1

FAILURE THEORIES
1
Chapter 1 Nomenclature

A = cross sectional area
b = width of section
c = distance to surface from neutral axis
E = modulus of elasticity
G = shear modulus (torsional modulus)
I
ij
= area moment of inertia
*I
moj
= mass moment
J = polar area moment of inertia
l = length
M = bending moment
P = applied force
V = transverse shear
T = applied torque
S
ult
= ultimate stress
S
y
= yield stress
o
1
= principal stress on the x face
o
2
= principal stress on the y face
o
3
= principal stress on the z face
t = thickness
o = total deflection
o = normal stress
o
e
= Von Mises stress
t = shear stress
o
yp
= tensile yield stress
t
yp
= shear yield stress
n
s
= safety factor


2
Chapter One - Failure Theories

1.1. Introduction

Each element in a machine may fail in a different way. The most common failures of
machine elements in engineering practice may be one of the following: 1. Strength,
2. Stiffness, 3. Reliability, 4. Wear, 5. Fatigue, 6. Property changes due to temperature.

Therefore, for different machine elements we should use different failure theories. In this
course, you will mainly learn how to design machine elements that meet the requirement
of strength. In this chapter, we will review some failure theories that you may have
learned in other courses. They are very important, because the design of machine
elements is based on these theories.


1.2. Stress-strain Diagrams and Factor of Safety

One of the most important steps in the design of a machine element is to choose an
appropriate material according to the loading and the function of the machine element.
Different materials exhibit quite different behaviour. Usually, tensile tests are used to
obtain stress and strain relations.


1.2.1. Ductile Materials

Fig. 1.1 is a typical stress-strain diagram of low-carbon steel. We note the material
follows Hookes law until stress reaches the yield point. The stress at yield point is
called the yield stress. The maximum stress in this diagram is called the ultimate strength
or tensile strength. After this point, the stress is decreasing, but the strain is still
increasing until rupture or breaking occurs. The corresponding stress is named rupture
stress.
Fig. 1.1 o - c diagram of low-carbon steel

3
Fig. 1.2 o - c diagram of heat-treated steel

Many steels, especially heat-treated materials, do not have a well-defined elastic limit. In
this case, the yield stress is usually defined at the point where the plastic strain is about
0.1% to 0.2%, i.e., when unloading from this point, c
p
= 0.1% ~ 0.2%.


1.2.2. Brittle Materials

The stress-strain curve of brittle materials, such as cast iron, do not follow Hookes law.
Fig. 1.3 is the characteristic stress-strain diagram for either tension or compression.
Fig. 1.3 o - c diagram of brittle materials

Note: the ultimate stress in compression is much larger than that in tension. Therefore,
for a brittle material, we try to place the material under compression when developing a
design.


1.2.3. Factor of Safety

(a) Simple Tension or Compression

When the material is subjected to simple tension or compression stress o, the factor of
safety n
s
is given by the equation:

1.1


max
y
s
S
n
o
=
4
where S
y
is the yield point stress in simple tension.


(b) Pure Shear
For pure shear loading t
max
the equation for factor of safety is


1.2


where t
yp
is the yield point stress in shear.


1.3. Failure Theories of Ductile Materials with Static Loading

In the following, we only consider two-dimensional states of stress.


1.3.1. The Maximum-Normal-Stress Theory (MNST)

The maximum-normal-stress theory states that failure occurs whenever one of the two
principal stresses equals the yield point stress. Suppose

o
1
> o
2


This theory predicts that failure occurs whenever

o
1
= S
y
1.3



or

o
2
= - o
yc
1.4


1.3.2. The Maximum-Shear-Stress Theory (MSST)

The maximum-shear-stress theory states that yielding begins whenever the maximum
shear stress in any element becomes equal to the maximum shear stress in a tension test
specimen of the same material when that specimen begins to yield. That is

t
max
> t
yp
1.5

max
yp
s
n
t
t
=
5
For a general two-dimensional state of stress, see Fig. 1.4, the principal stress and the
maximum shear stress can be calculated by:
Fig. 1.4 Two-dimensional state of stress



1.6



1.7




1.8




In tensile test, o
2
= 0, therefore at yield point o
1
= S
yt
. Thus from Eq. (1.8), we have the
yield point stress in shear.


1.9


This equation can be substituted into Eq. (1.2) to give


1.10




2
xy
2
y x y x
1
2 2
t
o o o o
o +
|
|
.
|

\
|
+
+
=
2
xy
2
y x y x
2
2 2
t
o o o o
o +
|
|
.
|

\
|

+
=
( )
2
xy
2
y x
2 1 max
2 2
1
t
o o
o o t +
|
|
.
|

\
|
= =
y yp
S
2
1
= t
max
y
s
S 5 0
n
t
.
=
6
1.3.3. The Maximum-Distortion-Energy Theory (MDET)

The maximum-distortion-energy theory predicts that failure will occur whenever the
distortion energy in a unit volume reaches the distortion energy in the same volume when
uniaxially stressed to the yield strength. For two-dimensional stress, the equation is

1.11


Substitution of Eqs. (1.6) and (1.7) gives

1.12


S can be considered as an equivalent stress of a simple normal stress. Then the factor of
safety is:

1.13


According to this theory, failure occurs when

S = S
y


Note: The distortion-energy theory is also called (1) The shear-energy theory, (2) The
von Mises-Hencky theory, (3) The octahedral-shear-stress theory.

Example 1: The stress at a point in a body are o
x
= 13,000 psi, o
y
= 3,000 psi, and t
xy

= 12,000 psi. The material test S
y
= 40,000 psi. Find:
(a) factor of safety by the maximum shear stress theory,
(b) factor of safety by the Mises-Hencky theory.


Solution: (a) By Eq. (1.8):


By Eq. (1.10):

(b) By Eq. (1.12):





By Eq. (1.13):

2 1
2
2
2
1
2
y
S o o o o + =
2
xy y x
2
y
2
x
3 S t o o o o + + =
S
S
n
y
s
=
t
max
psi =

|
\

|
.
|
+ =
13 000 3000
2
12 000 13 000
2
2
,
, ,
54 . 1
000 , 13
000 , 40 5 . 0
n
s
=

=
67 1
900 23
000 40
.
,
,
n
s
= =
S = 13,000 psi
2
+ + = 3 000 13 000 3 000 3 12 000 23 900
2 2
, , , , ,
7
1.3.4. Octahedral Shear Stress Theory (OSST)

In the stress tensor

ji ij
zz zy zx
yz yy yx
xz xy xx
o o
o t t
t o t
t t o
= =

1.14

Invariants (I)


= + + =
zz yy xx
I o o o
1
constant (whether on principal axes or not) 1.15a

( )
2 2 2
2 zx yz xy x z z y y x
I t t t o o o o o o + + + + = 1.15b





















( ) ( ) ( ) ( ) | |
2
1
2 2 2 2 2 2
6
3
1
zx yz xy x z z y y x oct
t t t o o o o o o t + + + + + = 1.16


And the operational statement is :
s
yp
allow oct
n
t
t t = s 1.17




1
o

3
o

2
o

=

2
3 1
o o
t
max
t
oct
o
N
8

1.3.5. Maximum Strain Energy Failure Theory (MSET)

For uniaxial tension per unit volume strain energy u is:

}
= e= =
E E
d u
2 2
1
2
o o
o o ( ) 0
3
= =o o ( ) 0 = = =
yz xz xy
t t t 1.18


For pure shear

}
= = = t
t
d
G
G
u
2 2
2 2
and t G = 1.19


For total energy in a volume V


}
= udV U


For a biaxial stress

( )
G E
u
xy
y x y x
2
2
2
1
2
2 2
t
o vo o o + + = 1.20


For linear region


} } } }
+ + = = dz f dy f dx f d F E
z y x
o 1.21















F
o
F
final
2
o
final
F
energy =
final
o
9

To allow integration, since
x
f is related to displacement, we need either
x
f as a function
of
x
e or
x
o as a function of
x
f .

Use Hookes Law and strain-deflection relationship. I.e.
x x
dx o = e

The energy/unit volume is :

( ) ( )
3 2 1 1
1
S S v S
E
x
= =e e

( ) ( )
3 1 2 2
1
S S v S
E
y
= =e e
( ) ( )
2 1 3 3
1
S S v S
E
z
= =e e 1.22


For triaxial stress

( ) | | ( )
2 2 2 2 2 2
2
1
2
2
1
z y x x z z y y x z y x
G E
u t t t o o o o o o v o o o + + + + + + + = 1.23


The operational statement is


triaxial uniaxial
u u >

or

( ) | |
1 3 3 2 2 1
2
3
2
2
2
1
2
2
1
2
o o o o o o v o o o
o
+ + + + >
E E
yp
1.24

where o
1
, o
2
and o
3
are principal stresses so t
ij
= 0


For design

( ) ( )
1 3 3 2 2 1
2
3
2
2
2
1
2
2 o o o o o o v o o o
o
+ + + + >
|
|
.
|

\
|
s
yp
n
1.25




* so S
1
, S
2
and S
3

are now stresses
o
1
, o
2
and o
3


10
1.3.6. Maximum Distortion Strain Energy Failure Theory (MDET or DET)

Since the first invariant of the stress tensor was
z y x
I o o o + + =
1
we define an
equivalent hydrostatic pressure that would change the element VOLUME

( )
volume z y x
p o o o o = + + =
3
1
1.26

Note that any difference between o
x
and o
volume
would cause the element to change shape
or distort. Any shear stresses would also cause shape distortion.

We rewrite the unit energy as having two parts, a volume change energy and an element
distortion energy.


distortion volume total
u u u + =

From the maximum energy theory we know u
total
so our operational approach would be

U
distortion
= u
total
- u
volume


and we have six deviatoric stresses t
xy
, t
yz
and t
zx
and
y x x
S o o = ,
z y y
S o o = and
x z z
S o o = .

Note that:


( ) v +
=
1 2
E
G ** important to remember **


Now take the Maximum Strain Energy equation and substitute S
x
, S
y
and S
z
for the o
x
, o
y

and o
z
. Keep the t
ij
and use
( ) v +
=
1 2
E
G

( ) ( ) ( ) ( ) | |
2 2 2 2 2 2
6
12
1
zx yz xy x z z y y x distortion
G
u t t t o o o o o o + + + + + = 1.27

The operational statement is

u
distortion
s u
uniaxial


and so

11
( ) | |
1 3 3 2 2 1
2
3
2
2
2
1
2
2
o o o o o o o o o
o
o + + + + >
|
|
.
|

\
|
=
s
yp
allow
n
1.28

Thus the DET says

( ) ( ) ( )
2
2
1 3 3 2 2 1
2
3
2
2
2
1 allow
yp
or safetyfact
o
o
o o o o o o o o o =
|
|
.
|

\
|
s + + + + 1.29

Procedure to do a problem:

1. find principal stresses o
1
, o
2
and o
3

2. substitute into DET formula
3. compute ( )
2
allow
o
4. part fails if DET > ( )
2
allow
o



1.3.7. Stress Concentrations

Note: stress concentrations factors are different for tension, bending and torsion. (look
up in text pages 222-226)


If a piece is loaded in ALL THREE modes the the effective stress is


imal tor bend ten e
K K K
min
o o = 1.30

where o
minimal
is load divided by the MINIMUM cross section.

For fatigue loading we must determine K
f
by looking up q. If no value for q is set K
f
= K


12
1.3.8. Comparison of Theories
Fig. 1.5 Comparison of yield and fracture criteria

Note: (1) MSST (the maximum-shear-stress theory) is the most conservative approach
and is used in practice widely, it can over-estimate stress by 15%.
(2) MDET (the maximum-distortion-energy theory) is the best fit with
experiment results.


1.4. Failure of Brittle Materials with Steady Loading

Failure in brittle materials takes place by fracture. Therefore the criteria of failure is
different from that for ductile materials.
(1) The ultimate strength is used as the basis for determining the working stress.
(2) It is necessary to have separate equations for the factor of safety in tension and for
the factor of safety in compression.


1.4.1. The Maximum-Normal-Stress Theory

The factor of safety is:

1.31


or

1.32


where S
ut
and S
uc
are the ultimate stresses in tension and compression respectively.

1
o
ut
s
S
n =
2
uc
s
S
n
o
=
13
1.4.2. The Maximum-Shear-Stress Theory

The maximum-shear-stress theory for brittle materials will result in

1.33


Note: In using Eq. (1.16), S
uc
must be substituted as a negative number.


1.5. Stress Concentration Factors

Abrupt changes in the form of a part will cause stress concentration. It occurs at holes,
fillets, keyways, notches and other surface irregularities.
Fig. 1.6 Stress concentration for a plate with a hole loaded in tension

This can be predicted theoretically and can be observed experimentally.
Definition of stress concentration factor:

K
c
= highest value of actual stress
nominal stress computed from elementary equation

Stress concentration factors for a variety of geometries are given in the textbook
Fig. 6.2 to Fig. 6.6 (p. 222-226).

Note: (1) The effect of stress concentration can be neglected for ductile materials under
steady loads because local yielding doesnt propagate through the part.
(2) In non-steady case or for brittle materials, the effect of stress concentration
should be considered.

Example 2: Consider the design of a stepped rod subjected to a static tensile load of
20,000 lbs. Given D = 1.75", material is 1045 hot rolled steel. (a) Design
the small end of the rod for factor of safety n
s
= 1.75 based on MSST
(maximum-shear-stress theory), (b) choose fillet radius so that no plastic
yielding occurs.
s
2 1
n
1
= +
uc ut
S S
o o
14
K
yp
o o
1
s
Fig. 1.7 Example 2

Solution: (a) material properties, from text appendix, are o
yp
= 59,000 psi

stress analysis, and


By Eq. (1.8):

By Eq. (1.10):



(b) from (a), o
1
= 33,643 psi. For no plastic yield at fillet:


, or


Use Fig. 6.5(a) from text: for K = 1.75 and D/d = 1.75 = 2.01 ~ 2.0
0.87
we have r/d ~ 0.16. Thus, r = 0.16 0.87 = 0.14"







( )
o
t
t
o
1 2
P
A
d
2
d
and = = = =
20 000 80 000
0
2 2
, ,
t o
t
max 2
d
= =
1
2
40 000
1
,
" .
,
1.75 80,000
= d or , .
d
,
, .
n
2
s
87 0
000 59
75 1
000 40
000 59 5 0
=

=
t
t
K s =
59 000
33 643
175
,
,
.