Didactic software for the

design of rotative shafts

KATIA LUCCHESI CAVALCA* and FABIO TADEU PEGGAU
JACON†, UNICAMP, Department of Mechanical Design, Postal Box
6051, 13083-970 Campinas, Sao Paulo, Brazil. 〈katia@fem.
unicamp.br〉

Received 18th February 1999

Revised 29th November 1999

The present work proposes the development of a program in Visual Basic to the didactics
improvement in teaching machine components design, focusing the calculation procedures
adopted in the design of rotative shafts, considering its dynamic behaviour as the fundamen-
tal influence in the vibrational response of a rotative machine. The design and diameters
evaluation of the component, previous to its integration as a part of the rotative machine
group, is done in a software developed in Visual Basic, with an interactive interface with the
user, that models a presented shaft with loads, geometry and bearing position through
singularity functions. This model, when analysing either the static or the dynamic condition,
supplies answers to the user with respect to the shaft deflections, supports reactions, stress
state and the final geometry. Viewing that the objective of that software is being used in
disciplines of Mechanical Design, the same not only should be capable of calculating the
shaft dimensions, obeying fatigue failure approaches and for multiaxial stress state, but also
to present a didactic and simplified interface to the user.

Key words: shaft design, fatigue analysis, stress concentration factors

1. INTRODUCTION

The program accomplishes the analysis of loads to which the shaft is submitted, through
Singularity Functions. Starting from the loading model, the program allows us to obtain the
solicitation state and from this, the stress state of the shaft. The calculation process consists
of establishing the analysis of stress concentrations in the critical points of the shaft (keys or
rings, for example) and the fatigue solicitation analysis for a given condition of specific
operation supplied by the user (torque, speed, bearing position and load data), starting from
the results of the solicitations (mainly bending obtained by the analysis through singularity
functions), and later on to supply as an answer a geometric profile for the shaft in agreement
with the design needs. Limitations of acceptable maximum deflection, inadequate safety
factor or values of inadmissible critical speed will be contemplated in a posterior optimiza-
tion process of the profile in the function of such parameters. Besides activating the teaching
of the discipline ‘Design of Machine Components’, allowing the analysis of several case
* Assistant Professor and for correspondence at UNICAMP.
† MSc Candidate at UNICAMP.

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190 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

studies, the program makes possible a parametric analysis of the component, that is to say, a
constructive learning technique for tentative and error in the calculation process. The more
common case of shaft solicitation is in the combined alternated bending moment and torque
application. Axial solicitations can happen in the case of vertical axes, or if helixes or
turbines are coupled to the shaft that, in operation, generate a normal component of force. In
as much as the torque as the moment can vary in the time presenting, therefore, variable
alternated components and constant mean components. The combination of the bending
moment and the torque, in a rotative shaft, generates a state of multiple stress. Most of the
rotative shafts, submitted to bending and torsional moments are in the category of combined
stress state. Combining the bending and shear effects, a state of alternate main stress with
variable direction is obtained. An exception is the case of a constant torque, added to a
bending moment that varies in the time. Since the constant torque doesn’t present an alter-
nated component, the analysis becomes a simple case of multiaxial stresses. However, if
stress concentration is present, as keys or pins, for example, these introduce increments of
local stresses, and request a complex fatigue analysis.

2. THEORETICAL DEVELOPMENT

2.1 The shaft loads

It is assumed, in this case, that the function of the bending moment distribution along the
shaft is known or calculable for a considered situation, and that it presents either a mean
component Mm, as an alternated component Ma. In the same way, it is assumed that the
torque is known or calculable, and that it presents either the mean component or the alternate
component, Tm and Ta. In any point of the shaft moments and torques will appear, that
should be analysed by fatigue failure approaches, as well as for a dimensional analysis of the
section and/or of the properties of the material, so that it can be correctly adjusted.
The load analysis and solicitations in a rotative shaft can be made with the aid of the
differential equations of a beam deflection, that describe the behaviour of the forces as a
function of the load and their positions. Like this, the equations that relate the load q, the
shear force V , the bending moment M, the angular deflection Tz and the linear deflection Fz
is given for [1, 2]

q d4y V d3y M d2 y dy
= 4 = 3 = Tz = Fz = f ( x ) (1)
EI dx EI dx EI dx 2 dx

where E is the Young modulus of the shaft material and I is the area moment of inertia.
In this way, the problem is now summarized in obtaining the loading equation as a
function of the position of the loads. To obtain such equations, the application of the singu-
larity functions comes as a good theoretical solution. The singularity functions correspond to
a family of functions that has an origin in the ‘functions of heaviside’, ‘delta of dirac’ and
their derivatives. Those functions represent the possible cases of a beam loading graphically.
The singularity function can be defined for [3]
n n
x−a = 0, para 0 < x < a and x−a = ( x − a) n , para x > a (2)

where a is the point of the applied loading and n is the index that specifies the kind of load,
in agreement with the family of singularity functions.

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 Didactic software for the design of rotative shafts 191

The indexes n = 0, n = 1 and n = 2 correspond to distributed loading, which presents a

0
null value for x < A and (x – a)n when x > a. The function x − a corresponds to a unitary
1
step and the function x − a corresponds to a unitary ramp. When n = –2, it corresponds to
a concentrated bending moment and for n = –1 to a concentrated force. The last two cases
indicate that the function will be null for any point different from a, assuming infinite value
in this point a (as the delta of dirac). The integration of the singularity function is defined in
the following way
x
∫0
−1 0
x−a dx = x − a for n = −1

x x − a n +1
∫0
n
x−a dx = for n ≠ −1 (3)
n +1

Thus, the forces equation in function of x is substituted in the differential beam equations
that, when integrated in the shaft length, supply the equations of the shear force, bending
moment, angular and linear deflections. The integration constants are evaluated from the
boundary conditions, obtained from the shaft configuration.

∫
V = q dx + C1 ∫
M = V dx + C1 x + C2 (4)

∫ EI ∫
M
θ= dx + C1 x 2 + C2 x + C3 δ = θ dx + C1 x 3 + C2 X 2 + C3 x + C4 (5)

where C1, C2, C3, C4 are the integration constants and the integration interval is 0 < x < L.
The obtained equations are capable of supplying diagrams of the distribution of the shear
forces, bending moment and deflections in any point of the shaft, mainly in the analysis of
the stress state in critical areas as step, keyways, etc.

2.2 Fatigue failure theories

The analysis of solicitations of a rotative shaft should consider not only the static effects on
the element, but also the dynamic effects, that is, solicitations that vary along the time.
Variable forces in the time are the more frequent cause of failures that occur in the static
forces. The failures for dynamic forces happen, typically, at stress levels significantly infe-
rior to the yielding limit of the materials. It is in that sense that it becomes indispensable to
the fatigue analysis in the shafts design.

2.2.1 Fatigue fluctuating loads

Any time variable force can cause fatigue. In rotative machines, such loads tend to maintain
its amplitude in the time, repeating according to a certain frequency, and could be modelled
as senoidal functions.
The alternative stress component is
σ max − σ min
σa =
2
The mean stress component is
σ max + σ min
σm =
2

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192 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

2.2.2 Correction factors to the fatigue strength

The fatigue strength, obtained through standard fatigue tests, should be adapted to the exist-
ent physical differences between the atmosphere of testing and the real condition of the
element to be designed. The main factors to be considered for correction or adaptation of this
parameter are: applied loading, size or dimensions, superficial finish, temperature and reli-
ability.

Se = CloadCdimCsufCtempCreliabS′e (6)

where Se represents the corrected fatigue strength of the material and S′e represents the
endurance limit, approximated to half of the tensile strength (Sut).
The great majority of the test data for the fatigue strength is accomplished in alternate
bending, and it is only applied a correction factor when an axial load occurs, Cload = 0.70. In
the same way, the specimens used in fatigue tests present, usually, reduced dimensions. A
factor of strength reduction, associated to the size correction should be applied for elements
with superior dimensions to those of the tests specimens, for

8 mm
d
250 mm Cdim = 1.189d –0.097 (7)

The specimens employed in the tests present a mirror-polished superficial finish, that rarely
happens in a real element. The factor of strength reduction for superficial finish, Csuf, takes
into consideration such differences. Shigley and Mischke [4] developed an exponential ex-
pression to represent the surface factor in the function of the maximum tensile strength (Sut),
where A and b are tabled to different materials:

Csuf = A(Sut)b (8)

Fatigue tests are accomplished, generally, at room temperature. Even so, the endurance limit
knee disappears for very high temperatures, starting to present a behaviour continually
decreasing with the increase of the number of cycles.
The factor of reduction of the endurance limit due to high temperatures, Ctemp, is defined
by Shigley and Mitchell [5], as

Ctemp = 1.0 for T
450°C(840F)

Ctemp = 1 − 0.0058(T − 450), 450
T
550°C
Ctemp = 1 − 0.0032(T − 840), 840
T
1020 F (9)

Generally, the available strength data in the literature are medium values, resultant of tests,
corresponding at 50% of reliability. For commercial steels, the standard deviation of the
fatigue strength reaches 8% of its medium value. The factor reduction of the strength due to
reliability is tabled in agreement with the levels of this parameter.

2.3 Stress concentration

The failure theories generally assume materials whose surfaces are perfectly homogeneous
and isotropic, and therefore, free from defects, such as cracks, notches and inclusions that,
for its time, act as increments of stress. Functional geometry contours, designed with the
shaft, can elevate the local stress in a pre-visible way, and must be taken into consideration
in the stress analysis, for posterior application of the failure approaches. The magnitude

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 Didactic software for the design of rotative shafts 193

associated with the stress concentration, for a certain geometry, is defined by a factor of
stress concentration of geometry Kt, for normal stress, or Kts, for torsional stress.
The maximum stress in the local increment of stress is given for σ = Ktσnom and
τ = Ktsτnom, where σnom and τnom are the nominal stresses evaluated for a certain load,
without considering the stress concentration.
The factors of stress concentration, Kt (normal stress) and Kts (torsional stress), defined
for static load, should be modified for dynamic load, with base in the notch sensitivity of the
material, for obtaining of the factor of fatigue stress concentration (Kf), that will be applied
to the design nominal stresses. Therefore, the notch sensitivity factor is defined for the
expression of Kunn–Hardrath [2]

1
q= (10)
a
1+
r

where a is tabled as a function of the tensile strength and r is the notch radius. The fatigue
stress concentration is given by

Kf = 1 + q(Kt – 1), where 0
q
1 (11)

2.3.1 Shaft keys

Considering that the keys and keyseats generally present particularly sharp corners, a signifi-
cant stress concentration happens at these locations. Peterson [2] demonstrated experimen-
tally the stress concentration in the sharp corners of keyseats for shafts submitted either to
the torsion or to the bending, reproduced graphically, that were interpolated for introduction
in the software.

2.3.2 Shaft pins

In this kind of association, the stress concentration occurs at about the circumference of the
shaft surface, being of smaller intensity than that in the key association. The relationship that
supplies the factor of stress concentration in a bending load in the function of geometry of
the hole and of the shaft is given for

kt = 1.58990 − 0.63550 * log 

d
(12)
 D

where d is the hole diameter of the pin and D is the shaft diameter.

2.3.3 Interference fits

Another common way of coupling accessories in shafts is the interference fit (Fig. 1),
obtained through the machining of the hole of the accessory with a minimum difference
between its diameter and the shaft diameter. The two parts are then slowly forced for the
fitting, using, with preference, a lubricant applied in the junction. The elastic deflection, so
much in the shaft as in the accessory, acts generating a high friction force among the parts,
which transmits the torque from the shaft to the accessory. The necessary interference to
reach an appropriate junction varies with the shaft diameters (Fig. 1). The pressure P

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194 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

Fig. 1. Interference fit

generated for the pressure fit can be obtained by the deformation of the material caused by
the interference

0.5δ
P= (13)

r ro + r
2 2  r  r 2 + ri2 
 + νo +  2 − νi
Eo  ro − r
2 2
 Ei  r − ri
2


where δ = 2∆r is the total diametral interference between the parts, r is the nominal radius of
the interface between the parts, ri is the internal radius of the shaft and ro is the external
radius of the accessory. E and ν are the Young modulus and the Poisson ratio of both parts,
respectively.
The stress concentration in interference fit happens due to the existence of a compression
stress in this kind of assembly, mainly in the extremities of the accessory, where an abrupt
variation between the compressed and not compressed material happens. The factor of stress
concentration is obtained graphically by interpolation, through the relations of L兾D (length
of the assembly by the shaft diameter) and P兾s (assembly pressure by the local shaft stress)
with the factor Kt.

2.3.4 Stress concentration in stepped shaft

A critical factor in the calculations of stepped shaft resides in the fact that the abrupt
variations of geometry are favourable areas to the stress concentration, demanding the cor-
rection of the bending moment of the axis in the step coordinate. Norton [5] developed an
exponential equation in the function of the geometric parameters, given by

Kt = A(r兾d)b (14)

where r corresponds to the step radius and d corresponds to the minor shaft diameter. The
coefficients Aeb depend on the geometry variation (ratio D兾d).

2.4 Failure points and Goodman diagram

The shaft design for fluctuating alternate stress is summarized in the following steps [4, 5]:

(1) To determine the amplitude of the alternated component and of the mean component
of the loading.
(2) To determine the geometric factors of stress concentration (Kt or Kts).
(3) To define the properties of material Sut, Sy, Se and q.

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 Didactic software for the design of rotative shafts 195

(4) To convert Kt for Kf, applying q.

(5) To determine the component of alternating nominal stress Sa, as well as the mean
component Sm.
(6) To determine the alternated and mean real stresses, in the critical locations, consider-
ing the effect of the factor of fatigue stress concentration.
(7) To evaluate the von Mises effective stress, for the mean and alternating components.
(8) To determine the correction factors for the fatigue strength.
(9) To create the ‘Modified Goodman Diagram’ for the corrected fatigue strength (Se),
using as limit of the material, the maximum tensile strength Sut.
(10) To determine the main failure points and to calculate their safety factors (Fig. 2).

Fig. 2. Modified Goodman Diagram.

For constant alternated component and variable mean component

Sy  σ a′ 
N f1 = 1 − S  (15)
σm
′  y 

For constant mean component and variable alternated component

Sf  σm ′ 
Nf2 = 1−
σ a′  Sut 
(16)

For mean and alternate components variables with a constant ratio between them
(σ a′ σ m
′ = cte)

Sut S f
Nf3 = (17)
σ a′ Sut + σ m
′ Sf

For mean and alternate components with any variation

σ a′ 2 + σ m
′ 2 + (σ m
′ − σ ms
′ ) 2 + (σ a′ − σ as
′ )2
Nf4 =
σ a′ 2 + σ m
′2

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196 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

σ ms
′ =
(
Sut S 2f − S f σ a′ + Sut σ m
′ )
S 2f + Sut
2

S f (σ ms
′ )
σ as
′ = + Sf (18)
Sut

2.5 Shaft design

2.5.1 Failure and stress to combined loads

Starting from the obtained alternate and mean components of bending moments and torque,
it becomes necessary to obtain the components of alternate and mean stresses, to which the
shaft is submitted. For the alternated component of the bending moment Ma and mean
component Mm, it is given by

32 K f Ma 32 K fm M m
σa = σm = (19)
πd 3
πd 3

where Kf and Kfm are the fatigue factors due to bending moment and d is the shaft diameter.
The alternate and mean components of the torsional stress are obtained from

16 K fs Ta 16 K fsm Tm
τa = τm = (20)
πd 3
πd 3
where Kfs and Kfsm are the fatigue factors due to torsion, d is the shaft diameter and Tm – Ta
is the mean and alternating components of the torque.

2.5.2 Design for fluctuating bending and constant torsion

This loading case is derived from the general case of torsional and bending fluctuation and,
due to the absence of the alternated component of the torsional stress, a simple case of
multiaxial fatigue is considered. Even so, the presence of concentrated local stresses can
cause a complex multiaxial stress state.
The substitution of the yielding limit in traction for the yielding limit for shearing is
justified by the von Mises relations. From the maximum distortion energy criteria
2
σa 
2
 τm 
 s  + S  =1 (21)
 e  ys 
Introducing the safety factor Nf and recalling the von Mises relation Sys = Sy 3
2
 σa 
2
 τ 
 N f  +Nf 3 m  =1 (22)
 se   sy 

Substituting the expressions for σa and τm, respectively

 1 2 1 3
 
2
Tm  
2
 32 N f
d=  K Ma  + 3 K 

 f Se  4  Sy  
fsm (23)
 π   
 
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 Didactic software for the design of rotative shafts 197

2.5.3 Design for fluctuating bending and torsion

When the torque is not constant, its alternated component will create a complex stress state
in the shaft. A rotative shaft, submitted to combined torsion and bending, present a biaxial
stress state, that makes the equations (23) present two components

σ a′ = (σ a2 + 3τ a2 ) σm
′ = [(σ m)
2
+ 3τ m
2
] (24)

The von Mises stresses can make part of the modified diagram of Goodman for a certain
material, to obtain its respective safety factor. If the particular case of failure assumes that
the alternating and mean components present a constant ratio, the failure will happen in the
point where the safety factor is defined as
1 σ σ
= a + m (25)
Nf Se Sut

Nf is the safety factor, Se is the corrected endurance limit and Sut is the maximum tensile
strength of the material. Consider a zero axial load
13

 32 N f
d=

 [( K f Ma ) 2 + 43 ( K fs Ta ) 2 ] + [( K fm M m )
2
]
+ 43 ( K fsm Tm ) 2  
 
 π  Se Sut 
   

(26)
The equation above can be used to obtain the shaft diameter for any combination of bending
and torsional moments, with the consideration of null axial load and a constant ratio between
the alternating and mean stresses components.

3. COMPUTATIONAL IMPLEMENTATION

3.1 Scheme of the software

The fluxogram of Fig. 3 presents the order of execution that the software takes in the shaft
diameters calculations in Visual Basic language [6], as well as the interaction points in the
function of the parameters critical for the safety factor under failure approaches.

3.2 The software structure

In the input screen, the user defines the data with respect to the number and positions of the
bearings, shaft length, material, power, maximum and minimum torque, speed, operation
temperature, and data of reliability of the system and superficial finish of the component.
When opting for one of the presented materials, the program already defines the parameters
(module of elasticity, density, yielding limit, maximum tensile strength, Young modulus and
constant of Neube), relative to the specified material. Reliability and superficial finish op-
tions are also offered to the user, and the program calculates the corrected fatigue factor
associated to the parameters.
In the loading screen, the user defines the loads acting in the system and its positions. The
loads can be either concentrated or distributed. The input of the loads is made for the plane
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198 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

Fig. 3. Software diagram.

x–y and for the plane x–z. The menu presents a help that supplies information on the loading
types, and soon after, on the association type, for keys, pins or interference. The user also
defines the shaft steps number, as well as its respective coordinates.
In the screen shaft solicitations the graphs of shear forces are plotted as well as bending
moment in the plane x–y as in the plane x–z. The form ‘Shaft Calculations’ corresponds to
the step of the design process for the stepped shaft in the function of the solicitations, of the
stress concentration factors and of the corrected fatigue factors.
In the screen of complementary data, the mass values are calculated, inertia moment of
mass and area of the shaft. The values of the angular and linear deflection are also calculated
for a certain coordinate of the shaft, as well as the deflections graphs in the x–y and x–z.
The stress analysis presents the main tension components to which the axis is submitted,
the mean and alternating values of bending and shearing stresses, and the alternated and
mean components of von Mises effective stresses, important values in the analysis of the
safety factor. The software also presents the Modified Diagram of Goodman graphically, to
inform if the stress state of the shaft is inside of the failure approach of Goodman.

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 Didactic software for the design of rotative shafts 199

4. RESULTS

For example for the analysis of the stepped shaft design consists of the scheme in Fig. 4. The
association type to the hub is the key to concentrated load and for interference to the
distributed load. The operation characteristics are: rotation of 500 rpm, fluctuating torque
from 20 to 100 Nm, at 80°C, for a hot-rolled steel SAE 1020 and reliability 99% (Fig. 5). In
this screen, the user has the option of saving the input data.

Fig. 4. Stepped shaft model.

Fig. 5. Input data window.

The input of data continues with the loading screen (Fig. 6) where the user defines the
number of concentrated and distributed loads, their value and position, as well as the hub
association type. With the input loading data and the type of associations, the user defines
the geometry of the shaft or the steps positions, in this case, with coordinates in 100 and
400 mm (Fig. 7).

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200 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

Fig. 6. Loading window.

Fig. 7. Stepped shaft positions.

After the input of data, the software begins the calculation of the system. Firstly the
relative boundary conditions to the shear forces, bending moment and linear deflection are

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 Didactic software for the design of rotative shafts 201

defined to the proposed system. In the example, the linear deflection in the bearings coordi-
nates are initially null, the bending moment in the extremities is null and the shear forces
correspond to the reactions in the bearings.
Thus, with the values of the supports reaction forces for both plans, it is possible to obtain
the diagrams of shear forces and bending moment (Fig. 8). The user defines a value for the
safety factor, and the software after calculating interactively the diameters of each section,
presents the values adopted in the equation (components of moment and torque, factors of
stress concentration and properties of the material), facilitating the user to follow the design
process (Fig. 9).
Starting from the well-known value of the shaft diameter, complementary data as mass,
moments of inertia and deflections are introduced to the user. The diagrams of angular and
linear deflections facilitate the visualization of the performance of the shaft (Fig. 10). As the
calculation of the shaft diameter is based on the value adopted for the safety factor, it is
necessary to analyse the safety of the project under failure approaches. For that, it is neces-
sary to know the stress state to which the shaft is submitted. It is the calculation of the
maximum and minimum stress components due to bending moment, the alternate and mean
values of the bending and torsional stresses, and also, the alternated and mean components of
effective von Mises stresses, that will be used in the analysis of the safety factor adopted by
the user. From the calculated stress values, the verification of the stress state to which the
shaft is submitted begins through the Modified Diagram of Goodman (Fig. 11). The shaft
design will be in safety conditions if the point of real stress state is inside of the intercession
between the Line of Good and the Line of Yielding.

Fig. 8. Shaft loads window.

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202 Katia Lucchesi Cavalca and Fabio Tadeu Peggau Jacon

Fig. 9. Shaft design window.

5. CONCLUSIONS

The present work can be considered as one more step in the development of computer
science applied to the teaching of engineering. The software allows the user to follow the
methodology of the shaft calculation without spending time on manual approaches. The
software presented good results when analysed statically and dynamically. The application
of the software in the graduation disciplines seeks to complement the learning through the
combination of the classic and constructive teaching methodologies. In this last line, the
student would apply the software to develop a more practical knowledge of the problem
through tentative and error in the sensitivity analysis associated to the critical parameters of
the problem, as stress concentration and fatigue.

ACKNOWLEDGEMENTS

The authors thank FAPESP and CNPq for the financial support of this work, and Professor
Dr Euclides de Mesquita Neto and Professor Dr Franco Giuseppe Dedini for the valuable
discussions.

REFERENCES
[1] Popov, E. P., Engineering Mechanics of Solids, Prentice Hall, 1990.
[2] Crandall, Dahl and Lardner, An Introduction to the Mechanics of Solids, McGraw-Hill, 1959.
[3] Antosik, P., Theory of Distributions the Sequential Approach, Polish Scientific Publishing
Company, 1973.
[4] Shigley, J. E. and Mischke, C. R., Mechanical Engineering Design, McGraw-Hill, 1989.
[5] Norton, R. L., Machine Design – An Integrated Approach, Prentice Hall, 1996.
[6] Holzner, S. and Norton, P., Visual Basic for Windows – Versao 3.0, Campus, 1994.

International Journal of Mechanical Engineering Education Vol 30 No 3

Didactic software for the design of rotative shafts 203

Fig. 10. Deflection data.

Fig. 11. Safety factor analysis.

International Journal of Mechanical Engineering Education Vol 30 No 3