Case study

Failure analysis of a bridge crane shaft

O.A. Zambrano*, J.J. Coronado, S.A. Rodrguez

Research Group of Fatigue and Surfaces, Mechanical Engineering School, Universidad del Valle, AA 25360 Melendez, Cali, Colombia
1. Introduction
Shafts are used to transmit power to other mechanical elements and are generally subjected to torsional and bending
loads. One of the most common failure mechanisms in shafts is fatigue. Fatigue failures start at vulnerable points where
metallurgical and structural defects exist that favor high localized stresses [1]. Normally, the points of stress concentrationin
shafts are present in sharp changes of the cross-sectional area or at the keyways [2]. Additionally, when defects appear in
these sensitive sites, the fatigue life is severely compromised.
Other failure analyses have been performed on shafts, especially related to the corners of the keyway, where the
predominant causes of the onset of fatigue failure were due to lowradius of keyway curvature [3], inclusions [4,5], incorrect
repair welding [6], brittle microstructures [7], and machining marks [8]. All of these failures were present across the entire
cross section of the shafts and started at the corners of the keyway. In this failure analysis, only one side of the keyway was
completely fractured by fatigue, not the entire transversal section. Besides, this type of failure has been recurrent in this
mechanical element for years.
The shaft analyzed (replacement part) belongs to a bridge crane fractured after one year of operation. Fundamentally, the
bridge crane system consists of an electric motor that transmits power to the shaft and this shaft transmits power to a
reducer gearbox; a representation of the systemis shown in Fig. 1. The keyway connects the systems brake. According to the
material specication provided by the manufacturer, the material is an AISI 4340 steel normalized and tempered. Engine
power is 3.73 kW and operates from 600 to 1800 rpm.
Case Studies in Engineering Failure Analysis 2 (2014) 2532
A R T I C L E I N F O
Article history:
Received 12 June 2013
Received in revised form 16 October 2013
Accepted 5 December 2013
Available online 9 January 2014
Keywords:
Failure analysis
Shaft
Inclusions
Fatigue
Finite element analysis
A B S T R A C T
Failure analysis of a shaft used in a bridge crane has been carried out. The shaft fractured in
the keyway with evidence of fatigue. Chemical analysis, micro-structural characterization,
fractography, hardness measurements, and nite element simulation were used for the
analysis. The microstructure was predominantly tempered martensite; large amounts of
oxides, micropores, and manganese sulde inclusions were found. The geometry of the
keyway also promoted the initiation crack because the width and height were erroneously
designed. It was concluded that all these factors produced fatigue failure. It is
recommended to rst guarantee the chemical composition and microstructure of the
material. Secondly, use magnesium or calcium additions in the steel casting process to
obtain better shape control of inclusions and, nally, accomplish the geometric
parameters recommended by the standard to avoid high stress concentration factors.
2013 The Authors. Published by Elsevier Ltd. All rights reserved.

This is an open-access article distributed under the terms of the Creative Commons Attribution-NonCommercial-No Derivative Works License, which
permits non-commercial use, distribution, and reproduction in any medium, provided the original author and source are credited.
* Corresponding author. Tel.: +57 2 4849665.
E-mail addresses: oscar.zambrano@correounivalle.edu.co, oazzambrano2009@hotmail.com (O.A. Zambrano).
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Case Studies in Engineering Failure Analysis
j our nal homepage: www. el sevi er . com/ l ocat e/ csef a
2213-2902/$ see front matter 2013 The Authors. Published by Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.csefa.2013.12.002
The scope of this investigation was to determine the cause of failure occurring in this shaft, an element commonly used in
almost all industries, to prevent similar failures that could be the cause of damage of the complete equipment and, not less
important, to guarantee industrial security for workers.
2. Experimental procedure
Chemical analysis, visual inspection, fractography, metallographic analysis, hardness measurements, and nite element
simulation were used for the analysis. The shafts chemical analysis was carried out via optical emission spectroscopy (ARL
3460 Advantage spectrometer); fractography was performed by using a stereoscope (Nikon SMZ1000) and scanning electron
microscopy (Jeol jsm-6490LV); for the metallography, the samples were polished and etched (2% Nital reagent during 40 s),
micro indentation Vickers was used with 10 g during 15 s and 10 indentations for hardness determination.
3. Results and discussion
3.1. Visual and stereography examination
One edge of the keyway was fractured, a general viewis shown in Fig. 2(a) and (b), some important features of the fracture
are shown: machined marks on the keyway, crack origin, fatigue propagation zone, plastic deformation in the nal fracture
zone. Also, a longitudinal mark can be noted in the keyway, with characteristics of plastic deformationnear the fracture zone.
Machining marks inuenced in the nucleation of fatigue cracks. Besides, a longitudinal mark in the keyway, possibly
caused when the key was put in the keyway, produced additional damage in the corner of the keyway. Additionally, Fig. 3
shows a beach pattern and ratchet marks, evidence of high local stress [811].
Fig. 4 reveals growth of a secondary crack on the other side of the keyway because of the reversibility of the torque the
shaft must withstand. This torque alternation promoted change of the stress in each corner of the keyway and, nally,
induced fatigue failure.
The keyway radius was measured at 0.6 mmand the shaft diameter is 25.4 mm; therefore, the r/d ratio is 0.024. Using this
ratio, for a standardized keyway, it was found that the stress concentration factor for a torsion shaft (K
ts
) is 2.52 [12]. The USA
standard recommends maximum stress concentration factors up to 2.6 when the torque is transmitted without the key.
However, the keyway width recommended for the same standard is 6.3 mm, but the shaft had a keyway width value of
9.1 mm. Likewise, the keyway height must be 3.2 mm, but the shaft had a keyway height value of 3.3 mm.

Fig. 1. Bridge crane and shaft analyzed, adapted from [9].

O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 26
3.2. Fractography
The shaft fractography is shown in Fig. 5. The fractured surface of the broken keyway shows that the crack initiated from
the keyway zone in Fig. 5(a) and striations parallel to the beach marks are observed in Fig. 5(b).

Fig. 2. (a) General view of the fractured keyway and (b) view of the fractured surface of the failed shaft.

Fig. 3. Beach pattern and ratchet marks in the fracture surface.

O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 27
3.3. Metallographic analysis
A sample was cut from the shaft fracture zone. This sample was metallographically prepared and observed in an optical
microscope, in unetched and etched conditions. The microstructure, without etching, revealed high quantity of defects such
as micropores and non-metallic inclusions, as shown in Fig. 6(a). Also, elongated manganese sulde inclusions in the
longitudinal direction of the shaft, near the fracture zone, were found (Fig. 6(b)). The MnS inclusion average length was about
112 2 mm; this kind of inclusion promoted fracture occurrence [13].

Fig. 4. Transversal view of the keyway, showing growth of a secondary crack, fracture zone, and keyway geometry.

Fig. 5. SEM fractography showing (a) crack initiation region and (b) striations.
O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 28
These inclusions microscopically affect stress distribution and favor crack nucleation; therefore, it is important to
introduce the critical inclusion size parameter [14], related to the threshold value for fatigue crack propagation. This critical
value is around 50100 mm[15]. However, when inclusions are just belowthe surface, inclusions smaller than 45 mmcause
fatigue fracture [16]. Inclusions larger than these values were found near the fracture zone.
The microstructure shown in Fig. 7 revealed tempered martensite and some ferrite grains that could be related to high-
tempered temperature or a long period of tempering. Although this microstructure is apparently adequate due to its higher
tendency of plasticity-induced crack closure and low crack growth than other tempered microstructures for AISI 4140 [17],
the yield strength and hardness decrease drastically almost to one half of the initial values, affecting the fatigue life for which
it was initially designed. Besides, fatigue cracks nucleate and propagate in zones where the strain is most favored, this
phenomenon is more evident with increased tempering temperature.
3.4. Hardness measurements
Results of microhardness measurements in the central zone and near the fracture are shown in Table 1.
As shown in Table 1, the hardness measurements were similar in both zones. This hardness is inconsistent with the AISI
4340 steel normalized and tempered specied by the manufacturer. High hardness was expected, similar to the hardness of
tempered martensite at 425 8C [18]. Additionally, these hardness values could be related to the AISI 4140 steel hardness
when tempered at 595650 8C for 2 h [18].

Fig. 6. Optical microstructure showing (a) oxide inclusions, MnS inclusions, and micropores (longitudinal section 100) and (b) optical microstructure
showing MnS stringer near the fracture zone (longitudinal section 500).
O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 29
3.5. Chemical analysis of the shaft
Measured and specied compositions of the shaft are shown in Table 2. Differences in chemical composition were found,
particularly the absence of nickel (this element extends the gamma loop, increases the hardenability of the alloy, and delays
the pearlitic and bainitic transformation [19]), producing two conditions: (i) a yield strength lower than the AISI 4340 steel
and (ii) a different response of the material (microstructure); when subjected to the same AISI 4340 heat treatment,
particularly, the absence of nickel possibly favors the diffusion process and facilitates the formation of some ferrite grains at
lower tempering temperatures and holding times than AISI 4340.
3.6. Finite element analysis (FEA)
A static and elastic model, using nite element analysis, was carried out in two geometries: (i) the shaft with the standard
recommended geometrical dimensions and (ii) the shaft with the geometrical dimensions found in the shaft out of the
standard (Section 3.1). The effect of the dissimilar geometry on the theoretical stress concentration factor for a torsion shaft
(K
ts
) and fatigue notch factor (K
f
) was determined. It must be remembered that the USA standard only shows how the K
ts
factor varies with the keyway radius for standard shaft geometries; for this reason, a nite element analysis was required on
this irregular shaft geometry.
Quadratic tetrahedral elements in the upper zone of the keyway were used and a structural meshed was used in the rest
of the shaft. The radius, width, and height of the keyway were rened. Rotational movement and displacements were
constrained in the shaft gear zone (Fig. 8). The torsion load was applied in homogenous pressure form on a selected face in
the keyway (Fig. 8). Boundary conditions and the renement zone are shown in Figs. 8 and 9, respectively.
According to the literature, K
ts
is a function of the r/d ratio, where r is the keyway radius and d is the shaft diameter, for
r = 0.6 mm and d = 25.4 mm the stress concentration factor of the standard geometry (K
t_st
) is 2.52 [12]. For a modied

Fig. 7. Optical micrograph showing the microstructure that consists of tempered martensite (450).
Table 1
Hardness in the central zone and near the fracture zone.
Zone of indentation Micro HV mean Standard deviation
Central Zone 288 6.3
Near the Fracture Zone 293 5.8
Table 2
Chemical composition of the shaft material, AISI 4340 and AISI 4140.
Material C Mn Si S P Ni Cr Mo V Cu
4140 (obtained) 0.38 0.79 0.29 0.026 0.012 0.08 0.83 0.17 0.004 0.16
4340 (expected) 0.380.43 0.60.8 0.150.30 0.040 Max 0.035 Max 1.652.0 0.70.9 0.200.30
The underlined is used to emphasize the absence of nickel in the alloy.
O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 30
geometry (out of the standard), the stress concentration factor (K
t_m
) can be estimated as:K
t m
K
t r
K
t st
where K
t_r
is the
relation of the both stress concentration factors. Given that,
K
t

s
max
s
noninal
(1)

Fig. 8. Boundary conditions applied to the shafts in the FEA model.

Fig. 9. Renement of the interest zone.

Fig. 10. Distribution of von Mises stress on the stress concentration zone of (a) standard geometry and (b) modied geometry.
O.A. Zambrano et al. / Case Studies in Engineering Failure Analysis 2 (2014) 2532 31
and the nominal stress (s
nominal
) is equal in both analyses:
K
t r

s
max m
s
max st
(2)
Fromthe results of the nite element analysis, the von Mises maximumstress of the modied geometry (s
max_m
) and the
von Mises maximum stress of the standard geometry (s
max_st
) were obtained. The K
t_r
calculated is equal to 2.20 and K
t_m
is
equal to 5.54. The effect of K
t_st
and K
t_m
on von Mises stress eld is show in Fig. 10.
Thus, it is conrmed that the actual stress concentration factor (K
ts
= 5.54) generated by the irregular dimensions of the
keyway width and height, was higher than the maximumstress concentration factor recommended by the USA standard for
the keyway radius in this shaft for standard geometries (K
ts
= 2.6) [12].
The fatigue notch sensitivity of the material was estimated at 0.93 [12]; for this reason, the fatigue notch factor (K
f
)
increased 116.4% from the standard geometry to the modied geometry, decreasing the fatigue safety factor by 53.4%.
4. Conclusions
This study analyzed the failure of a bridge crane shaft, the analysis allowed concluding as follows.
Stereography examination revealed the presence of beach and ratchet marks on the fracture surface and the fractography
examination shows striations; all of this evidence indicates the shaft was fractured by fatigue.
The shaft material did not satisfy the chemical composition standard; on the other hand, the microstructure was not
adequate for this application because it has lowmechanical properties and large amount of defects near to the fracture zone.
Specically, the study found the length of MnS inclusions above the value of critical inclusion size parameter, which
produced a drastic decrease in fatigue life.
The stress concentration factor was higher than recommended and the effect of the keyway width and height variation
caused 116.4% increase in the stress concentration factor, decreasing the fatigue safety factor by 53.4%.
5. Recommendations
Use adequate materials (guarantee the chemical composition and microstructure).
Use magnesium or calcium additions in the steel casting process to obtain better shape control of the inclusions or use
vacuum melting.
Use the geometry recommended by the standard keyway to minimize stress concentration and try to reduce machine
marks.
Acknowledgements
The authors thank Universidad del Valle for the support obtained through project no. CI 2652 and the Surface Phenomena
Laboratory at the University of Sao Paulo, Brazil.
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