tolerance equal to ± three standard deviations from the mean
Clearance – amount of space between an internal and external member
Interference – the amount of overlap between an internal and external member
International Tolerance Grade Numbers (IT) – designate groups of tolerances such that the tolerances for a
particular IT number have the same relative level of accuracy, i.e., IT 9
Smaller numbers mean tighter tolerances, IT 6 through IT 11 are used for preferred fits.
For a 32 mm hole we might use 32H7

• The H establishes the fundamental deviation and the number 7 defines a tolerance grade of IT7. The
grade number specifies a tolerance zone.
For the mating shaft we might have 32g6

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9.7.2 Table of Tolerance Grades
Lower and Upper Deviations
• For shaft letter codes c, d, f, g, and h
2 Shigley Table E-11, page 1188.

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 Table 9.1: International Tolerance Grades
Basic Sizes
All values in mm Tolerance Grades
A<d≤B IT6 IT7 IT8 IT9 IT10 IT11
0-3 0.006 0.010 0.014 0.025 0.040 0.060
3-6 0.008 0.012 0.018 0.030 0.048 0.075
6-10 0.009 0.015 0.022 0.036 0.058 0.090
10-18 0.011 0.018 0.027 0.043 0.070 0.110
18-30 0.013 0.021 0.033 0.052 0.084 0.130
30-50 0.016 0.025 0.039 0.062 0.100 0.160
50-80 0.019 0.030 0.046 0.074 0.120 0.190
80-120 0.022 0.035 0.054 0.087 0.140 0.220
120-180 0.025 0.040 0.063 0.100 0.160 0.250
180-250 0.029 0.046 0.072 0.115 0.185 0.290
250-315 0.032 0.052 0.081 0.130 0.210 0.320
315-400 0.036 0.057 0.089 0.140 0.230 0.360

– Upper deviation = fundamental deviation

– Lower deviation = upper deviation – tolerance grade
• For shaft letter codes k, n, p ,s, and u
– Lower deviation = fundamental deviation
– Upper deviation = lower deviation + tolerance grade
• Hole letter code is H
– Lower deviation = 0
– Upper deviation = tolerance grade

9.7.3 Fundamental Deviations for Shafts – Metric Series

These are related to the tolerance grades. See the table below. Capital letters always refer to the hole (or
bore) and lowercase letters are used for the shaft.

9.7.4 Fit Types

Table 9.3 provides a linguistic description for commonly used references to fit types.

9.8 Flywheel Design

One of the biggest issues with regard to flywheels is balancing. Because they are, by intention, devices with
large inertias, balancing them to remove eccentric loading and thus lower the loading on bearings and other
components is very important.
Flywheels develop large stresses at their inter hub connection due to dynamic forces caused by the spinning.
These stresses can lead to failure. Careful design is required to avoid catastrophic failure.

9.9 Critical Speeds

There are three types of vibration that are encountered with shafts:

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 Table 9.2: Fundamental Deviations for Shafts Metric Series
basic
dimension Clearance Transition Interference
A<d≤B Upper Deviation Letter Lower-Deviation Letter
c d f g h k n p s u
0-3 -0.060 -0.020 -0.006 -0.002 0 0 +0.004 +0.006 +0.014 +0.018
3-6 -0.070 -0.030 -0.010 -0.004 0 +0.001 +0.008 +0.012 +0.019 +0.023
6-10 -0.080 -0.040 -0.013 -0.005 0 +0.001 +0.010 +0.015 +0.023 +0.028
10-14 -0.095 -0.050 -0.016 -0.006 0 +0.001 +0.012 +0.018 +0.028 +0.033
14-18 -0.095 -0.050 -0.016 -0.006 0 +0.001 +0.012 +0.018 +0.028 +0.033
18-24 -0.110 -0.065 -0.020 -0.007 0 +0.002 +0.015 +0.022 +0.035 +0.041
24-30 -0.110 -0.065 -0.020 -0.007 0 +0.002 +0.015 +0.022 +0.035 +0.048
30-40 -0.120 -0.080 -0.025 -0.009 0 +0.002 +0.017 +0.026 +0.043 +0.060
40-50 -0.130 -0.080 -0.025 -0.009 0 +0.002 +0.017 +0.026 +0.043 +0.070
50-65 -0.140 -0.100 -0.030 -0.010 0 +0.002 +0.020 +0.032 +0.053 +0.087
65-80 -0.150 -0.100 -0.030 -0.010 0 +0.002 +0.020 +0.032 +0.059 +0.102
80-100 -0.170 -0.120 -0.030 -0.012 0 +0.003 +0.023 +0.037 +0.071 +0.124
100-120 -0.180 -0.120 -0.036 -0.012 0 +0.003 +0.023 +0.037 +0.079 +0.144
120-140 -0.200 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.092 +0.170
140-160 -0.210 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.100 +0.190
160-180 -0.230 -0.145 -0.043 -0.014 0 +0.003 +0.027 +0.043 +0.108 +0.210
180-200 -0.240 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.122 +0.236
200-225 -0.260 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.130 +0.258
225-250 -0.280 -0.170 -0.050 -0.015 0 +0.004 +0.031 +0.050 +0.140 +0.284
250-280 -0.300 -0.190 -0.056 -0.017 0 +0.004 +0.034 +0.056 +0.158 +0.315
280-315 -0.330 -0.190 -0.056 -0.017 0 +0.004 +0.034 +0.056 +0.170 +0.350
315-355 -0.360 -0.210 -0.062 -0.018 0 +0.004 +0.037 +0.062 +0.190 +0.390
355-400 -0.400 -0.210 -0.062 -0.018 0 +0.004 +0.037 +0.062 +0.208 +0.435

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 Table 9.3: Fit Types and their description
Type of fit Reference Description Symbol
Clearance Loose running fit For wide commercial tolerances or al- H11/c11
lowances on external members
Free running fit Not for use where accuracy is essential, H9/d9
but good for large temperature varia-
tions, high running speeds, or heavy
journal pressures
Close running fit For running on accurate machines H8/f8
and for accurate location at moderate
speeds and journal pressures
Sliding fit Where parts are not intended to run H7/g6
freely, but must move and turn freely
and locate accurately
Locational clearance fit Provides snug fit for location of station- H7/h6
(snug fit) ary parts, but can be freely assembled
and disassembled
Transition Locational transitional fit For accurate location, a compromise be- H7/k6
tween clearance and interference
Locational transitional fit For more accurate location where H7/n6
(wringing fit) greater interference is permissible
Interference Locational transitional fit For parts requiring rigidity and align- H7/p6
(tight fit) ment with prime accuracy of location
but without special bore pressure re-
quirements
Medium Drive Fit For ordinary steel parts or shrink fits H7/s6
on light sections, the tightest fit usable
with cast iron
Force Fit Suitable for parts which can be highly H7/u6
stressed or for shrink fits where the
heavy pressing forces required are im-
practical

• Lateral vibration
• Shaft whirl
• Torsional vibration

9.10 Couplings
Many applications require us to connect one shaft to another axially. This is done with the use of couplings.
Note that the possibility of getting the two shafts perfectly aligned (linearly and angularly) is essentially
zero, so couplings are typically designed to accomodate some misalignment. Couplings come in many shapes,
sizes, and degrees of misalignment. One type of coupling you might be familiar with is the universal joint,
see Figure 9.5. A recent inovation used with front wheel drive is the CV (constant velocity) joint.
Another type used widely for connections to electric motors is a flexible coupling, see Figure 9.6.

9.11 Summary
While shafting can be purchased as a stock item, most applications require some customization of the
layout and dimensioning to accommodate the attachment of components and bearings. Almost all shafts are

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 Figure 9.5: Typical automotive universal joint

Figure 9.6: Small flexible couplings

designed for high cycle fatigue (HCF), and are made of steel, since it has an fatigue limit. One is cautioned
to applied the shaft diameter design equations presented in Norton (Equation 9.6 & Equation 9.8) properly
since specific requirements must be met to apply these equations.
Many other factors come into play during the shaft design process. These may include:
• keyways and keys
• splines
• couplings
• shaft vibrations and balancing
• flywheels

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